identifier
stringlengths 11
32
| pdf_url
stringlengths 17
4.62k
⌀ | lang
stringclasses 120
values | error
stringclasses 1
value | title
stringlengths 2
500
⌀ | source_name
stringlengths 1
435
⌀ | publication_year
float64 1.9k
2.02k
| license
stringclasses 3
values | word_count
int64 0
1.64M
| text
stringlengths 1
9.75M
|
|---|---|---|---|---|---|---|---|---|---|
https://openalex.org/W4282961721
|
https://nrl.northumbria.ac.uk/id/eprint/51115/1/d2ra02280j.pdf
|
English
| null |
<i>In situ</i> fabrication of porous biochar reinforced W<sub>18</sub>O<sub>49</sub> nanocomposite for methylene blue photodegradation
|
RSC advances
| 2,022
|
cc-by
| 7,285
|
URL: https://doi.org/10.1039/d2ra02280j <https://doi.org/10.1039/d2ra02280j> URL: https://doi.org/10.1039/d2ra02280j <https://doi.org/10.1039/d2ra02280j> This
version
was
downloaded
from
Northumbria
Research
Link:
https://nrl.northumbria.ac.uk/id/eprint/51115/ This
version
was
downloaded
from
Northumbria
Research
Link:
https://nrl.northumbria.ac.uk/id/eprint/51115/ This
version
was
downloaded
from
Northumbria
Research
https://nrl.northumbria.ac.uk/id/eprint/51115/ Northumbria University has developed Northumbria Research Link (NRL) to enable users
to access the University’s research output. Copyright © and moral rights for items on
NRL are retained by the individual author(s) and/or other copyright owners. Single copies
of full items can be reproduced, displayed or performed, and given to third parties in any
format or medium for personal research or study, educational, or not-for-profit purposes
without prior permission or charge, provided the authors, title and full bibliographic
details are given, as well as a hyperlink and/or URL to the original metadata page. The
content must not be changed in any way. Full items must not be sold commercially in any
format or medium without formal permission of the copyright holder. The full policy is
available online: http://nrl.northumbria.ac.uk/policies.html This document may differ from the final, published version of the research and has been
made available online in accordance with publisher policies. To read and/or cite from the
published version of the research, please visit the publisher’s website (a subscription
may be required.) Northumbria Research Link Citation: Li, Yi, Chen, Wenting, Liu, Zhiwei, Cao, Dehua, Chen, Yu, Thummavichai,
Kunyapat, Wang, Nannan and Zhu, Yanqiu (2022) In situ fabrication of porous biochar
reinforced W18O49 nanocomposite for methylene blue photodegradation. RSC Advances,
12 (23). pp. 14902-14911. ISSN 2046-2069 Citation: Li, Yi, Chen, Wenting, Liu, Zhiwei, Cao, Dehua, Chen, Yu, Thummavichai,
Kunyapat, Wang, Nannan and Zhu, Yanqiu (2022) In situ fabrication of porous biochar
reinforced W18O49 nanocomposite for methylene blue photodegradation. RSC Advances,
12 (23). pp. 14902-14911. ISSN 2046-2069 Published by: Royal Society of Chemistry Published by: Royal Society of Chemistry URL: https://doi.org/10.1039/d2ra02280j <https://doi.org/10.1039/d2ra02280j> aGuangxi Institute Fullerene Technology (GIFT), Key Laboratory of New Processing
Technology for Nonferrous Metals and Materials, Ministry of Education, School of
Resources, Environment and Materials, Guangxi University, Nanning, 530004,
China. E-mail: wangnannan@gxu.edu.cn; Y.zhu@exeter.ac.uk
bCollege of Engineering, Mathematics and Physical Sciences, University of Exeter,
Exeter, EX4 4QF, UK Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. Yi Li,a Wenting Chen,a Zhiwei Liu,a Dehua Cao,
a Yu Chen,b
Kunyapat Thummavichai,b Nannan Wang
*a and Yanqiu Zhu
*ab In this paper, a novel cow dung based activated carbon (CDAC) was successfully modified by W18O49
nanowires as a photocatalyst using KOH activation and a hydrothermal method. The activity of
photocatalytic degradation of methylene blue (MB) under full-spectrum light illumination shows great
improvement, and the degradation rate of MB could reach 98% after 240 min (67% for W18O49), with
a final degradation rate of 98%. The porous structure with specific surface area of CDAC (479 m2 g1)
increases the adsorption of W18O49 reactants and also raises the concentration of reactants in the
photocatalytic region. The high electrical conductivity and good electron storage capacity of CDAC
allow the electrons excited in the conduction band (CB) of W18O49 to migrate smoothly into CDAC,
which are the keys to enhancing the photocatalytic activity. Moreover, the photocatalytic mechanism
was proposed. The results show that the CDAC/W18O49 nanowire composite can be used as an efficient
photocatalyst for removal of MB dye from wastewater and indicate remarkable future potential in dye
wastewater treatment technologies. Received 8th April 2022
Accepted 10th May 2022
DOI: 10.1039/d2ra02280j
rsc.li/rsc-advances Tungsten oxide (WO3x, 0 # x # 1), a semiconductor material
has the advantages of narrow band gap (range of 2.4 to 3.0 eV)
favorable for visible light absorption, deep valence band for
oxidation reaction, high carrier mobility and good stability.16–19
This makes WO3x a favorable candidate for solar-driven
chemical reactions. Among them, non-stoichiometric W18O49
structure is rich in W5+ defects and oxygen vacancies, which can
be used as reaction sites to facilitate the adsorption and acti-
vation of oxygen molecules, hence it has a signicant important
for the development of efficient photocatalysts for the removal
of organic dyes from water.20,21 © 2022 The Author(s). Published by the Royal Society of Chemistry In situ fabrication of porous biochar reinforced
W18O49 nanocomposite for methylene blue
photodegradation
Yi Li,a Wenting Chen,a Zhiwei Liu,a Dehua Cao,
a Yu Chen,b
Kunyapat Thummavichai,b Nannan Wang
*a and Yanqiu Zhu
*ab Cite this: RSC Adv., 2022, 12, 14902 RSC Advances Cite this: RSC Adv., 2022, 12, 14902
Received 8th April 2022
Accepted 10th May 2022
DOI: 10.1039/d2ra02280j
rsc.li/rsc-advances
PAPER
blished on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM. is licensed under a Creative Commons Attribution 3.0 Unported Licence. View Article Online
View Journal | View Issue 1.
Introduction 1. With the rapid development of industrial processes, the
problem of environmental pollution is receiving more and more
attention. For a long time, many kinds of organic dyes have
been widely used in various industries, such as tanneries, and
paper and textile production,1,2 and the wastewater produced
during their production is the main source of dye pollution in
water bodies.3–6 Even low concentrations of dyes can cause great
harm to humans, for example, methylene blue (MB) can cause
serious skin problems, chromosome breakage, mutagenesis
and human respiratory toxicity.6–8 Therefore, the challenge of
how to remove organic dyes from wastewater has attracted
widespread interest in the community. Unfortunately, the efficiency of narrow bandgap photo-
catalysts is relatively low due to the fast-compounding efficiency
of photogenerated charge carriers, which inhibits the migration
of these charges to reach the semiconductor surface to partici-
pate in redox reactions. In addition, their photostability is easily
compromised because the oxidation and/or reduction poten-
tials tend to lie within the band levels that induce photo-
oxidation and/or reduction.22 For W18O49, it is easily deactive
during photocatalysis due to the formation of WO3 by photo-
oxidation of holes accumulated in the valence band.21 There-
fore, the photocatalytic activity of most single-component
photocatalysts is still far from satisfactory.23 To date, several techniques have been developed to address
organic dyes in wastewater, such as solvent extraction, chemical
oxidation, photocatalytic degradation, biodegradation, and
adsorption.9–15 Among them, photocatalysis is a green, effective,
environmentally
friendly
and
highly
promising
advanced
oxidation process for wastewater treatment, which uses semi-
conductor materials and light to remove organic pollutants. In recent years, carbon-based-tungsten oxide composites
have been studied more frequently to effectively improve the
light-driven performance of W18O49 by taking advantage of the
large specic surface area, exible structure, excellent charge
carrier mobility, and good electrical and thermal conductivity of © 2022 The Author(s). Published by the Royal Society of Chemistry 14902 | RSC Adv., 2022, 12, 14902–14911 RSC Advances
View Article Online RSC Advances
View Article Online Paper carbon-based materials.24,25 Yang et al. reported a composite of
highly ordered mesoporous WO3 nanocrystals grown on RGO,
which was used as visible-light-driven photocatalyst for oxygen
production. Under visible light irradiation, the amount of
oxygen evolution from the optimized photocatalyst containing
ca. 6 wt% RGO reached 437.3 mmol g1, which was 5.1 times as
high as that from m-WO3.26 Li et al. 2.1.
Materials Cow dung was obtained from Guangxi Buffalo Research Insti-
tute (Nanning, China). Tungsten hexachloride (WCl6), cyclo-
hexanol and methylene blue (MB) were purchased from
Shanghai
Macklin
Biochemical
Co. Potassium
hydroxide
(KOH), disodium EDTA-2Na, anhydrous ethanol, tert-butanol (t-
BuOH), hydrochloric acid (HCl) and 1,4-benzoquinone (BQ)
were purchased from Guandong Guanghua Sci-Tech Co. Deionized (Dl) water was obtained from an ultrapure water
production facility and used throughout the experiments. All
chemicals and reagents were used as received without further
purication. 2.3.
Preparation of the CDAC/W18O49 composite Firstly, 40 mg of CDAC obtained was added to 70 ml of cyclo-
hexanol solution and stirred at 40 C for 1 h to obtain a homo-
geneous mixture. Then, 83.3 mg of WCl6 was dissolved in 70 ml
of the mixed solution and kept stirring for 15 min. Then mixture
was sealed in an autoclave with a Teon liner and heated at
200 C for 6 h. Finally, the black-blue precipitate was collected
by centrifugation, washed several times with ethanol and
deionized water, and dried in vacuum at 60 C for 10 h. For
comparison, pure W18O49 was also synthesized in the same way,
without the addition of CDAC. 2.2.
Preparation of the cow dung active carbon CDAC was synthesized by chemical activation using KOH as the
activator
and
pre-carbonized
cow
dung
charcoal
as
the
precursor. First, the sun-dried cow dung was pre-carbonized in
the tube furnace at 450 C for 2 h under an argon gas ow rate of
50 ml min1. Then, the charcoal was mixed with KOH in a 1 : 2
ratio. The mixture was transferred to an alumina crucible and
pyrolyzed at a rate of 10 C min1 in a constant stream of argon
at 800 C, and then held for 2 h before natural cooling. The
obtained product was washed with 1.0 M hydrochloric acid to
remove residual KOH, followed by DI water until the ltrate
became neutral. Finally, the fabricated CDAC was collected aer
drying at 80 C overnight.32 Biochar is a cheap and green carbon-based material ob-
tained by pyrolysis of biomass feedstock at high temperatures
and under anaerobic conditions.27 Biochar has a high surface
area and porous structure, structural defect sites and various
surface functional groups, which provide excellent electrical
conductivity and electron storage capacity in photocatalytic
processes.28 Electrons that leap under light can be transferred to
biochar, contributing to a lower electron–hole complexation
rate in the photocatalytic process, which improves the oxidative
removal of target compounds, while the raw material is
renewable and easily available.29,30 Cow dung is a common
livestock waste product, which is mainly derived from undi-
gested cellulose-based feed residues and without proper treat-
ment will cause environmental problems such as deterioration
of air quality, public hazards (e.g., infectious pathogens and
asphyxiation poisoning), greenhouse gas emissions, and water
pollution.31 Currently, cattle manure is used by some as cooking
fuel, disinfectant cleaner, construction material, insulation
material, waterproong material for walls and oors of rural
houses, and for electricity generation. There is also the use of
cattle manure as a raw material for the preparation of biochar,
which can be an effective solution for a large amount of live-
stock waste.32,33 Thus, cattle manure can be used as a cheap and
abundant source of carbon material. © 2022 The Author(s). Published by the Royal Society of Chemistry 1.
Introduction synthesized a lightweight 3-
D porous aerogel using one-dimensional tungsten oxide nano-
wires and two-dimensional reduced graphene oxide sheets, and
investigated the photocatalytic activity of the aerogel under
visible light irradiation by degrading six different organic
dyes.18 Deng et al. reported a rationally designed novel layered
W18O49/g-C3N4 composite with enhanced photocatalytic activity
by controlling the ow of dual-channel charge carrier separa-
tion and transfer processes, and the prepared composite
exhibited enhanced photocatalytic performance under both
full-spectrum light and near-infrared (NIR) light irradiation due
to an effective strategy combining morphological structure and
energy band structure modulation. Under optimal conditions,
the degradation rate of W18O49/g-C3N4 composites to MB was
0.0677
min1,
which
was
3
times
and
5
times
of
g-
C3N4(0.0276 min1) and W18O49(0.0148 min1), respectively;
the removal of CIP by the W18O49/g-C3N4 composite reached
93.5% under full spectrum light (l > 365 nm) irradiation for
120 min. For g-C3N4 and W18O49, 69.2% and 53.8% of CIP could
be removed under the same conditions.16 current The photocatalytic degradation of MB by CDAC/W18O49
composites was enhanced by the large surface area structure of
CDAC and the interface between amorphous carbon CDAC and
W18O49, which could extend the current carrier lifetime and
accelerate the charge transfer. In addition, a schematic diagram
of the reaction mechanism was constructed, and a possible
photocatalytic mechanism was proposed. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. Fig. 1
XRD patterns of the prepared CDAC, W18O49 and CDAC/
W18O49. positions corresponding to (010), (210), (014), (020) and (123)
crystallographic
planes,
respectively,
which
can
be
well
matched with JCPDS No. 05-0392 (monoclinic W18O49) card,
with (reported) The peak positions are consistent.25 Although
most of the diffraction peaks of CDAC/W18O49 composites
correspond to the characteristic peaks of the monoclinic system
W18O49, it can also be seen that the characteristic peaks of
CDAC/W18O49 composites are shied to the lower 2q side
compared to W18O49, which may be due to the lattice expansion
when W18O49 forms composites with CDAC further supporting
the high concentration of oxygen in the nanocomposites high
concentration of vacancies; meanwhile, it can be observed that
the characteristic peaks of CDAC in CDAC/W18O49 composites
are not obvious, which may be caused by the low CDAC content
and the poor crystallinity of CDAC/W18O49 composites. In
addition, no peaks of other impurities were detected in the XRD
patterns of the CDAC/W18O49 composites. 2.5.
Photoelectrochemical measurement A typical three-electrode measurement system based on the CHI
660D
workstation
was
applied
to
measure
the
photo-
electrochemical properties of the as-prepared samples. Pt elec-
trode and an Ag/AgCl electrode in saturated KCl solution were
used as counter electrode and reference electrode, respectively. The photocurrent density was measured in a 1 M sulfuric acid
electrolyte solution under visible light provided by a 300 W Xe
arc lamp (l > 365 nm). Electrochemical impedance spectroscopy
(EIS) was measured based on the photoelectrochemical test
system described above. 2.6.
Photocatalytic activity measurement The photocatalytic activity of the prepared photocatalysts was
investigated by degrading MB under light irradiation. A 300 W
xenon lamp (PLS/SXE 300C, Perfectlight Co., Ltd, Beijing) was
employed as the light source, and it was directly used as a full-
spectrum light source without any lter. Before the photo-
catalytic experiment started, 10 mg of the prepared photo-
catalyst was added into 100 mL of 35 mg L1 MB aqueous
solution and stirred for 60 min to reach the adsorption equi-
librium under protection from light. During the photocatalytic
process, the quantitative aqueous solution was collected at
certain time intervals, and the photocatalyst was removed by
centrifugation and analyzed. The surface morphology of the catalysts was investigated by
SEM and TEM. Fig. 2a shows SEM image of pristine CDAC shows
a rough surface lled with porous morphology. Aer passing the
hydrothermal reaction, the surfaces of CDAC are modied with
linear W18O49 (as in Fig. 2b). Further observation by higher
magnication SEM images (Fig. 2c and d) shows that the W18O49
nanowires on CDAC have diameters of 20–60 nm and lengths of
0.3–0.8 mm. Fig. 2e represents transmission electron microscopy
(TEM) images of individual CDAC/W18O49 composites, which can
be seen to be modied with uniformly sized. Fig. 2f shows
elemental mapping image of the CDAC/W18O49 composite shows
that the C elements are mainly distributed in the middle region,
while the O and W elements are mainly distributed on the outer
surface of the C elements. HRTEM image (Fig. 2g) shows that the
lattice stripe spacing of W18O49 nanowires on the surface of
CDAC is 0.38 nm, which is consistent with the lattice spacing of
the (010) crystal plane of monoclinic W18O49, indicating that
W18O49 grows along the (010) direction. 2.4.
Characterization of materials In this paper, high specic surface area porous structure cow
dung active carbon (CDAC) was prepared for the rst time by
using cow dung as carbon raw material and active by KOH, and
W18O49 was loaded on CDAC by hydrothermal method to
synthesize CDAC/W18O49 composites, which beneted from the
large specic surface area structure of CDAC and the interface
between amorphous carbon CDAC and W18O49 could extend the The crystal structure of the catalysts was characterized with Cu
Ka1 radiation (l ¼ 1.54056 ˚A) using an X-ray diffractometer
(XRD, Rigaku D/MAX 2500 V, Rigaku Corporation) at an accel-
erating voltage of 45 kV, scan rate (2q): 0.05 s1, recording a 2q
range of 10 to 80. Scanning electron microscopy (SEM, Sigma
300, Carl Zeiss) was used to study the microstructure and © 2022 The Author(s). Published by the Royal Society of Chemistry RSC Adv., 2022, 12, 14902–14911 | 14903 Fig. 1
XRD patterns of the prepared CDAC, W18O49 and CDAC/
W18O49. Paper
View Article Online View Article Online RSC Advances Paper Fig. 1
XRD patterns of the prepared CDAC, W18O49 and CDAC/
W18O49. morphology of the prepared photocatalysts. The FT-IR of the
synthesized photocatalysts was collected by transmission elec-
tron microscopy (TEM) and high-resolution transmission elec-
tron microscopy (HR-TEM) (F20 S-TWIN electron microscope,
Tecnai G2, FEI Co.) at an accelerating voltage of 200 kV. FT-IR
spectra of the synthesized photocatalysts were collected by
Fourier transform infrared spectrometer (IRAffinity-1, Shi-
madzu, Japan). A surface area analyzer (TriStar II 3020, Micro-
meritics) was used to analyze the specic surface area and pore
volume of the synthesized photocatalysts. To obtain Raman
spectra, a microscopic Raman spectrometer (HORIBA Jobin
Yvon, Lab RAM HR Evolution) with Raman shis measured
between 100 cm1 and 2000 cm1 was used. X-ray photoelectron
spectroscopy (XPS) of the prepared samples was performed on
an XPS spectrometer with Al Ka source (XPS, ESCALAB 250XI,
Thermo Fisher), exploring the valence states of W and C
elements in the prepared samples. The UV-vis-NIR diffuse
reectance spectra (UV-vis-NIR DRS) of the prepared samples
were performed by an UV-vis-NIR spectrophotometer equipped
with an integrating sphere (PerkinElmer LAMBDA 365 UV/Vis
Spectrophotometer) using BaSO4 as a reference. 3.1.
Structure and morphology characteristics Fig. 1 shows two diffraction peaks are observed at 25 and 43
for cow dung active carbon, corresponding to the graphitic
phase structure on the (002) plane and the chaotic carbon layer
structure on the (101) plane. The spectra of W18O49 nanowires
show characteristic peaks at 23.4,25.8, 34.9, 47.8 and 55.6 © 2022 The Author(s). Published by the Royal Society of Chemistry 14904 | RSC Adv., 2022, 12, 14902–14911 RSC Advances
View Article Online Paper RSC Advances Fig. 2
SEM images of (a) CDAC (b–d) CDAC/W18O49 (e and f) TEM image of CDAC/W18O49 (g) the corresponding elemental mapping images
of CDAC/W18O49 composites and (h–j) corresponding EDS mapping image of C, O and W element. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM. This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. Fig. 2
SEM images of (a) CDAC (b–d) CDAC/W18O49 (e and f) TEM image of CDAC/W18O49 (g) the corresponding elemental mapping images
of CDAC/W18O49 composites and (h–j) corresponding EDS mapping image of C, O and W element. Fig. 2
SEM images of (a) CDAC (b–d) CDAC/W18O49 (e and f) TEM image of CDAC/W18O49 (g) the corres
of CDAC/W18O49 composites and (h–j) corresponding EDS mapping image of C, O and W element. 3.3.
Surface chemical composition and group analysis The pore structures and SSA of the materials CDAC, W18O49, and
CDAC/W18O49 were analyzed by the adsorption and desorption of
N2. The N2 adsorption and desorption curves of CDAC, W18O49,
and CDAC/W18O49 composites are shown in Fig. 3. According to
the classication criteria of the International Society for Pristine
and Applied Chemistry, the curves can be classied as a combi-
nation of Class I and IV curves.34 At relative pressures P/P0 < 0.1,
the CDAC and CDAC/W18O49 curves show a signicant increase
in N2 adsorption, indicating the presence of a large number of
micropores in the material, and at relative pressures in the range
of 0.41 < P/P0 < 0.95, there is a signicant hysteresis loop in both
curves, indicating the presence of mesopores in the material, but
the adsorption and desorption curves of W18O49 are not signi-
cant. When the relative pressure was in the range of P/P0 > 0.95,
the adsorption and desorption curves were close to vertical,
suggesting the presence of macroporosity in all three materials. In addition, the SSA of CDAC is 479.1034 m2 g1, which is larger
than that of CDAC/W18O49, but the relative pore volume is
smaller than that of CDAC/W18O49, as shown in Table 1, which
may be caused by the larger number of mesopores in CDAC and
the larger number of macropores in CDAC/W18O49, which is
consistent with the adsorption–desorption curve. The larger pore
volume is benecial to promote the photocatalytic effect of
CDAC/W18O49 on MB. Fig. 4a shows the Raman spectra of CDAC/W18O49 composites
compared with the Raman spectra of CDAC and W18O49 nano-
wires. CDAC has two broad peaks at 1351 and 1595 cm1 cor-
responding to the hybridized carbon atoms assigned to sp3 (D- Fig. 3
N2 adsorption–desorption isotherm of CDAC, W18O49, CDAC/
W18O49 composites. Fig. 3
N2 adsorption–desorption isotherm of CDAC, W18O49, CDAC/
W18O49 composites. © 2022 The Author(s). 3.3.
Surface chemical composition and group analysis Published by the Royal Society of Chemistry RSC Adv., 2022, 12, 14902–14911 | 14905 View Article Online Paper
View Article Online Paper RSC Advances Table 1
Specific surface area and pore volume of the as-prepared
samples
Samples
Specic surface
area (SSA) (m2 g1)
Pore volume
(cm3 g1)
CDAC/W18O49
422.1559
0.355
CDAC
479.1034
0.312
W18O49
59.2412
0.123 binding energy of 284.80 eV is mainly attributed to C–C of
surface amorphous carbon, while the peaks at 286.45 and
289.15 eV are attributed to C]O and O–C]O, respectively.37
These three peaks can also be observed on the curves of CDAC/
W18O49 samples. However, unlike the pure CDAC, the charac-
teristic peaks of C]O and O–C]O in CDAC/W18O49 are shied
to the side with lower binding energy aer adhering to the
W18O49 nanowire. In the W 4f high-resolution XPS spectrum of
pure W18O49 (Fig. 4a), the main spectrum is divided into two
pairs of peaks, which represent two different oxidation states of
element W, namely W6+ and W5+. In the W 4f high-resolution
XPS spectrum of pure W18O49 (Fig. 5c), the main spectrum is
divided into two pairs of peaks, which represent two different
oxidation states of element W, namely W6+ and W5+. In the W 4f
high-resolution XPS spectrum of pure W18O49 (Fig. 5c), the main
spectrum is divided into two pairs of peaks, which represent two
different oxidation states of element W, namely W6+ and W5+. The peaks with binding energies of 36.20 and 38.30 eV can
correspond to the W 4f7/2 and W 4f5/2 characteristic peaks of
W6+, respectively. The second double peak, with binding ener-
gies of 35.60 and 37.70 eV, corresponds to the W 4f7/2 and W 4f5/
2 characteristic peaks of W5+. In addition, it can be seen that
the W 4f high-resolution XPS spectrum of CDAC/W18O49
exhibits a similar peak to the pure W18O49 spectrum with
a slight offset. The position of the W 4f peak of CDAC/W18O49 is
shied toward higher binding energy values compared to pure
W18O49, which can be attributed to the interaction between
W18O49 and CDAC.38 In the O 1s high-resolution XPS spectrum
of W18O49 (Fig. 5d), the peaks located at 530.62, 531.34 and
531.95 eV are attributed to W–O, oxygen vacancy (Ov) and –OH,
respectively, and the characteristic peaks of W–O, oxygen
vacancy (Ov) and –OH are shied to the higher binding energy
side aer the composite formation with CDAC. 3.3.
Surface chemical composition and group analysis Notably, a new
peak appears at 533.41 eV on the O 1s spectrum of the CDAC/
W18O49 sample, which may be related to the C–O bonding
because of the close contact and reaction between the CDAC
and W18O49 nanowires. The shiof the binding energy on the
XPS curve indicates the electron migration between W18O49 and
CDAC, due to their different electron concentrations, electrons Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. band) and sp2 (G-band), respectively.35 The Raman spectra of
W18O49 nanowires is dominated by four major vibrational peaks
at 252, 327, 717 and 788 cm 1, attributed to the bending
vibration of monoclinic phase W18O49 d (O–W–O) and the
stretching vibration of n (W–O–W), respectively.36 The Raman
spectra of the CDAC/W18O49 composites show that they are
comparable to the CDAC and W18O49 nanowires corresponding
to the characteristic Raman peaks of the nanowires. To further investigate the atomic structure of the CDAC/
W18O49 composite, FT-IR tests were performed, as shown in
Fig. 4d. There are ve peaks in the spectrum of CDAC, the peak
at 460 cm1 is attributed to Si–O–Si bending vibration, the peak
at 1085 cm1 is attributed to C–C stretching vibration, the peaks
at 1212 and 3428 cm 1 are attributed to the –OH stretching
mode, and the peak at 1383 cm 1 is attributed to the medium
C–O bond axial deformation vibration. –OH stretching mode,
and the peak at 1383 cm1 are an axial deformation vibration in
the C–O bond. Characteristic stretching vibrational bands
belonging to W]O and O–W–O (500–1000 cm1) are observed
in the FTIR spectra of the W18O49 nanowire. Aer introducing
W18O49 nanowires into CDAC, their FTIR spectra reveal the
characteristic peaks of W18O49 nanowires and CDAC. X-ray photoelectron spectra (XPS) spectra of the prepared
samples are also provided to further investigate the interactions
between CDAC and W18O49. The XPS spectra in Fig. 5a show that
the prepared CDAC/W18O49 composites are mainly composed of
C, W and O elements. Fig. 5b–d show the high-resolution
spectra of C 1s, W 4f and O 1s. As shown in the high-
resolution C 1s spectrum of CDAC in Fig. 5b, the peak at the Fig. 4
(a) Raman spectra of prepared CDAC, W18O49 and CDAC/W18O49; (b) FT-IR spectra of CDAC, W18O49 and CDAC/W18O49. Fig. 4
(a) Raman spectra of prepared CDAC, W18O49 and CDAC/W18O49; (b) FT-IR spectra of CDAC, W18O49 and CDAC/W18O49. Fig. 4
(a) Raman spectra of prepared CDAC, W18O49 and CDAC/W18O49; (b) FT-IR spectra of CDAC, W18O49 spectra of prepared CDAC, W18O49 and CDAC/W18O49; (b) FT-IR spectra of CDAC, W18O49 and CDAC/W18O4 © 2022 The Author(s). Published by the Royal Society of Chemistry © 2022 The Author(s). Published by the Royal Society of Chemistry 14906 | RSC Adv., 2022, 12, 14902–14911 RSC Advances
View Article Online Paper RSC Advances Fig. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. 5
The XPS spectra of the prepared CDAC/W18O49, W18O49 and CDAC: (a) survey, (b) C 1s, (c) W 4f, (d) O 1s. on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM. nsed under a Creative Commons Attribution 3.0 Unported Licence. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM. This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. Fig. 5
The XPS spectra of the prepared CDAC/W18O49, W18O49 and CDAC: (a) survey, (b) C 1s, (c) W 4f, (d) O 1s. are more willing to transfer from W18O49 nanowires to CDAC.39
Based on the above analysis results, it can be condent that the
W18O49 nanowires have been successfully assembled onto the
CDAC. This unique light absorption ability originates from the metal-
like LSPR effect of the W18O49 nanowires due to the presence of
abundant oxygen vacancies.41,42 When CDAC was compounded
with W18O49 nanowires, it was seen that the CDAC/W18O49
composites
exhibited
signicant
absorbance
and
a
main
absorption edge consistent with that of pristine W18O49 nano-
wires, further conrming the presence of W18O49 nanowires. 3.4.
Optical properties To fully understand the variation in light absorption
capacity, the band gaps (Eg) of the W18O49 nanowires and CDAC/
W18O49 composites were calculated by the following equation.23 The light trapping ability of CDAC, pristine W18O49 nanowires
and CDAC/W18O49 composites was investigated by UV-vis-NIR
absorption spectroscopy, and the relevant results are shown
in the Fig. 6a. For CDAC showed signicant absorption within
the full spectrum.40 The pristine W18O49 nanowires have
a primary absorption edge of 440 nm and an absorption region
ranging from 440 to 1100 nm, showing strong responsiveness
throughout the visible region and near-infrared light range. ahv ¼ A(hv Eg)n/2
(1) (1) where a, h, v, Eg and A are the absorption coefficient, Planck's
constant optical frequency, band gap energy and constant, Fig. 6
(a) UV-vis-NIR diffuse reflectance spectra of the prepared CDAC, W18O49, and CDAC/W18O49; (b and c) the band gap energy of W18O49
and CDAC/W18O49. Fig. 6
(a) UV-vis-NIR diffuse reflectance spectra of the prepared CDAC, W18O49, and CDAC/W18O49; (b and c) the band gap energy of W18O49
and CDAC/W18O49. RSC Adv., 2022, 12, 14902–14911 | 14907 © 2022 The Author(s). Published by the Royal Society of Chemistry View Article Online Paper
View Article Online Paper RSC Advances respectively. Based on the results shown Fig. 6b and c, the
W18O49 nanowire and CDAC/W18O49 composite are estimated to
be 3.43 and 3.37 eV, respectively. was improved. In Fig. 8a, it can be observed that the CDAC/W18O49
composite has the highest photocatalytic activity and can degrade
90% of MB molecules at 120 min of light, and the removal rate can
reach 98% aer 240 min. The better photocatalytic activity of
CDAC/W18O49 composites may be attributed to the good electrical
conductivity of CDAC as an electron absorber and transport
network, the increased specic surface area of the composites
with CDAC as a substrate, which allows more exposed active sites,
and the lower band gap of W18O49 nanowires and the defect
structure caused by numerous oxygen vacancies. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. In addition, the kinetics of photocatalytic degradation of MB
under full-spectrum light irradiation was investigated, and the
results showed that the variation of MB concentration versus
reaction time on CDAC/W18O49 composites followed a pseudo-
rst-order kinetic diagram with the equation – ln(C/C0) ¼ kt,
where t, C0 and C are the reaction time, initial methyl concen-
tration (mg L1), and methyl at time t, respectively concentra-
tion (mg L1). k represents the apparent pseudo primary rate
constant (min1). The pseudo primary rate constants of pristine
W18O49 nanowires, CDAC/W18O49 composites and CDAC are
0.00349, 0.01159 and 0.00463 min1, respectively, as can be
seen in Fig. 8b. The pseudo primary rate constants of CDAC/
W18O49 composites are higher than those of pristine W18O49
nanowires and CDAC, respectively. W18O49 nanowires and
CDAC by a factor of about 3.3 and 2.5, respectively. 3.6.
Photocatalytic activity of the prepared photocatalysts For practical applications, the reusability and stability of pho-
tocatalysts are very important, therefore, to evaluate the photo-
stability of CDAC/W18O49 composites, cycling reactions were
performed. Aer each catalytic run, the photocatalyst was sepa-
rated from the solution, washed with ethanol and vacuum dried to
ensure the purity of the recovered catalyst. As shown in Fig. 9, aer
ve cycling experiments, the photocatalytic activity of CDAC/
W18O49 did not show a signicant degradation process, indicating
that the prepared CDAC/W18O49 composites have high stability. The photocatalytic performance of the prepared CDAC/W18O49
composites was investigated by the degradation of methylene blue
(MB). Adsorption experiments were performed under dark
conditions prior to the photocatalytic degradation process to
investigate the adsorption capacity of different photocatalysts. The
results showed that the adsorption–desorption equilibrium
between the photocatalyst and the pollutant molecules could be
achieved within 60 min. Fig. 8a shows the MB degradation results
for
pristine
W18O49
nanowires,
CDAC
and
CDAC/W18O49
composites. The results show that for pristine W18O49 nanowires,
only 67% of MB was degraded aer 240 min of full spectrum
irradiation (l > 365 nm), while for CDAC, only 80% of MB was
removed. When the prepared CDAC/W18O49 composites were
added to the reaction system, the photocatalytic removal efficiency 3.5.
Photogenerated charge transport properties and
transfer properties To comprehensively investigate the photocurrent response and
photogenerated charges compounding efficiency of the photo-
catalysts,
transient
photocurrent
(It)
and
electrochemical
impedance spectroscopy (EIS) were used to measure the charge
transfer of the materials. The CDAC/W18O49 composite and
W18O49
nanowires
exhibited
a
signicant
photocurrent
response during light irradiation in Fig. 7a. The CDAC/W18O49
composite exhibited a higher photocurrent density than that of
the W18O49 nanowires, showing higher light trapping and lower
photogenerated charge complexation efficiency, while the
pristine CDAC showed no photocurrent response. EIS is an
effective electrochemical approach to explain the electron
transfer efficiency of the photocatalyst. Fig. 7b shows that the
CDAC/W18O49 composite possesses the smallest diameter,
which implies the lowest charge transfer impedance and
complexation efficiency of photogenerated charges. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. Fig. 8
(a) Photocatalytic degradation of MB with different samples under full-spectra light irradiation (l > 365 nm) and (b) the corresponding
pseudo-first-order kinetic plots. radicals, with EDTA-2Na, t-BuOH and BQ as hole (h+), hydroxyl
radical (cOH) and superoxide radical (cO2
) trapping agents,
respectively. As shown in the Fig. 10, when 1 mM 1,4-benzo-
quinone (BQ) was added to the reaction system, the photo-
catalytic degradation efficiency of MB under full-spectrum light
irradiation (l > 365 nm) was somewhat suppressed, indicating
that superoxide radicals (cO2
) play some roles in the photo-
catalytic degradation process. The photocatalytic activity of
CDAC/W18O49 composites was signicantly reduced when 1 mM
tert-butanol (t-BuOH) was added, which indicated that hydroxyl
radicals (–OH) played a major role in the photocatalytic degra-
dation process. In contrast, the degradation rate of MB was
signicantly increased by adding 1 mM disodium ethylenedi-
aminetetraacetate (EDTA-2Na). The reason why EDTA-2Na can
improve the degradation rate is that it can trap the hole (h+), so
that more cO2
and cOH reactive substances in the system can
participate in the reaction, thus improving the degradation rate
of MB. In summary, a possible mechanism for the photocatalytic
degradation
of
methylene
blue
(MB)
by
CDAC/W18O49
composite is proposed. As shown in Fig. 11 under full-spectrum
light irradiation, W18O49 can absorb enough energy to generate
excited electrons and form electron–hole pairs. The excited
electrons in the conduction band (CB) of W18O49 can migrate
smoothly into the CDAC due to the high conductivity and good
electron storage capacity of CDAC, as evidenced by the photo-
current response and EIS. Thus, the combination of photo-
generated carriers can be effectively suppressed and the
absorption of visible light can be increased. The photo-induced
electrons can react with oxygen and water adsorbed on the
surface to generate cO2
and cOH, which make great contribu-
tion on degradation of MB.43 The porous structure and large
specic surface area of CDAC can adsorb and enrich MB, and
increase the concentration of MB in the composite, thus
increasing the substrate concentration in the photocatalytic
reaction region.44 Thus, the synergistic effect of effective charge Fig. 10
Trapping experiments for the photocatalytic degradation of
MB under full-spectra light irradiation (l > 365 nm). Fig. 9
Recyclability tests of CDAC/W18O49 composites in degradation
of MB dye. Fig. 3.7.
Photocatalytic reaction mechanism In order to understand the photocatalytic mechanism of this
composite, controlled experiments were performed to capture Fig. 7
(a) Photocurrent response of W18O49 nanowires CDAC and CDAC/W18O49. (b) Electrochemical impedance spectroscopy (EIS) of W18O49
nanowires CDAC and CDAC/W18O49 composites. Fig. 7
(a) Photocurrent response of W18O49 nanowires CDAC and CDAC/W18O49. (b) Electrochemical impedance spectroscopy (EIS) of W18O49
nanowires CDAC and CDAC/W18O49 composites. © 2022 The Author(s). Published by the Royal Society of Chemistry 14908 | RSC Adv., 2022, 12, 14902–14911 RSC Advances
View Article Online Paper RSC Advances Fig. 8
(a) Photocatalytic degradation of MB with different samples under full-spectra light irradiation (l > 365 nm) and (b) the corresponding
pseudo-first-order kinetic plots. There are no conicts to declare. 12 Z. Gan, A. Zhao, M. Zhang, W. Tao, H. Guo, Q. Gao, R. Mao
and E. Liu, Dalton Trans., 2013, 42, 8597–8605. 4.
Conclusions 3 R. K. Sonwani, G. Swain, B. S. Giri, R. S. Singh and B. N. Rai,
Bioresour. Technol., 2020, 302, 122811. In conclusion, CDAC/W18O49 composites were synthesized by
successfully
assembling
W18O49
nanowires
onto
CDAC
prepared using KOH-active cow dung by co-hydrothermal
treatment. The prepared CDAC/W18O49 composites showed
higher photocatalytic activity and removal rate than pristine
W18O49 nanowires in the full spectrum for MB. The large
specic surface area and porous structure of CDAC in CDAC/
W18O49 composites provide the W18O49 nanowires to absorb
energy-generated excited electrons, which prolong the current
load sub-life and accelerate the charge transfer; meanwhile,
CDAC enhances the adsorption capacity of the composites to
MB, thus improving the photocatalytic activity. Therefore, the
prepared CDAC/W18O49 composite is an effective material for
the photocatalytic degradation of methylene blue (MB). 4 N. Mohammed, H. Lian, M. S. Islam, M. Strong, Z. Shi,
R. M. Berry, H.-Y. Yu and K. C. Tam, Chem. Eng. J., 2021, 417. 5 S. Rojas and P. Horcajada, Chem. Rev., 2020, 120, 8378–8415. 6 E. Routoula and S. V. Patwardhan, Environ. Sci. Technol.,
2020, 54, 647–664. 7 A. A. Alqadami, M. Naushad, Z. A. Alothman and T. Ahamad,
J. Environ. Manage., 2018, 223, 29–36. 8 P. Khare, A. Singh, S. Verma, A. Bhati, A. K. Sonker,
K. M. Tripathi and S. K. Sonkar, ACS Sustainable Chem. Eng., 2017, 6, 579–589. 9 W. L¨u, Y. Wu, J. Chen and Y. Yang, CrystEngComm, 2014, 16,
609–615. 10 E. Forgacs, T. Cserhati and G. Oros, Environ. Int., 2004, 30,
953–971. References separation, increased specic surface area, more light absorp-
tion and higher local MB concentration improves the photo-
catalytic activity of CDAC/W18O49 composites. 1 B. Yang, W. Li, M. Zhang, L. Wang and X. Ding, ACS Nano,
2021, 15, 7195–7207. 2 P. Wang, P. Wang, Y. Guo, L. Rao and C. Yan, Chem. Eng. J.,
2021, 412. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. Fig. 11
Schematic illustration of the proposed reaction mechanism based on CDAC/W18O49 composite under full-spectrum light (l > 365 nm). Fig. 11
Schematic illustration of the proposed reaction mechanism based on CDAC/W18O49 composite un Conflicts of interest 11 R. A. Pereira, M. F. R. Pereira, M. M. Alves and L. Pereira,
Appl. Catal., B, 2014, 144, 713–720. There are no conicts to declare. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. 10
Trapping experiments for the photocatalytic degradation of
MB under full-spectra light irradiation (l > 365 nm). © 2022 The Author(s) Published by the Royal Society of Chemistry
RSC Adv 2022 12 14902 14911 | 14909 Fig. 10
Trapping experiments for the photocatalytic degradation of
MB under full-spectra light irradiation (l > 365 nm). Fig. 9
Recyclability tests of CDAC/W18O49 composites in degradation
of MB dye. Fig. 9
Recyclability tests of CDAC/W18O49 composites in degradation
of MB dye. © 2022 The Author(s). Published by the Royal Society of Chemistry RSC Adv., 2022, 12, 14902–14911 | 14909 Paper
View Article Online Paper
View Article Online Fig. 11
Schematic illustration of the proposed reaction mechanism based on CDAC/W18O49 composite under full-spectrum light (l > 365 nm). RSC Advances
Paper
reative Commons Attribution 3.0 Unported Licence. View Article Online RSC Advances RSC Advances Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. 19 G. T. Phan, D. V. Pham, R. A. Patil, C.-C. Lai, W.-C. Yeh,
Y. Liou and Y.-R. Ma, Appl. Mater. Today, 2019, 15, 605–613. 35 X. Chang, L. Dong, Y. Yin and S. Sun, RSC Adv., 2013, 3,
15005–15013. 20 N. Zhang, X. Li, Y. Liu, R. Long, M. Li, S. Chen, Z. Qi,
C. Wang, L. Song, J. Jiang and Y. Xiong, Small, 2017, 13,
1701354. 36 D. Y. Lu, J. Chen, J. Zhou, S. Z. Deng, N. S. Xu and J. B. Xu, J. Raman Spectrosc., 2007, 38, 176–180. 21 C. Zhu, S. Zheng, T. Cao, C. Lin and Z. Xie, J. Nanoparticle
Res., 2018, 20. 37 N. Lu, Z. Zhang, Y. Wang, B. Liu, L. Guo, L. Wang, J. Huang,
K. Liu and B. Dong, Appl. Catal., B, 2018, 233, 19–25. 22 Z.-F. Huang, J.-J. Zou, L. Pan, S. Wang, X. Zhang and
L. Wang, Appl. Catal., B, 2014, 147, 167–174. 38 Z. Lou, Q. Gu, L. Xu, Y. Liao and C. Xue, Chem.–Asian J., 2015,
10, 1291–1294. 39 Y. Ou, G. Zhu, W. Zhang, S. Zhang, J. Gao, H. Lu, G. Li,
Y. Huang and M. Hojamberdiev, Sens. Actuators, B, 2021,
347. 23 X. Li, J. Yu and M. Jaroniec, Chem. Soc. Rev., 2016, 45, 2603–
2636. 24 Y. Zhang, Y. W. Tan, H. L. Stormer and P. Kim, Nature, 2005,
438, 201–204. 40 P. Ranjith, S. Sreevalsa, J. Tyagi, K. Jayanthi, G. Jagannath,
P. Patra, S. Ahmad, K. Annapurna, A. R. Allu and S. Das, J. Alloys Compd., 2020, 826. 25 M. J. Allen, V. C. Tung and R. B. Kaner, Chem. Rev., 2010, 110,
132–145. 26 H. Huang, Z. Yue, G. Li, X. Wang, J. Huang, Y. Du and
P. Yang, J. Mater. Chem. A, 2013, 1, 15110–15116. 41 H. Cheng, T. Kamegawa, K. Mori and H. Yamashita, Angew. Chem., Int. Ed., 2014, 53, 2910–2914. 42 J. Yan, T. Wang, G. Wu, W. Dai, N. Guan, L. Li and J. Gong,
Adv. Mater., 2015, 27, 1580–1586. 27 T. Do Minh, J. Song, A. Deb, L. Cha, V. Srivastava and
M. Sillanp¨a¨a, Chem. Eng. J., 2020, 394. 43 B. Bhuyan, B. Paul, S. S. Dhar and S. Vadivel, Mater. Chem. Phys., 2017, 188, 1–7. 28 A. Khataee, B. Kayan, P. Gholami, D. Kalderis and S. Akay,
Ultrason. Sonochem., 2017, 39, 120–128. 44 X. Li, X. Qian, X. An and J. Huang, Appl. Surf. RSC Adv., 2022, 12, 14902–14911 | 14911 © 2022 The Author(s). Published by the Royal Society of Chemistry Acknowledgements 13 S. H. Chang, Environ. Sci. Pollut. Res. Int., 2020, 27, 32371–
32388. This work was supported by National Natural Science Founda-
tion (No. 51972068), Natural Science Foundation of Guangxi
Province (No. 2021GXNSFBA076003) and Guangxi Key Labora-
tory of Manufacturing Systems and Advanced Manufacturing
Technology (20-065-40S007). 14 K. Pa´zdzior, L. Bili´nska and S. Ledakowicz, Chem. Eng. J.,
2019, 376. 15 M. Kamali, L. Appels, E. E. Kwon, T. M. Aminabhavi and
R. Dewil, Chem. Eng. J., 2021, 420. 14910 | RSC Adv., 2022, 12, 14902–14911 © 2022 The Author(s). Published by the Royal Society of Chemistry © 2022 The Author(s). Published by the Royal Society of Chemistry View Article Online Paper RSC Advances 16 Y. Deng, L. Tang, C. Feng, G. Zeng, Z. Chen, J. Wang,
H. Feng, B. Peng, Y. Liu and Y. Zhou, Appl. Catal., B, 2018,
235, 225–237. 31 K. B. Cantrell, T. Ducey, K. S. Ro and P. G. Hunt, Bioresour. Technol., 2008, 99, 7941–7953. 32 D. Bhattacharjya and J.-S. Yu, J. Power Sources, 2014, 262,
224–231. 17 N. Zhang, C. Chen, Z. Mei, X. Liu, X. Qu, Y. Li, S. Li, W. Qi,
Y. Zhang, J. Ye, V. A. Roy and R. Ma, ACS Appl. Mater. Interfaces, 2016, 8, 10367–10374. 33 P. Zhang, Y. Li, Y. Cao and L. Han, Bioresour. Technol., 2019,
285, 121348. 18 X. Li, S. Yang, J. Sun, P. He, X. Xu and G. Ding, Carbon, 2014,
78, 38–48. 34 M. Thommes, K. Kaneko, A. V. Neimark, J. P. Olivier,
F. Rodriguez-Reinoso, J. Rouquerol and K. S. W. Sing, Pure
Appl. Chem., 2015, 87, 1051–1069. Open Access Article. Published on 18 May 2022. Downloaded on 1/10/2023 11:36:08 AM.
This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. Sci., 2019, 487,
1262–1270. 29 D. W. Cho, K. Yoon, Y. Ahn, Y. Sun, D. C. W. Tsang, D. Hou, 29 D. W. Cho, K. Yoon, Y. Ahn, Y. Sun, D. C. W. Tsang, D. Hou,
Y. S. Ok and H. Song, J. Hazard. Mater., 2019, 374, 412–419. g
Y. S. Ok and H. Song, J. Hazard. Mater., 2019, 374, 412–419. 30 J. R. Kim and E. Kan, J. Environ. Manage., 2016, 180, 94–101. RSC Adv., 2022, 12, 14902–14911 | 14911 © 2022 The Author(s). Published by the Royal Society of Chemistry
|
https://openalex.org/W3172298431
|
http://neo.ppj.unp.ac.id/index.php/neo/article/download/567/297
|
Indonesian
| null |
Factors Affecting Student’s Burnout In Online Learning
|
Jurnal Neo Konseling
| 2,021
|
cc-by
| 4,046
|
Jurnal Neo Konseling
Volume 3 Number 3 2021
ISSN: Print 2657-0556 – Online 2657-0564
DOI: 10.24036/00567kons2021
Received May 10, 2021; Revised May 18, 2021; Accepted May 24, 2021
Avalaible Online: http://neo.ppj.unp.ac.id/index.php/neo Jurnal Neo Konseling
Volume 3 Number 3 2021
ISSN: Print 2657-0556 – Online 2657-0564
DOI: 10.24036/00567kons2021
Received May 10, 2021; Revised May 18, 2021; Accepted May 24, 2021
Avalaible Online: http://neo.ppj.unp.ac.id/index.php/neo Abstract The Pandemic of Corona Virus Disease (Covid-19) has a significant impact on various sectors of life,
including the education sector.The learning process, which was initially carried out in person or face-to-
face, is now carried out online.This virtual learning implementation has a negative impact on students'
psychology, one of which is the burnout study.Several research results show that many students have
difficulty understanding the material provided online, the task demands are high, and cannot interact
directly with friends and lecturers.Furthermore, this increases the burnout of the study in students and
causes the lecture process to be not optimal.Burnout study is a condition in which an individual feels
physically and emotionally exhausted, causing boredom in learning, indifference to academic
assignments, lack of motivation, laziness, and decreased learning achievement.Current research uses
literature review by looking for theoretical references that are relevant to the problems found. Keywords:Burnout study, learning, online How to Cite: Rahmi Dwi Febriani, Triyono, Rezki Hariko, Verlanda Yuca, & Elrisfa
Magistarina. 2021. Factors affecting student’s burnout in online learning. Jurnal Neo Konseling,
Vol (3): pp. 32-38, DOI: 10.24036/00567kons2021 This is an open access article distributed under the Creative Commons 4.0 Attribution License, which permits unrestricted use, distribution,
and reproduction in any medium, provided the original work is properly cited. ©2019 by author Factors Affecting Student’s Burnout In Online Learning Rahmi Dwi Febriani1, Triyono2, Rezki Hariko3, Verlanda Yuca4, Elrisfa Magistarina5
1,3,4,5Universitas Negeri Padang, Indonesia
2STKIP PGRI Sumatera Barat, Padang, Indonesia
*Corresponding author, e-mail: rahmidwif@fip.unp.ac.id Rahmi Dwi Febriani1, Triyono2, Rezki Hariko3, Verlanda Yuca4, Elrisfa Magistarina5
1,3,4,5Universitas Negeri Padang, Indonesia
2STKIP PGRI Sumatera Barat, Padang, Indonesia
*Corresponding author, e-mail: rahmidwif@fip.unp.ac.id Introduction Pandemi Corona Virus Disease (Covid-19) memberikan dampak yang sangat besar terhadap semua
sektor, termasuk sektor pendidikan.Pemerintah ditantang untuk membuat regulasi terkait pelaksanaan
sistem pendidikan selama pandemi ini.Proses pembelajaranyang awalnya dilakukan secara langsung atau
tatap muka sekarang dilakukan secaradaring (dalam jaringan)(Firman & Rahayu, 2020). Pendidikan di
tingkat perguruan tinggi juga menerapkan sistem tersebut.Kebijakan belajar dari rumah telah merubah pola
belajar para mahasiswa (Kes et al., 2020; Trisnadewi & Muliani, 2020).Pembelajaran secara
daringseharusnya menjadikan mahasiswa lebih mandiri, memiliki semangat yang tinggi, mampu
memunculkan tanggung jawab dan otonomi dalam belajar (learning autuonomy), siap terhadap
perkembangan zaman atau era revolusi industri 4.0 (Gusty et al., 2020; Hamdan et al., 2021; Pangondian
et al., 2019; Syarifudin, 2020; Thompson, 2013). Beberapa hasil riset menunjukkan bahwa banyak mahasiswa yang kesulitan dalam memahami materi
yang diberikan secara online(Firman & Rahayu, 2020), tuntutan tugas yang dihadapi menjadi tinggi
(Asikainen et al., 2020), tidak dapat berinteraksi langsung dengan teman dan dosen (Pawicara & Conilie,
2020). Berdasarkan rangkuman terhadap temuan penelitian di berbagai jenjang dan jenis pendidikan, baik
di dalam dan luar negeri, Hariko (2020, 2021) menyimpulkan bahwa siswa dan mahasiswa mengalami
hambatan akibat berbagai kelemahan pelaksanaan pembelajaran daring.Lebih lanjut dikatakan bahwa
pembelajaran dengan sistem tatap muka tradisional lebih diminati siswa dan mahasiswa dibandingkan
pembelajaran daring. Artinya, kondisi ini dapat meningkatkan kejenuhan (burnout) pada mahasiswa yang
berpengaruh terhadap proses perkuliahan yang tidak maksimal, seperti: sering menunda-nunda tugas,
membuat tugas apa adanya, kurangnya minat individu dalam belajar, serta mengakibatkan menurunnya
konsentrasi dan daya serap dari materi yang diperoleh, sertamenurunya prestasi belajar (Khairani,
2015),(Khatami, 2018; Lim et al., 2020; Wang et al., 2020; Yang, 2004). Selanjutnya, riset lain 32 Rahmi Dwi Febriani, Triyono, Rezki Hariko, Verlanda Yuca, Elrisfa Magistarina 33 menunjukkan bahwa pembelajaran online berdampak negatif terhadap kualitas studi mahasiswa sebanyak
56,7% dan kesehatan psikologis 54,7% (Alsaad et al., 2021). menunjukkan bahwa pembelajaran online berdampak negatif terhadap kualitas studi mahasiswa sebanyak
56,7% dan kesehatan psikologis 54,7% (Alsaad et al., 2021). Penelitian menunjukkan 80,09% mahasiswa dengan tipe pendekatan belajar mendalam (deep approach)
mengalami burnout(Oktavia, 2018). Selanjutnya,50,8% mahasiswa memiliki tingkat kejenuhan(burnout)
yang tinggi selama pembelajaran daring (Alsaad et al., 2021).Berdasarkan penelitian di atas, banyak faktor
yang mempengaruhi burnout study, antara lain: self-control, work overload, lack of control, lack of reward, lack of
community, value conflict, job are mismatched, social support, demographics(Seibert et al., 2016; Slivar, 2001;
Yang, 2004), (Maslach & Leiter, 2008). Method Penelitian menggunakan metode penelitian kualitatif pendekatan kajian literaturdengan jalan
mencari,mempelajari dan menganalaisis referensi teori yang relevan denganpermasalahan yang ditemukan. Penelitian berupaya melakukan tinjaun terhadap sejumlah referensi berupa buku, artikel ilmiah dan
dokumen lain yang membahas tentang burnout study dan faktor-faktor yang mempegaruhinya. Studi
literatur merupakan cara yang gunakan untuk menghimpun data-data atausumber-sumber yang
berhubungan dengan topik faktor-faktor burnout study yang diangkat dalam suatu penelitian. Data-data
faktor-faktor burnout study yang sudah diperoleh kemudian dianalisis dengan metode analisis deskriptif. Metode analisis deskriptif dilakukan dengan cara mendeskripsikan fakta-fakta yang kemudian disusul
dengan analisis dan juga memberikan pemahaman dan penjelasan tentang burnout study. Introduction Selain itu, tuntutan tugas yang tinggi, keterampilan belajar (study
skills)juga berpengaruh terhadap burnout pada mahasiswa (Asikainen et al., 2020; Pawicara & Conilie,
2020). Sejauh ini, belum ada solusi yang kongkrit, karena belum adanya data konkrit penelitian terkait faktor
yang berpengaruh terhadap burnout study mahasiswa pada pembelajaran daring di masa pandemi Covid-
19.Bertitik tolak dari uraian di atas, melalui kajian literature ini akan dikaji tentang faktor-faktor
determinan yang berkontribusi terhadap burnoutstudymahasiswa pada pembelajaran daring.Selain itu kajian
literaturini juga bisa sebagai dasar need assesmentbagi pengelola UPBK UNP dalam pelaksanaan
konselingagar terwujudnya kehidupan efektif sehari-hari (KES) dan meningkatkan berprestasi belajar
mahasiswa. Bagaimanapun, konseling merupakan profesi yang hadir sebagai respon terhadap kebutuhan
individu untukmemahami diri, lingkungan, serta hal lain yang terkait dengan kehidupannya (Hariko,
2017) dan memiliki sejumlah konsekuensi positif terhadap kesejahteraan individu baik secara langsung
maupun tidak langsung (Hariko, 2016). Sesuai dengan permasalahan yang disajikan, maka kajian literatur ini memiliki tujuan untuk mengkaji
faktor-faktor yang mempengaruhi burnout study mahasiswa dalam pembelajaran daring. Secara khusus
pembahasan meliputi definisi burnout study, faktor yang mempengaruhi burnout study,asepk-aspek burnout
study, pembelajaran daring di masa pandemi covid-19. Jurnal Neo Konseling, Open Access Journal: http://neo.ppj.unp.ac.id/index.php/neo Burnout Study Mahasiswa dalam Pembelajaran Daring
a. Burnout Study y
Burnout (kejenuhan) merupakan keadaan seseorang yang ditandai dengan menurunnya produktivitas
karena stres yang terus menerus(Lubis, 2009).Burnout akan membuat penderitanya merasa kelelahan secara
fisik maupun emosional(Santrock, 2003; Maslach & Leiter, 2008).Hal ini akan berdampak buruk pada
kesehatan fisik dan mental(Alsaad et al., 2021).Kondisi kelelahan fisik dan emosional yang muncul sebagai
konsekuensi dan ketidaksesuaian antara kondisi individu dengan perkerjaannya, lingkungan serta desain
pekerjaannya(Gunarsa, 2004)(Na’imah & Mudjahid, 2018).Sedangkan burnout study adalah perasaan lelah
karena tuntutan studi, memiliki perasaan sinis dan sikap terpisah atau menjauhi sekolah, ketidakpedulian
terhadap tugas-tugas akademik, perasaan tidak kompeten sebagai seorang pelajar (Zhang et al., 2007). Selain itu,kelelahan secara emosional, fisik, dan mental yang disebabkan oleh suasana belajar yang kaku,
keras sangat menuntut, baik secara ekonomi maupun psikologis(Maslach & Leiter, 2008).Individu yang
mengalami burnout study juga mengalami gejala-gejala seperti merasa kelelahan, kurang bersemangat
dalam mengikuti proses pembelajaran, timbul rasa bosan, kurang termotivasi, kurang perhatian, tidak ada
minat, serta tidak membuahkan hasil (Khusumawati, 2015). Berdasarkan definisi di atas, dapat disimpulkan bahwa burnout study merupakan suatu kondisi dimana
seorang individu merasa kelelahan secara fisik dan emosional, sehingga menyebabkan kebosanan dalam Jurnal Neo Konseling, Open Access Journal: http://neo.ppj.unp.ac.id/index.php/neo 34 Jurnal Neo Konseling, Vol 3 No 3 2021 belajar, ketidakpedulian terhadap tugas-tugas akademik, kurang termotivasi, timbulnya rasa malas, serta
menurunnya prestasi belajar. belajar, ketidakpedulian terhadap tugas-tugas akademik, kurang termotivasi, timbulnya rasa malas, serta
menurunnya prestasi belajar. b. Aspek-aspek Burnout Study Berdasarkan penelusuruan terhadap sejumlah literatur, dapat dikemukakan bahwa terdapat beberapa
aspek dari burnout study, yaitu: kelelahan emosional (Emotional Exhaustion), sinisme, penurunan
penghargaan terhadap diri. Kelelahan emosional secara khusus disebabkan oleh tuntutan pekerjaan atau
tugas-tugas sekolah yang berlebihan dan biasanya bersamaan dengan perasaan frustasi dan ketegangan
(Yang, 2004). Selanjutnya, sinisme merupakan sikap apatis, ketidak pedulian terhadap pekerjaan
rumah(PR), tugas dan tanggung jawab, perasaan acuh tak acuh, kehilangan minat dalam pekerjaan
sekolah, serta tidak memandang sekolah sebagai sesuatu yang bermakna (Alsaad et al., 2021; Yang, 2004). Kemudian, Penurunan penghargaan terhadap diri dapat dipahami sebagai menurunnya keyakinan pada
diri sendiri yang mengacu kepada berkurangnya perasaan kompetensi, ketidakinginan untuk menjadi
sukses, dan berkurangnya keinginan untuk berprestasi terjadi ketika individu cenderung untuk menilai diri
sendiri negatif, dan meningkatnya perasaan Inefficacy(Maslach & Leiter, 2008; Na’imah & Mudjahid,
2018).Ketiga aspek yang saling berkaitan ini pada muaranya akan menyebabkan menurunnya prestasi
belajar siswa dan bahkan rentan menyebabkan siswa mengalami kegagalan dalam proses belajar. c. Faktor-faktor yang Mempengaruhi Burnout Study Secara umum, burnout studydipengaruhi oleh berbagai faktor yang berasal dari dalam diri maupun luar
diri individu. Sejumlah faktor yang mempengaruhi burnoutdapat diklasifikasikan ke dalam tiga kelompok
utama, yaitu: faktordemografik, meliputi jenis kelamin, umur, pendidikan; faktor personal, yaitu
stresskerja, beban kerja dan tipe kepribadian; dan faktororganisasi, yaitu kondisi kerja dan dukungan
sosial(Maslach & Leiter, 2008; Na’imah & Mudjahid, 2018; Pratiwi et al., 2019; Putri et al., 2019;
Rohmatun et al., 2018; Stephenson & Bauer, 2010). Sejalan dengan itu,beberapa ahli lain juga
mengungkapakan bahwa burnout studydipengaruhi oleh faktor-faktor, seperti: self-concept, work overload, lack
of social support, lack of control, lack of reward, demographic factors, dan lack of fairness(Seibert et al., 2016; Slivar,
2001; Yang, 2004). Bagian berikut merupakan penjelasan dari faktor-faktor tersebut. ;
g,
)
g
p
p
j
1) Self concept (konsep diri).Studi tentang burnout menunjukkan bahwa individu dengan konsep diri yang
tinggi lebih rentan terhadap stres dan lebih mungkin untuk mempertahankan rasa prestasi pribadi saat
belajar di bawah tekanan(Ikbar & Prihartanti, 2019; Sugiarto et al., 2020). ;
g,
)
g
p
p
j
1) Self concept (konsep diri).Studi tentang burnout menunjukkan bahwa individu dengan konsep diri yang
tinggi lebih rentan terhadap stres dan lebih mungkin untuk mempertahankan rasa prestasi pribadi saat
belajar di bawah tekanan(Ikbar & Prihartanti, 2019; Sugiarto et al., 2020). j
(
g
)
2) Work overload(kelebihanbeban kerja)adalah kondisi dimana suatu pekerjaaan yang dilakukan melebihi
dari kemampuan baik secara kuantitatif maupun kualitatif. Work overload terjadi karena kapasitas
kemampuan manusia memiliki keterbatasan, baik secara fisik dan psikis (Boaz, 2017; Purwokerto,
2016). Hasil penelitian menunjukkan terdapat hubungan yang signifikan antara beban kerja
terhadapkejenuhan, dimana beban kerja yang tinggi dapat menyebabkan seseorang mengalami
kejenuhan dan kelelahan(Sari, 2015). Hal ini akan berdampak pada penurunan kualitas belajar. 3) Lack of social support (kurangnya dukungan sosial). Gold & Roth (2001) menjelaskan bahwa kurangnya
dukungan sosial telah ditemukan dapat meningkatkan burnout(Adnyaswari & Adnyani, 2017; Harnida,
2015; Romadhoni et al., 2015).Artinya dukungan sosial merupakan faktor penting untuk
meminimalkan burnout yang dialami, individu yang memilikidukungan sosial akan merasanyaman,
diperhatikan, dihargai oleh orang lain disekitarnya serta mempunyai rasa memiliki(belonginess) dan
harga diri (self-esteem) yang lebih besar(Hamdan et al., 2021; Sakaluk et al., 2014). g
(
f
) y
g
(
,
;
,
)
4) Lack of control (kurangnya kontrol). d. Pembelajaran Daring di Masa Pandemi Covid-19 Pembelajaran daring merupakan pembelajaran yang memanfaatkan teknologi sebagai media perantara
pengajar dan peserta ajar yang dapat dilakukan dengan tidak bertatap muka langsung antara pengajar dan
peserta ajar tersebut yang biasanya menggunakan media komputer atau gadgetberbasis pada jaringan
internet yangmemiliki karakteristik fleksibel dan mudah dilakukan oleh siapa saja, dimana saja dan kapan
saja(Firman1, 2020; Suhada et al., n.d.), (Thorne, 2003). Model pembelajaran melalui sistem jaringan,
seperti e-elearning disiapkan oleh universitas untuk pembelajaran online, dan teknologi digital seperti: google
classroom, zoom, video converence, live chat dan whatsapp juga digunakan dalam pembelajaran daring
(Harapani, 2021; Hasbi & Sumarni, 2020). Jadi dapat disimpulkan, pembelajaran secara online atau daring selama pandemi covid-19 dilakukan
melalui berbagai aplikasi yang dapat menunjang proses pembelajaran mulai dari aplikasi berupa learning
managementsystem, seperti e-elearning serta aplikasi tatap muka seperti zoom, google meet, dan platform media
online lainnya seperti google classroomdan whatsapp group. Sistem pembelajaran daring menuntut
keterampilan dari pendidik atau dosen atau mahasiswa dalam pemenfaatan teknologi, sehingga pendidik
perlu diberikan pelatihan dalam penggunakan teknologi dan media yang digunakan dalam pembelajaran
online (Triyono; Febriani, R. D; Hidayat, 2019; Triyono; Febriani, 2018) c. Faktor-faktor yang Mempengaruhi Burnout Study Hasil penelitian menunjukan bahwa secara konsisten
melaporkan bahwa burnout lebih mungkin terjadi pada laki-laki daripada wanita dan individu yang (Factors Affecting Student’s Burnout In Online Learning) Rahmi Dwi Febriani, Triyono, Rezki Hariko, Verlanda Yuca, Elrisfa Magistarina 35 35 masih lajang. Artinya bahwa laki-laki lebih rentan terhadap burnout daripada wanita(Putri et al., 2019;
Sari, 2015; Soelton et al., 2020). Sehingga laki-laki lebih membutuhkan dukungan dan bantuan sosial. masih lajang. Artinya bahwa laki-laki lebih rentan terhadap burnout daripada wanita(Putri et al., 2019;
Sari, 2015; Soelton et al., 2020). Sehingga laki-laki lebih membutuhkan dukungan dan bantuan sosial. ,
;
,
)
gg
g
7) Lack of fairnesss(kurangnya keadilan). Salah satu kondisi dari sistem manajemen yang dapat
menimbulkan ketidakadilan adalah penerapan aturan yang tidak konsisten dan komunikasi yang tidak
lancar. Ketika seseorang merasakan ketidakadilan akan timbul berbagai reaksidengan cara menarik diri
dan mengurangi keterlibatannya dalam pekerjaan. Selanjutanya gejala-gejala kejenuhan kerja mulai
tampak(Christiana, 2020). 7) Lack of fairnesss(kurangnya keadilan). Salah satu kondisi dari sistem manajemen yang dapat
menimbulkan ketidakadilan adalah penerapan aturan yang tidak konsisten dan komunikasi yang tidak
lancar. Ketika seseorang merasakan ketidakadilan akan timbul berbagai reaksidengan cara menarik diri
dan mengurangi keterlibatannya dalam pekerjaan. Selanjutanya gejala-gejala kejenuhan kerja mulai
tampak(Christiana, 2020). Conclusion Pandemi Corona Virus Disease (Covid-19) memberikan dampak yang sangat besar terhadap semua
sektor, termasuk sektor pendidikan di perguruan tinggi. Proses pembelajaran yang dilakukan secara
online/daring berdampak terhadap kesulitan mahasiswa dan menyebabkan kejenuhan belajar (burnout
study). Burnout study adalah kondisi kejenuhan belajar yang dialami seseorang yang ditandai dengan
menurunnya produktivitas karena stres yang terus menerus.Burnout study akan akan berdampak terhadap
kesehatan fisik dan mental seseorang. Sesorang yang mengalami burnout study akan mengalami kejunahan
emosional, sinisme dan bersikap apatis, serta rendahnya penghargaan terhadap dirinya. Beberapa ahli
mengungkapakan faktor-faktor burnout study, sebagai berikut: 1) Selfconcept, 2) work overload, 3)lack of social
support, 4) lack of control, 5) lack of reward, 6) demographic factors,7)lack of fairness. c. Faktor-faktor yang Mempengaruhi Burnout Study Banyaknya tugas yang harus dilakukan membuat seseorang sulit
menentukan prioritas, mana tugas yang dilaksanakan lebih dahulu karena seringkali banyak tugas yang
harus menjadi prioritas karena tingkat kepentingan yang sama tingginya atau sama tingkat urgensinya. Ketika seseorang tidak dapat melakukan kontrol terhadap beberapa aspek penting dalam pekerjaan
maka semakin kecil peluang untuk dapat mengidentifikasikan ataupun mengantisipasi masalah-
masalah yang akan timbul termasuk brounout (Mardiyanti, 2017; Rohmatun et al., 2018). g
(
f
) y
g
(
,
;
,
)
4) Lack of control (kurangnya kontrol). Banyaknya tugas yang harus dilakukan membuat seseorang sulit
menentukan prioritas, mana tugas yang dilaksanakan lebih dahulu karena seringkali banyak tugas yang
harus menjadi prioritas karena tingkat kepentingan yang sama tingginya atau sama tingkat urgensinya. Ketika seseorang tidak dapat melakukan kontrol terhadap beberapa aspek penting dalam pekerjaan
maka semakin kecil peluang untuk dapat mengidentifikasikan ataupun mengantisipasi masalah-
masalah yang akan timbul termasuk brounout (Mardiyanti, 2017; Rohmatun et al., 2018). 5) Lack of reward (kurangnya penghargaan). Kurangnya pengahargaanakan melemahkan semangat untuk
menyukai pekerjaan dan akhirnya membuat seseorang merasa terbelenggu dengan hal-halrutin yang
mengakibatkan turunnya komitmen dan motivasi belajar. Hal ini menandakan kejenuhan mulai
menggejala.Kondisi di atas juga tidak bisa dielakan akan terjadi kepada mahasiswa jika tidak adanya
penghargaan yang diberikan. Artinya sistem imbalan yang tidak memadai akan menyebabkan
kejenuhan pada mahasiswa (Jember & Tengah, n.d.; Kusuma & Afdal, 2020; Yeni & Niswati, 2017). 5) Lack of reward (kurangnya penghargaan). Kurangnya pengahargaanakan melemahkan semangat untuk
menyukai pekerjaan dan akhirnya membuat seseorang merasa terbelenggu dengan hal-halrutin yang
mengakibatkan turunnya komitmen dan motivasi belajar. Hal ini menandakan kejenuhan mulai
menggejala.Kondisi di atas juga tidak bisa dielakan akan terjadi kepada mahasiswa jika tidak adanya
penghargaan yang diberikan. Artinya sistem imbalan yang tidak memadai akan menyebabkan
kejenuhan pada mahasiswa (Jember & Tengah, n.d.; Kusuma & Afdal, 2020; Yeni & Niswati, 2017). j
p
(
g
)
6) Demographic factors (faktor demografis). Hasil penelitian menunjukan bahwa secara konsisten
melaporkan bahwa burnout lebih mungkin terjadi pada laki-laki daripada wanita dan individu yang j
p
(
g
)
6) Demographic factors (faktor demografis). Hasil penelitian menunjukan bahwa secara konsisten
melaporkan bahwa burnout lebih mungkin terjadi pada laki-laki daripada wanita dan individu yang j
p
(
g
)
6) Demographic factors (faktor demografis). References Adnyaswari, N. A., & Adnyani, I. G. A. D. (2017). Pengaruh Dukungan Sosial dan Burnout terhadap
Kinerja Perawat Rawat Inap RSUP Sanglah. E-Jurnal Manajemen, 6(5), 2474–2500. Alsaad, A., Alkhalaf, A. B., Alali, K. M., Jumanah, H., & Almahdi, I. S. (2021). Burnout prevalence and
associated risk factors among KFU students , Alhasa , Saudi Arabia. 25(107). Asikainen, H., Salmela-Aro, K., Parpala, A., & Katajavuori, N. (2020). Learning profiles and their relation
to study-related burnout and academic achievement among university students. Learning and
Individual Differences, 78, 101781. Boaz, Y. S. N. (2017). Pengaruh Keselamatan Kesehatan Kerja (K3) dan Work Overload terhadap Job
Stress pada Karyawan. Jurnal Ilmiah Mahasiswa, 5(2). Christiana, E. (2020). Burnout Akademik Selama Pandemi Covid 19. Prosiding Seminar Bimbingan Dan
Konseling, 8–15. Firman, F., & Rahayu, S. (2020). Pembelajaran online di tengah pandemi covid-19. Indonesian Journal of
Educational Science (IJES), 2(2), 81–89. Firman1. (2020). Dampak Covid-19 terhadap Pembelajaran di Perguruan Tinggi. 2(1), 14–20. Firman1. (2020). Dampak Covid-19 terhadap Pembelajaran di Perguruan Tinggi. 2(1), 14–20. Jurnal Neo Konseling, Open Access Journal: http://neo.ppj.unp.ac.id/index.php/neo 36 Jurnal Neo Konseling, Vol 3 No 3 2021 Gusty, S., Nurmiati, N., Muliana, M., Sulaiman, O. K., Ginantra, N. L. W. S. R., Manuhutu, M. A.,
Sudarso, A., Leuwol, N. V., Apriza, A., & Sahabuddin, A. A. (2020). Belajar Mandiri: Pembelajaran
Daring di Tengah Pandemi Covid-19. Yayasan Kita Menulis. Hamdan, K. M., Al-Bashaireh, A. M., Zahran, Z., Al-Daghestani, A., Samira, A.-H., & Shaheen, A. M. (2021). University students’ interaction, Internet self-efficacy, self-regulation and satisfaction with
online education during pandemic crises of COVID-19 (SARS-CoV-2). International Journal of
Educational Management. Harapani, A. (2021). Pengaruh Kuliah Daring saat Pandemi Covid-19 terhadap Kemampuan Mahasiswa. Hariko, R. (2016). Ilmu Bimbingan dan Konseling, Nilai dan Kesejahteraan Individu: Studi
Literatur. Jurnal Konseling dan Pendidikan, 4(2), 118-123. Hariko, R. (2017). Landasan filosofis keterampilan komunikasi konseling. Jurnal Kajian Bimbingan dan
Konseling, 2(2), 41-49. Hariko, R. (2020). Pengembangan Model Bimbingan Kelompok Agentik untuk Meningkatkan Perilaku
Prososial Siswa Sekolah Menengah Pertama. Disertasi. Universitas Negeri Malang. Hariko, R. (2021). Bimbingan Kelompok Agentik: Model Peningkatan Perilaku Prososial Siswa. Literasi
Nusantara. Harnida, H. (2015). Hubungan Efikasi Diri dan Dukungan Sosial dengan Burnout pada Perawat. Persona:
Jurnal Psikologi Indonesia, 4(1). Hasbi, M., & Sumarni, W. (2020). Pemanfaatan Platform Digital di Masa Pandemi Covid-19. Ikbar, R. R., & Prihartanti, N. (2019). Hubungan Konsep Diri dan Dukungan Sosial Dengan Burnout Pada
Asisten Mata Kuliah Praktikum Fakultas Psikologi Universitas Muhammadiyah Surakarta. Universitas
muhammadiyah surakarta. J.W. References Santrock. (2003). Adolescence- Perkembangan Remaja. Erlangga. J.W. Santrock. (2003). Adolescence- Perkembangan Remaja. Erlangga. Jember, I., & Tengah, D. I. (n.d.). Analisis Pembelajaran Daring terhadap Kejenuhan Belajar Mahasiswa Tadris
Biologi. 1. Kes, M., Evita, N., Putri, M., & Kep, M. (2020). Learning From Home dalam Perspektif Persepsi Mahasiswa Era
Pandemi Covid-19. 17–24. Khairani, Y. (2015). Konsep Burnout pada Mahasiswa Bimbingan dan Konseling. 4(4), 208–214. Khatami, R. A. (2018). Hubungan stres terhadap burnout pada Mahasiswa preklinik fakultas kedokteran UIN
Syarif Hidayatullah Jakarta tahun ajaran 2018/2019. Fakultas Kedokteran Universitas Islam Negeri
Syarif Hidayatullah Jakarta. Khusumawati, Z. E. (2015). Penerapan Kombinasi antara Teknik Relaksasi dan Self-Instruction untuk
Mengurangi Kejenuhan Belajar Siswa Kelas XI IPA 2 SMA Negeri 22 Surabaya. Jurnal BK UNESA,
5(1). Kusuma, T., & Afdal, A. (2020). Difference in Burnout Conditions for Male and Female Employees of
Bank Perkreditan Rakyat (BPR). Jurnal Neo Konseling, 2(2). Lim, W. Y., Ong, J., Ong, S., Hao, Y., Abdullah, H. R., Koh, D. L. K., & Mok, U. S. M. (2020). The
abbreviated Maslach burnout inventory can overestimate burnout: a study of anesthesiology
residents. Journal of Clinical Medicine, 9(1), 61. Lubis, N. L. (2009). Depresi : Tinjauan psikologis. Kencana. Mardiyanti, A. T. (2017). Hubungan antara Kontrol Diri dengan Burnout pada Pegawai Bank JatengCabang
Ungaran. Fakultas Psikologi UNISSULA. Maslach, C., & Leiter, M. P. (2008). The truth about burnout: How organizations cause personal stress and what to
do about it. John Wiley & Sons. Na’imah, T., & Mudjahid, Q. (2018). Hard Work and Academic Burnout on Students Taking Thesis in
Private Universities. Advanced Science Letters, 24(1), 95–99. Oktavia, A. (2018). Hubungan antara pendekatan belajar dan Burnout pada mahasiswa Preklinik fakultas (Factors Affecting Student’s Burnout In Online Learning) Rahmi Dwi Febriani, Triyono, Rezki Hariko, Verlanda Yuca, Elrisfa Magistarina 37 Kedokteran Universitas Islam Negeri Syarif Hidayatullah Jakarta. Fakultas Kedokteran Universitas Islam
Negeri Syarif Hidayatullah Jakarta. Pangondian, R. A., Santosa, P. I., & Nugroho, E. (2019). Faktor-faktor yang mempengaruhi kesuksesan
pembelajaran daring dalam revolusi industri 4.0. Seminar Nasional Teknologi Komputer & Sains
(SAINTEKS), 1(1). Pawicara, R., & Conilie, M. (2020). Analisis pembelajaran daring terhadap kejenuhan belajar mahasiswa
Tadris Biologi IAIN Jember di tengah pandemi Covid-19. ALVEOLI: Jurnal Pendidikan Biologi, 1(1),
29–38. Pratiwi, I. Y., Ratnadi, N. M. D., Suprasto, H. B., & Sujana, I. K. (2019). The effect of role conflict, role
ambiguity, and role overload in burnout government internal supervisors with tri hita karana culture
as moderation. References International Research Journal of Management, IT and Social Sciences, 6(3), 61–69. Purwokerto, D. I. (2016). Gambaran Burnout pada Mahasiswa Keperawatan di Purwokerto. 11(2). Putri, Z. M., Fatmadona, R., & Meilisya, S. (2019). The Influence of Locus of Control on Burnout Among
Nurses. In Enhancing Capacity of Healthcare Scholars and professionals in Responding to the Global Health
Issues (pp. 79–84). Sciendo. Rohmatun, S., Fathoni, A., & Haryono, A. T. (2018). Pengaruh Gaya Kepemimpinan Birokratis,
Peraturan, dan Kontrol Diri terhadap Burnout melalui Self Efficacy sebagai Variabele Intervening
pada Mahasiswa Santri (Studi Kasus Pondok Pesantren Darussalam Semarang). Journal of
Management, 4(4). Romadhoni, L. C., Asmony, T., & Suryatni, M. (2015). Pengaruh Beban Kerja, Lingkungan Kerja, dan
Dukungan Sosial terhadap Burnout Pustakawan di Kota Mataram. Jurnal Ilmu Perpustakaan,
Informasi, Dan Kearsipan Khizanah Al-Hikmah, 3(2), 125–145. Sakaluk, J., Williams, A., & Biernat, M. (2014). Perspectives on Psychological Science Psychological Science. November. https://doi.org/10.1177/1745691614549257 Sari, D. Y. (2015). Hubungan Beban Kerja, Faktor Demografi, Locus of Control dan Harga Diri terhadap
Burnout Syndrome pada Perawat Pelaksana IRD RSUP Sanglah. Coping: Community of Publishing in
Nursing, 3(2). Seibert, G. S., May, R. W., Fitzgerald, M. C., & Fincham, F. D. (2016). Understanding school burnout:
Does self-control matter? Learning and Individual Differences, 49, 120–127. Singgih D. Gunarsa. (2004). Psikologi Praktis Anak, Remaja dan Keluarga, Cetakan. 7. Gunung Mulia. Slivar, B. (2001). The syndrome of burnout, self-image, and anxiety with grammar school students. Horizons of Psychology, 10(2), 21–32. Soelton, M., Hardianti, D., Kuncoro, S., & Jumadi, J. (2020). Factors Affecting Burnout in Manufacturing
Industries. 4th International Conference on Management, Economics and Business (ICMEB 2019), 46–52. Stephenson, L. E., & Bauer, S. C. (2010). The role of isolation in predicting new principals’ burnout. International Journal of Education Policy and Leadership, 5(9). Sugiarto, W., Milfayetti, S., & Lubis, M. R. (2020). Hubungan Lingkungan Kerja dan Konsep Diri dengan
Burnout pada Anggota Brigade Mobile Kepolisian Daerah Sumatera Utara. Tabularasa: Jurnal Ilmiah
Magister Psikologi, 2(2), 182–188. Suhada, I., Kurniati, T., Pramadi, A., & Listiawati, M. (n.d.). Pembelajaran Daring Berbasis Google Classroom
Mahasiswa Pendidikan Biologi Pada Masa Wabah Covid -19. 2019. Syarifudin, A. S. (2020). Impelementasi pembelajaran daring untuk meningkatkan mutu pendidikan
sebagai dampak diterapkannya social distancing. Jurnal Pendidikan Bahasa Dan Sastra Indonesia
Metalingua, 5(1), 31–34. Thompson, P. (2013). The digital natives as learners: Technology use patterns and approaches to learning. Computers & Education, 65, 12–33. Thorne, K. (2003). (Factors Affecting Student’s Burnout In Online Learning) References Blended Learning: How to Integrate Online and Traditional Learning. Kogan Page Publishers. Trisnadewi, K., & Muliani, N. M. (2020). Pembelajaran Daring di Masa Pandemi Covid-19. COVID-19: Jurnal Neo Konseling, Open Access Journal: http://neo.ppj.unp.ac.id/index.php/neo 38 Jurnal Neo Konseling, Vol 3 No 3 2021 Perspektif Pendidikan, 35. Triyono; Febriani, R. D; Hidayat, H. P. (2019). Pelatihan penggunaan teknologi informasi kepada guru
bimbingan dan konseling. 2(1). Triyono; Febriani, R. . (2018). Pentingnya Pemanfaatan Teknologi Informasi Oleh Guru Bimbingan dan
Konseling. 1(2), 74–83. Wang, J., Okoli, C. T. C., He, H., Feng, F., Li, J., Zhuang, L., & Lin, M. (2020). Factors associated with
compassion satisfaction, burnout, and secondary traumatic stress among Chinese nurses in tertiary
hospitals: A cross-sectional study. International Journal of Nursing Studies, 102, 103472. Yang, H.-J. (2004). Factors affecting student burnout and academic achievement in multiple enrollment
programs in Taiwan’s technical–vocational colleges. International Journal of Educational Development,
24(3), 283–301. Yeni, Y., & Niswati, I. (2017). Pengaruh burnout terhadap motivasi berprestasi dalam bekerja pada sales. Psibernetika, 5(2). Zhang, Y., Gan, Y., & Cham, H. (2007). Perfectionism, academic burnout and engagement among
Chinese college students: A structural equation modeling analysis. Personality and Individual
Differences, 43(6), 1529–1540.
|
https://openalex.org/W1588034744
|
https://www.intechopen.com/citation-pdf-url/32427
|
English
| null |
One-by-One Sample Preparation Method for Protein Network Analysis
|
InTech eBooks
| 2,012
|
cc-by
| 7,986
|
One-by-One Sample Preparation
Method for Protein Network Analysis
Shun-Ichiro Iemura and Tohru Natsume
Biomedicinal Information Research Center (BIRC),
National Institute of Advanced Industrial Science and Technology (AIST)
Japan Shun-Ichiro Iemura and Tohru Natsume
Biomedicinal Information Research Center (BIRC),
National Institute of Advanced Industrial Science and Technology (AIST)
Japan Selection of our books indexed in the Book Citation Index
in Web of Science™ Core Collection (BKCI)
Interested in publishing with us?
Contact book.department@intechopen.com
Numbers displayed above are based on latest data collected.
For more information visit www.intechopen.com
Open access books available
Countries delivered to
Contributors from top 500 universities
International authors and editors
Our authors are among the
most cited scientists
Downloads
We are IntechOpen,
the world’s leading publisher of
Open Access books
Built by scientists, for scientists
14%
191,000
210M
TOP 1%
154
7,200 15 1. Introduction Proteomics is the large-scale study of an organism's complete complement of proteins, and
its relevant technologies have matured over recent years. Along with the development of
mass spectrometry (MS), MS-based proteomics has emerged as an invaluable tool for large-
scale identification and quantification of protein networks (Aebersold & Mann, 2003;
Domon & Aebersold, 2006). Proteomic data is important for a wide range of research in
basic and medical biology. In recent years, many large-scale projects have been performed
and a huge amount of data has accumulated. However, because the data sets from
individual projects often vary in quality, the value of proteomics for the wider scientific
community is limited (Olsen & Mann, 2011). One of the causes of this variation in proteomic data quality is thought to be the manual
process of large-scale sample preparation. The sample preparation process for proteomic
analysis consists of the several complicated steps. For example, sample preparation for
protein interaction analysis using mammalian cells expressing a target protein typically
requires 1 × 107-108 cells (one 10-cm or 15-cm tissue culture dish) (Blagoev et al., 2003;
Burckstummer et al., 2006; Ewing et al., 2007). After cell recovery, steps such as cell lysis,
purification of protein complexes, denaturation and modification of proteins, separation by
gel electrophoresis, and enzymatic digestion are performed sequentially. In fact, many
researchers and technicians are involved in laborious, repetitive work of large-scale sample
preparation, in which they must handle tens of culture dishes at a time. In such a ‘parallel
sample preparation’ process, during the preparation of a number of samples, the conditions
undoubtedly differ between the first and last treated samples. Denaturation of the
component proteins of complexes and proteolysis progress over time, and the denatured
proteins are thought to be the cause of nonspecific binding. We came to realize that highly
sensitive analysis could not be performed using the prevailing parallel sample preparation
methods. To optimize sample preparation conditions and improve sample quality, we considered that
a ‘one-by-one sample preparation’ method would be useful. One-by-one sample preparation
is the concept that one sample is finished at a time, followed by preparation of the next
sample (Fig. 1). In this way, each sample can be prepared carefully under almost equal www.intechopen.com 294 Protein Interactions conditions; however, this method is not realistic for large-scale analysis, because of the large
amount of human time and work involved. Fig. 1. Comparison of sample preparation processes. www.intechopen.com 1. Introduction (a) Parallel preparation by the manual
method. The quality of the samples was uneven. (b) One-by-one preparation. This method
enables the preparation of samples under the same conditions. Fig. 1. Comparison of sample preparation processes. (a) Parallel preparation by the manual
method. The quality of the samples was uneven. (b) One-by-one preparation. This method
enables the preparation of samples under the same conditions. To realize the one-by-one concept and perform a pilot feasibility study, a fully automated
sample preparation system is required. However, in the proteomics field, partial automation
for parallel preparation is usually only applied to save analysis time, to eliminate sample
contamination, and to reduce human error (Alterovitz et al., 2006). Several semi-automated
robots that are specialized in certain processes are commercially available, such as liquid
dispenser robots, cell culture robots, and electrophoresis gel cutting robots. However, to
develop a fully automated and highly precise system for sample preparation using
commercial robots would be difficult, because these robots do not meet our specifications, or
if they do, the integration of the robots from different vendors may prove difficult. Furthermore, robots for other multiple sample preparation processes have not yet been
developed. To achieve a significant breakthrough, we need a versatile robotic system. Recently, high-performance and reliable multi-axis articulated vertical robots have been
developed, and are used in various fields, such as the motor industry. The motion of these
industrial robots is fast, precise, and flexible. Moreover, these robots are relatively easy to
integrate with other robots and equipment. Although the robotic system requires
considerable effort and patience to set up (Blow, 2008), once one of the designated
conditions is determined, it becomes applicable in many other situations. In this chapter, we assess the one-by-one sample preparation method compared with
parallel preparation in protein network analysis, using an automated sample preparation
system for liquid chromatography-tandem mass spectrometry (LC-MS/MS). This
automated system is compatible with the single-step affinity purification technique using
the Flag-tag system (Einhauer & Jungbauer, 2001), without sodium dodecylsulfate
polyacrylamide gel electrophoresis (SDS-PAGE) separation. Affinity-purification is a
technique for purification of physiological protein complexes using target proteins (bait
proteins) fused with affinity tags, such as short epitope peptides (e.g., Flag and Myc) or
tandem-affinity purification (TAP) tags (Kocher & Superti-Furga, 2007). 2.1 Design and development of a robotic system for one-by-one sample preparation The robotic system was manufactured using four 6-axis robots, FC03N (Kawasaki Heavy
Industries, Ltd., Hyogo, Japan) and a 3-axis robot comprising three single-axis robots (IAI
corporation, Shizuoka, Japan), with help from the Japan Support System, Co., Ltd. (Ibaraki, Japan) and Nikkyo Technos, Co., Ltd. (Tokyo, Japan). In low femtomole level
analysis, the key to obtaining reliable data quickly is to minimize contaminants, such as
chemicals, airborne particles, and keratin proteins. Chemicals cause background noise,
which limit the sensitivity of MS by decreasing the signal to noise ratio (S/N). Airborne
particles, including dust, cause the blockage of the flow path and the nano LC column. Keratin proteins also cause background noise, which disturbs the detection of low
abundance of proteins. Therefore, because we needed to perform sample preparation in a
super clean room, our automated robotic system was designed for clean room
specification (ISO class 4). 1. Introduction The bait proteins www.intechopen.com 295 One-by-One Sample Preparation Method for Protein Network Analysis are overexpressed in cells and are separated, together with the protein complexes, using
affinity beads that bind to the tags. Finally, all component proteins are identified by LC-
MS/MS. Using this system, we tested two Wnt signaling pathway (Rao & Kuhl, 2010)
proteins, β-catenin and Axin1, as baits, and demonstrated that the one-by-one purification
method using this system is highly sensitive and reproducible compared with the manual
parallel purification method. The results indicate that gentle and equal preparation
conditions are important for generating reliable data for large-scale protein-protein
interaction network and for quantitative analysis. 2.2 Immobilization of Anti-Flag antibodies to magnetic beads Anti-Flag M2 antibodies (Sigma-Aldrich, St. Louis, MO) were immobilized via covalent
binding of the primary amine group with 1-Ethyl-3-[3-dimethylaminopropyl] carbodiimide
hydrochloride (EDC; Thermo Fisher Scientific, Waltham, MA)–modified Magnosphere
MS300 magnetic beads (JSR, Tokyo, Japan). The beads (10 mg) suspension was transferred
into a 1.5 ml-microtube. The beads were washed twice with 1 ml of activation buffer (0.1 M
2-[N-morpholino]ethane sulfonic acid (MES), pH 6.0, 0.5 M NaCl) and were resuspended in
1
ml
of
activation
buffer. EDC
and
N-hydroxysulfosuccinimide
(Sulfo-NHS;
Thermo Fisher Scientific, Waltham, MA) were then added to the beads suspension. The final
concentrations of EDC and sulfo-NHS were 2 and 5 mM, respectively. The mixture was
incubated for 15 min at room temperature (RT), placed on the magnet, and the supernatant
was discarded. The antibody (100 µg/ml) in conjugation buffer (50 mM sodium phosphate,
pH 7.4, 0.15 M NaCl) was added to the beads and the mixture was incubated for 3 hr at 4 °C. After incubation, the supernatant was discarded and quenching buffer (20 mM HEPES-
NaOH, pH 7.5, 0.15 M NaCl, 50 mM ethanolamine) was added. After quenching for 2 hr at 4
°C, the beads were washed three times with 1 ml of washing buffer (50 mM Tris-HCl, pH
8.0, 0.5 M NaCl, 0.1% Triton X-100) and twice with storage buffer (20 mM HEPES-NaOH,
pH 7.5, 0.15 M NaCl, 0.5% digitonin). The antibody-immobilized beads were stored in 1 ml
of storage buffer at 4 °C. www.intechopen.com 296 Protein Interactions 2.4 Cell collection and lysis The culture medium was discarded from the 10-cm dish, and the HEK293T cells expressing a
bait protein were scraped into 1 ml of cold phosphate buffered saline (PBS) and transferred
into a 1.5 ml-microtube. After centrifugation at low speed (3,000 rpm) for 1 min at 4 °C, the
supernatant was discarded, and 1.0 ml of lysis buffer (20 mM HEPES, pH 7.5, 150 mM NaCl,
50 mM NaF, 1 mM Na3VO4, 0.5% digitonin, 1 mM MgCl2, 1 mM PMSF, 5 µg/ml leupeptin, 5
µg/ml aprotinin and 3 µg/ml pepstatin A) was added. The cells were lysed by gently mixing
for a short time with a vortex mixer (parallel method) or with a pipette tip (one-by-one
method). In this step, we chose the vortexing in the parallel method because we thought, in
reality, this way had to be adopted in large-scale sample treatment. The lysate was centrifuged
at high speed (15,000 rpm) for 10 min at 4 °C, and the cleared lysate was transferred into a
microtube containing the anti-Flag antibody immobilized magnetic beads. 2.5 Immunoprecipitation The supernatant was incubated with the magnetic beads at 4 °C for 10 min with a rotator
(parallel method) or the 6-axis robot (one-by-one method; 10 times mixing → interval: 4 min
at 4 °C → 10 times mixing → interval: 4 min at 4 °C). After incubation, the beads were
washed twice with 1 ml of wash buffer (10 mM HEPES, pH 7.5, 150 mM NaCl, 0.1% Triton
X-100). The protein complexes containing the bait protein were then mixed with 100 µl of
Flag peptide (0.5 mg/ml, SIGMA) in wash buffer for 5 min at 4 °C using a mixer (parallel
method) or a ‘protein complexes elution device’ (Fig. 2a) (one-by-one method). The eluted
fraction was transferred to a new microtube. 2.3 Cell culture and transfection HEK293T cells (approximately 5.0×106 cells per 10-cm dish) were seeded in Dulbecco’s
modified Eagle’s medium (DMEM; Invitrogen, San Diego, CA) containing 10% heat-
inactivated fetal bovine serum (FBS; Invitrogen) the day before transfection. The cells were
transfected with human β-catenin or human Axin1 cDNA, using Lipofectamine 2000
(Invitrogen) according to the manufacturer’s protocol. The cells were collected 24 h after
transfection. www.intechopen.com 2.7 Western blotting HEK293T cells were transfected with human β-catenin or human Axin1 cDNA, or pcDNA3
vector (as a negative control) as described in section 2.3. The purified proteins (from the
immunoprecipitation step, section 2.5) were separated by electrophoresis on 10% SDS-PAGE
and transferred onto Polyvinylidene difluoride (PVDF) membranes. The membranes were
blocked with 2% BSA in TBS-T for 1 h at RT, followed by incubation with each primary
antibody for 1 h at RT. After incubation with the secondary antibody for 1 h at RT, protein
bands were detected with an ECL detection kit. 2.9 Data analysis Peak lists were created by scripts of Analyst QS 1.1 Software (AB Sciex) using the following
parameters: 0.1 amu Mass tolerance for combining MS/MS spectra, 2 cps MS/MS export
threshold, 5 Minimum number of MS/MS ions for export, 50% Centroid height percentage,
and 0.05 amu Centroid merge distance. All MS/MS spectra were queried against the
National Center for Biotechnology Information (NCBI) non-redundant database (human;
January 25, 2011; 137,349 sequences) using an in-house Mascot server (version 2.2.1; Matrix
Science, London, UK). Search parameters were as follows: MS and MS/MS tolerance of 250
ppm and 0.5 Da, respectively; enzymatic specificity allowing for 1 missed cleavage site and
K cleavage (enzyme: Lys-C/P); no fixed modification; and variable modification of N-acetyl
(protein N terminus) and phosphorylations (Ser, Thr, and Tyr). Proteins that were identified
by two or more peptides with a peptide expectation value of p < 0.05 were considered as
reliable identifications. 2.8 Direct nanoflow liquid chromatography tandem mass spectrometry system
(DNLC-MS/MS) All samples were diluted 10-fold with 0.1% formic acid and analyzed (2 µl) by DNLC system
(Natsume et al., 2002) coupled to a QSTAR XL (AB Sciex, Foster City, CA). Peptides were
separated on a C18 reversed-phase column packed with Mightysil C18 (particle size 3 µm;
Kanto Chemical, Tokyo, Japan) at a flow rate of 100 nl/min by a 40-min linear gradient from
5% to 40% acetonitrile in 0.1% formic acid, and were sprayed on-line to the mass spectrometer. MS and MS/MS spectra were obtained in an Information Dependent Acquisition (IDA) mode. Up to two precursor ions above the intensity threshold of 50 counts with a charge state from 2
to 3 were selected for MS/MS analyses (1.0 sec) from each survey scan (0.5 sec). The MS and
MS/MS scan ranges were m/z 400-1500 and 100-1500, respectively. 2.6 Limited proteolysis with lysyl endopeptidase C (Lys-C) To concentrate the purified proteins and to exchange the buffer, trichloroacetic acid (TCA)
precipitation was performed. Sodium deoxycholate (DOC) was added to a final
concentration of 0.1%. After mixing, TCA was added to a final 10% concentration and the
solution was precipitated at 0 °C for 30 min. The protein precipitate was collected by
centrifugation (15,000 rpm for 10 min at 4 °C). The supernatant was carefully removed, 1 ml
of acetone (precooled at -30 °C) was added to the pellet, and vortexing was carried out until
the pellet became unstuck from the bottom of the tube. The proteins were collected by
centrifugation (15,000 rpm for 5 min at 4 °C) and the supernatant was removed. The pellet
was redissolved in 10 µl extraction buffer (0.1 M Tris-HCl, pH 8.8, 0.05% n-octyl
glucopyranoside, 7M guanidine hydrochloride) using the microtube mixer. After the
proteins were dissolved almost completely, 40 µl of digestion buffer (0.1 M Tris-HCl, pH 8.8, www.intechopen.com 297 One-by-One Sample Preparation Method for Protein Network Analysis 0.05% n-octyl glucopyranoside) was added and mixed. Finally, 0.1 µg of lysyl endopeptidase
(Lys-C; Wako, Osaka, Japan) was added and the mixture was incubated over night at 37 °C. 0.05% n-octyl glucopyranoside) was added and mixed. Finally, 0.1 µg of lysyl endopeptidase
(Lys-C; Wako, Osaka, Japan) was added and the mixture was incubated over night at 37 °C. 3.1 Automated robotic system for one-by-one sample preparation To perform precise one-by-one sample purification for protein network analysis, we
designed and developed a robotic system for fully automated sample preparation from cell www.intechopen.com 298 Protein Interactions collection to limited proteolysis with Lys-C. This system consists of four 6-axis industrial
robots, one 3-axis robot, high- and low-speed centrifuges, a CO2 incubator, and other
components, as illustrated in detail in Fig. 2. collection to limited proteolysis with Lys-C. This system consists of four 6-axis industrial
robots, one 3-axis robot, high- and low-speed centrifuges, a CO2 incubator, and other
components, as illustrated in detail in Fig. 2. Fig. 2. Layout of the automated robotics for one-by-one sample preparation system. (a) A schematic upper view diagram of the system and four photographs showing different
views indicated by arrows. a: CO2 incubator; b: 6-axis robot No. 2; c: low-speed centrifuge;
d: 3-axis robot; e: 6-axis robot No. 4; f: high-speed centrifuge; g: microtube carriers for low-
speed centrifuge; h: buffers position (lysis buffer and phosphate-buffered saline); i: 6-axis
robot No. 3; j: culture dish stage; k: 6-axis robot No. 1; l: cell scrapers specialized for this
system; m: pipette tips (2-200 µl); n: pipette tips (0.1-10 µl); o: protein complexes elution
device; p: incubator (4 °C); q: microtube rack; r: incubator (37 °C); s: reagents rack (elution
buffer, TCA, etc.); t: microtube capper/decapper (temperature-controlled); u: pipette tip
(200-1,000 µl). (b) 6-axis robot No. 1: culture dish-carrying robot. (c) 6-axis robot No. 2:
scraping and tube-carrying robot. (d) 6-axis robot No. 3: dispenser robot. (e) 6-axis robot No. 4: microtube-carrying robot. (f) 3-axis robot: micro-dispenser robot. A washer is attached to
this robot. Fig. 2. Layout of the automated robotics for one-by-one sample preparation system. (a) A schematic upper view diagram of the system and four photographs showing different
views indicated by arrows. a: CO2 incubator; b: 6-axis robot No. 2; c: low-speed centrifuge;
d: 3-axis robot; e: 6-axis robot No. 4; f: high-speed centrifuge; g: microtube carriers for low-
speed centrifuge; h: buffers position (lysis buffer and phosphate-buffered saline); i: 6-axis
robot No. 3; j: culture dish stage; k: 6-axis robot No. 1; l: cell scrapers specialized for this
system; m: pipette tips (2-200 µl); n: pipette tips (0.1-10 µl); o: protein complexes elution
device; p: incubator (4 °C); q: microtube rack; r: incubator (37 °C); s: reagents rack (elution
buffer, TCA, etc.); t: microtube capper/decapper (temperature-controlled); u: pipette tip
(200-1,000 µl). 3.1 Automated robotic system for one-by-one sample preparation (b) 6-axis robot No. 1: culture dish-carrying robot. (c) 6-axis robot No. 2:
scraping and tube-carrying robot. (d) 6-axis robot No. 3: dispenser robot. (e) 6-axis robot No. 4: microtube-carrying robot. (f) 3-axis robot: micro-dispenser robot. A washer is attached to
this robot. www.intechopen.com 299 One-by-One Sample Preparation Method for Protein Network Analysis The features of this system are: (i) The system is optimized for sample preparation from 10-
cm culture dishes, and the process operates under gentle conditions to decrease protein
denaturation and degradation compared to manual operation. The scraping robot (6-axis
robot No. 2) can collect cells gently in a single scraping motion (Fig. 3a and 3b). In addition,
a microtube delivery robot (6-axis robot No. 4) can mix the magnetic beads immobilized on
the anti-Flag M2 antibody with cell extracts at intervals that will not over-mix or create a
foam. Moreover, the elution of the protein complexes in the ‘protein complexes elution
device’ (Fig. 2a) is performed by moving the beads backwards and forwards in the elution
buffer between two magnets (Fig. 3c-e). The solution is not mixed vigorously; therefore, this
procedure is expected to prevent the denaturation of the eluted protein. (ii) This system
allows rapid purification of the protein complexes. One sample, from cell scraping to elution
of protein complexes, can be prepared in 40 min. The manual parallel treatment of 20
samples takes more than 120 min. (iii) The one-by-one system can operate 24 hours a day,
automatically, generating approximately 500 samples per month. Fig. 3. Automated one-by-one sample preparation system. (a and b) Cell collection on the
dish stage. (c-e) Process for elution of the protein complexes in the ‘protein complexes
elution device’ (Fig. 1a). M1 and M2: magnets. Fig. 3. Automated one-by-one sample preparation system. (a and b) Cell collection on the
dish stage. (c-e) Process for elution of the protein complexes in the ‘protein complexes
elution device’ (Fig. 1a). M1 and M2: magnets. 3.2 Comparison of parallel and one-by-one methods for the sample preparation by
western blot analysis www.intechopen.com 301 One-by-One Sample Preparation Method for Protein Network Analysis 3.3 Comparison of parallel and one-by-one methods for the sample preparation by
protein network analysis 3.2 Comparison of parallel and one-by-one methods for the sample preparation by
western blot analysis To evaluate one-by-one sample preparation, we chose β-catenin and Axin1 as bait proteins
because they are well-studied proteins that play key roles in the Wnt signaling pathway,
and because, to date, many partners that interact with them have been identified (Daugherty
& Gottardi, 2007; H. Huang & He, 2008; S.M. Huang et al., 2009). Furthermore, it is difficult
to analyze β-catenin and Axin1-interacting proteins using affinity purification and LC-
MS/MS, because these bait proteins are likely to be degraded, not only by the ubiquitin-
proteasome system, but also nonspecifically by various proteases during the purification
steps, even if protease inhibitors are added. Therefore, we expected that the gentle one-by-
one purification method would allow these proteins to remain intact to the greatest extent
possible, and would permit the identification of more interacting partner proteins. www.intechopen.com 300 Protein Interactions We first compared the bait proteins (β-catenin and Axin1) from parallel preparation with
those of one-by-one preparation. Flag-tagged β-catenin or Axin1 was expressed in HEK293T
cells, purified by the parallel and the one-by-one method, and analyzed by western blotting
(Fig. 4). In the case of parallel preparation, both β-catenin and Axin1 were found to be
degraded. In particular, Axin1 degradation tended to be fast, and a protein band of
approximately 120 kDa, corresponding to the intact form, was almost absent in some cases. On the other hand, in samples prepared by the one-by-one method, degradation of the bait
proteins was significantly reduced. Interestingly, for Axin1, only one prominent band of the
size of the intact protein was detected in most cases. These data indicated that the one-by-
one method minimizes protein denaturation and degradation during sample preparation
compared to the parallel method. Fig. 4. Comparison of bait protein (β-catenin and Axin1) purification quality. Flag-tagged β-
catenin or Axin1 proteins were expressed in HEK293T cells, purified by the parallel or one-
by-one methods until the elution steps, and analyzed by western blot analysis. One-by-one:
automated one-by-one method; Parallel: manual parallel method. Fig. 4. Comparison of bait protein (β-catenin and Axin1) purification quality. Flag-tagged β-
catenin or Axin1 proteins were expressed in HEK293T cells, purified by the parallel or one-
by-one methods until the elution steps, and analyzed by western blot analysis. One-by-one:
automated one-by-one method; Parallel: manual parallel method. 3.3 Comparison of parallel and one-by-one methods for the sample preparation by
protein network analysis Next, we compared the component proteins interacting with the bait proteins (β-catenin and
Axin1) prepared by the parallel and one-by-one methods. Each bait protein was expressed
in HEK293T cells and purified with its binding partner proteins. These proteins were then
digested with Lys-C and analyzed by a DNLC-MS/MS system (Natsume et al., 2002). The
identified proteins that interact with β-catenin and Axin1, excluding nonspecific binding,
are listed in Table 1. As expected, the one-by-one preparation method showed better
detection sensitivity and reproducibility compared with the parallel method. 3.3 Comparison of parallel and one-by-one methods for the sample preparation by
protein network analysis Bait: β-catenin
Namea
Symbola
Parallelb
One-by-oneb
reproducibility
reproducibility
(n = 10)
(n = 10)
Adenomatous polyposis coli
APC
10 (100%)
10 (100%)
Adenomatosis polyposis coli 2
APC2
0
8 (80%)
Axin 1
AXIN1
10 (100%)
10 (100%)
Axin 2
AXIN2
1 (10%)
9 (90%)
Beta-transducin repeat
containing
BTRC|FBXW11
1 (10%)
10 (100%)
Cadherin 1, type 1
CDH1
1 (10%)
9 (90%)
Cadherin 2, type 1
CDH2
2 (20%)
10 (100%)
Casein kinase 1, alpha 1
CSNK1A1
10 (100%)
10 (100%)
Catenin, alpha 1
CTNNA1
10 (100%)
10 (100%)
Catenin, alpha; 1 or 2
CTNNA1|CTNNA2
10 (100%)
10 (100%)
Catenin, alpha; 1 or 3
CTNNA1|CTNNA3
10 (100%)
10 (100%)
Catenin, beta interacting
protein 1
CTNNBIP1
8 (80%)
10 (100%)
Catenin, delta 1; isoform 1B
CTNND1
0
10 (100%)
Cathepsin A
CTSA
9 (90%)
10 (100%)
Cullin 1
CUL1
2 (20%)
10 (100%)
Ezrin
EZR
0
8 (80%)
Family with sequence similarity
123B
FAM123B
10 (100%)
10 (100%)
F-box and WD repeat domain
containing 11
FBXW11
1 (10%)
10 (100%)
Galactosidase, beta 1
GLB1
8 (80%)
10 (100%)
Glycogen synthase kinase 3
alpha
GSK3A
2 (20%)
10 (100%)
Glycogen synthase kinase 3;
alpha or beta
GSK3A|GSK3B
6 (60%)
10 (100%)
Glycogen synthase kinase 3 beta
GSK3B
4 (40%)
10 (100%)
HMG-box transcription factor
TCF-3
TCF7L1
7 (70%)
10 (100%)
Lymphoid enhancer-binding
factor 1
LEF1
8 (80%)
10 (100%) www.intechopen.com 302 Protein Interactions Bait: β-catenin Bait: β-catenin
Namea
Symbola
Parallelb
One-by-oneb
reproducibility
reproducibility
(n = 10)
(n = 10)
S-phase kinase-associated
protein 1
SKP1
2 (20%)
10 (100%)
Transcription factor 7 (T-cell-
specific, HMG-box); isoform 1
TCF7
3 (30%)
10 (100%)
Transcription factor 7-like 2
TCF7L2
10 (100%)
10 (100%)
Bait: Axin1
Namea
Symbola
Parallelb
One-by-oneb
reproducibility
reproducibility
(n = 10)
(n = 10)
Adenomatous polyposis coli
APC
0
10 (100%)
Beta-catenin
CTNNB1
0
10 (100%)
Casein kinase 1, alpha 1
CSNK1A1
1 (10%)
10 (100%)
Glycogen synthase kinase 3 beta
GSK3B
2 (20%)
10 (100%)
Macrophage erythroblast
attacher
MAEA
0
10 (100%)
WD repeat domain 26; isoform b
WDR26
0
8 (80%)
Table 1. Comparison of identified proteins and their reproducibility from samples prepared
by parallel and one-by-one methods (analyzed by MS). aProtein names and Symbols refer to
the Entrez Gene database. The proteins identified by a common peptide sequence are
indicated by ‘or’ in the Name column, and ‘|’ in the Symbol column. The identified proteins
exclude nonspecific proteins (Table 2). www.intechopen.com 3.3 Comparison of parallel and one-by-one methods for the sample preparation by
protein network analysis Interaction of Axin1 with MAEA and WDR26. HEK293T cells were transfected with
Flag-Axin1 or an empty vector (pcDNA3) as a negative control (Negative cont.). Expressed
protein complexes were purified by the automated one-by-one methods until the elution
step and analyzed by western blot analysis. Fig. 5. Interaction of Axin1 with MAEA and WDR26. HEK293T cells were transfected with
Flag-Axin1 or an empty vector (pcDNA3) as a negative control (Negative cont.). Expressed
protein complexes were purified by the automated one-by-one methods until the elution
step and analyzed by western blot analysis. 3.3 Comparison of parallel and one-by-one methods for the sample preparation by
protein network analysis bThe samples were prepared independently by the
parallel or the one-by-one method and analyzed by the DNLS-MS/MS system. Table 1. Comparison of identified proteins and their reproducibility from samples prepared
by parallel and one-by-one methods (analyzed by MS). aProtein names and Symbols refer to
the Entrez Gene database. The proteins identified by a common peptide sequence are
indicated by ‘or’ in the Name column, and ‘|’ in the Symbol column. The identified proteins
exclude nonspecific proteins (Table 2). bThe samples were prepared independently by the
parallel or the one-by-one method and analyzed by the DNLS-MS/MS system. Table 1. Comparison of identified proteins and their reproducibility from samples prepared
by parallel and one-by-one methods (analyzed by MS). aProtein names and Symbols refer to
the Entrez Gene database. The proteins identified by a common peptide sequence are
indicated by ‘or’ in the Name column, and ‘|’ in the Symbol column. The identified proteins
exclude nonspecific proteins (Table 2). bThe samples were prepared independently by the
parallel or the one-by-one method and analyzed by the DNLS-MS/MS system. In the analysis of the one-by-one preparation β-catenin, we identified membrane proteins
(Cadherins 1 and 2), peripheral membrane proteins (δ-catenin and Ezrin), the Skp1- Cullin-
F-box-protein (SCF) E3 ubiquitin ligase complex (BTRC/FBXW11, Skp1, and Cullin1) and
other component proteins (Adenomatosis polyposis coli 2 (APC2) and Axin2) using the one-
by-one method, whereas some of these proteins were not identified by the parallel method. The reproducibility increased from below 20% (parallel preparation, n = 10) to above 80%
(one-by-one preparation, n = 10). In the analysis of Axin1, the one-by-one method
dramatically increased the precision of the identification of well-known interaction partners,
such as Adenomatous polyposis coli (APC), δ-catenin, Glycogen synthase kinase 3β
(GSK3β), and Casein kinase 1, whereas no specific interactions were identified using the
parallel method (Table 1). This improvement is probably the result of the minimal
degradation of Axin1 (Fig. 4). Furthermore, we found two new interacting partners: MAEA
and WDR26. To confirm these interactions, Flag-tagged Axin1 was expressed in HEK293T
cells and the cell extracts were subjected to immunoprecipitation with anti-Flag antibody,
followed by western blotting with anti-MEAE or anti-WDR26 antibody. As shown in Fig. 5,
both MAEA and WDR26 were found to form a complex with Axin1. Further work is
required to determine the biological relevance of these interactions. www.intechopen.com 303 One-by-One Sample Preparation Method for Protein Network Analysis Fig. 5. 4. Discussion Sample preparation is one of the most important processes for MS-based proteomics, such as
large-scale protein-protein interaction networks and quantitative analyses. In affinity
purification, although the single Flag-tag purification MS approach is useful and raises the
possibility of identification of low abundant and transient interacting proteins, the problem is
that this approach leads to a high false positive rate (Chen & Gingras, 2007). To overcome this
problem, several protocols have been devised (Burckstummer et al., 2006; Selbach & Mann,
2006), and computational data processing to remove nonspecific proteins is performed during
large-scale analysis (Ewing et al., 2007; Ho et al., 2002; Gavin et al., 2002). However, because it
is possible to reliably identify low amounts of true interacting proteins by improving the
signal-to-noise ratio in LC-MS/MS, we considered that reproducibly decreasing the level of
nonspecific noise proteins in single-step purification samples would be a valid approach. Therefore, we empirically developed and optimized the conditions for sample preparation,
and using this methodology, found more than fifty significant protein-protein interactions
(Hirano et al., 2005; Kitajima et al., 2006; Iioka et al., 2007; Komatsu et al., 2007; Nishiyama et
al., 2009; Kaneko et al., 2009; Komatsu et al., 2010). In spite of this useful methodology, we
realized the limitations of the existing preparation method in large-scale analysis, because we
found that the amount of true interactors, as well as nonspecific proteins, in manually parallel- www.intechopen.com 304 Protein Interactions prepared samples varied. The ultimate solution for this problem was to use a one-by-one
purification method. In addition, because this preparation process needs to be automated to
prepare samples under precisely equal conditions, we designed and developed a fully
automated robotic sample preparation system for LC-MS/MS. prepared samples varied. The ultimate solution for this problem was to use a one-by-one
purification method. In addition, because this preparation process needs to be automated to
prepare samples under precisely equal conditions, we designed and developed a fully
automated robotic sample preparation system for LC-MS/MS. In a validation study using the Wnt signaling pathway proteins, β-catenin and Axin1, the
rate of protein degradation was significantly higher in the parallel preparation compared
with the one-by-one preparation. This higher protein degradation in parallel preparation is
probably caused by the manual scraping of cells and increased preparation time. 4. Discussion In parallel
preparation, manual scraping of cells involves several rapid strokes, which may increase the
cells’ susceptibility to damage and increase the level of proteolytic enzymes released from
subcellular compartments. The proteases, similarly to nonspecific binding proteins, are
likely to attach to and degrade the purified protein complexes over time, and these
degraded and denatured proteins are thought to cause nonspecific binding. In contrast to manual parallel preparation, an important feature of the one-by-one system is
the careful and brief sample preparation. The association rate of nonspecific proteins is
thought to be slower than that of specific binding proteins; therefore, the careful and rapid
one-by-one method reduces nonspecific protein associations. In fact, as shown in Table 2,
the number of nonspecific proteins precipitated using the one-by-one method was
significantly lower than that by the parallel method. Using the one-by-one method, this
decrease was accompanied by a remarkable increase in known interactors, because the
signal-to-noise ratio was increased in combination with the prevention of protein
degradation. Although it was previously reported that single-affinity tag purifications
brought an increase in nonspecific binding proteins (Chen & Gingras, 2007), we have found
that the single-step one-by-one purification using anti-Flag antibody immobilized magnetic
beads is valuable because of its considerable reduction in nonspecific binding proteins
under optimized conditions. www.intechopen.com 4. Discussion Namea
Symbola
Parallelb
One-by-oneb
Actin, alpha 1, skeletal
muscle|Actin, alpha 2, smooth
muscle, aorta|Actin, beta|Actin,
alpha, cardiac muscle 1|Actin,
gamma 1|Actin, gamma 2, smooth
muscle, enteric
ACTA1|ACTA2|ACTB|
ACTC1|ACTG1|ACTG2
2
2
Actin, alpha 1, skeletal
muscle|Actin, alpha 2, smooth
muscle, aorta|Actin, beta|Actin,
gamma 2, smooth muscle, enteric
ACTA1|ACTA2|ACTC1|
ACTG2
1
1
ATPase family AAA domain-
containing protein 3A|ATPase
family AAA domain-containing
protein 3B
ATAD3A|ATAD3B
6
ND
Complement component 1, q
subcomponent binding protein
C1QBP
2
ND Namea
Symbola
Parallelb
One-by-oneb
Actin, alpha 1, skeletal
muscle|Actin, alpha 2, smooth
muscle, aorta|Actin, beta|Actin,
alpha, cardiac muscle 1|Actin,
gamma 1|Actin, gamma 2, smooth
muscle, enteric
ACTA1|ACTA2|ACTB|
ACTC1|ACTG1|ACTG2
2
2
Actin, alpha 1, skeletal
muscle|Actin, alpha 2, smooth
muscle, aorta|Actin, beta|Actin,
gamma 2, smooth muscle, enteric
ACTA1|ACTA2|ACTC1|
ACTG2
1
1
ATPase family AAA domain-
containing protein 3A|ATPase
family AAA domain-containing
protein 3B
ATAD3A|ATAD3B
6
ND
Complement component 1, q
subcomponent binding protein
C1QBP
2
ND www.intechopen.com One-by-One Sample Preparation Method for Protein Network Analysis 305 Namea
Symbola
Parallelb
One-by-oneb
DEAH (Asp-Glu-Ala-His) box
polypeptide 9
DHX9
4
ND
Eukaryotic translation elongation
factor 1 alpha 1|Eukaryotic
translation elongation factor 1 alpha
2|Eukaryotic translation elongation
factor 1 alpha 1 pseudogene 5
EEF1A1|EEF1A2|EEF1A1P5
5
ND
Eukaryotic translation initiation
factor 4A1
EIF4A1
6
2
Eukaryotic translation initiation
factor 4A1|Eukaryotic translation
initiation factor 4A2
EIF4A1|EIF4A2
2
ND
Histone cluster 1, H1c|Histone
cluster 1, H1d|Histone cluster 1,
H1e
HIST1H1C|HIST1H1D
|HIST1H1E
2
ND
Heat shock protein 90kDa alpha
(cytosolic), class A member 1
HSP90AA1
7
2
Heat shock protein 90kDa alpha
(cytosolic), class A member 1|Heat
shock protein 90kDa alpha
(cytosolic), class A member 2
HSP90AA1|HSP90AA2
3
1
Heat shock protein 90kDa alpha
(cytosolic), class A member 1|Heat
shock protein 90kDa alpha (cytosolic),
class A member 2|Heat shock protein
90kDa alpha (cytosolic), class B
member 1|heat shock protein 90kDa
alpha (cytosolic), class B member 2
(pseudogene)
HSP90AA1|HSP90AA2|
HSP90AB1|HSP90AB2P
2
2
Heat shock protein 90kDa alpha
(cytosolic), class A member 1|Heat
shock protein 90kDa alpha
(cytosolic), class B member 1
HSP90AA1|HSP90AB1
2
2
Heat shock protein 90kDa alpha
(cytosolic), class B member 1
HSP90AB1
4
1
Heat shock protein 90kDa alpha
(cytosolic), class B member 1|Heat
shock protein 90kDa alpha
(cytosolic), class B member 3
(pseudogene)
HSP90AB1|HSP90AB3P
3
1
Heat shock 70kDa protein 1A|Heat
shock 70kDa protein 1B
HSPA1A|HSPA1B
13
5
Heat shock 70kDa protein 1A|Heat
shock 70kDa protein 1B|Heat shock
70kDa protein 1-like
HSPA1A|HSPA1B|
HSPA1L
4
3 www.intechopen.com 306 Protein Interactions Namea
Symbola
Parallelb
One-by-oneb
Heat shock 70kDa protein 5
(glucose-regulated protein, 78kDa)
HSPA5
19
8
Heat shock 70kDa protein 8
HSPA8
12
9
Heat shock 60kDa protein 1
(chaperonin)
HSPD1
21
10
Nucleolin
NCL
13
2
Nucleophosmin (nucleolar
phosphoprotein B23, numatrin)
NPM1
3
1
Poly(A) binding protein,
cytoplasmic 1
PABPC1
3
ND
Poly (ADP-ribose) polymerase 1
PARP1
15
4
Ribosomal protein L10a
RPL10A
3
ND
Ribosomal protein L11
RPL11
4
ND
Ribosomal protein L12
RPL12
4
ND
Ribosomal protein L13
RPL13
2
ND
Ribosomal protein L18
RPL18
3
1
Ribosomal protein L22
RPL22
2
1
Ribosomal protein L23
RPL23
2
1
Ribosomal protein L23a
RPL23A
5
ND
Ribosomal protein L24
RPL24
2
1
Ribosomal protein L28
RPL28
2
1
Ribosomal protein L29
RPL29
4
ND
Ribosomal protein L3
RPL3
5
ND
Ribosomal protein L30
RPL30
2
ND
Ribosomal protein L31
RPL31
3
ND
Ribosomal protein L35
RPL35
2
ND
Ribosomal protein L37a
RPL37A
2
ND
Ribosomal protein L38
RPL38
3
ND
Ribosomal protein L4
RPL4
5
2
Ribosomal protein L5|Ribosomal
protein, large, P0
RPL5|RPLP0
5
2
Ribosomal protein L6
RPL6
6
ND
Ribosomal protein L7a
RPL7A
3
2
Ribosomal protein L8
RPL8
2
ND
Ribosomal protein L9
RPL9
3
1
Ribosomal protein, large, P0
RPLP0
2
ND
Ribosomal protein, large, P2
RPLP2
4
2
Ribosomal protein S11
RPS11
2
ND
Ribosomal protein S12
RPS12
2
ND
Ribosomal protein S13
RPS13
5
1
Ribosomal protein S15
RPS15
2
ND
Ribosomal protein S16
RPS16
4
ND
Ribosomal protein S19
RPS19
4
2
Ribosomal protein S20
RPS20
3
ND
Ribosomal protein S23
RPS23
2
ND www.intechopen.com One-by-One Sample Preparation Method for Protein Network Analysis One-by-One Sample Preparation Method for Protein Network Analysis 307 Namea
Symbola
Parallelb
One-by-oneb
Ribosomal protein S24
RPS24
2
ND
Ribosomal protein S25
RPS25
4
ND
Ribosomal protein S27a|Ubiquitin
A-52 residue ribosomal protein
fusion product 1|Ubiquitin
B|Ubiquitin C
RPS27A|UBA52|UBB|UBC
3
2
Ribosomal protein S3
RPS3
5
2
Ribosomal protein S3A
RPS3A
7
2
Ribosomal protein S4, X-linked
RPS4X
4
1
Ribosomal protein S4,
X-linked|Ribosomal protein S4,
Y-linked 1|Ribosomal protein S4,
Y-linked 2
RPS4X|RPS4Y1|RPS4Y2
3
ND
Ribosomal protein S5
RPS5
3
ND
Ribosomal protein S6
RPS6
4
ND
Ribosomal protein S7
RPS7
4
2
Ribosomal protein S8
RPS8
3
ND
Ribosomal protein S9
RPS9
4
1
Ubiquitin A-52 residue ribosomal
protein fusion product 1
UBA52
3
1
Table 2. 4. Discussion Comparison of nonspecific proteins identified from samples prepared by parallel
and one-by-one methods (analyzed by MS). aThe nonspecific proteins co-purified with β-
catenin (n = 10) and Axin 1 (n = 10) using each method were categorized according to the
criteria reported by Chen and Gingras. Protein Symbols and Names refer to the NCBI Gene
database. Proteins identified by a common peptide sequence are indicated by ‘|’ in the
Name, Symbol columns. bTotal number of the identified peptides. ND: not detected. 6. Acknowledgment We thank H. Shibuya (Medical Research Institute, Tokyo Medical and Dental University) for
providing the Flag-tagged human β-catenin and Axin1 cDNAs, and Y. Hioki, K. Koike, K. Nishimura, T. Asano and H. Kusano for technical assistance. This work was supported by a
‘Development of Basic Technology to Control Biological Systems Using Chemical
Compounds’ grant from the New Energy and Industrial Technology Development
Organization (NEDO), Japan. We thank H. Shibuya (Medical Research Institute, Tokyo Medical and Dental University) for
providing the Flag-tagged human β-catenin and Axin1 cDNAs, and Y. Hioki, K. Koike, K. Nishimura, T. Asano and H. Kusano for technical assistance. This work was supported by a
‘Development of Basic Technology to Control Biological Systems Using Chemical
Compounds’ grant from the New Energy and Industrial Technology Development
Organization (NEDO), Japan. 5. Conclusion We have described a one-by-one sample preparation method for MS-based high-precision
protein network analysis. To perform a pilot feasibility study of the one-by-one method, we
designed and developed a fully automated robotic system. This system makes it possible to
prepare samples under equally fast and gentle conditions. To clarify the importance of the
one-by-one method, we compared protein complexes prepared by the automated one-by-
one system with manual parallel preparation using β-catenin and Axin1 as baits, which are
well-characterized Wnt signaling pathway proteins. One-by-one purification resulted in a
sharp decrease in proteolytic degradation of purified proteins and in nonspecific binding
proteins, allowing the reproducible identification of known interaction partners, as well as
novel component proteins. These results suggest that one-by-one sample preparation by the
automated system is useful for obtaining reliable data for high-precision analysis of protein
identification and quantification for large-scale protein network analysis compared with
manual parallel preparation. We expect that this system will allow highly sensitive analyses of protein interactions using
various types of cells, such as embryonic stem (ES), neuronal, and primary cells, which are www.intechopen.com 308 Protein Interactions limited in supply. Furthermore, we envision that this system could be used for qualitative
and quantitative protein interaction network studies including chemical proteomics (Rix &
Superti-Furga, 2009). limited in supply. Furthermore, we envision that this system could be used for qualitative
and quantitative protein interaction network studies including chemical proteomics (Rix &
Superti-Furga, 2009). In future work, we will develop a multi-purpose robotic system that can be flexibly
customized. Finally, our goal is to develop an automated robotic system that can operate not
only in affinity purification, but also in general proteomics. 7. References Aebersold, R. & Mann, M. (2003). Mass spectrometry-based proteomics. Nature, 422 (6928),
198-207. Alterovitz, G., Liu, J., Chow, J. & Ramoni, M. F. (2006). Automation, parallelism, and
robotics for proteomics. Proteomics, 6 (14), 4016-4022. Blagoev, B., Kratchmarova, I., Ong, S. E., Nielsen, M., Foster, L. J. & Mann, M. (2003). A
proteomics strategy to elucidate functional protein-protein interactions applied to
EGF signaling. Nat. Biotechnol., 21 (3), 315-318. Blow, N. (2008). Lab automation: tales along the road to automation. Nat. Methods, 5 (1), 109-
112. Burckstummer, T., Bennett, K. L., Preradovic, A., Schutze, G., Hantschel, O., Superti-Furga,
G. & Bauch, A. (2006). An efficient tandem affinity purification procedure for
interaction proteomics in mammalian cells. Nat. Methods, 3 (12), 1013-1019. Chen, G. I. & Gingras, A. C. (2007). Affinity-purification mass spectrometry (AP-MS) of
serine/threonine phosphatases. Methods, 42 (3), 298-305. Daugherty, R. L. & Gottardi, C. J. (2007). Phospho-regulation of Beta-catenin adhesion and
signaling functions. Physiology (Bethesda), 22, 303-309. Domon, B. & Aebersold, R. (2006). Mass spectrometry and protein analysis. Science, 312
(5771), 212-217. Einhauer, A. & Jungbauer, A. (2001). The FLAG peptide, a versatile fusion tag for the
purification of recombinant proteins. J. Biochem. Biophys. Methods, 49 (1-3), 455-465. Ewing, R. M., Chu, P., Elisma, F., Li, H., Taylor, P., Climie, S., McBroom-Cerajewski, L.,
Robinson, M. D., O'Connor, L., Li, M., Taylor, R., Dharsee, M., Ho, Y., Heilbut, A.,
Moore, L., Zhang, S., Ornatsky, O., Bukhman, Y. V., Ethier, M., Sheng, Y., Vasilescu,
J., Abu-Farha, M., Lambert, J. P., Duewel, H. S., Stewart, I. I., Kuehl, B., Hogue, K.,
Colwill, K., Gladwish, K., Muskat, B., Kinach, R., Adams, S. L., Moran, M. F.,
Morin, G. B., Topaloglou, T. & Figeys, D. (2007). Large-scale mapping of human
protein-protein interactions by mass spectrometry. Mol. Syst. Biol., 3, 89. www.intechopen.com 309 One-by-One Sample Preparation Method for Protein Network Analysis Gavin, A. C., Bosche, M., Krause, R., Grandi, P., Marzioch, M., Bauer, A., Schultz, J., Rick, J. M., Michon, A. M., Cruciat, C. M., Remor, M., Hofert, C., Schelder, M., Brajenovic,
M., Ruffner, H., Merino, A., Klein, K., Hudak, M., Dickson, D., Rudi, T., Gnau, V.,
Bauch, A., Bastuck, S., Huhse, B., Leutwein, C., Heurtier, M. A., Copley, R. R.,
Edelmann, A., Querfurth, E., Rybin, V., Drewes, G., Raida, M., Bouwmeester, T.,
Bork, P., Seraphin, B., Kuster, B., Neubauer, G. & Superti-Furga, G. (2002). Functional organization of the yeast proteome by systematic analysis of protein
complexes. 7. References Nature, 415 (6868), 141-147. Hirano, Y., Hendil, K. B., Yashiroda, H., Iemura, S., Nagane, R., Hioki, Y., Natsume, T.,
Tanaka, K. & Murata, S. (2005). A heterodimeric complex that promotes the
assembly of mammalian 20S proteasomes. Nature, 437 (7063), 1381-1385. Ho, Y., Gruhler, A., Heilbut, A., Bader, G. D., Moore, L., Adams, S. L., Millar, A., Taylor, P.,
Bennett, K., Boutilier, K., Yang, L., Wolting, C., Donaldson, I., Schandorff, S.,
Shewnarane, J., Vo, M., Taggart, J., Goudreault, M., Muskat, B., Alfarano, C.,
Dewar, D., Lin, Z., Michalickova, K., Willems, A. R., Sassi, H., Nielsen, P. A.,
Rasmussen, K. J., Andersen, J. R., Johansen, L. E., Hansen, L. H., Jespersen, H.,
Podtelejnikov, A., Nielsen, E., Crawford, J., Poulsen, V., Sorensen, B. D.,
Matthiesen, J., Hendrickson, R. C., Gleeson, F., Pawson, T., Moran, M. F., Durocher,
D., Mann, M., Hogue, C. W., Figeys, D. & Tyers, M. (2002). Systematic identification
of protein complexes in Saccharomyces cerevisiae by mass spectrometry. Nature,
415 (6868), 180-183. (
)
Huang, H. & He, X. (2008). Wnt/beta-catenin signaling: new (and old) players and new
insights. Curr. Opin. Cell Biol., 20 (2), 119-125. g
p
( )
Huang, S. M., Mishina, Y. M., Liu, S., Cheung, A., Stegmeier, F., Michaud, G. A., Charlat, O.,
Wiellette, E., Zhang, Y., Wiessner, S., Hild, M., Shi, X., Wilson, C. J., Mickanin, C.,
Myer, V., Fazal, A., Tomlinson, R., Serluca, F., Shao, W., Cheng, H., Shultz, M., Rau,
C., Schirle, M., Schlegl, J., Ghidelli, S., Fawell, S., Lu, C., Curtis, D., Kirschner, M. W., Lengauer, C., Finan, P. M., Tallarico, J. A., Bouwmeester, T., Porter, J. A., Bauer,
A. & Cong, F. (2009). Tankyrase inhibition stabilizes axin and antagonizes Wnt
signalling. Nature, 461 (7264), 614-620. g
g
(
)
Iioka, H., Iemura, S., Natsume, T. & Kinoshita, N. (2007). Wnt signalling regulates paxillin
ubiquitination essential for mesodermal cell motility. Nat. Cell Biol., 9 (7), 813-821. Kaneko, T., Hamazaki, J., Iemura, S., Sasaki, K., Furuyama, K., Natsume, T., Tanaka, K. &
Murata, S. (2009). Assembly pathway of the Mammalian proteasome base
subcomplex is mediated by multiple specific chaperones. Cell, 137 (5), 914-925. Kitajima, T. S., Sakuno, T., Ishiguro, K., Iemura, S., Natsume, T., Kawashima, S. A. &
Watanabe, Y. (2006). Shugoshin collaborates with protein phosphatase 2A to
protect cohesin. Nature, 441 (7089), 46-52. Kocher, T. & Superti-Furga, G. (2007). Mass spectrometry-based functional proteomics: from
molecular machines to protein networks. Nat. 7. References Methods, 4 (10), 807-815. Komatsu, M., Waguri, S., Koike, M., Sou, Y. S., Ueno, T., Hara, T., Mizushima, N., Iwata, J. I.,
Ezaki, J., Murata, S., Hamazaki, J., Nishito, Y., Iemura, S., Natsume, T., Yanagawa,
T., Uwayama, J., Warabi, E., Yoshida, H., Ishii, T., Kobayashi, A., Yamamoto, M.,
Yue, Z., Uchiyama, Y., Kominami, E. & Tanaka, K. (2007). Homeostatic levels of p62 www.intechopen.com 310 Protein Interactions control cytoplasmic inclusion body formation in autophagy-deficient mice. Cell, 131
(6), 1149-1163. Komatsu, M., Kurokawa, H., Waguri, S., Taguchi, K., Kobayashi, A., Ichimura, Y., Sou, Y. S.,
Ueno, I., Sakamoto, A., Tong, K. I., Kim, M., Nishito, Y., Iemura, S., Natsume, T.,
Ueno, T., Kominami, E., Motohashi, H., Tanaka, K. & Yamamoto, M. (2010). The
selective autophagy substrate p62 activates the stress responsive transcription
factor Nrf2 through inactivation of Keap1. Nat. Cell Biol., 12 (3), 213-223. Natsume, T., Yamauchi, Y., Nakayama, H., Shinkawa, T., Yanagida, M., Takahashi, N. &
Isobe, T. (2002). A direct nanoflow liquid chromatography-tandem mass
spectrometry system for interaction proteomics. Anal. Chem., 74 (18), 4725-4733. y y
Nishiyama, M., Oshikawa, K., Tsukada, Y., Nakagawa, T., Iemura, S., Natsume, T., Fan, Y.,
Kikuchi, A., Skoultchi, A. I. & Nakayama, K. I. (2009). CHD8 suppresses p53-
mediated apoptosis through histone H1 recruitment during early embryogenesis. Nat. Cell Biol., 11 (2), 172-182. Olsen, J. V. & Mann, M. (2011). Effective representation and storage of mass spectrometry-
based proteomic data sets for the scientific community. Sci. Signal., 4 (160), pe7. Rao, T. P. & Kuhl, M. (2010). An updated overview on Wnt signaling pathways: a prelude
for more. Circ. Res., 106 (12), 1798-1806. (
)
Rix, U. & Superti-Furga, G. (2009). Target profiling of small molecules by chemical
proteomics. Nat. Chem. Biol., 5 (9), 616-624. Selbach, M. & Mann, M. (2006). Protein interaction screening by quantitative
immunoprecipitation combined with knockdown (QUICK). Nat. Methods, 3 (12),
981-983. www.intechopen.com 981-983.
www.intechopen.com www.intechopen.com Protein Interactions
Edited by Dr. Jianfeng Cai Protein Interactions
Edited by Dr. Jianfeng Cai Protein Interactions
Edited by Dr. Jianfeng Cai ISBN 978-953-51-0244-1
Hard cover, 464 pages
Publisher InTech
Published online 16, March, 2012
Published in print edition March, 2012 Protein interactions, which include interactions between proteins and other biomolecules, are essential to all
aspects of biological processes, such as cell growth, differentiation, and apoptosis. Therefore, investigation
and modulation of protein interactions are of significance as it not only reveals the mechanism governing
cellular activity, but also leads to potential agents for the treatment of various diseases. The objective of this
book is to highlight some of the latest approaches in the study of protein interactions, including modulation of
protein interactions, development of analytical techniques, etc. Collectively they demonstrate the importance
and the possibility for the further investigation and modulation of protein interactions as technology is evolving. How to reference In order to correctly reference this scholarly work, feel free to copy and paste the following: Shun-Ichiro Iemura and Tohru Natsume (2012). One-by-One Sample Preparation Method for Protein Network
Analysis, Protein Interactions, Dr. Jianfeng Cai (Ed.), ISBN: 978-953-51-0244-1, InTech, Available from:
http://www.intechopen.com/books/protein-interactions/one-by-one-sample-preparation-method-for-protein-
network-analysis InTech Europe
University Campus STeP Ri
Slavka Krautzeka 83/A
51000 Rijeka, Croatia
Phone: +385 (51) 770 447
Fax: +385 (51) 686 166
www.intechopen.com
InTech China
Unit 405, Office Block, Hotel Equatorial Shanghai
No.65, Yan An Road (West), Shanghai, 200040, China
Phone: +86-21-62489820
Fax: +86-21-62489821 InTech China
Unit 405, Office Block, Hotel Equatorial Shanghai
No.65, Yan An Road (West), Shanghai, 200040, China
Phone: +86-21-62489820
Fax: +86-21-62489821 InTech Europe
University Campus STeP Ri
Slavka Krautzeka 83/A
51000 Rijeka, Croatia
Phone: +385 (51) 770 447
Fax: +385 (51) 686 166
www.intechopen.com © 2012 The Author(s). Licensee IntechOpen. This is an open access artic
stributed under the terms of the Creative Commons Attribution 3.0
cense, which permits unrestricted use, distribution, and reproduction in
ny medium, provided the original work is properly cited. © 2012 The Author(s). Licensee IntechOpen. This is an open access article
distributed under the terms of the Creative Commons Attribution 3.0
License, which permits unrestricted use, distribution, and reproduction in
any medium, provided the original work is properly cited.
|
https://openalex.org/W2167155142
|
https://journalofinequalitiesandapplications.springeropen.com/counter/pdf/10.1186/1029-242X-2013-455
|
Latin
| null |
Yosida approximation equations technique for system of generalized set-valued variational inclusions
|
Journal of inequalities and applications
| 2,013
|
cc-by
| 5,811
|
Abstract In this paper, under the assumption with no continuousness, a new system of
generalized variational inclusions in the Banach space is introduced. By using the
Yosida approximation operator technique, the existence and uniqueness theorems
for solving this kind of variational inclusion are established. MSC: 49H09; 49J40; 49H10 Keywords: system of generalized variational inclusions; m-accretive mapping;
resolvent operators; approximation operators Keywords: system of generalized variational inclusions; m-accretive mapping;
resolvent operators; approximation operators 1 Introduction Variational inclusions are useful and important extensions and generalizations of the vari-
ational inequalities with a wide range of applications in industry, mathematical finance,
economics, decisions sciences, ecology, mathematical and engineering sciences. In gen-
eral, the method based on the resolvent operator technique has been widely used to solve
variational inclusions. In this paper, under the assumption with no continuousness, we first introduce a new
system of generalized variational inclusions in the Banach space. By using the Yosida ap-
proximation technique for m-accretive operator, we prove some existence and uniqueness
theorems of solutions for this kind of system of generalized variational inclusions. Our re-
sults generalize and improve main results in [–]. For i = ,, let Ei be a real Banach space, let Ti : Ei →Ei, Mi : E× E→Ei be set-
valued mappings, let hi,gi : Ei →Ei, Fi : E× E→Ei be single-valued mappings, and let
(f,f) ∈E× E. We consider the following problem: finding (x,y) ∈E× Esuch that ⎧
⎨
⎩
f∈Tx + F(x,y) + M(h(x),g(x));
f∈Ty + F(x,y) + M(h(y),g(y)). (.) (.) ⎨
⎩f∈Ty + F(x,y) + M(h(y),g(y)). Yosida approximation equations technique
for system of generalized set-valued
variational inclusions Han-Wen Cao* *Correspondence:
chwhappy@163.com
Department of Science, Nanchang
Institute of Technology, Nanchang,
330099, P.R. China R ES EARCH R ES EARCH Open Access ©2013 Cao; licensee Springer. This is an Open Access article distributed under the terms of the Creative Commons Attribu-
tion 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. Cao Journal of Inequalities and Applications 2013, 2013:455
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 This problem is called the system of generalized set-valued variational inclusions. This problem is called the system of generalized set-valued variational inclusions. There are some special cases in literature. There are some special cases in literature. ©2013 Cao; licensee Springer. This is an Open Access article distributed under the terms of the Creative Commons Attribu-
tion 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. Cao Journal of Inequalities and Applications 2013, 2013:455
Page 2 of 1
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455 Page 2 of 11 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 () If T= , T= , f= , f= , then (.) reduces to the problem of finding (x,y) ∈
E× Esuch that ⎧
⎨
⎩
∈F(x,y) + M(h(x),g(x));
∈F(x,y) + M(h(y),g(y)). (.) (.) Problem (.) was introduced and studied by Kazmi and Khan [, ] (g= g= I in []). () If hi = gi = I is the identity operator, Mi(·,·) = , f= f= , then (.) reduces to the
problem of finding (x,y) ∈E× Esuch that ⎧
⎨
⎩
∈Tx + F(x,y);
∈Ty + F(x,y). ⎧
⎨
⎩
∈Tx + F(x,y);
∈Ty + F(x,y). (.) ⎧
⎨∈Tx + F(x,y); (.) Problem (.) was introduced and studied by Verma [], Fang and Huang []. Problem (.) was introduced and studied by Verma [], Fang and Huang []. () If E= E= H is a Hilbert space, F= F= F(x), M(·,·) = M(·), f= f= , then (.)
reduces to the problem of finding x ∈H such that ∈F(x) + M(x). (.) (.) ∈F(x) + M(x). Problem (.) was introduced and studied by Zeng et al. []. If F(x) = S(x)–T(x)–f , f ̸= ,
(.) becomes f ∈S(x) – T(x) + M(x) considered by Verma []. Let E be a real Banach space with dual E∗, J : E →E∗is the normalized duality mapping
defined by Jx =
f ∈E∗: ⟨x,f ⟩= ∥x∥= ∥f ∥
, where ⟨·,·⟩denotes the generalized duality paring. In the sequel, we shall denote the single-
valued normalized duality map by j. It is well known that if E is smooth, then J is single-
valued, and E∗is uniformly convex, then j is uniformly continuous on bounded set. where ⟨·,·⟩denotes the generalized duality paring. In the sequel, we shall denote the single-
valued normalized duality map by j. It is well known that if E is smooth, then J is single-
valued, and E∗is uniformly convex, then j is uniformly continuous on bounded set. We assume that E, E, Eare smooth Banach spaces. (iii) T is said to be m-accretive if T is accretive and (I + λT)(E) = E, ∀λ > . Proposition .[–] If T : E →E is m-accretive, then Proposition .[–] If T : E →E is m-accretive, then Proposition .[–] If T : E →E is m-accretive, then () RT
λ is single-valued and ∥RT
λ x – RT
λ y∥≤∥x – y∥, ∀x,y ∈E; () ∥JT
λ x∥≤|Tx| = inf{∥y∥: y ∈Tx}, ∀x ∈D(T); () JT
λ is m-accretive on E, and ∥JT
λ x – JT
λ y∥≤
λ∥x – y∥, ∀x,y ∈E, λ > ;
() JT
λ x ∈TRT
λ x; () If E∗is uniformly convex Banach space, then T is demiclosed, i.e.,
[xn,yn] ∈Graph(T), xn →x, yn ⇀y implies that [x,y] ∈Graph(T). () If E∗is uniformly convex Banach space, then T is demiclosed, i.e.,
[xn,yn] ∈Graph(T), xn →x, yn ⇀y implies that [x,y] ∈Graph(T). For convenience, the norms of E,
Eand Eare all denoted by ∥· ∥. The norm of E× Eis defined by ∥· ∥+ ∥· ∥, i.e., if
(x,y) ∈E× E, then ∥(x,y)∥= ∥x∥+ ∥y∥. Definition .Let T : E →E be a set-valued mapping. (i) T is said to be accretive, if ∀x,y ∈E, u ∈Tx, v ∈Ty, Definition .Let T : E →E be a set-valued mapping. (i) T is said to be accretive, if ∀x,y ∈E, u ∈Tx, v ∈Ty, Definition .Let T : E →E be a set-valued mapping. (i) T is said to be accretive, if ∀x,y ∈E, u ∈Tx, v ∈Ty, pp
g
(i) T is said to be accretive, if ∀x,y ∈E, u ∈Tx, v ∈Ty,
u – v,j(x – y)
≥,
∀x,y ∈E,u ∈Tx,v ∈Ty. (ii) T is said to be α-strongly-accretive if there exists α > such that ∀x,y ∈E, u ∈Tx,
v ∈Ty, (ii) T is said to be α-strongly-accretive if there exists α > such that ∀x,y ∈E, u ∈Tx,
v ∈Ty,
u – v,j(x – y)
≥α∥x – y∥. (iii) T is said to be m-accretive if T is accretive and (I + λT)(E) = E, ∀λ > . (iii) T is said to be m-accretive if T is accretive and (I + λT)(E) = E, ∀λ > . Cao Journal of Inequalities and Applications 2013, 2013:455
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Page 3 of 11 Cao Journal of Inequalities and Applications 2013, 2013:455
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Definition .Let N : E× E→Ebe a set-valued mapping. Definition .Let N : E× E→Ebe a set-valued mapping.
u – v,j(x– x)
≥. (ii) The mapping x →N(x,y) is said to be α-strongly-accretive if there exists α > such
that ∀x,x∈E, u∈N(x,y), u∈N(x,y), y ∈E, (ii) The mapping x →N(x,y) is said to be α-strongly-accretive if there exists α > such
that ∀x,x∈E, u∈N(x,y), u∈N(x,y), y ∈E,
u– u,j(x– x)
≥α∥x– x∥. (iii) The mapping x →N(x,y) is said to be m-α-strongly-accretive if N(·,y) is
α-strongly-accretive and (I + N(·,y))(E) = E, ∀y ∈E, λ > . (iii) The mapping x →N(x,y) is said to be m-α-strongly-accretive if N(·,y) is
α-strongly-accretive and (I + N(·,y))(E) = E, ∀y ∈E, λ > . In a similar way, we can define the strong accretiveness of the mapping N : E×E→E
with respect to the second argument. Definition .Let T : E →E be m-accretive mapping. Definition .Let T : E →E be m-accretive mapping. Definition .Let T : E →E be m-accretive mapping. Definition .Let T : E →E be m-accretive mapping. (i) The resolvent operator of T is defined by RT
λ x = (I + λT)–x, ∀x ∈E,λ > . (i) The resolvent operator of T is defined by RT
λ x = (I + λT)–x, ∀x ∈E,λ > . (ii) The Yosida approximation of T is defined by JT
λ x =
λ(I – RT
λ )x, ∀x ∈E, λ > . (ii) The Yosida approximation of T is defined by JT
λ x =
λ(I – RT
λ )x, ∀x ∈E, λ > . Definition .The mapping F : E× E→E is said to be (r,s)-mixed Lipschitz continu-
ous if there exist r > , s > such that ∀(x,y),(x,y) ∈E× E, F(x,y) – F(x,y)
≤r∥x– x∥+ s∥y– y∥. F(x,y) – F(x,y)
≤r∥x– x∥+ s∥y– y∥. In the sequel, we use the notation →and ⇀to denote strong and weak convergence,
respectively. (ii) By definition of JT
λ and (i), we have (ii) By definition of JT
λ and (i), we have
JT
λ x – JT
λ y,j(x – y)
=
λ
x – y –
RT
λ x – RT
λ y
,j(x – y)
≥
λ
∥x – y∥–
RT
λ x – RT
λ y
∥x – y∥
≥
α
+ λα ∥x – y∥. This completes the proof of (ii). □ This completes the proof of (ii). □ This completes the proof of (ii). Remark .Let Ni : E× E→Ei be set-valued mapping, let x →N(x,y) and y →
N(x,y) be m-accretive. Then the resolvent operator and Yosida approximation of Ni can
be rewritten as RN(·,y)
λ
x =
I + λN(·,y)
–x,
JN(·,y)
λ
x =
λ
I – RN(·,y)
λ
x,
RN(x,·)
λ
y =
I + λN(x,·)
–y,
JN(x,·)
λ
y =
λ
I – RN(x,·)
λ
y, respectively. Lemma .Let N(x,y) = Tx + F(x,y) and N(x,y) = Ty + F(x,y). If Ti : Ei →Ei is m-
accretive, Fi : E× E→Ei is αi-strongly-accretive in the ith argument, and (ri,si)-mixed
Lipschitz continuous, then Lipschitz continuous, then (i) Ni is m-αi-strongly-accretive in the ith argument (i = ,); (i) Ni is m-αi-strongly-accretive in the ith argument (i = ,);
N (
)
N (
) (ii) ∥RN(·,y)
λ
x – RN(·,y)
λ
x∥≤λs∥y– y∥; (ii) ∥RN(·,y)
λ
x – RN(·,y)
λ
x∥≤λs∥y– y∥;
(iii) ∥RN(x,·)
λ
y – RN(x,·)
λ
y∥≤λr∥x– x∥. (iii) ∥RN(x,·)
λ
y – RN(x,·)
λ
y∥≤λr∥x– x∥. (iii) ∥RN(x,·)
λ
y – RN(x,·)
λ
y∥≤λr∥x– x∥. Proof (i) The fact directly follows from Kobayashi [] (Theorem .). (ii) Let u = RN(·,y)
λ
x, v = RN(·,y)
λ
x. Then Proof (i) The fact directly follows from Kobayashi [] (Theorem .). (ii) Let u = RN(·,y)
λ
x, v = RN(·,y)
λ
x. Then Proof (i) The fact directly follows from Kobayashi [] (Theorem .). (ii) Let u = RN(·,y)
λ
x, v = RN(·,y)
λ
x. Then x – u – λF(u,y) ∈λTu,
x – v – λF(v,y) ∈λTv. (ii) By definition of JT
λ and (i), we have By accretiveness of Ti and αi-strong accretiveness of Fi, we have that By accretiveness of Ti and αi-strong accretiveness of Fi, we have that ≤
–u – λF(u,y) + v + λF(v,y),j(u – v)
= –∥u – v∥+ λ
F(v,y) – F(u,y),j(u – v)
= –∥u – v∥+ λ
F(v,y) – F(u,y),j(u – v)
+ λ
F(u,y) – F(u,y),j(u – v)
≤–∥u – v∥– λα∥u – v∥+ λ
F(u,y) – F(u,y)
∥u – v∥
≤–(+ λα)∥u – v∥+ λs∥y– y∥∥u – v∥, Therefore, ∥u – v∥≤
λs
+λα∥y– y∥≤λs∥y– y∥. This completes the proof of (ii). (iii) The proof is similar. We omit it. □ Therefore, ∥u – v∥≤
λs
+λα∥y– y∥≤λs∥y– y∥. This completes the proof of (ii). Therefore, ∥u – v∥≤
λs
+λα∥y– y∥≤λs∥y– y∥. This completes the proof of (ii). Therefore, ∥u – v∥≤
λs
+λα∥y– y∥≤λs∥y– y∥. This completes the proof of (ii). (iii) The proof is similar. We omit it. □ +λα
(iii) The proof is similar. We omit it. □ □ Lemma .If T : E →E is m-α-strongly-accretive, then Lemma .If T : E →E is m-α-strongly-accretive, then (i) RT
λ is
+λα -Lipschitz continuous; (i) RT
λ is
+λα -Lipschitz continuous; (ii) JT
λ is
α
+λα -strongly-accretive. (ii) JT
λ is
α
+λα -strongly-accretive. (ii) JT
λ is
α
+λα -strongly-accretive. Proof (i) Let u = RT
λ x, v = RT
λ y. Then x – u ∈λTu, y – v ∈λTv. Since T is α-strongly-
accretive, λT is λα-strongly-accretive, λα∥u – v∥≤⟨x – u – y + v,j(u – v)⟩≤∥x – y∥∥u –
v∥– ∥u – v∥. Therefore, ∥u – v∥≤
+λα∥x – y∥. This completes the proof of (i). Proof (i) Let u = RT
λ x, v = RT
λ y. Then x – u ∈λTu, y – v ∈λTv. Since T is α-strongly-
accretive, λT is λα-strongly-accretive, λα∥u – v∥≤⟨x – u – y + v,j(u – v)⟩≤∥x – y∥∥u –
v∥– ∥u – v∥. Therefore, ∥u – v∥≤
+λα∥x – y∥. This completes the proof of (i). cations 2013, 2013:455
Page 4 of 11
ndapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455
Page 4 of 11
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455
Page 4 of 11
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455 Page 4 of 11 Cao Journal of Inequalities and Applications 2013, 2013:455
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 then there exists (x,y) ∈E× Esuch that x = T(x,y), y = T(x,y). Theorem .For i = ,, let Ei be a real Banach space with uniformly convex dual E∗
i ,
and let Fi : E× E→Ei, hi,gi : Ei →Ei be three single-valued mappings, let Ti : Ei →Ei,
Mi : Ei × Ei →Ei be two set-valued mappings satisfying the following conditions that
() Mi(hi(·),gi(·)) : Ei →CB(Ei) is m-accretive; Theorem .For i = ,, let Ei be a real Banach space with uniformly convex dual E∗
i ,
and let Fi : E× E→Ei, hi,gi : Ei →Ei be three single-valued mappings, let Ti : Ei →Ei,
Mi : Ei × Ei →Ei be two set-valued mappings satisfying the following conditions that
() Mi(hi(·),gi(·)) : Ei →CB(Ei) is m-accretive; () Ti is m-accretive. () Ti is m-accretive. () Fi is αi-strongly-accretive in the ith argument and (ri,si)-mixed Lipschitz continuous,
N(x,y) = T(x) + F(x,y), N(x,y) = T(y) + F(x,y). If λ satisfies that If λ satisfies that < λ < min
α– r
tα
, α– s
sα
,
r< α,s< α, sr
αα
< ,
(.) (.) and (f,f) ∈E× E, then (i) for any λ in (.), there exists (xλ,yλ) ∈E× Esuch that ⎧
⎨
⎩
f∈JN(·,yλ)
λ
xλ + M(h(xλ),g(xλ)),
f∈JN(xλ,·)
λ
yλ + M(h(yλ),g(yλ)),
(.) (.) and {xλ}λ→and {yλ}λ→are bounded;
(
) and {xλ}λ→and {yλ}λ→are bounded;
N (
)
(
) (ii) if {JN(·,y)
λ
xλ}λ→,{JN(x,·)
λ
yλ}λ→are bounded, then there exists unique (x,y) ∈E× E,
which is a solution of Problem (.), such that xλ →x, yλ →y as λ →. (ii) if {JN(·,y)
λ
xλ}λ→,{JN(x,·)
λ
yλ}λ→are bounded, then there exists unique (x,y) ∈E× E,
which is a solution of Problem (.), such that xλ →x, yλ →y as λ →. Remark .Equation (.) is called the system of Yosida approximation inclusions (equa-
tions). Remark .Equation (.) is called the system of Yosida approximation inclusions (equa-
tions). Proof of Theorem .(i) By Definition ., we can easily show that (xλ,yλ) satisfies (.), if
and only if (xλ,yλ) satisfies the relation that Proof of Theorem .(i) By Definition ., we can easily show that (xλ,yλ) satisfies (.), if
and only if (xλ,yλ) satisfies the relation that x = RM(h(·),g(·))
λ
λf+ RN(·,y)
λ
x
≜B(x,y),
y = RM(h(·),g(·))
λ
λf+ RN(x,·)
λ
y
≜B(x,y). 2 Main results We assume that CB(E) in the family of all nonempty closed and bounded subset of E. Cao Journal of Inequalities and Applications 2013, 2013:455
Page 5 of 11
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455 Cao Journal of Inequalities and Applications 2013, 2013:455 Page 5 of 11 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Lemma .[] Let T: E×E→Eand T= E×E→Ebe two continuous mappings. If there exist θ, θ, < θ,θ< such that Lemma .[] Let T: E×E→Eand T= E×E→Ebe two continuous mappings. If there exist θ, θ, < θ,θ< such that T(x,y) – T(x,y)
+
T(x,y) – T(x,y)
≤θ∥x– x∥+ θ∥y– y∥, then there exists (x,y) ∈E× Esuch that x = T(x,y), y = T(x,y). then there exists (x,y) ∈E× Esuch that x = T(x,y), y = T(x,y). then there exists (x,y) ∈E× Esuch that x = T(x,y), y = T(x,y). (.) (.) Now, we study the mapping Bi : E× E→Ei (i = ,) defined by (.). By Proposi-
tion .(), Lemma .and Lemma ., and Eq. (.), for any x,x∈E, y,y∈E, we have
that B(x,y) – B(x,y) =
RM(h(·),g(·))
λ
λf+ RN(·,y)
λ
x
– RM(h(·),g(·))
λ
λf+ RN(·,y)
λ
x
Cao Journal of Inequalities and Applications 2013, 2013:455
Page 6 of 11
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 cations 2013, 2013:455
Page 6 of 11
ndapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455 Cao Journal of Inequalities and Applications 2013, 2013:455
Page 6 of 11
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Page 6 of 11 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 ≤
RN(·,y)
λ
x– RN(·,y)
λ
x
≤
RN(·,y)
λ
x– RN(·,y)
λ
x
+
RN(·,y)
λ
x– RN(·,y)
λ
x
≤λs∥y– y∥+
+ λα
∥x– x∥. (.) (.) ≤λs∥y– y∥+
+ λα
∥x– x∥. (.) Similarly, by Proposition .(), Lemma .and Lemma ., we can prove that B(x,y) – B(x,y)
≤λr∥x– x∥+
+ λα
∥y– y∥. (.) (.) Equations (.) and (.) imply that Equations (.) and (.) imply that B(x,y) – B(x,y)
+
B(x,y) – B(x,y)
≤θ∥x– x∥+ θ∥x– x∥, where θ=
+λα+ λr, θ=
+λα+ λs. By (.), < θ,θ< . Therefore, by Lemma ., for
λ in (.), there exists (xλ,yλ) ∈E× Esuch that xλ = B(xλ,yλ), yλ = B(xλ,yλ), i.e., (xλ,yλ)
satisfies (.), and hence (.) hold. where θ=
+λα+ λr, θ=
+λα+ λs. By (.), < θ,θ< . Therefore, by Lemma ., for
λ in (.), there exists (xλ,yλ) ∈E× Esuch that xλ = B(xλ,yλ), yλ = B(xλ,yλ), i.e., (xλ,yλ)
satisfies (.), and hence (.) hold. Now, we show that {xλ}λ→and {yλ}λ→are bounded. For (x,y) ∈E×E, and λ in (.),
let zλ ∈JN(·,yλ)
λ
x+ M
h(x),g(x)
;
(.)
wλ ∈JN(xλ,·)
λ
y+ M
h(y),g(y)
. (.) zλ ∈JN(·,yλ)
λ
x+ M
h(x),g(x)
;
wλ ∈JN(xλ,·)
λ
y+ M
h(y),g(y)
. (.) (.) Equations (.) plus (.) indicates that Equations (.) plus (.) indicates that Equations (.) plus (.) indicates that zλ – JN(·,yλ)
λ
x– f+ JN(·,yλ)
λ
xλ ∈M
h(x),g(x)
– M
h(xλ),g(xλ)
. By Lemma .and condition () in Theorem ., we obtain that By Lemma .and condition () in Theorem ., we obtain that ≤
zλ – f– JN(·,yλ)
λ
x+ JN(·,yλ)
λ
xλ,j(x– xλ)
=
zλ – f,j(x– xλ)
–
JN(·,yλ)
λ
x– JN(·,yλ)
λ
xλ,j(x– xλ)
≤∥zλ – f∥∥x– xλ∥–
α
+ λα
∥x– xλ∥. (.) (.) By Definition .(ii), Proposition .() and Lemma ., we get that JN(·,yλ)
λ
x
≤
JN(·,yλ)
λ
x– JN(·,y)
λ
x
+
JN(·,y)
λ
x
=
λ
x– RN(·,yλ)
λ
x– x+ RN(·,y)
λ
x
+
N(·,y)x
≤
s
+ λα
∥y– yλ∥+
N(x,y)
. (.) JN(·,yλ)
λ
x
≤
JN(·,yλ)
λ
x– JN(·,y)
λ
x
+
JN(·,y)
λ
x
=
λ
x– RN(·,yλ)
λ
x– x+ RN(·,y)
λ
x
+
N(·,y)x
≤
s
+ λα
∥y– yλ∥+
N(x,y)
. (.) (.) For any λ in (.), take uλ ∈M(h(x),g(x)), vλ ∈M(h(y),g(y)) such that zλ =
JN(·,yλ)
λ
x+ uλ, wλ = JN(xλ,·)
λ
y+ vλ. Since {uλ} ⊂M(h(x),g(x)) and {vλ} ⊂M(h(y),
g(y)), by condition (), {uλ} and {vλ} are bounded. Combining (.), (.) and (.) yields Cao Journal of Inequalities and Applications 2013, 2013:455
Page 7 of 11
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 cations 2013, 2013:455
Page 7 of 11
ndapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455
Page 7 of 11
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Page 7 of 11 that that ∥x– xλ∥≤+ λα
α
∥zλ – f∥≤+ λα
α
∥zλ∥+ ∥f∥
≤+ λα
α
JN(·,yλ)
λ
x
+ ∥uλ∥+ ∥f∥
≤+ λα
α
s
+ λα
∥y– yλ∥+
N(x,y)
+ ∥uλ∥+ ∥f∥
. (.) By using similar methods, we obtain that ∥y– yλ∥≤+ λα
α
r
+ λα
∥x– xλ∥+
N(x,y)
+ ∥vλ∥+ ∥f∥
. (.) (.) It follows from (.) and (.) that {xλ}λ→and {yλ}λ→are bounded since < sr
αα< . (ii) Note that for λ,μ > f– JN(·,yλ)
λ
xλ ∈M
h(·),g(·)
xλ
and
f– J
N(·,yμ)
μ
xμ ∈M
h(·),g(·)
xμ. f– JN(·,yλ)
λ
xλ ∈M
h(·),g(·)
xλ
and
f– J
N(·,yμ)
μ
xμ ∈M
h(·),g(·)
xμ. By Lemma .and condition () in Theorem ., we obtain that By Proposition .(), we have that ≤
–JN(·,yλ)
λ
xλ + J
N(·,yμ)
μ
xμ,j(xλ – xu)
=
JN(·,yλ)
λ
xλ – J
N(·,yμ)
μ
xμ,j
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
– j(xλ – xμ)
–
JN(·,yλ)
λ
xλ – J
N(·,yμ)
μ
xμ,j
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
≤
JN(·,yλ)
λ
xλ – J
N(·,yμ)
μ
xμ,j
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
– j(xλ – xμ)
– α
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
, and hence, α
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
≤
JN(·,yλ)
λ
xλ – J
N(·,yμ)
μ
xμ,j
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
– j(xλ – xμ)
. (.)
Since xλ – RN(·,yλ)
λ
xλ = λJN(·,yλ)
λ
xλ →(as λ →), {JN(·,yλ)
λ
xλ}λ→is bounded. The j is uni-
formly continuous on bounded set, and (.) reduces to that α
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
≤
JN(·,yλ)
λ
xλ – J
N(·,yμ)
μ
xμ,j
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
– j(xλ – xμ)
. (.) (.) Since xλ – RN(·,yλ)
λ
xλ = λJN(·,yλ)
λ
xλ →(as λ →), {JN(·,yλ)
λ
xλ}λ→is bounded. The j is uni-
formly continuous on bounded set, and (.) reduces to that Since xλ – RN(·,yλ)
λ
xλ = λJN(·,yλ)
λ
xλ →(as λ →), {JN(·,yλ)
λ
xλ}λ→is bounded. The j is uni-
formly continuous on bounded set, and (.) reduces to that formly continuous on bounded set, and (.) reduces to that α
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
≤O
xλ – xμ – RN(·,yλ)
λ
xλ + R
N(·,yμ)
μ
xμ
≤O(λ + μ). α
RN(·,yλ)
λ
xλ – R
N(·,yμ)
μ
xμ
≤O
xλ – xμ – RN(·,yλ)
λ
xλ + R
N(·,yμ)
μ
xμ
≤O(λ + μ). Similarly, we have that α
RN(xλ,·)
λ
yλ – R
N(xμ,·)
μ
yμ
≤O(λ + μ). α
RN(xλ,·)
λ
yλ – R
N(xμ,·)
μ
yμ
≤O(λ + μ). Consequently, {RN(·,yλ)
λ
xλ}λ→and {RN(xλ,·)
λ
yλ}λ→are the Cauchy net. By Lemma .and condition () in Theorem ., we obtain that Cao Journal of Inequalities and Applications 2013, 2013:455 Page 9 of 11 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 The by the similar discussion, we have that The by the similar discussion, we have that ∥y – y∥≤r
α
∥x – x∥. (.) ∥y – y∥≤r
α
∥x – x∥. (.) ∥y – y∥≤r
α
∥x – x∥. Equations (.), (.) and (.) imply that x = x, y = y. □ Equations (.), (.) and (.) imply that x = x, y = y. □ Theorem .Suppose that Ei, Ti, Mi, Fi, fi and hi (i = ,) are the same as in Theorem .. If for any Ri > , there exist Li > , ai > and < Li < such that |Tx| ≤L
M
h(x),g(x)
+ a,
∥x∥≤R,
(.)
|Ty| ≤L
M
h(y),g(y)
+ a,
∥y∥≤R,
(.) |Ty| ≤L
M
h(y),g(y)
+ a,
∥y∥≤R, then Problem (.) has a unique solution. then Problem (.) has a unique solution. By Lemma .and condition () in Theorem ., we obtain that There exists (x,y) ∈
E× Esuch that RN(·,yλ)
λ
xλ →x, RN(xλ,·)
λ
yλ →y as λ →from which and xλ – RN(·,yλ)
λ
xλ =
λJN(·,yλ)
λ
xλ and yλ – RN(xλ,·)
λ
yλ = λJN(xλ,·)
λ
yλ, it follows that xλ →x and yλ →y as λ →. Cao Journal of Inequalities and Applications 2013, 2013:455
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Cao Journal of Inequalities and Applications 2013, 2013:455 Page 8 of 11 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Now, we show that (x,y) is a solution of (.). Since Ei is reflexive and {JN(·,yλ)
λ
xλ}λ→
and {JN(xλ,·)
λ
yλ}λ→are bounded, there exist λn > (n = ,,...) such that λn →and
J
N(·,yλn)
λn
xλn ⇀z, J
N(xλn,·)
λn
yλn ⇀zfor some (z,z) ∈E× E. Let w′
λn = f– J
N(·,yλn)
λn
xλn ∈
M(h(xλn),g(xλn)), w′′
λn = f– J
N(xλn,·)
λn
yλn ∈M(h(xλn),g(yλn)). Then w′
λn ⇀w, w′′
λn ⇀
wfor some (w,w) ∈E× E. Since N(·,y), N(x,·) (∀(x,y) ∈E× E), Ti and Mi(hi(·),
g(·)) (i = ,) are demiclosed (see Proposition .()), we have that x ∈E= D
N(·,y)
∩D
M
h(·),g(·)
,
y ∈E= D
N(x,·)
∩D
M
h(·),g(·)
,
z∈N(·,y)x = N(x,y) = Tx + F(x,y),
z∈N(x,·)y = N(x,y) = Ty + F(x,y),
w∈M
h(x),g(x)
and
w∈M
h(y), Therefore, f= z+ w∈Tx + F(x,y) + M
h(x),g(x)
,
f= z+ w∈Ty + F(x,y) + M
h(y),g(y)
. Finally, we show the uniqueness of solutions. Let (x,y) and (x,y) be two solutions of
Problem (.). Let u ∈Tx, u∈Tx, w ∈M(h(x),g(x)), w∈M(h(x),g(x)) such that f= u + F(x,y) + w,
f= u+ F(x,y) + w. Then by accretiveness of Mi and Ti, we have that Then by accretiveness of Mi and Ti, we have that =
f– f,j(x – x)
=
u + F(x,y) + w – u– F(x,y) – w,j(x – x)
≥
F(x,y) – F(x,y),j(x – x)
=
F(x,y) – F(x,y),j(x – x)
+
F(x,y) – F(x,y),j(x – x)
≥α∥x – x∥–
F(x,y) – F(x,y)
∥x – x∥
≥α∥x – x∥– s∥y – y∥∥x – x∥. That is, ∥x – x∥≤s
α
∥y – y∥. (.) ∥x – x∥≤s
α
∥y – y∥. (.) Let v ∈Ty, v∈Ty, z ∈M(h(y),g(y)), z∈M(h(y),g(y)) such that f= v + F(x,y) + w, f= v+ F(x,y) + w. then Problem (.) has a unique solution. Proof It suffices to show that {JN(·,yλ)
λ
xλ}λ→and {JN(xλ,·)
λ
yλ}λ→in Theorem .are
bounded. Because {xλ} and {yλ} are bounded, therefore, there exists Ri > (i = ,) such
that for λ in (.), ∥xλ∥≤Rand ∥yλ∥≤R. By Proposition .() and (.), JN(·,yλ)
λ
xλ
≤
N(xλ,yλ)
=
Txλ + F(xλ,yλ)
= inf
∥u∥: u = u+ F(xλ,yλ) ∈Txλ + F(xλ,yλ)
= inf
u+ F(xλ,yλ)
: u∈Txλ
≤inf
∥u∥: u∈Txλ
+
F(xλ,yλ)
= |Txλ| +
F(xλ,yλ)
≤L
M
h(xλ),g(xλ)
+
F(xλ,yλ)
+ a; ≤L
M
h(xλ),g(xλ)
+
F(xλ,yλ)
+ a;
(.) ≤L
M
h(xλ),g(xλ)
+
F(xλ,yλ)
+ a;
(.) Similarly, by Proposition .() and (.), we get that Similarly, by Proposition .() and (.), we get that JN(xλ,·)
λ
yλ
≤L
M
h(yλ),g(yλ)
+
F(xλ,yλ)
+ a. (.) JN(xλ,·)
λ
yλ
≤L
M
h(yλ),g(yλ)
+
F(xλ,yλ)
+ a. (.)
y () JN(xλ,·)
λ
yλ
≤L
M
h(yλ),g(yλ)
+
F(xλ,yλ)
+ a. (.)
By (.), By (.), By (.), M
h(xλ),g(xλ)
≤∥f∥+
JN(·,yλ)
λ
xλ
,
(.)
M
h(yλ),g(yλ)
≤∥f∥+
JN(xλ,·)
λ
yλ
. (.) Therefore, from (.)-(.), it follows that Therefore, from (.)-(.), it follows that Therefore, from (.)-(.), it follows that Therefore, from (.)-(.), it follows that JN(·,yλ)
λ
xλ
≤
L
– L
∥f∥+
– L
F(xλ,yλ)
+
a
– L
,
(.)
JN(xλ,·)
λ
yλ
≤
L
– L
∥f∥+
– L
F(xλ,yλ)
+
a
– L
. (.) (.) (.) Since Fi (i = ,) is uniformly continuous, Fi map bounded set in E× Eto bounded
set. Hence, (.) and (.) imply that {JN(·,yλ)
λ
xλ}λ→and {JN(xλ,·)
λ
yλ}λ→are bounded. □ Since Fi (i = ,) is uniformly continuous, Fi map bounded set in E× Eto bounded
set. Hence, (.) and (.) imply that {JN(·,yλ)
λ
xλ}λ→and {JN(xλ,·)
λ
yλ}λ→are bounded. □ Cao Journal of Inequalities and Applications 2013, 2013:455 Page 10 of 11 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 Theorem .Suppose that Ei, Ti, Mi, hi, gi, Fi and fi (i = ,) are the same as in Theo-
rem .. then Problem (.) has a unique solution. If for any Ri > , there exists bounded functional Bi : E× E→ℜ+ (i.e., Bi map a
bounded set in E× Eto a bounded set in ℜ+) such that for [x,z] ∈Graph(M(h(·),g(·))),
[y,w] ∈Graph(M(h(·),g(·))) and λ > ,
z,jJN(·,y)
λ
x
≥–B(x,y),
(.)
w,jJN(x,·)
λ
y
≥–B(x,y),
∥x∥≤R,∥y∥≤R
(.) (.) (.) for x ∈E, ∥x∥≤R, y ∈E, ∥y∥≤R, then Problem (.) has a unique solution. x ∈E, ∥x∥≤R, y ∈E, ∥y∥≤R, then Problem (.) has a unique solution. Proof It suffices to show that {JN(·,yλ)
λ
xλ}λ→and {JN(xλ,·)
λ
yλ}λ→are bounded. Since
{xλ}λ→and {yλ}λ→are bounded, then by (.), for uλ ∈M(h(·),g(·))xλ, ∥f∥
JN(·,yλ)
λ
xλ
≥
f,jJN(·,yλ)
λ
xλ
=
JN(·,yλ)
λ
xλ + uλ,jJN(·,yλ)
λ
xλ
=
JN(·,yλ)
λ
xλ
+
uλ,jJN(·,yλ)
λ
xλ
≥
JN(·,yλ)
λ
xλ
– B(xλ,yλ), which implies that ∥JN(·,yλ)
λ
xλ∥≤(B(xλ,yλ) +
∥f∥)
+ ∥f∥
. Similarly, ∥JN(xλ,·)
λ
yλ∥≤
(B(xλ,yλ))
+
∥f∥. This completes the proof of Theorem .. □ 3 Conclusion and future perspective Two of the most difficult and important problems in variation inclusions are the estab-
lishment of system of variational inclusions and the development of an efficient numerical
methods. A new system of generalized variational inclusions in the Banach space under
the assumption with no continuousness is introduced, and some existence and unique-
ness theorems of solutions for this kind of system of generalized variational inclusions are
proved by using the Yosida approximation technique for m-accretive operator. More approaches [–], which have been applied in variational inequalities, could be
manipulated in variational inclusions. We will make further research to solve this kind of
system of generalized variational inclusions by using extragradient method and implicit
iterative methods. Competing interests
Th
h
d
l
h Competing interests
The author declares that they have no competing interests. Acknowledgements g
The author thanks for the guidance and support my supervisor Prof. Li-Wei Liu who taught at the department of
mathematics in Nanchang university. The author thanks the anonymous referees for reading this paper carefully,
providing valuable suggestions and comments. The work was supported by the National Science Foundation of China
(No. 10561007) and the Youth Science Foundation of Jiangxi Provincial Department of Science and Technology
(No. 20122BAB211021). Received: 18 May 2013 Accepted: 26 September 2013 Published: 07 Nov 2013 2. Kazmi, KR, Khan, FA: Iterative approximation of a unique solution of a sys
q-uniformly smooth Banach spaces. Nonlinear Anal. 67, 917-929 (2007) References e e e ces
1. Kazmi, KR, Khan, FA, Shahzad, M: A system of generalized variational inclusions involving generalized H(·,·)-accretive
mapping in real uniformly smooth Banach spaces. Appl. Math. Comput. 217, 9679-9688 (2011) 1. Kazmi, KR, Khan, FA, Shahzad, M: A system of generalized variational inclusions involving generalized H(·,·)-accretive
mapping in real uniformly smooth Banach spaces. Appl. Math. Comput. 217, 9679-9688 (2011) pp g
y
p
pp
p
2. Kazmi, KR, Khan, FA: Iterative approximation of a unique solution of a system of variational-like inclusions in real 2. Kazmi, KR, Khan, FA: Iterative approximation of a unique solution of a sys
q-uniformly smooth Banach spaces. Nonlinear Anal. 67, 917-929 (2007) 3. Verma, RU: General system of A-monotone nonlinear variational inclusion problems with applications. J. Optim. Theory Appl. 131(1), 151-157 (2006) 4. Verma, RU: General nonlinear variational inclusions problems involving A-monotone mapping. Appl. Math. Lett. 19,
960-963 (2006) Page 11 of 11 Cao Journal of Inequalities and Applications 2013, 2013:455
http://www.journalofinequalitiesandapplications.com/content/2013/1/455 http://www.journalofinequalitiesandapplications.com/content/2013/1/455 5. Fang, YP, Huang, NJ: Iterative algorithm for a system of variational inclusions involving H-accretive operators in
Banach spaces. Acta Math. Hung. 108(3), 183-195 (2005) 5. Fang, YP, Huang, NJ: Iterative algorithm for a system of variational inclusions involving H-accretive operators in
Banach spaces. Acta Math. Hung. 108(3), 183-195 (2005) Banach spaces. Acta Math. Hung. 108(3), 183-195 (2005) 6. Zeng, LC, Guo, SM, Yao, JC: Characterization of H-monotone operators with applications to variational inclusions. Comput. Math. Appl. 50, 329-337 (2005) 6. Zeng, LC, Guo, SM, Yao, JC: Characterization of H-monotone Comput. Math. Appl. 50, 329-337 (2005) p
pp
7. Noor, MA, Huang, Z: Some resolvent iterative methods for variational inclusion and nonexpansive mappings. Appl. Math. Comput. 194, 267-275 (2007) 7. Noor, MA, Huang, Z: Some resolvent iterative methods for var Math. Comput. 194, 267-275 (2007) p
8. Barbu, V: Nonlinear Semigroups and Differential Equations in Banach Spaces. International publishing, Leyden (1976) 9. Browder, FE: Nonlinear Operator and Nonlinear Equations of Evolution in Banach Spaces. Am. Math. Soc., Providence
(1976) 10. Lakshmikantham, V, Leela, S: Nonlinear Differential Equations in Abstract Spaces. Pergamon Press, Oxford (1981)
11
K b
hi Y Diff
i
ti
f C
h
bl
f
i di i
ti
t
d
ti
f 10. Lakshmikantham, V, Leela, S: Nonlinear Differential Equations in Abstract Spaces. Pergamon Press, Oxford (1981)
11. Kobayashi, Y: Difference approximation of Cauchy problems for quasi-dissipative operators and generation of
nonlinear semigroups. J. Math. Soc. 10.1186/1029-242X-2013-455
Cite this article as: Cao: Yosida approximation equations technique for system of generalized set-valued variational
inclusions. Journal of Inequalities and Applications 2013, 2013:455 References Jpn. 27, 640-665 (1975) g
p
p
,
(
)
12. Cao, HW: Sensitivity analysis for a system of generalized nonlinear mixed quasi-variational inclusions with g
p
p
12. Cao, HW: Sensitivity analysis for a system of generalized nonlinear mixed quasi-variational inclusions with
H-monotone operators. J. Appl. Math. (2011). doi:10.1155/2011/921835 13. Yao, Y, Noor, MA, Liou, YC: Strong convergence of a modified extra-gradient method to the minimum-norm solution
of variational inequalities. Abstr. Appl. Anal. (2012). doi:10.1155/2012/817436 14. Yao, Y, Liou, YC, Li, CL, Lin, HT: Extended extra-gradient methods for generalized variational inequalities. J. Appl. Math. (2012). doi:10.1155/2012/237083 15. Noor, MA, Noor, KI, Huang, Z, Al-said, E: Implicit schemes for solving extended general nonconvex variational
inequalities. J. Appl. Math. (2012). doi:10.1155/2012/646259 10.1186/1029-242X-2013-455
Cite this article as: Cao: Yosida approximation equations technique for system of generalized set-valued variational
inclusions. Journal of Inequalities and Applications 2013, 2013:455
|
https://openalex.org/W4226336026
|
https://jyx.jyu.fi/bitstream/123456789/83726/1/parkkilaym2810.pdf
|
English
| null |
New constraints for QCD matter from improved Bayesian parameter estimation in heavy-ion collisions at LHC
|
Physics letters. B
| 2,022
|
cc-by
| 8,856
|
This is a self-archived version of an original article. This version
may differ from the original in pagination and typographic details. Author(s): Parkkila, J. E.; Onnerstad, A.; Taghavi, S. F.; Mordasini, C.; Bilandzic, A.; Virta, M.;
Kim, D. J. Author(s): Parkkila, J. E.; Onnerstad, A.; Taghavi, S. F.; Mordasini, C.; Bilandzic, A.; Virta, M.;
Kim, D. J. Title: New constraints for QCD matter from improved Bayesian parameter estimation in
heavy-ion collisions at LHC This is a self-archived version of an original article. This version
may differ from the original in pagination and typographic details.
Author(s): Parkkila, J. E.; Onnerstad, A.; Taghavi, S. F.; Mordasini, C.; Bilandzic, A.; Virta, M.;
Kim, D. J. This is a self-archived version of an original article. This version
may differ from the original in pagination and typographic details. Author(s): Parkkila, J. E.; Onnerstad, A.; Taghavi, S. F.; Mordasini, C.; Bilandzic, A.; Virta, M.;
Kim, D. J. This is a self-archived version of an original article. This version
may differ from the original in pagination and typographic details. Author(s): Parkkila, J. E.; Onnerstad, A.; Taghavi, S. F.; Mordasini, C.; Bilandzic, A.; Virta, M.;
Kim, D. J. 1. Introduction To this date, the number of free parameters (including tempera-
ture-dependent η/s(T) and ζ/s(T)) in a typical multi-stage heavy-
ion collision model ranges from 10 to 20. Considering only few
of these parameters can be estimated theoretically, they must be
extracted from the experimental observations, e.g., particle yields,
anisotropy in final particle distribution in momentum space, par-
ticle mean transverse momentum, etc. [12–14]. The free param-
eters usually have a complex relationship with the experimental
observables, such that inferring the parameter values from the
experimental data is not an easy task. In this respect, a substan-
tial progress has happened in recent years by employing Bayesian
analysis. In addition to the seminal works in Refs. [15–18,5] on
applying the Bayesian analysis in heavy-ion physics, other studies
have been done in which few extra experimental observables are
employed to infer the parameters and/or few variations of multi-
stage models are considered [19–22]. The experiments utilizing ultra-relativistic heavy-ion collisions
(HIC) play an important role in understanding many-body Quan-
tum Chromodynamics (QCD). The high center-of-mass energy of
heavy-ion collisions at the Relativistic Heavy Ion Collider (RHIC)
and Large Hadron Collider (LHC) liberates the confined quarks and
gluons inside nuclei to form a medium called quark-gluon plasma
(QGP) [1–4]. In the past years, phenomenological multi-stage mod-
els (containing initial, pre-equilibrium, QGP, hadron gas stages)
have given a solid description of heavy-ion physics. In particular,
the QGP stage is successfully explained by causal relativistic hydro-
dynamics with two first-order transport coefficients, namely the
shear and bulk viscosity over entropy density (η/s and ζ/s, respec-
tively). The comparison of model predictions with measurements
indicates that the experimental data favor small values for η/s and
ζ/s, which implies that the produced QGP in HIC is considered
the most perfect fluid observed in nature [5]. The formed QGP is
in the strongly coupled regime, in which the applications of the
perturbative techniques are limited. On the other hand, the non-
perturbative techniques (i.e. gauge/gravity duality and lattice QCD)
are restricted to specific scenarios [6–11]. Consequently, accurate Among the possible experimental observables, some of them
are more sensitive to the properties of the system controlling the
details of its collective evolution. For instance, it has been demon-
strated that symmetric cumulants (see Ref. [23]) are sensitive to
η/s(T) [24,25]. a r t i c l e
i n f o Article history:
Received 4 March 2022
Received in revised form 15 September
2022
Accepted 3 October 2022
Available online 6 October 2022
Editor: J.-P. Blaizot The transport properties of quark-gluon plasma created in relativistic heavy-ion collisions are quantified
by an improved global Bayesian analysis using the CERN Large Hadron Collider Pb–Pb data at √sNN =
2.76 and 5.02 TeV. The results show that the uncertainty of the extracted transport coefficients is
significantly reduced by including new sophisticated collective flow observables from two collision
energies for the first time. This work reveals the stronger temperature dependence of specific shear
viscosity, a lower value of specific bulk viscosity, and a higher hadronization switching temperature than
in the previous studies. The sensitivity analysis confirms that the precision measurements of higher-order
harmonic flow and their correlations are crucial in extracting accurate values of the transport properties. © 2022 The Author(s). Published by Elsevier B.V. This is an open access article under the CC BY license
(http://creativecommons.org/licenses/by/4.0/). Funded by SCOAP3. experimental measurements to constrain these quantities are cru-
cial to deepen our understanding of QCD. New constraints for QCD matter from improved Bayesian parameter
estimation in heavy-ion collisions at LHC New constraints for QCD matter from improved Bayesian parameter
estimation in heavy-ion collisions at LHC a University of Jyväskylä, Department of Physics, P.O. Box 35, FI-40014 University of Jyväskylä, Finland
b Helsinki Institute of Physics, P.O.Box 64, FI-00014 University of Helsinki, Finland
c CERN, Experimental Physics Department, Geneva, Switzerland
d Physik Department, Technische Universität München, Munich, Germany a University of Jyväskylä, Department of Physics, P.O. Box 35, FI-40014 University of Jyväskylä, Finland
b Helsinki Institute of Physics, P.O.Box 64, FI-00014 University of Helsinki, Finland
c CERN, Experimental Physics Department, Geneva, Switzerland
d Physik Department, Technische Universität München, Munich, Germany d Physik Department, Technische Universität München, Munich, Germany Contents lists available at ScienceDirect Contents lists available at ScienceDirect * Corresponding authors.
E-mail addresses: s.f.taghavi@tum.de (S.F. Taghavi), dong.jo.kim@jyu.fi(D.J. Kim).
imental observables used to quantify the anisotropic flow, which
is one of the most informative experimental probes in heavy-
ion physics (see also Refs. [26–34]). In this letter, we start with
https://doi.org/10.1016/j.physletb.2022.137485
0370-2693/© 2022 The Author(s). Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). Funded by
SCOAP3. Please cite the original version: Parkkila, J. E., Onnerstad, A., Taghavi, S. F., Mordasini, C., Bilandzic, A., Virta, M., & Kim, D. J. (2022). New constraints for QCD matter from improved Bayesian parameter estimation in
heavy-ion collisions at LHC. Physics Letters B, 835, Article 137485. https://doi.org/10.1016/j.physletb.2022.137485 Parkkila, J. E., Onnerstad, A., Taghavi, S. F., Mordasini, C., Bilandzic, A., Virta, M., & Kim, D. J. (2022). New constraints for QCD matter from improved Bayesian parameter estimation in
heavy-ion collisions at LHC. Physics Letters B, 835, Article 137485. https://doi.org/10.1016/j.physletb.2022.137485 Physics Letters B 835 (2022) 137485 shed by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). Funded by 2. Model parameters, experimental observables and Bayesian
analysis approach In the present study, different matter evolution stages are mod-
eled similarly to that in Refs. [5,40]. In the following, we briefly
explain the model employed for each stage and highlight their
main parameters g
p
The Bayesian analysis is a powerful tool to obtain the model
parameters from the experimental measurements. In the following,
we briefly explain its main steps and refer the reader to Ref. [18]
for more details. We represent a generic set of the model pa-
rameters and output observables by vectors ⃗x and ⃗y, respectively. Considering we have poor knowledge about the free parameters
initially, our degree of belief on the parameter values is encoded
into a uniform prior distribution P(⃗x) in intervals defined in Ta-
ble 1. According to the Bayes’ theorem, the updated degree of
belief in the light of experimental data (posterior distribution) is
given by P(⃗x|⃗y) ∝P(⃗y|⃗x)P(⃗x). The probability P(⃗y|⃗x), the likeli-
hood, is obtained by probing the parameter space ⃗x and comparing
it with experimental measurements ⃗y. Markov Chain Monte Carlo
(MCMC) method is employed to probe the parameter phase space
to obtain the posterior distribution via Bayes’s theorem. Given that
heavy-ion models are computationally expensive, instead of using
the model directly, the computations are done on 500 parameter
design points distributed with Latin hypercube scheme [49,50]. At
each designed point, 3 × 106 events are generated for the 5.02 TeV
collision energy, and 5 × 106 for the 2.76 TeV, including the ten
samples of the hypersurface. The Gaussian process (GP) is used to
emulate the model in a continuous parameter phase space. The
predictions in between the design points have been validated. Initial state: For the initial state of the Pb–Pb collisions, the
TRENTo model is employed [41]. Considering nucleons are dis-
tributed inside the Pb nucleus with Woods-Saxon distribution, it
is assumed two nucleons have a minimum distance dmin. The bi-
nary collision of two nucleons from the target and projectile nuclei
is determined by using the inelastic nucleon-nucleon cross-section,
depending on the beam energy scale [42,43]. The deposited energy
of each participant is modeled by a Gaussian distribution with w,
the width of the distribution. To find the total participant density,
the sum of the distribution of each nucleon is calculated when
they are weighted by a random number generated with a gamma
distribution with unit mean and standard deviation σk. 1. Introduction As our main result, we report an improved
estimation for η/s(T) and ζ/s(T) as well as the improved sensi-
tivity of the anisotropic flow estimations to the model parameters. Hadronic medium evolution: After the collective expansion and
cooling down, the partonic degrees of freedom turn into hadrons. We assume that changing from partroic to hadronic description
happens at the switching temperature Tswitch. A particlization
model based on the Cooper-Frye prescription [46,18] models this
process. The evolution in the hadron gas continues with the
UrQMD model. [47,48]. We have summarized the 15 different parameters of the model
in Table 1 with their corresponding prior range, the optimal MAP-
value (Maximum A Posteriori), as well as a short description. The
only difference of our setup compared to Ref. [5] is that one com-
mon centrality definition is shared between all prior parametriza-
tions, unlike in Ref. [5], where the centrality was defined individ-
ually for each parametrization by sorting the resulting events into
centrality bins. However, our initial condition prior range is nar-
row, and we do not expect to see large multiplicity variations that
would cause bias due to shared centrality definition. Furthermore,
for each event, we sample the hypersurface exactly ten times re-
gardless of the cumulative number of particles. 2. Model parameters, experimental observables and Bayesian
analysis approach The latter
parameter provides a handle to control the final multiplicity fluc-
tuation. The normalization factor N controls the total amount of
energy deposited in the collision. After integrating out the longi-
tudinal direction of the participant energy density along the beam
axis, the participant’s thickness function, T A,B, is obtained. The de-
posited initial energy density in the collision region is eventually
modeled via (T p
A + T p
B)1/p where p is another free parameter. The
values of this parameter in the range [−1, 1] mimic the behavior
of different ab initio initial state models, namely IP-Glasma [44,45]. For instance, it turns out that TRENTo with p ≈0 behaves similar
to IP-Glasma [17]. The following measurements from ALICE experiment have been
used in Ref. [5]: centrality dependence of charged and identi-
fied particles yields dN/dy, mean transverse momentum ⟨pT⟩[51–
55], as well as two-particle anisotropic flow coefficients vn{2}
for harmonics n = 2, 3, and 4 [14,56]. In the present study,
besides the recent measurements for identified particle yields
and ⟨pT⟩at √sNN = 5.02 TeV [39,38] that have not been used
in the previous study, we employ latest measurements related
to the anisotropic flow: two-particle anisotropic flow coefficients
vn{2} for n = 5, ..., 9 [56,57,37], normalized symmetric cumulants
NSC(k, ℓ) [24,25,35], and flow mode couplings χn,mk [58,37]. In a
previous study in Ref. [40], only measurements at √sNN = 5.02 TeV
have been considered, while measurements from both collision
energies √sNN = 2.76 TeV and 5.02 TeV are implemented into
this analysis. In particular, the latest measurements of the gen-
eralized normalized symmetric cumulants NSC(k, ℓ, m) at √sNN =
2.76 TeV [36] are included. Pre-equilibrium: The initial energy density at the initial state
level is highly anisotropic locally. Considering the evolution at this
stage has no significant dynamics in the transverse direction, the
initial energy density is transported via free-streaming until time
τfs. At this time, Landau matching is employed to initiate the
energy-momentum tensor for hydrodynamic calculations. Viscous hydrodynamics: After the pre-equilibrium stage, the
energy-momentum tensor is passed to VISH2+1, a 2+1 viscous
relativistic hydrodynamic model [68,69]. 1. Introduction These quantities belong to a larger class of exper-
imental observables used to quantify the anisotropic flow, which
is one of the most informative experimental probes in heavy-
ion physics (see also Refs. [26–34]). In this letter, we start with J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Physics Letters B 835 (2022) 137485 (ζ/s)(T) =
(ζ/s)max
1 +
T−(ζ/s)Tpeak
(ζ/s)width
2 . (2) (2) the same multi-stage model as in Ref. [5], but in contrast to the
observables used in that work, we employ the new observables
that were measured only recently by ALICE experiment in Pb–
Pb collisions at two collision energies to increase our sensitivity
to hydrodynamic transport coefficients η/s and ζ/s. To this end,
we include symmetric cumulants [24,25,35], generalized symmet-
ric cumulants [36], and flow harmonic mode couplings [37] as
the input in our Bayesian analysis. The experimental measure-
ments for particle yields and particle mean transverse momentum
at √sNN = 5.02 TeV [38,39] are added to increase our sensitivity on
the collision energy dependence of the model. We employ identical
methods in extracting the observables of interest from the output
of simulations to the ones which were used in the corresponding
experimental measurements, in order to avoid any incompatibil-
ities in comparison. As our main result, we report an improved
estimation for η/s(T) and ζ/s(T) as well as the improved sensi-
tivity of the anisotropic flow estimations to the model parameters. the same multi-stage model as in Ref. [5], but in contrast to the
observables used in that work, we employ the new observables
that were measured only recently by ALICE experiment in Pb–
Pb collisions at two collision energies to increase our sensitivity
to hydrodynamic transport coefficients η/s and ζ/s. To this end,
we include symmetric cumulants [24,25,35], generalized symmet-
ric cumulants [36], and flow harmonic mode couplings [37] as
the input in our Bayesian analysis. The experimental measure-
ments for particle yields and particle mean transverse momentum
at √sNN = 5.02 TeV [38,39] are added to increase our sensitivity on
the collision energy dependence of the model. We employ identical
methods in extracting the observables of interest from the output
of simulations to the ones which were used in the corresponding
experimental measurements, in order to avoid any incompatibil-
ities in comparison. 3. Results and discussion After finding the posterior distribution P(⃗x|⃗y), we extract those
values of ⃗x that maximize the distribution (MAP values). In Fig. 1,
the model predictions for observables related to the anisotropic
flow are compared with the measurements. As seen from the fig-
ure, the overall trend of the data is captured by the model. The
observables indicate a different dependence on the collision en-
ergy in the simulation than experimental measurements. The dif-
ference between two energies is clearly visible in the centrality
dependence of v2, where the predictions for most central col-
lisions are significantly larger than for peripheral collisions. The
experimental measurements for v2{2}(5.02 TeV)/v2{2}(2.76 TeV)
(black filled markers in the ratio panel) are compatible with unity
in a wide range of centrality classes, while the simulation (black
curve in the same panel) reaches 25% above unity in some central-
ities. The ALICE measurement reveals a sign change for NSC(4, 3)
at √sNN = 5.02 TeV in central collisions, while there is no sign
change in √sNN = 2.76 TeV measurement. We do not observe such
a collision energy-dependent behavior in the simulation. One notes
that the only collision energy-dependent part of the model is con-
sidered to be the overall initial energy density normalization. The
simulation also fails to explain data at peripheral collisions for
NSC(4, 2). All results considered, the higher energy description is
found to be worse for all observables, except for v5, χ6,222, and proton, pion and charged particle multiplicity based on the same
χ 2-test performed in [40]. Switching temperature, Tswitch, is the temperature at which
we switch the description of the medium from relativistic hy-
drodynamics to a transport model of hadrons. Including the new
observables raises the previous estimation for Tswitch around 5%
from 0.152(3) MeV reported in Ref. [5] to 0.159(5) MeV. The lat-
tice QCD study for the QCD phase diagram shows a crossover
transition from high temperature QGP phase to low temperature
hadronic phase at low baryonic densities [59]. Although the ther-
modynamic variables vary continuously, they rapidly change in the
range 145 MeV ≤Tc ≤163 MeV [60]. For the hydrodynamic cal-
culations in this study, an equation of state has been employed
that consists of lattice QCD calculations of HotQCD collaboration
smoothly connected to the hadron resonance gas calculation at
lower temperatures (see the details in Ref. [18]). This equation of
state is compatible with Tc range [2]. 2. Model parameters, experimental observables and Bayesian
analysis approach The temperature depen-
dence of shear and bulk viscosities over entropy density is param-
eterized as the following: (η/s)(T) = (η/s)(T0) + (η/s)slope(T −T0)
T
T0
(η/s)curve
,
(1) (1) The methods used for the calculations of the observables are
the same as the experimental analysis in Refs. [24,57,37,35]. In
order to obtain internally consistent comparison, the centrality and 2 Physics Letters B 835 (2022) 137485 J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Fig. 1. Flow coefficients vn and normalized symmetric cumulants (NSC(k, l) and
NSC(k, l, m)) from two hydrodynamical calculations using the MAP parametrization
are compared to the experimental data [37,35]. The red band corresponds to the
calculations at the collision energy of √sNN = 5.02 TeV, while the yellow band
presents the results at √sNN = 2.76 TeV. The corresponding ratio between the data
and calculation for the respective collision energies is shown for the vn. Here, the
black markers and black lines are the ratio between the two collision energy results,
for data and calculations, respectively. classes for this study were chosen in such a way that they match
the centrality classes of the experimental data. The multiplicity
range has to be defined for each centrality class. This is done by
using the MAP parametrization from [5] to simulate events and se-
lect the resulting minimum bias events by charged-particle multi-
plicity dN/dη at midrapidity (|η| < 0.5). By counting and averaging
the particle species at midrapidity, we could evaluate the iden-
tified particle multiplicity dN/dη and ⟨pT⟩. For the experimental
data there is no additional processing required for the preparation
of the comparison, since it is already corrected and extrapolated to
zero pT [13]. Our model only reproduces the spectra of protons for
the identified dN/dη, hence they were the only species used for
the model calibration. With this information we can calculate the
flow coefficients and other observables for charged particles within
the acceptance of the ALICE detector, using the same methods as
in [37,35]. As it is mentioned before, a uniform prior distribution is con-
sidered for the parameters. Since the new observables included
in this study should be more sensitive to the transport coeffi-
cients, we assume that the parameters of the initial state model
are uniformly distributed around the MAP values found in Ref. [5]. A narrow range of variations is allowed for further minor adjust-
ments. Fig. 1. 2. Model parameters, experimental observables and Bayesian
analysis approach Flow coefficients vn and normalized symmetric cumulants (NSC(k, l) and
NSC(k, l, m)) from two hydrodynamical calculations using the MAP parametrization
are compared to the experimental data [37,35]. The red band corresponds to the
calculations at the collision energy of √sNN = 5.02 TeV, while the yellow band
presents the results at √sNN = 2.76 TeV. The corresponding ratio between the data
and calculation for the respective collision energies is shown for the vn. Here, the
black markers and black lines are the ratio between the two collision energy results,
for data and calculations, respectively. 3. Results and discussion One notes that the switching
between the description of the medium from relativistic hydrody-
namics to the Boltzmann transport model happens sharply in our
model at Tswitch at which one expects the co-existence of both par- 3 J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Physics Letters B 835 (2022) 137485 Fig. 2. Charged and identified particle multiplicity and ⟨pT⟩from two hydrodynami-
cal calculations are compared to the experimental data at center-of-mass energy of
2.76 and 5.02 TeV. ζ/s(T). As it is mentioned earlier, the symmetric cumulants are
sensitive to the temperature dependence of η/s. Our new observa-
tion in ζ/s(T) uncertainty improvement indicates that the newly
added anisotropic flow observables including normalized symmet-
ric cumulants are sensitive to the temperature dependence of ζ/s
as well. In the following, we study the parameter sensitivity more
systematically. y
y
To compare the sensitivity of the observables with each other,
we follow Refs. [22,65] and define the sensitivity of an observ-
able ˆO
to the parameter x j via S[x j] = | ˆO(⃗x′) −ˆO(⃗x)|/δ ˆO(⃗x)
where ˆO(⃗x) is the value of the observable at the parameter point
⃗x = (x1, ..., xp). The quantity ⃗x′ is a point in the parameter space
with a small difference in a single parameter x j, ⃗x′ = (x1, ..., (1 +
δ)x j, ..., xp). The small quantity δ is chosen to be equal to 0.1. We have found that the larger values for δ lead to similar re-
sults. The result is depicted in Fig. 4. As seen from the figure,
compared to the other observables, the normalized symmetric cu-
mulants NSC(k, ℓ) and the generalized normalized symmetric cu-
mulants NSC(k, ℓ, m) are very sensitive to the values of transport
coefficient parameters. This result is more general and more quan-
titative evidence of what has been observed in Refs. [24,25] for
the sensitivity of SC(k, ℓ) to η/s. Here, we indicate that NSC ob-
servables are sensitive to both η/s and ζ/s. An interesting feature
that we immediately recognize from Fig. 4 is that by considering
the higher harmonics and higher-order cumulants, the shear and
bulk viscosity parameters modifications reveal more drastic change
on the observables. For temperature-independent η/s, it has been
shown that higher harmonics have more sensitivity to η/s modi-
fication [66,63]. This study has been generalized to temperature-
dependent η/s for v2 and v3 by Gardim and Ollitrault [67]. 3. Results and discussion The
effect can be understood as follows: the higher harmonics cap-
ture finer details of initial state energy density structures. The
dissipation effects should wash out the finer structures during hy-
drodynamic evolution. As a result, small changes in the value of
η/s and ζ/s affect the higher harmonic observables more drasti-
cally. The high sensitivity of NSCs cannot be merely due to high
harmonic flow coefficients, since the mode coupling observables
contain the same harmonics but show less sensitivity. We deduce
that the genuine correlations between flow amplitudes vn, cap-
tured by NSCs, are particularly sensitive to the transport properties
of the medium. Fig. 2. Charged and identified particle multiplicity and ⟨pT⟩from two hydrodynami-
cal calculations are compared to the experimental data at center-of-mass energy of
2.76 and 5.02 TeV. Fig. 3. The 90%-credibility region for the shear (top) and bulk (bottom) viscosity to
entropy ratio is given as a red band. The black line represents the median of the
credibility range. Our result is compared to the MAP parametrization from [40], for
which the calibration was performed using 5.02 TeV data only. Fig. 3. The 90%-credibility region for the shear (top) and bulk (bottom) viscosity to
entropy ratio is given as a red band. The black line represents the median of the
credibility range. Our result is compared to the MAP parametrization from [40], for
which the calibration was performed using 5.02 TeV data only. tonic and hadronic degrees of freedom. Considering the different
interpretation of Tswitch and Tc, one however, expects that Tswitch
to be in a reasonable vicinity of Tc. The prior range of Tswitch in
both Ref. [5] and ours study is chosen to be [0.135, 0.165] MeV,
which is slightly larger than the Tc range. Both analyses return
Tswitch inside the Tc range up to one sigma credibility. It has been discussed in Refs. [57,58,37] that the newly added
anisotropic flow observables, mode couplings and correlation be-
tween harmonics are sensitive to the viscous corrections to the
equilibrium distribution at the freeze-out [61–64]. The centrality
dependence of charged and identified particle yields and ⟨pT⟩is
shown in Fig. 2. The model predictions with MAP parametrization
are shown by red and blue curves for the center-of-mass energies
of 2.76 TeV and 5.02 TeV, respectively. 3. Results and discussion As seen from the figure,
the simulation does not lead to an accurate prediction for charged
and identified particle yields for both energies. For particle yields,
the predictions and measurements are in better agreement at the
center-of-mass energy 5.02 TeV. Together with what has been ob-
served for v2{2} measurements at central collisions, these discrep-
ancies can be considered as evidence that we need a revision on
our understanding about the model collision energy dependence. 4. Summary Building on the previous studies, we employed the latest mea-
surements of higher harmonics, higher-order flow fluctuation ob-
servables as inputs into a Bayesian analysis. The present study
indicated that these observables are sensitive to the transport co-
efficients and revealed the importance of the precision measure-
ments of these observables to infer the hydrodynamic transport
coefficients accurately. Including the latest flow harmonic mea-
surements, we have improved the uncertainty of estimated val-
ues for η/s and ζ/s. Despite using the new observables as in-
puts to extract model parameters, there are remaining discrep-
ancies between model and experimental measurements. For in-
stance, NSC(4,2) model prediction is improved in our new analysis,
but it still deviates from measurements at higher centralities. At
√sNN = 5.02 TeV, the sign change of NSC(4,3) in the lower cen-
tralities is not reproduced neither in Ref. [5] nor in our study. Further investigations are needed in this respect. These discrep-
ancies, together with poor model/data compatibility for the energy
scale dependence of v2{2} at central collisions and also the parti-
cle yields, show the necessity to improve our understanding of the
heavy-ion collision models. In Fig. 3, the temperature dependence of η/s and ζ/s are pre-
sented. The result for η/s(T) agrees with that reported in Ref. [5]. Compared to the previous analysis with √sNN = 5.02 TeV data
only [40], an improvement in the uncertainty of η/s(T) is ob-
served. Moreover, this parameter shows a stronger temperature
dependence than in the previous study, meaning we observe a
more substantial departure from the lower bound 1/4π. We also
find higher mean values for ζ/s(T). Including both 2.76 TeV and
5.02 TeV center-of-mass energy data improves the uncertainty of 4 J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Physics Letters B 835 (2022) 137485
Fig. 4. Sensitivity of the observables to the model parameters visualized as a color map. The asterisk (∗) for an observable indicates that the sensitivity was evaluated using
2.76 TeV calculations, whereas the rest are evaluated using 5.02 TeV calculations. The sensitivity index is averaged over four centrality classes, from 5% to 40%, except for
NSC(k, l, m), for which only one centrality class 20-30% is used. Light yellow shades represent a very limited sensitivity or no sensitivity, whereas orange and darker red
colors represent moderate or strong sensitivities to the corresponding model parameter respectively J.E. Parkkila, A. Onnerstad, S.F. Data availability Data will be made available on request. Declaration of competing interest The authors declare that they have no known competing finan-
cial interests or personal relationships that could have appeared to
influence the work reported in this paper. 4. Summary Taghavi et al. Physics Letters B 835 (2022) 137485
Fig. 4. Sensitivity of the observables to the model parameters visualized as a color map. The asterisk (∗) for an observable indicates that the sensitivity was evaluated using
2.76 TeV calculations, whereas the rest are evaluated using 5.02 TeV calculations. The sensitivity index is averaged over four centrality classes, from 5% to 40%, except for
NSC(k, l, m), for which only one centrality class 20-30% is used. Light yellow shades represent a very limited sensitivity or no sensitivity, whereas orange and darker red
colors represent moderate or strong sensitivities to the corresponding model parameter, respectively. J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Physics Letters B 835 (2022) 137485 Fig. 4. Sensitivity of the observables to the model parameters visualized as a color map. The asterisk (∗) for an observable indicates that the sensitivity was evaluated using
2.76 TeV calculations, whereas the rest are evaluated using 5.02 TeV calculations. The sensitivity index is averaged over four centrality classes, from 5% to 40%, except for
NSC(k, l, m), for which only one centrality class 20-30% is used. Light yellow shades represent a very limited sensitivity or no sensitivity, whereas orange and darker red
colors represent moderate or strong sensitivities to the corresponding model parameter, respectively. Fig. 4. Sensitivity of the observables to the model parameters visualized as a color map. The asterisk (∗) for an observable indicates that the sensitivity was evaluated using
2.76 TeV calculations, whereas the rest are evaluated using 5.02 TeV calculations. The sensitivity index is averaged over four centrality classes, from 5% to 40%, except for
NSC(k, l, m), for which only one centrality class 20-30% is used. Light yellow shades represent a very limited sensitivity or no sensitivity, whereas orange and darker red
colors represent moderate or strong sensitivities to the corresponding model parameter, respectively. Fig. A.5. Flow coefficients for harmonics 5 to 9. The red and yellow bands present
the model prediction for collisions energies √sNN = 5.02 and 2.76 TeV, respectively. The experimental data are published in Refs. [58,37]. Acknowledgements We thank Jonah E. Bernhard, J. Scott Moreland and Steffen A. Bass for the use of their viscous relativistic hydrodynamics soft-
ware and their valuable comments on various processes of this
work. We would like to thank Harri Niemi, Kari J. Eskola and Sami
Räsänen for fruitful discussions. We acknowledge Victor Gonzalez
for his crosscheck for various technical parts of the event genera-
tion. We acknowledge CSC, 2003112 – IT Center for Science in Es-
poo, Finland, for the allocation of the computational resources. This
research was completed using ∼64 million CPU hours provided by
CSC. Three of us (SFT,CM, and AB) have received funding from the
European Research Council (ERC) under the European Unions Hori-
zon 2020 research and innovation program (Grant Agreement No. 759257). AO, CM, MV and DJK are supported by the Academy of
Finland, the Centre of Excellence in Quark Matter (project 346324). Fig. A.5. Flow coefficients for harmonics 5 to 9. The red and yellow bands present
the model prediction for collisions energies √sNN = 5.02 and 2.76 TeV, respectively. The experimental data are published in Refs. [58,37]. Fig. A.6. Flow mode couplings for six different harmonic combinations. The experi-
mental data are published in Refs. [58,37]. Appendix A. Further information Design parametrizations for symmetry plane correlations ρn,mk (in yellow)
and a number of posterior sample curves as given by the emulator (in red). Fig. A.10. Design parametrizations for non-linear flow mode coefficients χn,mk (in
yellow) and a number of posterior sample curves as given by the emulator (in red). Fig. A.7. Symmetry plane correlations for six different harmonic combinations. The
experimental data are published in Refs. [58,37]. Fig. A.7. Symmetry plane correlations for six different harmonic combinations. The
experimental data are published in Refs. [58,37]. Fig. A.7. Symmetry plane correlations for six different harmonic combinations. The
experimental data are published in Refs. [58,37]. Fig. A.10. Design parametrizations for non-linear flow mode coefficients χn,mk (in
yellow) and a number of posterior sample curves as given by the emulator (in red). Fig. A.8. The χ 2-test values calculated between the data and model calculations for
both beam energies are shown for all flow harmonic mode couplings, symmetric
cumulants, generalized symmetric cumulants, and, charged and identified particle
multiplicity and ⟨pT⟩. Fig. A.11. Design parametrizations for symmetry plane correlations ρn,mk (in yellow)
and a number of posterior sample curves as given by the emulator (in red). Fig. A.11. Design parametrizations for symmetry plane correlations ρn,mk (in yellow)
and a number of posterior sample curves as given by the emulator (in red). Fig. A.8. The χ 2-test values calculated between the data and model calculations for
both beam energies are shown for all flow harmonic mode couplings, symmetric
cumulants, generalized symmetric cumulants, and, charged and identified particle
multiplicity and ⟨pT⟩. Fig. A.12. Design parametrizations for normalized symmetric cumulants (in yellow)
and a number of posterior sample curves as given by the emulator (in red). Fig. A.9. Flow coefficients vn as given by the design parametrizations are pre-
sented in yellow curves. All harmonics are simultaneously covered by the design
parametrizations. The red curves represent a number of curves sampled from the
posterior distribution, and as given by the emulator. Fig. A.12. Design parametrizations for normalized symmetric cumulants (in yellow)
and a number of posterior sample curves as given by the emulator (in red). Fig. A.9. Flow coefficients vn as given by the design parametrizations are pre-
sented in yellow curves. All harmonics are simultaneously covered by the design
parametrizations. The red curves represent a number of curves sampled from the
posterior distribution, and as given by the emulator. Appendix A. Further information This appendix presents extra information about the model pre-
dictions with MAP parameterization and posterior distribution of
the model parameters. Fig. A.6. Flow mode couplings for six different harmonic combinations. The experi-
mental data are published in Refs. [58,37]. In the main paper, the model predictions for charged and iden-
tified particle yields, ⟨pT ⟩, and a few anisotropic flow observables
have been compared with the measurements (see Fig. 1 and Fig. 2). Here, we present the comparison between simulation and data
for additional anisotropic flow observables. The flow cumulants
vn{2} for n = 5, ..., 9, flow mode couplings and symmetry plane
correlations for various harmonics are presented in Figs. A.5–A.7,
respectively. As seen from the figures, although the overall trends
are compatible with the measurement, the model does not accu-
rately explain data for harmonic six and above. We observe more
compatibility between simulation and data in mode-coupling ob-
servables, even in cases that higher harmonic flow coefficients are
involved. Fig. A.8 presents the same χ 2-test as in [40] to quantify the
agreement of the models with the data for the 0–60% centrality
range. In addition to the flow harmonic mode couplings and sym-
metric cumulants, the generalized symmetric cumulants, particle
multiplicity and ⟨pT⟩were added to the test. These results show
that the higher energy description is worse for all observables ex-
cept for v5, χ6,222, and charged particle multiplicities. The model calculations using the design parametrizations ob-
tained from the prior distribution for each observable at √sNN =
2.76 TeV (see Ref. [40] for 5.02 TeV) are shown in Figs. A.9–A.12. 5 J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Physics Letters B 835 (2022) 137485 J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Physics Letters B 835 (2022) 137485
Fig. A.7. Symmetry plane correlations for six different harmonic combinations. The
experimental data are published in Refs. [58,37]. Fig. A.8. The χ 2-test values calculated between the data and model calculations for
both beam energies are shown for all flow harmonic mode couplings, symmetric
cumulants, generalized symmetric cumulants, and, charged and identified particle
multiplicity and ⟨pT⟩. Fig. A.10. Design parametrizations for non-linear flow mode coefficients χn,mk (in
yellow) and a number of posterior sample curves as given by the emulator (in red). Fig. A.11. Appendix A. Further information mation about the posterior distribution, we present the marginal
(diagonal panels) and joint marginal (off-diagonal panels) part of
the posterior distribution in Fig. A.13. The results are compatible
with previous studies in Refs. [5,40]. However, focusing on param-
eters related to η/s(T) and ζ/s(T), we find that the parameters
are inferred with more accuracy as we expect. For instance, we
can see a more sharp peak for parameter (ζ/s)peak. The marginal
distribution of this parameter was more broadened in the previous
studies. Moreover, the joint marginal distribution between param-
eters (ζ/s)peak and (ζ/s)curve is concentrated in a smaller region of
the parameter space. mation about the posterior distribution, we present the marginal
(diagonal panels) and joint marginal (off-diagonal panels) part of
the posterior distribution in Fig. A.13. The results are compatible
with previous studies in Refs. [5,40]. However, focusing on param-
eters related to η/s(T) and ζ/s(T), we find that the parameters
are inferred with more accuracy as we expect. For instance, we
can see a more sharp peak for parameter (ζ/s)peak. The marginal
distribution of this parameter was more broadened in the previous
studies. Moreover, the joint marginal distribution between param-
eters (ζ/s)peak and (ζ/s)curve is concentrated in a smaller region of
the parameter space. The yellow curves represent the calculations corresponding to each
design parametrization point which are used in training the GP
emulator. The red curves are from the GP emulator predictions
corresponding to random points sampled from the posterior dis-
tribution. The MAP values for the model parameters are presented in Ta-
ble 1, which are the median of the marginal posterior distribution
for a given parameter. For the readers interested in more infor- 6 Physics Letters B 835 (2022) 137485 J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Fig. A.13. Marginal and joint marginal parts of the poster distribution. The numbers denoted on top of marginal distributions are the median together with the range of 90%
credibility (in the text, η/sTc and ζ/sTc are shown by T0 and (ζ/s)peak, respectively). Fig. A.13. Marginal and joint marginal parts of the poster distribution. The numbers denoted on top of marginal distributions are the median together with the range of 90%
credibility (in the text, η/sTc and ζ/sTc are shown by T0 and (ζ/s)peak, respectively). References Taghavi, Multivariate cumulants in
flow analyses: The Next Generation, arXiv:2101.05619, 1.2021. [35] S. Acharya, et al., Measurements of mixed harmonic cumulants in Pb–Pb
collisions at √sNN = 5.02 TeV, Phys. Lett. B 818 (2021) 136354, https://
doi .org /10 .1016 /j .physletb .2021.136354, arXiv:2102 .12180. [11] N.Y. Astrakhantsev, V.V. Braguta, A.Y. Kotov, Temperature dependence of
the bulk viscosity within lattice simulation of SU(3) gluodynamics, Phys. Rev. D 98 (5) (2018) 054515, https://doi .org /10 .1103 /PhysRevD .98 .054515,
arXiv:1804 .02382. [36] S. Acharya, et al., Multiharmonic correlations of different flow amplitudes in
Pb-Pb collisions at √sNN = 2.76 TeV, Phys. Rev. Lett. 127 (9) (2021) 092302,
https://doi .org /10 .1103 /PhysRevLett .127.092302, arXiv:2101.02579. [12] K. Aamodt, et al., Centrality dependence of the charged-particle multiplic-
ity density at mid-rapidity in Pb-Pb collisions at √sNN = 2.76 TeV, Phys. Rev. Lett. 106 (2011) 032301, https://doi .org /10 .1103 /PhysRevLett .106 .032301,
arXiv:1012 .1657. [37] S. Acharya, et al., Higher harmonic non-linear flow modes of charged hadrons
in Pb-Pb collisions at √sNN = 5.02 TeV, J. High Energy Phys. 05 (2020) 085,
https://doi .org /10 .1007 /JHEP05(2020 )085, arXiv:2002 .00633. [13] B. Abelev, et al., Centrality dependence of π, K, p production in Pb-Pb
collisions at √sNN = 2.76 TeV, Phys. Rev. C 88 (2013) 044910, https://
doi .org /10 .1103 /PhysRevC .88 .044910, arXiv:1303 .0737. [38] S. Acharya, et al., Production of charged pions, kaons, and (anti-)protons in Pb-
Pb and inelastic pp collisions at √sNN = 5.02 TeV, Phys. Rev. C 101 (4) (2020)
044907, https://doi .org /10 .1103 /PhysRevC .101.044907, arXiv:1910 .07678. g/
/
y
[14] K. Aamodt, et al., Higher harmonic anisotropic flow measurements of charged
particles in Pb-Pb collisions at √sNN = 2.76 TeV, Phys. Rev. Lett. 107 (2011)
032301, https://doi .org /10 .1103 /PhysRevLett .107.032301, arXiv:1105 .3865. [39] J. Adam, et al., Centrality dependence of the pseudorapidity density distri-
bution for charged particles in Pb-Pb collisions at √sNN = 5.02 TeV, Phys. Lett. B 772 (2017) 567–577, https://doi .org /10 .1016 /j .physletb .2017.07.017,
arXiv:1612 .08966. [15] J.E. Bernhard, P.W. Marcy, C.E. Coleman-Smith, S. Huzurbazar, R.L. Wolpert,
S.A. Bass, Quantifying properties of hot and dense QCD matter through sys-
tematic model-to-data comparison, Phys. Rev. C 91 (5) (2015) 054910, https://
doi .org /10 .1103 /PhysRevC .91.054910, arXiv:1502 .00339. [40] J.E. Parkkila, A. Onnerstad, D.J. References Kim, Bayesian estimation of the spe-
cific shear and bulk viscosity of the quark-gluon plasma with additional
flow harmonic observables, Phys. Rev. C 104 (2021) 054904, https://
doi .org /10 .1103 /PhysRevC .104 .054904, arXiv:2106 .05019. [16] J.E. Bernhard, J.S. Moreland, S.A. Bass, J. Liu, U. Heinz, Applying Bayesian
parameter estimation to relativistic heavy-ion collisions: simultaneous char-
acterization of the initial state and quark-gluon plasma medium, Phys. Rev. C 94 (2016) 024907, https://doi .org /10 .1103 /PhysRevC .94 .024907, https://
link.aps .org /doi /10 .1103 /PhysRevC .94 .024907. [41] J.S. Moreland, J.E. Bernhard, S.A. Bass, Alternative ansatz to wounded nu-
cleon and binary collision scaling in high-energy nuclear collisions, Phys. Rev. C 92
(1) (2015) 011901, https://doi .org /10 .1103 /PhysRevC .92 .011901,
arXiv:1412 .4708, http://qcd .phy.duke .edu /trento/. [17] J.E. Bernhard, J.S. Moreland, S.A. Bass, J. Liu, U. Heinz, Applying Bayesian pa-
rameter estimation to relativistic heavy-ion collisions: simultaneous character-
ization of the initial state and quark-gluon plasma medium, Phys. Rev. C 94 (2)
(2016) 024907, https://doi .org /10 .1103 /PhysRevC .94 .024907, arXiv:1605 .03954. [
]
h
d
f
l
h
ll [42] G. Aad, et al., Measurement of the centrality dependence of the charged
particle pseudorapidity distribution in lead-lead collisions at √sNN = 2.76
TeV with the ATLAS detector, Phys. Lett. B 710 (2012) 363–382, https://
doi .org /10 .1016 /j .physletb .2012 .02 .045, arXiv:1108 .6027. [18] J.E. Bernhard, Bayesian parameter estimation for relativistic heavy-ion colli-
sions, Ph.D. thesis, Duke U, 4.2018, arXiv:1804 .06469. [43] B. Abelev, et al., Pseudorapidity density of charged particles in p + Pb col-
lisions at √sNN = 5.02 TeV, Phys. Rev. Lett. 110 (3) (2013) 032301, https://
doi .org /10 .1103 /PhysRevLett .110 .032301, arXiv:1210 .3615. [19] J. Auvinen, K.J. Eskola, P. Huovinen, H. Niemi, R. Paatelainen, P. Petreczky, Tem-
perature dependence of η/s of strongly interacting matter: effects of the equa-
tion of state and the parametric form of (η/s)(T), Phys. Rev. C 102 (4) (2020)
044911, https://doi .org /10 .1103 /PhysRevC .102 .044911, arXiv:2006 .12499. [44] B. Schenke, P. Tribedy, R. Venugopalan, Fluctuating glasma initial conditions
and flow in heavy ion collisions, Phys. Rev. Lett. 108 (2012) 252301, https://
doi .org /10 .1103 /PhysRevLett .108 .252301, arXiv:1202 .6646. [20] G. Nijs, W. van der Schee, U. Gürsoy, R. Snellings, A transverse momentum dif-
ferential global analysis of heavy ion collisions, Phys. Rev. Lett. References [5] J.E. Bernhard, J.S. Moreland, S.A. Bass, Bayesian estimation of the specific shear
and bulk viscosity of quark-gluon plasma, Nat. Phys. (2019), https://doi .org /10 . 1038 /s41567 -019 -0611 -8. [1] S. Borsanyi, Z. Fodor, C. Hoelbling, S.D. Katz, S. Krieg, K.K. Szabo, Full result for
the QCD equation of state with 2+1 flavors, Phys. Lett. B 730 (2014) 99–104,
https://doi .org /10 .1016 /j .physletb .2014 .01.007, arXiv:1309 .5258. [6] P. Kovtun, D.T. Son, A.O. Starinets, Viscosity in strongly interacting quantum
field theories from black hole physics, Phys. Rev. Lett. 94 (2005) 111601,
https://doi .org /10 .1103 /PhysRevLett .94 .111601, arXiv:hep -th /0405231. [2] A. Bazavov, et al., Equation of state in (2+1)-flavor QCD, Phys. Rev. D 90 (2014)
094503, https://doi .org /10 .1103 /PhysRevD .90 .094503, arXiv:1407.6387. [7] A. Bazavov, F. Karsch, S. Mukherjee, P. Petreczky, Hot-dense lattice QCD: USQCD
whitepaper 2018, Eur. Phys. J. A 55 (11) (2019) 194, https://doi .org /10 .1140 /
epja /i2019 -12922 -0, arXiv:1904 .09951. [3] P. Braun-Munzinger, V. Koch, T. Schäfer, J. Stachel, Properties of hot and dense
matter from relativistic heavy ion collisions, Phys. Rep. 621 (2016) 76–126,
https://doi .org /10 .1016 /j .physrep .2015 .12 .003, arXiv:1510 .00442. [8] H.B. Meyer, A Calculation of the shear viscosity in SU(3) gluodynamics, Phys. Rev. D 76 (2007) 101701, https://doi .org /10 .1103 /PhysRevD .76 .101701, arXiv:
0704 .1801. [4] W. Busza, K. Rajagopal, W. van der Schee, Heavy ion collisions: the big picture,
and the big questions, Annu. Rev. Nucl. Part. Sci. 68 (2018) 339–376, https://
doi .org /10 .1146 /annurev-nucl -101917 -020852, arXiv:1802 .04801. [9] N. Astrakhantsev, V. Braguta, A. Kotov, Temperature dependence of shear
viscosity of SU(3)–gluodynamics within lattice simulation, J. High Energy 7 J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Physics Letters B 835 (2022) 137485 Phys. 04 (2017) 101, https://doi .org /10 .1007 /JHEP04(2017 )101, arXiv:1701. 02266. Phys. 04 (2017) 101, https://doi .org /10 .1007 /JHEP04(2017 )101, arXiv:1701. 02266. Phys. J. C 81 (7) (2021) 652, https://doi .org /10 .1140 /epjc /s10052 -021 -09413 -0,
arXiv:2005 .04742. Phys. J. C 81 (7) (2021) 652, https://doi .org /10 .1140 /epjc /s10052 -021 -09413 -0,
arXiv:2005 .04742. [10] H.B. Meyer, A Calculation of the bulk viscosity in SU(3) gluodynamics, Phys. Rev. Lett. 100 (2008) 162001, https://doi .org /10 .1103 /PhysRevLett .100 .162001,
arXiv:0710 .3717. [34] A. Bilandzic, M. Lesch, C. Mordasini, S.F. References 126 (20) (2021)
202301, https://doi .org /10 .1103 /PhysRevLett .126 .202301, arXiv:2010 .15130. [45] B. Schenke, P. Tribedy, R. Venugopalan, Event-by-event gluon multiplicity,
energy density, and eccentricities in ultrarelativistic heavy-ion collisions,
Phys. Rev. C 86 (2012) 034908, https://doi .org /10 .1103 /PhysRevC .86 .034908,
arXiv:1206 .6805. [21] G. Nijs, W. van der Schee, U. Gürsoy, R. Snellings, Bayesian analysis of heavy
ion collisions with the heavy ion computational framework trajectum, Phys. Rev. C 103 (5) (2021) 054909, https://doi .org /10 .1103 /PhysRevC .103 .054909,
arXiv:2010 .15134. [46] S. Pratt, G. Torrieri, Coupling relativistic viscous hydrodynamics to
Boltzmann
descriptions,
Phys. Rev. C
82
(2010)
044901,
https://
doi .org /10 .1103 /PhysRevC .82 .044901, arXiv:1003 .0413. [22] D. Everett, et al., Multisystem Bayesian constraints on the transport co-
efficients of QCD matter, Phys. Rev. C 103 (5) (2021) 054904, https://
doi .org /10 .1103 /PhysRevC .103 .054904, arXiv:2011.01430. [47] S.A. Bass, et al., Microscopic models for ultrarelativistic heavy ion collisions,
Prog. Part. Nucl. Phys. 41 (1998) 255–369, https://doi .org /10 .1016 /S0146 -
6410(98 )00058 -1, arXiv:nucl -th /9803035. [23] A. Bilandzic, C.H. Christensen, K. Gulbrandsen, A. Hansen, Y. Zhou,
Generic framework for anisotropic flow analyses with multiparticle
azimuthal correlations, Phys. Rev. C 89
(6) (2014) 064904, https://
doi .org /10 .1103 /PhysRevC .89 .064904, arXiv:1312 .3572. [48] M. Bleicher, et al., Relativistic hadron hadron collisions in the ultrarelativistic
quantum molecular dynamics model, J. Phys. G 25 (1999) 1859–1896, https://
doi .org /10 .1088 /0954 -3899 /25 /9 /308, arXiv:hep -ph /9909407. [24] J. Adam, et al., Correlated event-by-event fluctuations of flow harmonics in
Pb-Pb collisions at √sNN = 2.76 TeV, Phys. Rev. Lett. 117 (2016) 182301,
https://doi .org /10 .1103 /PhysRevLett .117.182301, arXiv:1604 .07663. [49] B. Tang, Orthogonal array-based Latin hypercubes, J. Am. Stat. Assoc. 88 (424)
(1993) 1392–1397, http://www.jstor.org /stable /2291282. [25] S. Acharya, et al., Systematic studies of correlations between different order
flow harmonics in Pb-Pb collisions at √sNN = 2.76 TeV, Phys. Rev. C 97 (2)
(2018) 024906, https://doi .org /10 .1103 /PhysRevC .97.024906, arXiv:1709 .01127. [50] M.D. Morris, T.J. Mitchell, Exploratory designs for computational ex-
periments, J. Stat. Plan. Inference 43
(3) (1995) 381–402, https://
doi .org /10 .1016 /0378 -3758(94 )00035 -T,
https://www.sciencedirect .com /
science /article /pii /037837589400035T. [26] N. Borghini, P.M. Dinh, J.-Y. Ollitrault, A new method for measuring azimuthal
distributions in nucleus-nucleus collisions, Phys. Rev. References C 63 (2001) 054906,
https://doi .org /10 .1103 /PhysRevC .63 .054906, arXiv:nucl -th /0007063. [51] K. Aamodt, et al., Centrality dependence of the charged-particle multiplic-
ity density at mid-rapidity in Pb-Pb collisions at √sNN = 2.76 TeV, Phys. Rev. Lett. 106 (2011) 032301, https://doi .org /10 .1103 /PhysRevLett .106 .032301,
arXiv:1012 .1657. [27] N. Borghini, P.M. Dinh, J.-Y. Ollitrault, Flow analysis from multipar-
ticle azimuthal correlations, Phys. Rev. C 64 (2001) 054901, https://
doi .org /10 .1103 /PhysRevC .64 .054901, arXiv:nucl -th /0105040. [28] K. Aamodt, et al., Elliptic flow of charged particles in Pb-Pb col-
lisions at 2.76 TeV, Phys. Rev. Lett. 105 (2010) 252302, https://
doi .org /10 .1103 /PhysRevLett .105 .252302, arXiv:1011.3914. [52] B. Abelev, et al., Centrality dependence of π, K, p production in Pb-Pb
collisions at √sNN = 2.76 TeV, Phys. Rev. C 88 (2013) 044910, https://
doi .org /10 .1103 /PhysRevC .88 .044910, arXiv:1303 .0737. [29] J. Jia, Event-shape fluctuations and flow correlations in ultra-relativistic
heavy-ion
collisions,
J. Phys. G
41
(12)
(2014)
124003,
https://
doi .org /10 .1088 /0954 -3899 /41 /12 /124003, arXiv:1407.6057. [53] J. Adam, et al., Centrality dependence of the charged-particle multiplicity
density at midrapidity in Pb-Pb collisions at √sNN = 5.02 TeV, Phys. Rev. Lett. 116 (22) (2016) 222302, https://doi .org /10 .1103 /PhysRevLett .116 .222302,
arXiv:1512 .06104. [30] P. Di Francesco, M. Guilbaud, M. Luzum, J.-Y. Ollitrault, Systematic procedure
for analyzing cumulants at any order, Phys. Rev. C 95 (4) (2017) 044911,
https://doi .org /10 .1103 /PhysRevC .95 .044911, arXiv:1612 .05634. [54] J. Adam, et al., Measurement of transverse energy at midrapidity in Pb-Pb
collisions at √sNN = 2.76 TeV, Phys. Rev. C 94 (3) (2016) 034903, https://
doi .org /10 .1103 /PhysRevC .94 .034903, arXiv:1603 .04775. [31] C. Mordasini, A. Bilandzic, D. Karakoc¸ , S.F. Taghavi, Higher order
symmetric cumulants, Phys. Rev. C 102
(2) (2020) 024907, https://
doi .org /10 .1103 /PhysRevC .102 .024907, arXiv:1901.06968. [55] B.B. Abelev, et al., Event-by-event mean pT
fluctuations in pp and Pb-
Pb collisions at the LHC, Eur. Phys. J. C 74 (10) (2014) 3077, https://
doi .org /10 .1140 /epjc /s10052 -014 -3077 -y, arXiv:1407.5530. g/
/
y
[32] A. Bilandzic, M. Lesch, S.F. Taghavi, New estimator for symmetry plane correla-
tions in anisotropic flow analyses, Phys. Rev. C 102 (2) (2020) 024910, https://
doi .org /10 .1103 /PhysRevC .102 .024910, arXiv:2004 .01066. [56] J. References Adam, et al., Anisotropic flow of charged particles in Pb-Pb collisions
at √sNN = 5.02
TeV, Phys. Rev. Lett. 116 (13) (2016) 132302, https://
doi .org /10 .1103 /PhysRevLett .116 .132302, arXiv:1602 .01119. [33] S.F. Taghavi, A Fourier-cumulant analysis for multiharmonic flow fluctua-
tion: by employing a multidimensional generating function approach, Eur. 8 J.E. Parkkila, A. Onnerstad, S.F. Taghavi et al. Physics Letters B 835 (2022) 137485 [57] S. Acharya, et al., Systematic studies of correlations between different order
flow harmonics in Pb-Pb collisions at √sNN = 2.76 TeV, Phys. Rev. C 97 (2)
(2018) 024906, https://doi .org /10 .1103 /PhysRevC .97.024906, arXiv:1709 .01127. [63] D. Teaney, L. Yan, Non linearities in the harmonic spectrum of heavy ion col-
lisions with ideal and viscous hydrodynamics, Phys. Rev. C 86 (2012) 044908,
https://doi .org /10 .1103 /PhysRevC .86 .044908, arXiv:1206 .1905. https://doi .org /10 .1103 /PhysRevC .86 .044908, arXiv:1206 .19 [64] L. Yan,
J.-Y. Ollitrault, ν4, ν5, ν6, ν7:
nonlinear
hydrodynamic
re-
sponse versus LHC data, Phys. Lett. B 744 (2015) 82–87, https://
doi .org /10 .1016 /j .physletb .2015 .03 .040, arXiv:1502 .02502. [58] S. Acharya, et al., Linear and non-linear flow modes in Pb-Pb colli-
sions at √sNN = 2.76
TeV, Phys. Lett. B 773 (2017) 68–80, https://
doi .org /10 .1016 /j .physletb .2017.07.060, arXiv:1705 .04377. [59] C. Bernard, T. Burch, E.B. Gregory, D. Toussaint, C.E. DeTar, J. Osborn, S. Gottlieb, U.M. Heller, R. Sugar, QCD thermodynamics with three flavors
of improved staggered quarks, Phys. Rev. D 71 (2005) 034504, https://
doi .org /10 .1103 /PhysRevD .71.034504, arXiv:hep -lat /0405029. [65] D. Hamby, Environ. Monit. Assess. 32 (1994) 135. [66] B.H. Alver, C. Gombeaud, M. Luzum, J.-Y. Ollitrault, Triangular flow in hy-
drodynamics and transport theory, Phys. Rev. C 82 (2010) 034913, https://
doi .org /10 .1103 /PhysRevC .82 .034913, arXiv:1007.5469. [67] F.G. Gardim,
J.-Y. Ollitrault,
Effective
shear
and
bulk
viscosities
for anisotropic flow, Phys. Rev. C 103
(4) (2021) 044907, https://
doi .org /10 .1103 /PhysRevC .103 .044907, arXiv:2010 .11919. [60] A. Bazavov, et al., The chiral and deconfinement aspects of the QCD transition,
Phys. Rev. D 85 (2012) 054503, https://doi .org /10 .1103 /PhysRevD .85 .054503,
arXiv:1111.1710. [68] C. Shen, Z. Qiu, H. Song, J. Bernhard, S. Bass, U. Heinz, The iEBE-VISHNU
code package for relativistic heavy-ion collisions, Comput. Phys. Commun. References 199 (2016) 61–85, https://doi .org /10 .1016 /j .cpc .2015 .08 .039, arXiv:1409 .8164,
https://u .osu .edu /vishnu/. [61] M. Luzum, J.-Y. Ollitrault, Constraining the viscous freeze-out distribution func-
tion with data obtained at the BNL Relativistic Heavy Ion Collider (RHIC),
Phys. Rev. C 82 (2010) 014906, https://doi .org /10 .1103 /PhysRevC .82 .014906,
arXiv:1004 .2023. [62] M. Luzum, C. Gombeaud, J.-Y. Ollitrault, v4 in ideal and viscous hydrodynam-
ics simulations of nuclear collisions at the BNL Relativistic Heavy Ion Collider
(RHIC) and the CERN Large Hadron Collider (LHC), Phys. Rev. C 81 (2010)
054910, https://doi .org /10 .1103 /PhysRevC .81.054910, arXiv:1004 .2024. [69] H. Song, U.W. Heinz, Causal viscous hydrodynamics in 2+1 dimensions
for relativistic heavy-ion collisions, Phys. Rev. C 77 (2008) 064901, https://
doi .org /10 .1103 /PhysRevC .77.064901, arXiv:0712 .3715. 9 9
|
https://openalex.org/W3153208676
|
https://www.nature.com/articles/s41598-021-87610-3.pdf
|
English
| null |
Methane emissions from upstream oil and gas production in Canada are underestimated
|
Scientific reports
| 2,021
|
cc-by
| 7,174
|
Methane emissions from upstream
oil and gas production in Canada
are underestimated Katlyn MacKay1,2*, Martin Lavoie1, Evelise Bourlon1, Emmaline Atherton1,
Elizabeth O’Connell1, Jennifer Baillie1, Chelsea Fougère1 & David Risk1 Methane emissions were measured at 6650 sites across six major oil and gas producing regions
in Canada to examine regional emission trends, and to derive an inventory estimate for Canada’s
upstream oil and gas sector. Emissions varied by fluid type and geographic region, with the heavy
oil region of Lloydminster ranking highest on both absolute and intensity-based scales. Emission
intensities varied widely for natural gas production, where older, low-producing developments such as
Medicine Hat, Alberta showed high emission intensities, and newer developments in Montney, British
Columbia showed emission intensities that are amongst the lowest in North America. Overall, we
estimate that the Canadian upstream oil and gas methane inventory is underestimated by a factor of
1.5, which is consistent with previous studies of individual regions. Reducing methane (CH4) emissions from anthropogenic activities is a critical part of climate change mitigation
efforts1. Although atmospheric CH4 concentrations are low (~ 1.8 ppm)2, the warming potential of CH4 is 84
times higher than that of carbon dioxide over a 20-year timeframe3, making it an immediate target for green-
house gas (GHG) reductions. g
(
)
Canada’s second most abundant greenhouse gas is CH4, making up 13% of national GHG emissions4. In 2018,
43% of Canada’s anthropogenic CH4 emissions originated from oil and gas systems4. The major sources of oil and
gas CH4 emissions are from activities that occur during upstream production, which include venting (intentional
releases; ~ 52%), incomplete combustion during flaring (~ 1.4%), and fugitive emissions (unintentional releases
from faulty equipment, or drilling; ~ 42%)4. In response to the climate crisis, Canada’s federal government com-
mitted to reducing CH4 emissions from the oil and gas sector 40–45% below 2012 levels by 20255. Although
the federal government drafted regulations to achieve these reductions5, provincial governments in Alberta,
Saskatchewan, and British Columbia have also proposed their own regulations to achieve equivalent reduction
goals, which have since received approval to replace the original federal regulations6–8. g
pp
p
g
g
Canada’s CH4 reduction targets are based on component-level inventory estimates reported annually in the
national inventory report (NIR), which are based in part on industry self-estimation and self-reporting4. Field
measurement studies in Canada and the US have shown that actual emissions range from equivalent to sub-
stantially higher than inventory estimates9–16. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports 1Department of Earth Sciences, St. Francis Xavier University, Antigonish, NS, Canada. 2Department of Engineering
and Applied Science, Memorial University of Newfoundland, St. John’s, Newfoundland, Canada. *email:
kmackay@stfx.ca Scientific Reports | (2021) 11:8041 Methane emissions from upstream
oil and gas production in Canada
are underestimated But a national understanding of discrepancies is lacking because
most measurement studies in Canada consist of relatively region-specific sample populations which may not be
extensible to regions with varying extractive techniques, geology, and geochemical properties. Different emission
measurement techniques and technologies, applied at varying scales, also make comparisons difficult. g
y
gfi
How do upstream CH4 emissions and intensities vary across major oil and gas producing regions in Canada,
and how do they compare to the federal inventory? We addressed this question by aggregating site-level emission
data collected during nine extensive vehicle-based measurement campaigns across six prominent oil and gas
regions in Canada: Montney (British Columbia), Medicine Hat (Alberta), Lloydminster (Alberta & Saskatch-
ewan), Peace River (Alberta), Red Deer (Alberta), and southeastern Saskatchewan. Measurements were collected
between 2015 and 2018, with some regions (Lloydminster, Peace River) visited on more than one occasion. These
six regions (Fig. S1) include ~ 20% of the non-oilsands producing sites in western Canada. Results from four of
these campaigns have already been published17,18, but this is the first time the 6650 emission rate estimates have
been aggregated. This study represents the most regionally nuanced estimate of upstream Canadian oil and gas
fugitive and vented CH4 emissions to date, and uses a much larger sample population than the ~ 300 site survey
studies used by the Canadian industry to calibrate its upstream CH4 inventory19. 1Department of Earth Sciences, St. Francis Xavier University, Antigonish, NS, Canada. 2Department of Engineering
and Applied Science, Memorial University of Newfoundland, St. John’s, Newfoundland, Canada. *email:
kmackay@stfx.ca | https://doi.org/10.1038/s41598-021-87610-3 Scientific Reports | (2021) 11:8041 www.nature.com/scientificreports/ Emissions vary by fluid type (oil vs. gas), and geographic region. Site-level measurements show lh
Lloydminster
Medicine Hat
Montney BC
Peace River
Red Deer
SE Saskatchewan
0
Region
n = 2954
n = 1581
n = 213
n = 237
n = 654
n = 1012
1
10
100
1000
10000
Site−level emission rate (CH4 m3 day−1)
Bitumen
Gas
Oil
Undefined
0
Fluid type
n = 459
n = 2783
n = 2170
n = 1239
1
10
100
1000
10000
Site−level emission rate (CH4 m3 day−1)
Figure 1. Distributions of measured emission rates (logarithmic scale) by region (top) and by fluid type
(bottom). Black dots represent individual site-level emission rates. Methane emissions from upstream
oil and gas production in Canada
are underestimated For better visualization of the emission
rate distributions, the plots are broken down to show non-emitting sites (left panel, emission rate = 0), and
emitting sites (right panels). The box limits are the interquartile ranges (IQR), and whiskers represent the upper
(Q3 + 1.5 * IQR) and lower (Q1 − 1.5 * IQR) ranges of non-zero emissions. The orange diamond is the overall
mean (emitting and non-emitting) for each subpopulation. Lloydminster
Medicine Hat
Montney BC
Peace River
Red Deer
SE Saskatchewan
0
Region
n = 2954
n = 1581
n = 213
n = 237
n = 654
n = 1012
1
10
100
1000
10000
Site−level emission rate (CH4 m3 day−1) 1000 Site−level emission rate (CH4 m3 day−1 Bitumen
Gas
Oil
Undefined
0
Fluid type
n = 459
n = 2783
n = 2170
n = 1239
1
10
100
1000
10000
Site−level emission rate (CH4 m3 day−1) Site−level emission rate (CH4 m3 day−1) Figure 1. Distributions of measured emission rates (logarithmic scale) by region (top) and by fluid type
(bottom). Black dots represent individual site-level emission rates. For better visualization of the emission
rate distributions, the plots are broken down to show non-emitting sites (left panel, emission rate = 0), and
emitting sites (right panels). The box limits are the interquartile ranges (IQR), and whiskers represent the upper
(Q3 + 1.5 * IQR) and lower (Q1 − 1.5 * IQR) ranges of non-zero emissions. The orange diamond is the overall
mean (emitting and non-emitting) for each subpopulation. Figure 1. Distributions of measured emission rates (logarithmic scale) by region (top) and by fluid type
(bottom). Black dots represent individual site-level emission rates. For better visualization of the emission
rate distributions, the plots are broken down to show non-emitting sites (left panel, emission rate = 0), and
emitting sites (right panels). The box limits are the interquartile ranges (IQR), and whiskers represent the upper
(Q3 + 1.5 * IQR) and lower (Q1 − 1.5 * IQR) ranges of non-zero emissions. The orange diamond is the overall
mean (emitting and non-emitting) for each subpopulation. Emissions vary by fluid type (oil vs. gas), and geographic region. Site-level measurements show
that emissions vary by fluid type and geographic region (Fig. 1). This variability has been documented in recent
Canadian studies, at both regional10,17, and component-level scales12,19,20, as a function of several determinants. In no particular order, the first determinant is the fluid type. Methane emissions from upstream
oil and gas production in Canada
are underestimated Extraction techniques and infrastructure can vary
depending on the hydrocarbon produced, which affects emission levels. Sites producing gas had lower average
emission rates compared to oil-producing sites, and the overall average emission rate for oil sites was roughly 3.6
times higher than the overall average for gas sites (71.1 m3/day/site vs. 19.9 m3/day/site) (Fig. 1). g
g
g
y
y
g
In many oil-producing regions, CH4 gas is routinely considered a byproduct and vented because the econom-
ics of conservation are unfavorable21. Additionally, some in-situ heavy oil production processes such as Cold
Heavy Oil Production with Sand (CHOPS) generally yield higher rates of routine venting10–12,17,22; this is evident
in Lloydminster, where CHOPS is the dominant production technique (Fig. 1).l Regulation is another factor that influences regional variability in CH4 emission rates. Some geographies are
subject to more stringent regulations due to historical air quality violations or other health and safety concerns. For instance, special regulations were enacted in 2017 for the Peace River area because of historical air quality
issues, and in recent years producers in the area have reportedly eliminated all venting17,23. Our measurements
showed average site-level emission rates in Peace River decreased nearly three-fold from 2016 (31.5 m3/day/
site) to 2018 (11.1 m3/day/site) (Table S4), which suggests that these new regulations are resulting in significant
mitigation success in this area. Sour (H2S-bearing) fields are another example of regulatory success; since H2S
is a serious health risk, sour developments like SE Saskatchewan have more restrictions on venting, which
inadvertently aids in CH4 mitigation since the gases are co-emitted18,24. SE Saskatchewan had the lowest average
site-level emission rate out of all regions included in this study (Fig. 1, Table S4). Effective mitigation depends
on an understanding of these determinants. https://doi.org/10.1038/s41598-021-87610-3 Scientific Reports | (2021) 11:8041 | www.nature.com/scientificreports/ 0.00
0.03
0.06
0.09
0.12
Peace River
Montney BC
Red Deer
SE Saskatchewan
Medicine Hat
Lloydminster
0
20
40
gCO2e/MJ
MJ/MJ
Figure 2. Emission intensities for each region included in this study (horizontal grey bars). The top axis shows
intensities as a function of megajoule emitted per megajoule produced (MJ/MJ), and the bottom axis displays
intensities as a function of grams of CO2 equivalent emitted per megajoule produced (gCO2e/MJ). Emission
intensity uncertainty ranges are represented via the black error bars, which includes uncertainty from both
emission rate and production values. Methane emissions from upstream
oil and gas production in Canada
are underestimated The solid grey vertical line is the overall average from this study, the solid
vertical red line is the global lifecycle (well-to-refinery, including all greenhouse gases) average reported in
Masnadi et al. (2018)30, the dotted blue line shows their estimate for Canada (based on data from 84 oil fields),
and the blue thick dashed line is their global average intensity for CH4 only30. 0.00
0.03
0.06
0.09
0.12
Peace River
Montney BC
Red Deer
SE Saskatchewan
Medicine Hat
Lloydminster
0
20
40
gCO2e/MJ
MJ/MJ Figure 2. Emission intensities for each region included in this study (horizontal grey bars). The top axis shows
intensities as a function of megajoule emitted per megajoule produced (MJ/MJ), and the bottom axis displays
intensities as a function of grams of CO2 equivalent emitted per megajoule produced (gCO2e/MJ). Emission
intensity uncertainty ranges are represented via the black error bars, which includes uncertainty from both
emission rate and production values. The solid grey vertical line is the overall average from this study, the solid
vertical red line is the global lifecycle (well-to-refinery, including all greenhouse gases) average reported in
Masnadi et al. (2018)30, the dotted blue line shows their estimate for Canada (based on data from 84 oil fields),
and the blue thick dashed line is their global average intensity for CH4 only30. Current component‑level inventory is underestimated. Various authors have pointed out system-
atic biases in the component-level inventory process (as used in federal reporting), especially the propensity to
miss rare large emitters16,25,26. To estimate the degree to which the current Canadian upstream CH4 inventory is
underestimated, we calculated site-level Emission Factors (EFs) from our measurements and applied them to all
non-oilsands producing sites in Alberta. Site-level EFs are different than component-level EFs in that they repre-
sent an average of aggregate emissions for an oil/gas site (multiple pieces of infrastructure), whereas component-
level EFs are average emissions for specific leaking components (e.g. valves, hatches). gi
g
g
To capture the variability in emissions across sites and regions, site-level EFs were calculated for every unique
combination of site type and region (Methods Sect. 2.1). Then, we used a Monte Carlo analysis to estimate a
total inventory for Alberta (Methods Sect. 2.2). Alberta was chosen for this exercise because the vast majority
of our measurements were collected in this province, and because it represents 80% and 67% of total Canadian
oil and gas production, respectively27. Methane emissions from upstream
oil and gas production in Canada
are underestimated g
y
Our measurement-based inventory indicates that the non-oilsands upstream oil and gas sector in Alberta
emitted 5,074,449 m3 CH4/day in 2018 (2.5 percentile = 3,741,309 m3/day; 97.5 percentile = 7,453,798 m3/day),
which is about 1.5 times the most recent component-level inventory of 3,408,534 m3 CH4/day, derived by Envi-
ronment and Climate Change Canada for Alberta in 20184. Our findings are consistent with previous CH4 emis-
sion studies within Canadian developments; no studies have yet identified a Canadian oil and gas producing
region with emissions lower than the inventory estimate. In previous studies, factors of 1–15 have been estimated,
with most being in the range of 1.5–3.09–11,14,15. This implies that CH4 abatement costs could be lower per ton
of CO2 equivalent than previously reported, due to higher volumes of CH4 (i.e. profitable natural gas) present
at oil and gas sites28. Emission intensities vary substantially. Emissions intensities for each region were calculated based
on measured emission rates and reported production volumes for sampled infrastructure (Methods Sect. 3.1). Emission intensities are expressed using two ratios: (1) Average megajoule emitted per megajoule produced (MJ/
MJ) (Fig. 2); and (2) grams of CO2 equivalent emitted per megajoule produced (gCO2e/MJ) (Fig. 2). All emission
and production values used in this analysis can be found in Table S4. The average production volumes used in
this calculation were from the same month in which the measurements were acquired. For this reason, intensi-
ties were calculated individually for each campaign, and then averaged for regions sampled on more than one
occasion (Lloydminster and Peace River). Also, it is important to note that our emissions intensity calculations
do not include all life-cycle (“well-to-wheel”) emissions from these hydrocarbon sources, but focuses on those
emitting directly during upstream production (i.e. scope 1 emissions).i g
y
g
Average emissions intensities across regions vary significantly, ranging from 0.0004 ± 0.0003 (Peace River)
to 0.0706 ± 0.0479 (Lloydminster) (Fig. 2, Table S3). In Fig. 2 we can see that Lloydminster heavy oil ranks
highest in intensity, with roughly 7% of the energy produced being lost via fugitives and vents. This finding was
somewhat expected, given the high average emission rates in this region (Table S4). Interestingly, however, our
analysis also found that Medicine Hat ranked second highest in intensity (0.0243 ± 0.0165), despite having a
relatively low average emission rate per site (Table S4). www.nature.com/scientificreports/ old and low-producing developments) could conceivably approach overall leak rates of 3.2%—where natural
gas is estimated to approach the climate warming impact of coal29. If so, these developments could become
increasingly exposed to market or investment barriers, as investors and consumers move towards fuels with less
embodied carbon. Our estimated emissions intensities (in gCO2e/MJ) for each region can be readily compared with those
recently published in Masnadi et al. (2018)30. In that study, authors calculated full life-cycle (well-to-refinery)
emissions intensities for hundreds of oilfields around the world30. Using the best available data and the OPGEE
model, Masnadi et al. (2018)30 found a global carbon intensity life-cycle average of 10.3 gCO2e/MJ (+ 6.7, − 1.7,
95% CI), of which 2.6 gCO2e/MJ was exclusively derived from CH4 emissions. For 84 Canadian oilfields in the
study, the overall average carbon intensity was 17.6 gCO2e/MJ30. With the exception of Lloydminster, all of our
intensity estimates are lower than their average for Canadian oilfields (Fig. 2), which was expected since our
estimates only consider the CH4 emissions component of total life-cycle carbon. However, our Lloydminster
and Medicine Hat CH4-only intensities exceeded Masnadi et al. (2018)’s global average for total carbon life-cycle
emissions30 (Fig. 2). In these regions, actual full life-cycle emissions may significantly outstrip the global average. On the other hand, we also found that the Montney BC and Peace River regions have extremely low CH4 emission
intensities that fall well below the global and Canadian averages, suggesting that these regions produce oil and
gas more efficiently with respect to CH4 leakage. Additionally, emission intensities for all producing regions in
Canada, except for Lloydminster and Medicine Hat, were lower than the US average of 2.3% (of gross produc-
tion) recently reported by Alvarez et al. (2018)16.i In conclusion, there is significant variability in absolute CH4 emissions and emission intensities across major
oil and gas regions in Canada. As seen in previous studies, Lloydminster is an area characteristic of high CH4
emissions. Fortunately, new regulations should address some of these prominent emission sources (especially
vented emissions), and future work in this area could verify regulation-driven reductions. Our emissions inten-
sity analysis revealed that low producing regions like Medicine Hat have high intensities, which has both envi-
ronmental and economic implications that should be considered as we move towards a low-carbon future. Materials and methods Data acquisition and processing. Overview. Our methods are broken down into a four-step process
involving data acquisition, plume detection, attribution, and emission rate estimation: (1) Data was collected
via extensive truck-based surveys of air composition measuring three or more atmospheric gases at ppb-levels,
geo-located, at 1 Hz frequency. Gas concentrations (CH4, CO2, C2H6, H2S) were measured in real time using
laser spectrometers (Picarro Inc., Santa Clara, CA, USA), (2) computational signal processing and geochemi-
cal analysis were used to distinguish oil and gas emissions from biogenic, naturally occurring sources, or other
anthropogenic emissions, (3) we conducted a back-trajectory analysis to attribute emission anomalies observed
on-road to specific upwind sites, (4) volumetric emissions rates were estimated via a point-source Gaussian
Dispersion Model (GDM). Each of these steps, and uncertainties therein, have been explained previously9,17,18. Thus, only a brief overview is included in the next three subsections. h
y
Table S1 provides basic statistics (dates, number of surveys, distance) for all measurement campaigns included
in this analysis. Although some of these individual campaigns were the focus of previous peer-reviewed studies,
all measurements were conducted by our research group using the same equipment and survey protocols, which
allowed for uniform processing and analysis of the data for this work. It should also be noted that measurements
include active and suspended sites only, as emissions from abandoned infrastructure were not the focus of these
studies. Short-lived emissions from intermittent activities like exploration and drilling are also not included (i.e. measured emissions represent emissions during production only). Measurements were taken in six contrast-
ing regions across the three major oil and gas producing provinces in Canada (British Columbia, Alberta, and
Saskatchewan). Figure S1 is a map with polygons depicting the geographical boundaries covered in this study. A total of nine vehicle-based measurement campaigns were completed (with some regions being surveyed more
than once). All campaigns were conducted on public roads without giving notice to any operators or regulators
in the regions. Preplanned survey routes were driven multiple times (often on different days) and were designed
to target areas with dense infrastructure. Table S2 describes general profiles for each region, including the type
of hydrocarbon produced, primary production styles, and approximate active well counts as of January 2020. Geochemical and geospatial analysis. www.nature.com/scientificreports/ In
contrast, Montney BC and Peace River regions showed extremely low emission intensities, making natural
gas produced here an attractive investment for companies with Environment, Social, and Governance (ESG)
standards. Lastly, CH4 emissions from the oil and gas sector in Canada likely exceed inventories by a factor of
1.5. Because conserved CH4 is saleable, this implies that reduction costs per ton could be less than previously
estimated28. Increased measurement and reporting requirements as a result of new regulations should be used
to inform future inventory estimates, to ensure annual reductions are accurately estimated. Methane emissions from upstream
oil and gas production in Canada
are underestimated We see high intensities in Medicine Hat because produc-
tion rates in this region are so low (Table S4). Although Medicine Hat has the highest density of wells in Alberta
(Table S2), the region only accounts for a small portion (~ 7%) of the province’s gas production12. Such findings
are important, because aggregate production, transmission, and distribution leaks here (and potentially in other Scientific Reports | (2021) 11:8041 | https://doi.org/10.1038/s41598-021-87610-3 www.nature.com/scientificreports/ Site‑level emission factor calculations and Alberta CH4 inventory estimate Site level emission factor calculations and Alberta CH4 inventory estimate
Emission factor calculations. We calculated site-level Emission Factors (EFs) using our measurements
and applied them to all non-oilsands producing sites in Alberta to derive an overall CH4 inventory estimate. Oilsands sites were excluded as we lacked measurements for these facilities (these sites are not ideal for vehicle-
based measurement techniques). EFs were derived by calculating the mean emission rate for all unique combi-
nations of infrastructure types and regions, which we define as Type-Region (TR) bins. For example, Single wells
in Medicine Hat would represent a unique TR bin. All emission rate measurements for active sites (including
those measured as 0) were included in the calculations. We used the ten Alberta Energy Regulator (AER) admin-
istrative regions (Fig. S2) as the physical boundaries in which measurements were considered for region-specific
EFs (excluding the oilsands dominant Fort McMurray region). Using the previous example, an EF for TR bin
Single well-Medicine Hat is the average of all emission rates (including sites measured as non-emitting, i.e. emis-
sion rate = 0) for single well sites within the Medicine Hat region (Fig. S2). It is important to note that while using
this method, a type of infrastructure site could have multiple EFs across different regions. For example, an EF for
a single well in Medicine Hat might be different than an EF for a single well in Red Deer (since they would each
represent a unique TR bin). If a certain infrastructure site type was not sampled in a particular region, an EF was
derived by averaging all measurements (from all regions) of that site type. y
g
g
g
yp
We chose to calculate EFs separately for all unique TR bins because we know from previous studies10–12,14,17,24
that emissions can vary significantly based on these two factors. Our method lets us account for the variability
that exists within the upstream sector, which in turn helps avoid scenarios of over and underestimations. A full
list of EFs used in the total inventory estimate is in Table S5. Alberta CH4 inventory estimate and uncertainty. To estimate an overall methane inventory for
Alberta upstream oil and gas production, we first needed to calculate the total number of oil and gas sites in the
province (excluding oilsands). IHS databases (IHS Markit) (Table S5) were used to determine site counts. Materials and methods To identify thermogenic methane (CH4) plumes, we analyzed
ratios of super-ambient CO2 and CH4 concentrations, as opposed to raw atmospheric concentrations which are
more prone to false characterization. To do this, we first used an adaptive algorithm to establish background
concentrations of each gas, which accounts for the spatiotemporal variability observed on multi-hour surveys. From there, we subtracted these background concentrations to calculate excess ratios (hereafter referred to as
e-ratios). These e-ratios act as a geochemical fingerprint and were used to identify areas of CH4-enrichment. They were also used to distinguish between different emission sources (e.g. from natural sources or engine com-
bustion). For this study, we used an eCO2:eCH4 threshold of < 100 to indicate thermogenic CH4 plumes. Such
measurements of CH4-enrichment needed to persist for more than three consecutive (1 Hz) measurements to
be considered a thermogenic plume (i.e. if there was one measurement that fell below the e-ratio threshold, but https://doi.org/10.1038/s41598-021-87610-3 Scientific Reports | (2021) 11:8041 | www.nature.com/scientificreports/ the following measurement was above the threshold, then the first measurement was not considered to be from
a plume). During surveys, time-series measurements were collected every second. Once the plumes were geospatially located, we used back trajectory analysis to attribute the plumes observed
on road to upstream infrastructure sites. Here, an infrastructure site is defined as all pieces of infrastructure
at upstream oil and gas production sites (wells and facilities), that exist within a 45 m radius of each other. Sites were considered sampled when at least two sequences of measurements (i.e. “passes”) were taken < 500 m
downwind (i.e. it was passed downwind at least twice). Sites were considered to be emitting only if a CH4 plume
was detected < 500 m downwind on more than 50% of passes. If multiple sites fell within 500 m of a plume, the
closest site was tagged as the emission source. Volumetric CH4 emission rate estimates using inverse Gaussian dispersion model. After geo-
chemical and geospatial attribution, we estimated emission rates for all sites tagged as emitting. To do this, we
used a point-source Gaussian Dispersion model, which incorporates both measured and estimated parameters
including downwind CH4 concentration, wind speed, measurement-to-source distance, emission source height,
and Pasquill atmospheric stability. Materials and methods Since most sites consist of multiple pieces of infrastructure, and this meth-
odology cannot confidently attribute plumes to a single well or facility, we estimated emission rates for all indi-
vidual infrastructure within each site, which considers variable equipment (i.e. potential leak source) heights. We then used the median emission rate per site for all subsequent analyses. Reasons for using the median rather
than the mean are discussed further in the next section. Measurement uncertainty. The uncertainties related to our methods of plume detection, attribution, and
emission rate estimation have been previously evaluated9,17,18. Plume detection uncertainty (i.e. the probability
of detecting false positives) was estimated to be < 1%, whereas attribution uncertainty was estimated to range
from 7.5 to 33% (depending on infrastructure density). Emission rate estimates represent our largest source
of uncertainty, which are described extensively in O’Connell et al. (2019)’s Supplemental Material17. O’Connell
et al. (2019) documented an emission rate estimate uncertainty (standard error) of ± 63%, which was calcu-
lated using controlled release experiments conducted over five days, under a range of atmospheric conditions17. Results from these experiments also revealed an upward bias of 30% for mean emission rates measured by three
passes, but the median value was found to be less skewed17. For these reasons (as noted above), the median
emission rate for each site was used in this analysis, to ensure a more conservative, unbiased estimate. These
emission rate uncertainties are comparable to those documented in other transect-based Gaussian dispersion
model studies31,32. Fluid type classification. Fluid types for all measured sites were classified as “Oil”, “Bitumen”, “Gas”, or
“Undefined” based on their infrastructure description (Fig. 1). For example, a “Crude oil single well battery”
site was classified as an oil site. If oil, bitumen, or gas were not included in the site description, then the site was
classified as “Undefined”. Out of all 6651 measured sites, 1239 were classified as “undefined.” Emissions intensity analysis y
y
Calculations. Since there are no standard units to calculate emission intensities, we expressed our estimates
using two ratios: (1) Average megajoule emitted per megajoule produced (MJ/MJ), and (2) grams of CO2 equiva-
lent emitted per megajoule produced (gCO2e/MJ).i g j
g
To calculate the amount of energy (MJ) emitted for each region, we first calculated the cumulative CH4
emission rate (in m3/day) for each campaign (i.e. summed all site-level emissions that were measured over each
campaign). Cumulative emission rates for each campaign are shown in Table S4. These cumulative emissions
were converted to megajoules (MJ) using a conversion of 1 m3 CH4 = 37.3 MJ, which is based on 1000 Btu/cf34. We converted emissions (in m3/day) to grams of CO2e using a global warming potential (GWP) of 25 (over
100 years), and a density of 678 g/m3 (15 °C, 1 atm) for CH4. To calculate the average energy produced per day at all measured sites, we extracted aggregated production
data from IHS databases. Complete lists of all sampled wells during each campaign were imported to IHS Markit
software (AccuMap) to get specific production data for the same sites that were measured for emissions. Daily
average production rates for all producing wells in the sampled well lists were extracted and then summed to
get a combined average production rate per day per region. In other words, average daily production rates for
all sampled wells were summed to get a combined daily average production rate. This was done separately for
both oil (m3/day) and gas (103m3/day), and production data used in these calculations corresponded to the same
month(s) in which the sites were measured for emissions. Consequently, our production rates are based on a
small subset of wells relative to total infrastructure counts in these areas (especially when many of the sampled
wells were not producing), and as a result, these production values may not be representative of the entire regions. However, we do believe this method was the best way to ensure we were getting site- and time-specific produc-
tion values for actual wells that were measured for emissions. From there, the combined daily average production rates for oil and gas were converted to megajoules (MJ). For oil production, we used a conversion of 1 m3 = 38,510 MJ for light oil, and 1 m3 = 40,900 MJ for heavy oil34. Data availability Data availability
All emissions data included in this analysis is available (in csv format) for public download. y
All emissions data included in this analysis is available (in csv format) for public download. y
ll emissions data included in this analysis is available (i Received: 22 October 2020; Accepted: 31 March 2021 Received: 22 October 2020; Accepted: 31 March 2021 Received: 22 October 2020; Accepted: 31 March 2021 References References Site‑level emission factor calculations and Alberta CH4 inventory estimate Since
infrastructure data in IHS databases are not aggregated to site-level, we grouped individual wells and facilities
that fell within a 45 m radius of one another to determine total site counts. This step is required because our
EFs correspond to a site-level estimate. Then, we subset our infrastructure dataset to only include sites that were
either producing, venting, or flaring hydrocarbons during the 2018 production year (according to publicly avail-
able Petrinex reporting data33). Finally, this dataset was used to calculate individual site counts for each TR bin
(Table S5). https://doi.org/10.1038/s41598-021-87610-3 Scientific Reports | (2021) 11:8041 | www.nature.com/scientificreports/ From there, we used a Monte Carlo analysis to estimate the total Alberta inventory and 95% CI. For
each TR bin, we created a probability density function (pdf) with a lognormal distribution (mean = EF,
n = 10,000, SD = ± 63%). A lognormal fit was chosen as previous studies have shown emissions to follow this
distribution13,14,16–18,25. Then, a random value from each pdf is sampled, and multiplied by the corresponding TR
bin site count, resulting in a total emission estimate for each TR bin. Totals from all TR bins are then summed
to compute a total provincial inventory. This process was repeated 10,000 times across all TR bins, resulting in
a distribution of total inventory estimates (n = 10,000), with a mean value of 5,074,449 m3 CH4/day, and 95%
of values falling between 3,741,309 and 7,453,798 m3/day. Using this method, we were able to incorporate the
“heavy-tail” of the emissions distribution, as well as our measurement uncertainty into the total estimate. We
assumed infrastructure count uncertainty to be negligible. Emissions intensity analysis For gas production, we used the same conversion rate used to convert CH4 emissions to energy units (MJ) (see
above). These values were then summed to get a single value representing the average energy produced per day
for all sampled sites. Finally, the daily energy (MJ) emitted and daily gCO2e emitted values were divided by the average daily energy
produced (MJ), for all sites sampled for each campaign, resulting in a single emission intensity value for each
measurement campaign. For regions sampled across multiple campaigns (Lloydminster and Peace River), final
intensities were averaged to get a single value per region. Emission intensity uncertainty. We quantified uncertainties in our intensity calculations, which consid-
ered uncertainties for both emission rate estimates and production volumes. Average emission rate uncertainties
were estimated to be ± 63%. This uncertainty was discussed earlier in Sect. 1.4 and is explained in O’Connell et al. (2019)17. For production volume uncertainties, we assumed an average production volume uncertainty of ± 25%,
which was based on values published in Table 13 of Clearstone Engineering’s inventory methodology report
(same methodology used for Canada’s national inventory reporting estimates)35. The overall emissions intensity
uncertainty was calculated by combining the uncertainty in emission rates and production volumes using the
following error propagation equation: Utotal =
U2
1 + U2
2 · · · + U2n where U1, U2 are the percent uncertainties for each value (emission rates and production volumes). The Utotal
value was then used to determine the upper and lower bounds for each emission intensity estimate (Table S3). where U1, U2 are the percent uncertainties for each value (emission rates and production volumes). The Utotal
value was then used to determine the upper and lower bounds for each emission intensity estimate (Table S3). Acknowledgements g
We would like to thank the Petroleum Technology Alliance of Canada, Environment and Climate Change Can-
ada, Natural Sciences and Engineering Research Council, Atlantic Canada Opportunities Agency, and the David
Suzuki Foundation for their financial support of individual projects that involved collection of data used in this
analysis. We would also like to thank all members of the FluxLab who helped with field work. Author contributions Contributed to conception and design: K.M., D.R. Contributed to acquisition of data: K.M., E.A., E.O., J.B., C.F.,
D.R. Contributed to analysis and interpretation of data: K.M., M.L., D.R., E.B., E.A., C.F. Drafted and/or revised
the article: K.M., D.R., M.L., E.B., E.A., E.O., J.B., C.F. Approved the submitted version for publication: K.M.,
D.R., M.L., E.B., E.A., E.O., J.B., C.F. www.nature.com/scientificreports/ y g
p
g
yi
g
g
32. Feitz, A. et al. The Ginninderra CH4 and CO2 release experiment: an evaluation of gas
Int. J. Greenh. Gas Control 70, 202–224 (2018). 33. Petrinex. Alberta Public Data https://www.petrinex.ca/PD/Pages/APD.aspx (2018). 3. Petrinex. Alberta Public Data https://www.petrinex.ca/PD/Pages/APD.aspx (2018). 4. Canada Energy Regulator. Energy conversion tables, https://apps.cer-rec.gc.ca/Conversion/conversion-tables.aspx?GoCTemplat
eCulture=en-CA. (2016) 35. Clearstone Engineering Ltd. 2018 Alberta upstream oil & gas methane emissions inventory and methodology, https://www.aer.
ca/documents/ab-uog-emissions-inventory-methodology.pdf (2019). 5. Clearstone Engineering Ltd. 2018 Alberta upstream oil & gas methane emissions inventory and methodology, https://www.aer
ca/documents/ab-uog-emissions-inventory-methodology.pdf (2019). www.nature.com/scientificreports/ www.nature.com/scientificreports/ 3. Myhre, G. et al. Anthropogenic and Natural Radiative Forcing, (Chapter in Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change http://www.
climatechange2013.org/images/report/WG1AR5_Chapter08_FINAL.pdf (2013). 3. Myhre, G. et al. Anthropogenic and Natural Radiative Forcing, (Chapter in Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change http://www.
climatechange2013.org/images/report/WG1AR5_Chapter08_FINAL.pdf (2013). g
g
g
p
p
p
(
)
4. Environment and Climate Change Canada (ECCC). National Inventory Report 1990–2018: Greenhouse Gas Sources and Sinks
in Canada (2020). 4. Environment and Climate Change Canada (ECCC). National Inventory Report 1990–2018: Greenhouse Gas Sources and Sinks
in Canada (2020). 5 E
i
t
d Cli
t Ch
C
d (ECCC) T h i
l b
k
d
F d
l
th
l ti
f
th
t
il 4. Environment and Climate Change Canada (ECCC). National Inventory Report 1990 2018: Greenhouse Gas Sources and Sinks
in Canada (2020). 5. Environment and Climate Change Canada (ECCC). Technical backgrounder: Federal methane regulations for the upstream oil
d
h
//
d
/
/
i
li
h
/
/2018/04/f d
l
h
l i
f
h 5. Environment and Climate Change Canada (ECCC). Technical backgrounder: Federal methane regulations for the upstream oi
and gas sector, https://www.canada.ca/en/environment-climate-change/news/2018/04/federal-methane-regulations-for-the-upstr
eam-oil-and-gas-sector.html (2018). and gas sector, https://www.canada.ca/en/environment climate change/news/2018/04/federal methane regulations for the up
eam-oil-and-gas-sector.html (2018). 6 Alberta Energy Regulator (AER) Directive 060 https://www aer ca/documents/directives/Directive060 2020 pdf (2020) eam-oil-and-gas-sector.html (2018). 6 Alberta Energy Regulator (AER) Directive 060 https://www aer ca/documents/directives/Directive060 2020 pdf (2020) ea
o
a d gas secto . t
( 0 8). 6. Alberta Energy Regulator (AER). Directive 060, https://www.aer.ca/documents/directives/Directive060 2020.pdf (2020). g
(
)
6. Alberta Energy Regulator (AER). Directive 060, https://www.aer.ca/documents/directives/Directive060_2020.pdf (2020). k
h
f
Th
l
d
l
h
h 7. Saskatchewan Ministry of Economy. The Oil and Gas Emissions Management Regulations: Chapter O-2 Reg 7, https://www.c
org/en/sk/laws/regu/rrs-c-o-2-reg-7/latest/rrs-c-o-2-reg-7.html (2019). 8. Province of British Columbia. Oil and Gas Activities Act, http://www.bclaws.ca/civix/document/id/regulationbulletin/regulation
bulletin/Reg286_2018 (2018). g
9. Atherton, E. et al. Mobile measurement of methane emissions from natural gas developments in northeastern British Columbia
Canada. Atmos. Chem. Phys. 17, 12405–12420 (2017). y
0. Johnson, M., Tyner, D., Conley, S., Schwietzke, S. & Zavala-Araiza, D. www.nature.com/scientificreports/ Comparisons of airborne measurements and inventory
estimates of methane emissions in the Alberta upstream oil and gas sector. Environ. Sci. Technol. 5, 13008–13017 (2017).i estimates of methane emissions in the Alberta upstream oil and gas sector. Environ. Sci. Technol. 5, 13008–13017 (2017). 11. Roscioli, J. R. et al. Characterization of methane emissions from five cold heavy oil production with sands (CHOPS) facilities. J. Air Waste Manag. Assoc. 68, 671–684 (2018). 11. Roscioli, J. R. et al. Characterization of methane emissions from five cold heavy oil production with sands (CHOPS) faciliti
Air Waste Manag. Assoc. 68, 671–684 (2018). 2. Greenpath Energy. Alberta Fugitive and Vented Emissions Inventory Study, https://www.aer.ca/documents/GreenPathAER%20Sur
vey-Methane.pdf (2016). y
p
3. Zavala-Araiza, D. et al. Reconciling divergent estimates of oil and gas methane emissions. Proc. Natl. Acad. Sci. USA 112, 15597–
15602 (2015). (
)
14. Zavala-Araiza, D. et al. Methane emissions from oil and gas production sites in Alberta, Canada. Elem. Sci. Anth. 6, 27 (2018).it 4. Zavala-Araiza, D. et al. Methane emissions from oil and gas production sites in Alberta, Canada. Elem. Sci. Anth. 6, 27 (2018). 5. Baray, S. et al. Quantification of methane sources in the Athabasca Oil Sands Region of Alberta by aircraft mass balance. Atmos
Chem Phys 18 7361 7378 (2018) ,
g
p
,
,
(
)
5. Baray, S. et al. Quantification of methane sources in the Athabasca Oil Sands Region of Alberta by aircraft mass balance. Atmo
Chem. Phys. 18, 7361–7378 (2018). y
16. Alvarez, R. A. et al. Assessment of methane emissions from the U.S. oil and gas supply chain. Science 361, 186–188 (2018). 17. O’Connell, E. et al. Methane emissions from contrasting production regions within Alberta, Canada: implications under incom
federal methane regulations. Elem. Sci. Anth. 7, 3 (2019). 18. Baillie, J. et al. Methane emissions from conventional and unconventional oil and gas production sites in southeastern Saskatch-
ewan, Canada. Environ. Res. Commun. 1, 011003 (2019). 19. Clearstone Engineering Ltd. Update of equipment, component and fugitive emission factors for Alberta upstream oil and gas
https://www.aer.ca/documents/UpdateofEquipmentComponentandFugitiveEmissionFactorsforAlber-1.pdf. (2018). 0. Ravikumar, A. P. et al. Repeated leak detection and repair surveys reduce methane emissions over a scale of years. Environ. Res
Lett. 15, 034029 (2020).l 1. Johnson, M. R. & Coderre, A. R. Opportunities for CO2 equivalent emissions reductions via flare and vent mitigation: a case study
for Alberta, Canada. Int. J. Greenh. Gas Control 8, 121–131 (2012).l 22. References References
1. Rogelj, J. et al. Mitigation pathways compatible with 1.5°C in the context of Sustainable Development. https://www.ipcc.ch/sr15/
chapter/chapter-2/ (2018) chapter/chapter 2/ (2018)
2. Dlugokencky, E. Trends in Atmospheric Methane (NOAA/ESRL), esrl.noaa.gov/gmd/ccgg/trends_ch4/ (2020). https://doi.org/10.1038/s41598-021-87610-3 Scientific Reports | (2021) 11:8041 | www.nature.com/scientificreports/ Alberta Energy Regulator (AER) Upstream petroleum industry flaring and venting report: Industry performance for year ending
December 31, 2018, https://www.aer.ca/documents/sts/ST60B-2019.pdf (2019). l
31, 2018, https://www.aer.ca/documents/sts/ST60B-2019.pdf (201 p
p
23. Alberta Energy Regulator (AER), Directive 084, https://aer.ca/documents/directives/Directive084.pdf. (2018).i 24. MacKay, K. et al. Fugitive and vented methane emissions surveying on the Weyburn CO2-EOR field in southeastern Saskatchewan,
Canada. Int. J. Greenh. Gas Control 88, 118–123 (2019). 25. Zavala-Araiza, D. et al. Super-emitters in natural gas infrastructure are caused by abnormal process condition
14012 (2017). (
)
26. Brandt, A. R. et al. Methane leaks from North American natural gas systems. Science 343, 733–735 (2014). 26. Brandt, A. R. et al. Methane leaks from North American natural gas systems. Science 343, 733–735 (2014). 7. Johnson, M. R. & Tyner, D. R. A case study in competing methane regulations: Will Canada’s and Alberta’s contrasting regulations
achieve equivalent reductions?. Elem. Sci. Anth. 8, 7 (2020). q
8. Tyner, D. R. & Johnson, M. R. A techno-economic analysis of methane mitigation potential from reported venting at oil production
sites in Alberta. Environ. Sci. Technol. 52(21), 12877–12885 (2018). sites in Alberta. Environ. Sci. Technol. 52(21), 12877–12885 (2 9. Alvarez, R. A., Pacala, S. W., Winebrake, J. J., Chameides, W. L. & Hamburg, S. P. Greater focus needed on methane leakage from
natural gas infrastructure. Proc. Natl. Acad. Sci. USA 109(17), 6435–6440 (2012). 29. Alvarez, R. A., Pacala, S. W., Winebrake, J. J., Chameides, W. L. & Hamburg, S. P. Greater foc
natural gas infrastructure. Proc. Natl. Acad. Sci. USA 109(17), 6435–6440 (2012). g
30. Masnadi, M. S. et al. Global carbon intensity of crude oil production. Science 361 (2018). ,
y
p
(
)
31. Day, S., Dell’Amico, M., Fry, R., Javanmard Tousi, H. Field measurements of fugitive emissions from equipment and well casings
in Australian coal seam gas production facilities, (Report to the Department of the Environment, CSIRO), https://publications.
industry.gov.au/publications/climate-change/system/files/resources/57e/csg-fugitive-emissions-2014.pdf (2014).hi ,
y
p
(
)
31. Day, S., Dell’Amico, M., Fry, R., Javanmard Tousi, H. Field measurements of fugitive emissions from equipment and well casings
in Australian coal seam gas production facilities, (Report to the Department of the Environment, CSIRO), https://publications.
industry.gov.au/publications/climate-change/system/files/resources/57e/csg-fugitive-emissions-2014.pdf (2014).hi y g
p
g
yi
g
g
p
(
)
32. Feitz, A. et al. The Ginninderra CH4 and CO2 release experiment: an evaluation of gas detection and quantification techni
Int. J. Greenh. Gas Control 70, 202–224 (2018). Competing interests h p
g
The authors declare no competing interests. https://doi.org/10.1038/s41598-021-87610-3 Scientific Reports | (2021) 11:8041 | www.nature.com/scientificreports/ © The Author(s) 2021 Additional informationh Supplementary Information The online version contains supplementary material available at https://doi.org/
10.1038/s41598-021-87610-3. Correspondence and requests for materials should be addressed to K.M. Reprints and permissions information is available at www.nature.com/reprints. Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and
institutional affiliations. Open Access This article is licensed under a Creative Commons Attribution 4.0 International
License, which permits use, sharing, adaptation, distribution and reproduction in any medium or
format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the
Creative Commons licence, and indicate if changes were made. The images or other third party material in this
article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the
material. If material is not included in the article’s Creative Commons licence and your intended use is not
permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. © The Author(s) 2021 https://doi.org/10.1038/s41598-021-87610-3 Scientific Reports | (2021) 11:8041 |
|
W4396590709.txt
|
https://journals.library.brocku.ca/index.php/voixplurielles/article/download/4695/3373
|
fr
|
Maëlle Dupon. Vènus a l’escorpion / Vénus en scorpion
|
Voix plurielles
| 2,024
|
cc-by
| 683
|
Voix plurielles 21.1 (2024)
134
Maëlle Dupon. Vènus a l’escorpion / Vénus en scorpion. Landorthe : Reclams, 2021. 198 p.
Auteure occitane et francophone montréalaise, Maëlle Dupon réussit ici une œuvre
puissante sur comment la langue nous fait (ou nous défait) lorsque celle-ci, minoritaire, habite un
être entier pris dans les rouages d’une identité à tout moment négociée. Le récit poétique qu’elle
compose, s’adresse à deux groupes de lectrices et lecteurs géographiquement éloignés, d’une part
les occitanophones du sud de la France, dont la langue n’est plus transmise et s’apprend de nos
jours dans un acte volontaire dans un milieu qui ne la parle pas ; d’autre part, les francophones
québécois, majoritaires dans leur province, minoritaires partout ailleurs en Amérique du Nord,
dont la langue est pratiquée avec une détermination tout à la fois politique et culturelle. Le français,
minoritaire mais officiel au Canada, est la langue dominante qui étouffe les autres langues de
France, y compris l’occitan à peine toléré comme un effluve du passé dont le centralisme parisien
se passerait volontiers. La position de la poète occitane émigrée à Montréal témoigne de la
complexité qu’il y a à parler une langue qui n’appartient pas à une hégémonie. Dupon revendique
son choix d’écrire dans une langue littéraire (l’occitan) qui continue de produire des œuvres vives
depuis les troubadours médiévaux, alors même qu’elle est tombée en désuétude.
Pour les lectrices et lecteurs de littérature canadienne francophone, certains passages de
l’ouvrage rappelleront sans doute certains thèmes de la littérature franco-canadienne (hors
Québec), en particulier franco-ontarienne du vingtième siècle. Comment ne pas penser au célèbre
poème « je suis le franco-ontarien » (1979) de Patrice Desbiens à la lecture, dans Vènus a
l’escorpion / Vénus en scorpion, des lignes suivantes : « Je suis l’itinérant aux dents sales à la
sortie Guy-Concordia. Je suis le dépanneur ouvert jusqu’à 23 h pour une dernière bouteille », etc.
Peut-être souhaitera-t-on aussi trouver quelques échos de la pensée de François Paré qui a publié
plusieurs ouvrages sur la pensée et la production culturelle des Franco-Ontarien.nes depuis les
années 1960, en particulier sa théorisation de la notion de distance en milieu linguistique
minoritaire, par exemple dans La distance habitée (2003). La distance habitée de la néoMontréalaise est celle de l’immigration ; le début de son récit s’ouvre à Berlin en Allemagne ; la
ville d’origine – Montpellier, au sud de la France – existe dans le souvenir.
Les amateurs et amatrices de littérature occitane retrouveront dans Vènus a l’escorpion /
Vénus en scorpion la figure du dernier locuteur – de la dernière locutrice – chère à Jean
Boudou/Joan Bodon et, en filigrane, de nombreuses références à son Livre des grands jours / Lo
Voix plurielles 21.1 (2024)
135
livre dels grands jours (1964), dans lequel le protagoniste – le dernier locuteur occitan qui se
remémore le passé prestigieux de sa langue au douzième siècle – agonise en chantant une chanson
occitane. Comme le mourant du Libre dels grands jorns, la protagoniste de Vènus a l’escorpion /
Vénus en scorpion célèbre sa langue mais, même si elle mène une vie précaire, tout comme le
dernier locuteur de Bodon, et, comme lui, conduit de fascinants parallèles entre un quotidien
difficile et son identification avec la langue occitane, elle reste farouchement optimiste quant à la
survie de la langue. Mort en 1975, Boudou a été témoin de la mort de sa langue. Au vingt-etunième siècle, Dupon affirme sa survie en tant que langue littéraire.
Revenons à Montréal : l’histoire est celle d’une jeune femme qui aime la littérature et la
vie, qui vend son sang pour vivre, qui est passionnément amoureuse, qui aime son indépendance.
Elle raconte Montréal, sa géographie ; elle s’y perd, y erre, s’invente une vie ténue sur un fil fragile
– tout comme le fait ailleurs le personnage de Boudou qui quitte son lieu de vie et s’invente une
nouvelle vie à Clermont-Ferrand, au nord des terres occitanophones et découvre la précarité,
l’errance. A Montréal, la jeune occitanophone découvre que « la vie se continue », à l’abri du
Saint-Laurent et des lumières de la nuit.
Catherine Parayre
|
|
https://openalex.org/W2791810209
|
https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0192538&type=printable
|
English
| null |
Modeling intrinsic potential for beaver (Castor canadensis) habitat to inform restoration and climate change adaptation
|
PloS one
| 2,018
|
public-domain
| 8,181
|
RESEARCH ARTICLE Benjamin J. Dittbrenner1*, Michael M. Pollock2, Jason W. Schilling3, Julian D. Olden4,
Joshua J. Lawler1, Christian E. Torgersen5 Benjamin J. Dittbrenner1*, Michael M. Pollock2, Jason W. Schilling3, Julian D. Olden4,
Joshua J. Lawler1, Christian E. Torgersen5 1 School of Environmental and Forest Sciences, University of Washington, Seattle, Washington, United
States of America, 2 National Oceanic and Atmospheric Administration – Northwest Fisheries Science
Center, Seattle, Washington, United States of America, 3 Tulalip Tribes Natural Resources, Tulalip,
Washington, United States of America, 4 School of Aquatic and Fishery Sciences, University of Washington,
Seattle, Washington, United States of America, 5 U.S. Geological Survey, Forest and Rangeland Ecosystem
Science Center, Cascadia Field Station, University of Washington, Seattle, Washington, United States of
America a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 * castor@uw.edu * castor@uw.edu * castor@uw.edu OPEN ACCESS Through their dam-building activities and subsequent water storage, beaver have the
potential to restore riparian ecosystems and offset some of the predicted effects of climate
change by modulating streamflow. Thus, it is not surprising that reintroducing beaver to
watersheds from which they have been extirpated is an often-used restoration and cli-
mate-adaptation strategy. Identifying sites for reintroduction, however, requires detailed
information about habitat factors—information that is not often available at broad spatial
scales. Here we explore the potential for beaver relocation throughout the Snohomish
River Basin in Washington, USA with a model that identifies some of the basic building
blocks of beaver habitat suitability and does so by relying solely on remotely sensed data. More specifically, we developed a generalized intrinsic potential model that draws on
remotely sensed measures of stream gradient, stream width, and valley width to identify
where beaver could become established if suitable vegetation were to be present. Thus,
the model serves as a preliminary screening tool that can be applied over relatively large
extents. We applied the model to 5,019 stream km and assessed the ability of the model to
correctly predict beaver habitat by surveying for beavers in 352 stream reaches. To further
assess the potential for relocation, we assessed land ownership, use, and land cover in
the landscape surrounding stream reaches with varying levels of intrinsic potential. Model
results showed that 33% of streams had moderate or high intrinsic potential for beaver
habitat. We found that no site that was classified as having low intrinsic potential had
any sign of beavers and that beaver were absent from nearly three quarters of potentially
suitable sites, indicating that there are factors preventing the local population from occupy-
ing these areas. Of the riparian areas around streams with high intrinsic potential for bea-
ver, 38% are on public lands and 17% are on large tracts of privately-owned timber land. Thus, although there are a large number of areas that could be suitable for relocation and Citation: Dittbrenner BJ, Pollock MM, Schilling JW,
Olden JD, Lawler JJ, Torgersen CE (2018)
Modeling intrinsic potential for beaver (Castor
canadensis) habitat to inform restoration and
climate change adaptation. PLoS ONE 13(2):
e0192538. https://doi.org/10.1371/journal. pone.0192538 Citation: Dittbrenner BJ, Pollock MM, Schilling JW,
Olden JD, Lawler JJ, Torgersen CE (2018)
Modeling intrinsic potential for beaver (Castor
canadensis) habitat to inform restoration and
climate change adaptation. PLoS ONE 13(2):
e0192538. https://doi.org/10.1371/journal. pone.0192538 Introduction Competing interests: The authors have declared
that no competing interests exist. Competing interests: The authors have declared
that no competing interests exist. North American beaver (Castor canadensis) have long been recognized as ecosystem engineers,
creating diverse and resilient wetland and riverine systems [1, 2]. Prior to near extirpation in
the early 1900s due to over-trapping and habitat conversion [3], beavers and beaver-created
wetland complexes were a ubiquitous component of riparian systems [4]. Many species
depend upon these systems due to the high geomorphic complexity, aquatic thermal variabil-
ity, and habitat diversity that they aford. For example, the decline in populations of some
aquatic species, including Pacific Coho salmon (Oncorhynchus kisutch), have been partially
attributed to the loss of beaver ponds [5], a feature that salmonids have evolved with since at
least the Pleistocene [6]. Because of their abilities to modify streams and floodplains, beavers have the potential to
play a critical role in shaping how riparian and stream ecosystems respond to climate change. The Pacific Northwest of the United States is experiencing increases in annual air temperature
and decreases in snow pack and summer precipitation [7, 8], resulting in lower base flows, par-
ticularly in streams that rely on late season snowmelt. Climate shifts have altered stream-tem-
perature regimes to the detriment of cold-water fishes, including Pacific salmon [7]. Recent
increases in winter precipitation and storm magnitude have increased the potential for stream
scour, channel incision, and floodplain disconnection, thereby promoting the drying of adja-
cent riparian areas [9, 10]. By damming streams, beavers create pond and wetland complexes that increase spatial het-
erogeneity and geomorphic complexity, species and habitat diversity, and therefore ecosystem
resilience to climate-induced environmental change [11–13]. Beaver impoundments slow
stream velocity allowing sediment suspended in the water column to settle, aggrading incised
stream systems, and reconnecting streams with their floodplains [9]. The increase in surface
water promotes groundwater recharge, storage, and supplementation during base flows [13]. The increased geomorphic complexity also promotes higher thermal variability and cold-
water refugia in deeper waters and in areas of downstream upwelling. Since the 1940s, beaver populations have begun to rebound in many areas of their historical
range, and recolonize formerly occupied areas [14–16]. As they have done so, there have been
responses in riparian ecosystem resilience and functionality [17]. Modeling beaver intrinsic potential habitat restoration using beavers, current land use patterns may substantially limit feasibility in
these areas. restoration using beavers, current land use patterns may substantially limit feasibility in
these areas. International’s 2015 CREOi award to BJD. http://
blogs.nwifc.org/psp/2015/02/final-progress-report-
deliverables-22/ http://creoi.org/the-skykomish-
beaver-project-building-educational-opportunities-
for-aspiring-ecologists-2/ The funders had no role
in study design, data collection and analysis,
decision to publish, or preparation of the
manuscript. Editor: Ulrike Gertrud Munderloh, University of
Minnesota, UNITED STATES Editor: Ulrike Gertrud Munderloh, University of
Minnesota, UNITED STATES
Received: August 23, 2017
Accepted: January 25, 2018
Published: February 28, 2018 Copyright: This is an open access article, free of all
copyright, and may be freely reproduced,
distributed, transmitted, modified, built upon, or
otherwise used by anyone for any lawful purpose. The work is made available under the Creative
Commons CC0 public domain dedication. Data Availability Statement: All relevant modeling
data are located in the Supporting Information files. Please contact castor@uw.edu for assistance in
reproducing similar models. Funding: This research was funded by the U.S
Environmental Protection Agency’s FY 2011
Noncompetitive Tribal Projects for Restoration and
Protection of Puget Sound, Federal Grant Number
PA-00J322-01, to JWS & BJD; and Conservation,
Research and Education Opportunities 1 / 15 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Modeling beaver intrinsic potential habitat Intrinsic potential models provide an alternative to HSI models (which generally use both
intrinsic and extrinsic predictors) by using geomorphic variables that are less prone to change
through time. Intrinsic potential models have been previously used to inform fish habitat res-
toration work [20], and some have proposed using intrinsic potential for non-fish species,
including beaver [21]. To date, however, beaver intrinsic potential (BIP) models have not been
developed and field-verified. BIP models may be more appropriate than HSI models for pre-
dicting where beavers can likely exist within a watershed given the ability of beavers to modify
variable habitat characteristics such as vegetation density and type. Intrinsic variables appro-
priate for use in BIP models are those that cannot be readily altered by beaver colonization. These include site features such as regional climate, precipitation regime, stream gradient,
stream width, and valley width. The variables used in previous HSI models are often good pre-
dictors of current or historical beaver presence. However, they fail to identify areas that may
become suitable if transformed by beavers into high quality habitat through restoration actions
or management changes, and are therefore less useful in areas below carrying capacity or areas
altered by anthropogenic impacts. Here, we develop and apply a beaver intrinsic potential model that can predict where high
quality beaver habitat currently exists and where colonization will occur as population levels
increase or if management changes are made (e.g., expansion of a riparian buffer or greater
implementation of non-lethal beaver management options). We developed our BIP model
within the Snohomish River Basin, Washington State (USA), and validated it within the Sky-
komish River sub-basin. Our study had four primary objectives. The first objective was to
develop a BIP model parameterized with readily available, remotely sensed public data, thus
facilitating the transferability of the approach to other regions. The second objective was to
evaluate the effectiveness of our BIP model within a large basin that has high levels of hydro-
geomorphic complexity and highly variable beaver population densities. The third objective
was to assess the potential for continued population expansion by assessing the degree to
which beaver occupied areas with high intrinsic potential. Finally, we aimed to explore the
potential constraints or barriers to colonization and occupancy of areas with high intrinsic
potential by assessing land use in riparian areas with high intrinsic potential. Introduction Understanding and predicting where suitable beaver habitat exists within their geographic
range can help inform recovery efforts, restoration planning, and conflict avoidance in popu-
lated areas. Beavers are generalist species [18] and can be found in most biomes of North
America [19]. Regional habitat suitability index (HSI) models have been developed throughout
North America to map suitable beaver habitat characteristics. These models predict currently
suitable beaver habitat, but have less utility for predicting where beaver could be if they modify
the landscape, or appropriate restoration actions or land-use management actions were taken. Because vegetation often does not meet criteria that a traditional HSI model would identify as
suitable, many potentially suitable areas are not considered for restoration planning or reloca-
tion actions. Additionally, and perhaps more importantly, vegetation data are not currently
mapped at fine enough spatial resolutions to allow for landscape-scale HSI models to be
applied over larger spatial extents. 2 / 15 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Materials and methods
Site description The Snohomish River Basin (4,807 km2), located on the west slope of the Cascade Range in
Washington State, was selected for BIP model development, and the Skykomish River sub-
basin (2,160 km2) was used for model validation (Fig 1). The Snohomish basin was chosen
because this area provides an excellent test case as the region’s hydrology has both high spatial
and temporal variability; and abundant precipitation in the winter and sporadic precipitation
in the summer add complexity to model development. Channel gradient and morphology vary
greatly throughout the basin. Mountainous areas contain narrow, glacially carved valleys and
high-gradient streams, which transition to low-gradient streams across a wide, hilly plateau
and a large river floodplain with extensive side channels and tributary junctions. This varying
geomorphic context allows for a more thorough assessment of geomorphic conditions (e.g.,
gradient and valley width) as suitability predictors. Additionally, the Snohomish Basin is a pri-
ority area for regional salmonid recovery work as well as a focus area for regional climate-
change research, environmental monitoring, and intensive beaver population surveys
[8,22,23]. The basin is representative of other watersheds in the region in terms of habitat
conditions, importance for regional aquatic species, and potential climate refugia for wildlife
[23–25]. 3 / 15 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Modeling beaver intrinsic potential habitat Fig 1. The Snohomish River Basin, Washington State (USA), showing the Skykomish River sub-basin, with major and minor river bodies. BIP
was modeled in the entire Snohomish Basin and validated using survey data from the Skykomish sub-basin. Input data to inform model variables
was derived from stream segments in the Snohomish watershed, but excluded the Skykomish sub-basin where model validation occurred. https://doi.org/10.1371/journal.pone.0192538.g001 Fig 1. The Snohomish River Basin, Washington State (USA), showing the Skykomish River sub-basin, with major and minor river bodies. BIP
was modeled in the entire Snohomish Basin and validated using survey data from the Skykomish sub-basin. Input data to inform model variables
was derived from stream segments in the Snohomish watershed, but excluded the Skykomish sub-basin where model validation occurred. https://doi.org/10.1371/journal.pone.0192538.g001 https://doi.org/10.1371/journal.pone.0192538.g001 https://doi.org/10.1371/journal.pone.0192538.g001 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Modeling beaver intrinsic potential habitat Table 1. Summary of general and regional beaver habitat suitability models identifying important environmental variables for predicting potential beaver occupa-
tion. Note that some studies focused on specific variable categories (e.g., vegetation) for the purpose of their study objectives. Habitat Quality
Variables
Allen
Retzer
Howard &
Larson
Barnes &
Mallik
Suzuki & Mc-
Comb
Mc-Comb
et al. Pollock
et al. Cox &
Nelson
Anderson &
Bonner
Mac-farlane
et al. All
Studies
[26]
[27]
[28]
[29]
[30]
[31]
[5]
[32]
[33]
[34]
Focus area: state/
region
USA
Rocky
Mts
MA
ON
OR
OR
WA
IL
WV
UT
n = 10
Intrinsic
27
Valley width
X
X
X
X
4
Stream length
X
1
Stream gradient
X
X
X
X
X
X
X
X
8
Stream depth &
width
X
X
X
X
X
5
Stream bank
steepness
X
1
Stream substrate
X
1
Stream power/flood
risk
X
X
X
X
4
Basin size, perennial
flow
X
X
X
3
Extrinsic
17
Vegetation
composition
X
X
X
X
X
5
Vegetation density
X
X
X
3
Canopy cover
X
X
X
X
4
Canopy height
X
1
Stem diameter
X
1
Habitat & veg. area
X
X
2
Shoreline
development ratio
X
1
https://doi org/10 1371/journal pone 0192538 t001 Table 1. Summary of general and regional beaver habitat suitability models identifying important environmental va
tion. Note that some studies focused on specific variable categories (e.g., vegetation) for the purpose of their study object https://doi.org/10.1371/journal.pone.0192538.t001 suitable habitat. Suzuki and McComb [30] reported that beavers preferred streams 3–4 m wide
for damming with an outside range of 2–10 m in Oregon’s Coast Range, USA. Barnes and Mal-
lik [29] found that the upstream watershed area was most useful for differentiating active and
previously colonized sites from sites with no dams, in Ontario, Canada. Pollock et al. [5] ana-
lyzed the effect of stream power, a measure of stream force incorporating discharge and chan-
nel slope, and found that beaver dams were limited to sites with a stream power of less than
2,000 Js-1m-1 in streams of Washington State. Streams of a larger size or power have the
likelihood of breaching dams during yearly high flow periods, so beaver preference for lower-
power flows would be a successful adaptation strategy. Data collection and model development In preparation for BIP model development, we evaluated previously proposed beaver habitat
suitability models documented in the literature (Table 1). The environmental variables most
commonly cited as the best predictors of habitat suitability were vegetation composition,
stream gradient, stream bankfull width, and stream valley width. Stream gradient is frequently correlated with beaver presence and is an ideal indicator of
intrinsic potential due to its low likelihood to change over time. Beavers will most often colo-
nize streams with gradients from 0 to 6% [26], although those below 3% are preferred [27]. Stream gradient is associated with a number of related site characteristics that make it a good
predictor of suitable beaver habitat. Low gradient reaches have slower- moving water with
finer substrates, which allows beavers to anchor dams to the stream-bed and provides mud for
dam and lodge construction. Low gradient reaches also allow constructed dams to spread
water across a larger area, increasing the surface area-to-dam ratio and decreasing costs and
risks of dam-building (e.g., effort required for tree cutting and increased predation while on
land) [9]. Stream bankfull width and associated environmental variables such as upstream contribut-
ing basin size and stream power have been identified as primary characteristics of potentially 4 / 15 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Modeling beaver intrinsic potential habitat the BIP model is intended to identify sites where the hydrogeomorphic, or underlying intrinsic
physical conditions, are suitable for beaver dams. Unlike most habitat suitability models, the
BIP model does not classify sites as unsuitable if habitat restoration, management changes, or
beaver modification could allow beaver to thrive there. We compiled and derived remotely sensed spatial, hydrogeomorphic, and other physical
data for the Snohomish River Basin. We processed all spatial data layers and compiled them in
a geographic information system (GIS) using ArcGIS. We obtained hydrography data layers
consisting of a combination of field-verified and digital elevation model (DEM)-derived
stream segments from King and Snohomish Counties, Washington. We derived stream slope,
bankfull width, discharge, and stream segment breaks using the methodology outlined by
Davies et al. [37]. The valley width for each stream segment was then calculated using the
methodology described in Beechie and Imaki [38]. Valley width was defined as the average
width of the area adjacent to a stream segment that was within 2 m vertical elevation of the
channel elevation. We obtained soil type and permeability layers within the study watershed
from U.S. Forest Service soil inventories [39]. Soil types (e.g., sandy-loam) were converted to
percent silt, clay, and sand so that these data could be treated as continuous variables instead
of factors for multivariate analysis during validation. To assist in identifying the range of intrinsic potential habitat within our study basin, we
selected 501 stream segments showing signs of current or recently abandoned beaver ponding
using Google Earth and U.S. National Agriculture Imagery Program (NAIP) orthographic
imagery. These segments were sampled from the Snohomish watershed but excluded the Sky-
komish sub-basin where model validation occurred. We described stream slope, stream width,
and valley width within each segment to identify the range of conditions present at sites that
beavers colonized (Fig 2). Based on the range of conditions present at potentially suitable sites, we assigned a ranked
value from 0–4 to each of these variables, commensurate with their level of intrinsic potential
according to the criteria in Table 2. Ranking values for each variable were based on a combina-
tion of expert opinion and analysis of habitat preference at locations identified in Fig 1. Higher
weight (value 4) was given to metrics with high intrinsic habitat potential (e.g., slope 1%). Valley width is a measure of stream confinement commonly used in HSI models and is
often correlated with stream order and gradient. Earlier studies of habitat suitability did not
use this metric as it requires more advanced spatial analysis software to generate basin-wide
quantitative measures. More recent studies have found valley width to be a strong predictor of
habitat suitability, and potentially for intrinsic potential [32]. This metric may be more impor-
tant in mountainous and topographically diverse areas where stream confinement more fre-
quently occurs [35]. Reaches with valley widths greater than 46 m were found to be optimal
[26,36]. This measure, however, is likely regionally variable and requires further characteriza-
tion [35]. We did not include extrinsic or modifiable factors such as vegetative cover in our model
because those variables may change over time and are more difficult to assess remotely. Thus, 5 / 15 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Modeling beaver intrinsic potential habitat Table 2. Additive scoring criteria for environmental variables in each stream segment used to categorize the beaver intrinsic potential (BIP) of all 5,182 km of
stream segments in the Snohomish River Basin. Total BIP Score was found by adding the variable scores, Stream Slope + Stream Width + Valley Width (max = 12,
min = 0), and adjusted to categories 0–3 for ease of display and analysis. Stream slope & score
Stream width &
score
Valley width & score
Cumulative score
Adjusted score
BIP categories
< 1%
4
< 7 m
4
> 30 m
4
11–12
3
High
< 2%
3
< 10 m
3
< 30 m
2
10–11
2
Med
< 4%
2
+
< 18 m
2
+
< 20 m
0
=
8–10
1
Low
< 6%
1
< 24 m
1
< 8
0
No BIP
< 10%
0.5
> 24 m
0
> 10%
0
htt
//d i
/10 1371/j
l
0192538 t002 https://doi.org/10.1371/journal.pone.0192538.t002 intrinsic potential scores to all stream segments within the Snohomish River Basin to produce
the BIP model. The model possesses four predictive categories of beaver intrinsic potential: No
BIP, Low, Moderate, and High BIP, numbered 0–3, respectively. Following completion of model development, we compared the spatial distribution of mod-
eled intrinsic potential to land use in the Snohomish Basin to identify how habitat was distrib-
uted across the landscape and where it might be at odds with existing human use. Land use
was identified within 30-m buffers of all modeled streams using Snohomish County zoning
GIS data. We assigned a final BIP score for each segment by summing the ranked scores of stream slope,
stream width, and valley width (analogous to the IP model of Burnett et al. [20]). We assigned Fig 2. Geomorphic characteristics of stream segments in the Snohomish River Basin occupied by beaver. (A)
Valley widths versus slope, (B) valley width v. bankfull width. Crosshair lines represent the standard deviations, and
square symbols are the means. Note that the scale is logarithmic. The data show that dam-building beaver generally
prefer streams with percent slope < 0.04, bankfull width < 8 m, and valley width > 30 m. https://doi.org/10.1371/journal.pone.0192538.g002 Fig 2. Geomorphic characteristics of stream segments in the Snohomish River Basin occupied by beaver. (A)
Valley widths versus slope, (B) valley width v. bankfull width. Crosshair lines represent the standard deviations, and
square symbols are the means. Note that the scale is logarithmic. The data show that dam-building beaver generally
prefer streams with percent slope < 0.04, bankfull width < 8 m, and valley width > 30 m. https://doi.org/10.1371/journal.pone.0192538.g002 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 6 / 15 Field validation of remote sensing based BIP We field-verified the BIP model in the Skykomish River sub-basin, testing how well the mod-
eled intrinsic potential predicted field-assessed intrinsic potential at surveyed sites. We limited
survey locations to those that were within stream segments that had a relatively homogenous
gradient and stream width within the mapped stream segment. Using a quasi-random
approach, we selected 100 stream segments from each of the four BIP classes (0–3) for a total
of 400 survey sites, which were reduced to 352 due to access limitations in some cases. We
conducted a blind assessment of conditions at each field location during base flow conditions
(i.e., July through September). In instances where there was uncertainty, we revisited the
site during higher flow conditions. The same metrics used to construct model scores within
mapped stream segment, stream slope, width, and valley width, were evaluated in the field. A
field score for each segment was found using the same methods used in the model (Table 2). Together, these surveys evaluated 32.1 stream km. Prior to validating model scores with field conditions, we established an intrinsic potential
threshold, or a cutoff, separating high IP model scores from those thought to be less suitable
using methods in [40]. We established a threshold between values 1 and 2, thereby grouping
model values 0 and 1 as no BIP, and values 2 and 3 as high BIP. We arrived at this threshold by
comparing stepwise combinations of model scores. We performed a validation test for the BIP model’s ability to predict the site’s intrinsic habi-
tat potential. Validation was conducted by comparing modeled suitability with observed BIP
at 352 stream segments using a contingency table. Overall model accuracy, sensitivity, and
specificity were assessed. PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 https://doi.org/10.1371/journal.pone.0192538.t002 Predicting beaver occupancy In addition to comparing our model predictions to BIP assessed in the field, we determined
the degree to which BIP based on remotely sensed data predicted beaver occupancy. We sur-
veyed the same 352 sites used in our validation effort for signs of both current and historical 7 / 15 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Modeling beaver intrinsic potential habitat occupation. Site occupancy was determined by the presence of recent beaver sign, such as
freshly chewed sticks, cut logs, fresh scent mounds, or presence of actively maintained dam or
lodge structures (following Snodgrass and Meffe [41]). In areas with questionable occupancy,
we confirmed presence with multiple revisits, wildlife cameras, and by placing small notches
in the crest of dams and monitoring them through the summer for repair. A number of
sites appeared to be recently vacated yet retained high intrinsic habitat potential; these sites
lacked new beaver sign or recently maintained structures, but these sites still had dams that
impounded water to near the crest, supporting a large wetland complex. Data & model development The BIP model assigned one of four BIP values (High, Moderate, Low, or No BIP) to 48,397
stream segments comprising 5,019 stream km within the Snohomish River Basin (Fig 3 and
Table 3). Most reaches with high BIP were concentrated in lower gradient areas outside of the
Cascade Mountains. Approximately 23% of all streams were categorized as high BIP, 10% as
moderate, and 8% as low BIP. The remainder of the streams (~60%) in the basin were classified
as having no intrinsic potential for beaver colonization. Most of these were high gradient head-
waters. The majority of high BIP reaches were located in low gradient streams (i.e., 3%) with Fig 3. BIP model in the Snohomish Basin. Large, low-gradient rivers and small, high-gradient streams are grouped as having low or no BIP, while
small to mediums sized low-gradient streams have moderate or high BIP. Fig 3. BIP model in the Snohomish Basin. Large, low-gradient rivers and small, high-gradient streams are grouped as having low or no BIP, while
small to mediums sized low-gradient streams have moderate or high BIP. https://doi.org/10.1371/journal.pone.0192538.g003 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 8 / 15 wide floodplains or on side channels of large rivers. Smaller pockets of high BIP reaches were
also identified in more mountainous areas. Modeling beaver intrinsic potential habitat wide floodplains or on side channels of large rivers. Smaller pockets of high BIP reaches were
also identified in more mountainous areas. Table 3. BIP model predictions for beaver habitat intrinsic potential in the Snohomish River Basin, showing number and total length of streams segments by cate-
gory. Observed conditions, number of validation sites visited within each modeled BIP class, and beaver presence is described for field-validated sites, which occurred
within the Skykomish River subbasin. Modeled Conditions
Observed Conditions
BIP
Stream segments
Length (km)
% of stream segments
Validation sites
High BIP sites
Current & historical occupancy
Occupied
High
11,768
1,171
23%
91
87
26
34
Moderate
4,987
481
10%
82
57
59
5
Low
5,058
389
8%
83
1
0
0
No BIP
26,584
2,978
59%
96
0
0
0
Total
48,397
5,019
100%
352
145
85
39
https://doi.org/10.1371/journal.pone.0192538.t003 habitat intrinsic potential in the Snohomish River Basin, showing number and total length of streams segments by cate-
tion sites visited within each modeled BIP class, and beaver presence is described for field-validated sites, which occurred Table 3. BIP model predictions for beaver habitat intrinsic potential in the Snohomish River Basin, showing number and total length of streams segments by cate-
gory. Observed conditions, number of validation sites visited within each modeled BIP class, and beaver presence is described for field-validated sites, which occurred
within the Skykomish River subbasin. Modeled Conditions
Observed Conditions
BIP
Stream segments
Length (km)
% of stream segments
Validation sites
High BIP sites
Current & historical occupancy
Occupied
High
11,768
1,171
23%
91
87
26
34
Moderate
4,987
481
10%
82
57
59
5
Low
5,058
389
8%
83
1
0
0
No BIP
26,584
2,978
59%
96
0
0
0
Total
48,397
5,019
100%
352
145
85
39 Table 3. BIP model predictions for beaver habitat intrinsic potential in the Snohomish River Basin, showing number and total length of streams segments by cate-
gory. Observed conditions, number of validation sites visited within each modeled BIP class, and beaver presence is described for field-validated sites, which occurred
within the Skykomish River subbasin https://doi.org/10.1371/journal.pone.0192538.t003 wide floodplains or on side channels of large rivers. Smaller pockets of high BIP reaches were
also identified in more mountainous areas. wide floodplains or on side channels of large rivers. Smaller pockets of high BIP reaches were
also identified in more mountainous areas. Field validation and beaver occupancy Within 352 randomly selected field points, we rated 91 segments modeled as high BIP, 82
segments modeled as moderate BIP, 83 low BIP segments, and 96 modeled as no BIP (Fig 4). Comparison of modeled (expected) site scores with field-observed site conditions revealed
high degrees of accuracy, specificity (i.e., rate of low BIP prediction accuracy), and sensitivity Within 352 randomly selected field points, we rated 91 segments modeled as high BIP, 82
segments modeled as moderate BIP, 83 low BIP segments, and 96 modeled as no BIP (Fig 4). Comparison of modeled (expected) site scores with field-observed site conditions revealed
high degrees of accuracy, specificity (i.e., rate of low BIP prediction accuracy), and sensitivity Fig 4 Field validation sites in the Skykomish subbasin Fig 4. Field validation sites in the Skykomish subbasin. https://doi.org/10.1371/journal.pone.0192538.g004 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 9 / 15 Modeling beaver intrinsic potential habitat Table 4. Model validation contingency table and supporting test statistics, comparing field-observed BIP with modeled BIP (left), and evaluation of model predic-
tion at sites currently or historically occupied by beavers (center), and actively occupied sites (right). Field-observed BIP
Evidence of beaver
BIP model prediction
Low
High
Current or historically occupied
Currently occupied
No & low
177
1
0
0
Moderate & high
30
144
85
39
Accuracy
0.92
0.99
0.99
95% CI
(0.88, 0.94)
(0.96, 0.99)
(0.96, 0.99)
Sensitivity
0.99
0.99
0.99
Specificity
0.86
0.99
0.99
Observations
352
85
39
https://doi.org/10.1371/journal.pone.0192538.t004 (i.e., rate of high BIP prediction accuracy) (>85%) (Table 4). Error in stream alignment
in the original stream data layer was likely the greatest source of model error, and when
present, likely precipitated other environmental variable error. Of the 352 stream segments
that were field verified, 39 sites were actively colonized and 46 appeared to be currently
vacant but had evidence of historical dam-building (Table 3). Fifty nine percent of all sites
classified as having moderate or high intrinsic potential had signs of current or past beaver
occupancy. No site that was classified as having low intrinsic potential had any sign of bea-
vers (Table 4). Land use Although 60% of all 30-m stream buffers were located within areas designated as open space in
Washington State [42] and on public timber lands in the Snohomish Basin—areas likely to
experience the lowest conflict from beaver colonization due to fewer competing human inter-
ests– 79% of these areas were classified as having no intrinsic potential for beavers. Over half
of areas with high BIP (59%) were located in human-dominated landscapes, such as industrial,
agricultural, residential, and privately held land use types (Fig 5A). Furthermore, higher inten-
sity, human dominated land uses, such as agriculture and residential development had much
greater proportions of higher quality BIP habitat than natural lands, demonstrating why
human-beaver conflicts are so common (Fig 5B). PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Discussion Beaver reintroduction and relocation hold much potential for habitat restoration and for
addressing the impacts of climate change [43]. Identifying where to perform those introduc-
tions over large areas, however, remains a conservation challenge. Here, we demonstrate how
models of remotely sensed intrinsic habitat potential identify potential habitat with high confi-
dence. This approach offers a straightforward method for developing accurate estimates of the
potential for beaver habitat using readily available data. The accuracy of this model makes it
particularly useful for identifying sites that are suitable for beaver relocation and beaver-assis-
ted restoration. Beavers present a unique challenge and opportunity for accurate habitat model develop-
ment, especially in areas where populations are below carrying capacity or where a large
amount of unimproved vacant habitat exists. The use of BIP models has the advantage over
traditional habitat suitability models of detecting potential habitat, regardless of the current
vegetative cover or land use. In areas such as the Skykomish subbasin, where our model and
intensive site surveys found population levels to be well below carrying capacity, the effects of PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 10 / 15 Modeling beaver intrinsic potential habitat Fig 5. (A) Distribution of 30-m stream buffers and high quality BIP segments in the Snohomish Basin by land use
type. (B) Proportion of high, moderate, low and no BIP by land use type. https://doi org/10 1371/journal pone 0192538 g005 Fig 5. (A) Distribution of 30-m stream buffers and high quality BIP segments in the Snohomish Basin by land use
type. (B) Proportion of high, moderate, low and no BIP by land use type. https://doi.org/10.1371/journal.pone.0192538.g005 Fig 5. (A) Distribution of 30-m stream buffers and high quality BIP segments in the Snohomish Basin by land use
type. (B) Proportion of high, moderate, low and no BIP by land use type. https://doi.org/10.1371/journal.pone.0192538.g005 Fig 5. (A) Distribution of 30-m stream buffers and high quality BIP segments in the Snohomish Basin by land use
type. (B) Proportion of high, moderate, low and no BIP by land use type. https://doi.org/10.1371/journal.pone.0192538.g005 https://doi.org/10.1371/journal.pone.0192538.g005 beaver colonization (e.g., dam building, pond formation, and subsequent aggradation of
stream channels [9]) have the potential to increase the suitability of surrounding habitat. Modeling beaver intrinsic potential habitat in areas where beaver populations are depressed, but unexploited, they will increase rapidly
towards carrying capacity [44]. It is possible that a combination of top-down, bottom-up, and
abiotic controls are preventing colonization or suppressing population growth rates. Top-
down and abiotic constraints on recovery rates could include high predation levels, environ-
mental stressors (e.g., harsh winter conditions at higher elevations), limited dispersal corridors
due to fragmented habitat and constrained topography, or undocumented recreational trap-
ping. Bottom-up pressures may include previously unexplored interactions such as conifer
encroachment into historical beaver meadows and a shift in vegetative composition to include
less palatable species. Given these pressures, uncolonized areas meeting minimal habitat
requirements may experience a very gradual expansion as beavers go through the initial steps
of transforming each site’s morphology and vegetative composition. Areas surrounding cur-
rently occupied sites have potential for reintroduction and restoration because of their prox-
imity to beaver population sources and the favorable ecological conditions created through
intermittent colonization by beavers in the past. It is also possible that such reaches were
inhabited by beavers prior to their extirpation by European trappers in the early to mid-1800s,
but that the length of time passed since extirpation, land-use activities, and the humid climate
has removed more obvious signs of their existence. Unfortunately, we could find no historical
records characterizing pre-European beaver abundance in our study basin, so we have no such
data to which we can compare our model results. Like many watersheds, the Snohomish is projected to experience substantial hydrologic
change over the next 100 years due to changing climatic conditions [45]. Summer precipitation
is projected to decrease and winter precipitation to increase. This may convert some perennial
streams to seasonal streams and in winter months may result in an increase in stream power. Beavers may be able to mitigate some of these hydrologic changes by reducing stream power,
allowing reaches to aggrade [9] and converting higher gradient streams into stepped pools that
disperse energy. These pools also impound surface water, allowing it to recharge groundwater
[46] and supplement streams during low-flow periods [47]. The recolonization of large areas and the subsequent landscape-level changes that may
ensue could result in changes to the hydrogeomorphic variables that BIP models use. PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Discussion Our study demonstrates that there is a large amount of potential habitat within the Sno-
homish watershed that remains unoccupied by beavers, much of which is in fragmented land-
scapes and in ownership patterns to which it is not easy to apply beaver restoration (Fig 5). Although there appear to be many opportunities to use beaver as a restoration tool and to miti-
gate the effects of climate change throughout the Snohomish basin, many of these opportuni-
ties exists in areas where ownership patterns are diverse. Watersheds such as the Skykomish
sub-basin, however, which are dominated by public ownership, provide ample opportunities
to test how beavers can be reintroduced into landscapes where they are absent or at low popu-
lation levels. In the Skykomish sub-basin, site assessments showed no sign or evidence of past beaver
presence in many stream segments categorized as geomorphologically suitable beaver habitat
by the BIP model and site surveys. Field surveys indicate that approximately 75 percent of geo-
morphologically suitable sites in the basin are vacant, raising the question: why are there no
colonies in these areas? A recent study of the European beaver (Castor fibre) demonstrates that PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 11 / 15 Acknowledgments We would like to thank Terry Williams, Abigail Hook, and the Tulalip Tribes for project initia-
tion, Joe Neil, Andrew Bryden and the US Forest Service, Chris Tran, Molly Alves, and David
Bailey for field support, and Cynthia Dittbrenner for guidance on manuscript and analysis
development. Any use of trade, product, or firm names is for descriptive purposes only and
does not imply endorsement by the U.S. government. Supporting information S1 Table. Environmental variables within each stream segment used in BIP model con-
struction. Over
time, effective stream gradient may change as beavers create series of step pools, and stream
power may decrease as water is spread over larger areas. Additionally, as flow regimes change,
so will some of the physical and hydrologic characteristics of streams, including stream size
and power. Areas experiencing hydrologic and hydrogeomorphic changes due to either cli-
mate change or rapid population growth, respectively, may require the model to be run with
updated climate and flow data. Like any model, the intrinsic potential model described here has its limitations. For exam-
ple, our BIP model captured most riverine wetlands but missed adjacent palustrine wetlands
(sensu [48]). During field surveys, crews often discovered depressional wetland habitat located
adjacent to, but separate from streams. Where depressional wetlands share the subsurface
hydrology of the adjacent stream, there is potential for beavers to expand this habitat substan-
tially creating stream-wetland matrices. These areas can enhance surface and groundwater
storage, provide periodic surface connections to backwater rearing areas for juvenile fish, and
provide unique habitat for amphibians and other riparian species [49,50]. While this model
may be experimentally applied to areas outside of the Puget Sound region, the scope of infer-
ence for this model is intended for mesic watersheds of the Cascades and Puget Sound low-
lands. It is likely that the underlying variables comprising our model—stream gradient, stream
width, and valley width—will be important in most areas. Additional factors may dictate BIP
in other regions as demonstrated in Table 1. Another potential limitation of our model is the
spatial quality of the remotely sensed data which may cause errors in the alignment of stream PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 12 / 15 Modeling beaver intrinsic potential habitat layers with other geospatial data layers. In spite of these potential limitations, using a BIP
model such as the one described here can inform practitioners as they identify candidate sites
for beaver relocation without extensive field surveys or complex modeling. Author Contributions Conceptualization: Michael M. Pollock, Julian D. Olden. Data curation: Benjamin J. Dittbrenner, Michael M. Pollock, Jason W. Schilling. Formal analysis: Benjamin J. Dittbrenner, Michael M. Pollock. Funding acquisition: Benjamin J. Dittbrenner, Jason W. Schilling. Investigation: Benjamin J. Dittbrenner, Michael M. Pollock, Jason W. Schilling. Methodology: Michael M. Pollock, Julian D. Olden. Funding acquisition: Benjamin J. Dittbrenner, Jason W. Schilling. Project administration: Benjamin J. Dittbrenner, Joshua J. Lawler, Christian E. Torgersen. Software: Benjamin J. Dittbrenner. Project administration: Benjamin J. Dittbrenner, Joshua J. Lawler, Christian E. Torgersen. Software: Benjamin J. Dittbrenner. Supervision: Julian D. Olden, Joshua J. Lawler, Christian E. Torgersen. Supervision: Julian D. Olden, Joshua J. Lawler, Christian E. Torgersen. Validation: Benjamin J. Dittbrenner, Jason W. Schilling. Validation: Benjamin J. Dittbrenner, Jason W. Schilling. Visualization: Benjamin J. Dittbrenner. Writing – original draft: Benjamin J. Dittbrenner. Writing – review & editing: Michael M. Pollock, Jason W. Schilling, Julian D. Olden, Joshua
J. Lawler, Christian E. Torgersen. Writing – review & editing: Michael M. Pollock, Jason W. Schilling, Julian D. Olden, Joshua
J. Lawler, Christian E. Torgersen. J. Lawler, Christian E. Torgersen. PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 References 1. Pollock MM, Naiman RJ, Erickson HE, Johnston CA, Pastor J, Pinay G. Beaver as engineers: Influ-
ences on biotic and abiotic characteristics of drainage basins. In: Lawton J H., J CG, editors. Linking
species to ecosystems. Chapman & Hall, New York; 1994. pp. 117–126. 2. Wright J, Jones C, Flecker A. An ecosystem engineer, the beaver, increases species richness at the
landscape scale. Oecologia. 2002; 132: 96–101. https://doi.org/10.1007/s00442-002-0929-1 PMID:
28547281 3. Mackie RS. Trading Beyond the Mountains: The British Fur Trade on the Pacific, 1793–1843 [Internet]. Vancouver, BC: UBC Press; 1997. https://books.google.com/books?hl=en&lr=&id=
U60XFhjHSnMC&pgis=1 4. Johnston CA, Naiman RJ. Boundary dynamics at the aquatic-terrestrial interface: The influence of bea-
ver and geomorphology. 1986; 57: 47–57. 4. Johnston CA, Naiman RJ. Boundary dynamics at the aquatic-terrestrial interface: The influence of bea-
ver and geomorphology. 1986; 57: 47–57. PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 13 / 15 Modeling beaver intrinsic potential habitat 5. Pollock MM, Pess GR, Beechie TJ, Montgomery DR. The Importance of Beaver Ponds to Coho Salmon
Production in the Stillaguamish River Basin, Washington, USA. North Am J Fish Manag. 2004; 24: 749–
760. https://doi.org/10.1577/M03-156.1 6. Robinson S, Beaudoin AB, Froese DG, Doubt J, Clague JJ. Plant macrofossils associated with an early
Holocene beaver dam in interior Alaska. Arctic. 2007; 60: 430–438. 7. Elsner MM, Cuo L, Voisin N, Deems JS, Hamlet AF, Vano JA, et al. Implications of 21st century climate
change for the hydrology of Washington State. Clim Change. 2010; 102: 225–260. https://doi.org/10. 1007/s10584-010-9855-0 8. Raymond CL, Peterson DL, Rochefort RM, editors. Climate change vulnerability and adaptation in the
North Cascades region, Washington. Portland, OR: General Technical Report, PNW-GTR-892, U.S. Department of Agriculture, Forest Service, Pacific Northwest Research Station; 2014. 9. Pollock MM, Beechie TJ, Wheaton JM, Jordan CE, Bouwes N, Weber N, et al. Using beaver dams to
restore incised stream ecosystems. Bioscience. 2014; 64: 279–290. https://doi.org/10.1093/biosci/
biu036 10. Stavros EN, Abatzoglou JT, Larkin NK, Mckenzie D, Steel EA. Climate and very large wildland fires in
the contiguous Western USA. Int J Wildl Fire. 2014; 23: 899–914. https://doi.org/10.1071/WF13169 11. Naiman RJ, Elliott SR, Helfield JM, O’Keefe TC. Biophysical interactions and the structure and dynam-
ics of riverine ecosystems: The importance of biotic feedbacks. Hydrobiologia. 2000; 410: 79–86. https://doi.org/10.1023/A:1003768102188 12. Gibson PP, Olden JD. Ecology, management, and conservation implications of North American beaver
(Castor canadensis) in dryland streams. Aquat Conserv Mar Freshw Ecosyst. 2014; 24: 391–409. References https://doi.org/10.1002/aqc.2432 13. Janzen K, Westbrook CJ. Hyporheic Flows Along a Channelled Peatland: Influence of Beaver Dams. Can Water Resour J. 2011; 36: 331–347. https://doi.org/10.4296/cwrj3604846 14. Johnston CA, Naiman RJ. Aquatic patch creation in relation to beaver population trends. Ecology. 1990;
71: 1617–1621. https://doi.org/10.2307/1938297 15. Snodgrass JW. Temporal and spatial dynamics of beaver-created patches as influenced by manage-
ment practices in a south-eastern North American landscape. J Appl Ecol. 1997; 34: 1043–1056. https://doi.org/10.2307/2405293 16. Whitfield CJ, Baulch HM, Chun KP, Westbrook CJ. Beaver-mediated methane emission: The effects of
population growth in Eurasia and the Americas. Ambio. 2015; 44: 7–15. https://doi.org/10.1007/s13280-
014-0575-y PMID: 25515021 17. Kemp PS, Worthington TA, Langford TEL, Tree ARJ, Gaywood MJ. Qualitative and quantitative effects
of reintroduced beavers on stream fish. Fish Fish. 2012; 13: 158–181. https://doi.org/10.1111/j.1467-
2979.2011.00421.x 18. Jenkins SH. food selection by beavers. Oecologia. 1975; 21: 157–173. https://doi.org/10.1007/
BF00345558 PMID: 28308246 19. Jenkins SH, Busher PE. Castor canadensis. Mamm species. 1979; 120: 1–8. Available: http://scholar. google.com/scholar?hl=en&btnG=Search&q=intitle:Castor+canadensis#1 20. Burnett K, Reeves G, Miller D, Clarke S, Christiansen K. A First Step Toward Broad-Scale Identification
of Freshwater Protected Areas for Pacific Salmon and Trout in Oregon, USA. In: Beumer J, Grant A,
Smith D, editors. Aquatic Protected Areas: what works best and how do we know? Proceedings of the
World Congress on Aquatic Protected Areas, Cairns, Australia, August 2002. North Beach, WA, Austra-
lia; 2003. pp. 144–154. 21. Benda L, Miller D, Andras K, Bigelow P, Reeves G, Michael D. NetMap: A new tool in support of water-
shed science and resource management. For Sci. 2007; 53: 206–219. 22. Raymond CL, Peterson DL, Rochefort RM. The North Cascadia adaptation partnership: A science-
management collaboration for responding to climate change. Sustain. 2013; 5: 136–159. https://doi.org/
10.3390/su5010136 23. Snohomish Basin Salmon Recovery Forum. Snohomish River Basin Salmon Conservation Plan. Ever-
ett, WA; 2005. 24. Bartz KK, Ford MJ, Beechie TJ, Fresh KL, Pess GR, Kennedy RE, et al. Trends in developed land
cover adjacent to habitat for threatened salmon in Puget Sound, Washington, U.S.A. PLoS One. 2015;
10: 1–22. https://doi.org/10.1371/journal.pone.0124415 PMID: 25923327 25. Scheuerell MD, Hilborn R, Ruckelshaus MH, Bartz KK, Lagueux KM, Haas AD, et al. The Shiraz model:
a tool for incorporating anthropogenic effects and fish-habitat relationships in conservation planning. Can J Fish Aquat Sci. 2006; 63: 1596–1607. https://doi.org/10.1139/F06-056 26. Allen AW. Habitat suitability index models: Beaver, FWS/OBS-82. Washington, DC: U.S. Fish and Wild-
life Service; 1982. References 14 / 15 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018 Modeling beaver intrinsic potential habitat 27. Retzer JL. Suitability of physical factors for beaver management in the Rocky Mountains of Colorado. (Technical Bulletin 2). 1956. 28. Howard RJ, Larson JS. A Stream Habitat Classification System for Beaver. J Wildl Manage. 1985; 49:
19–25. 29. Barnes DM, Mallik AU. Habitat factors influencing beaver dam establishment in a northern Ontario
watershed. J Wildl Manage. 1997; 61: 1371–1377. https://doi.org/10.2307/3802140 30. Suzuki N, McComb WC. Habitat classification models for beaver (Castor canadensis) in the streams of
the central Oregon Coast Range. Northwest Sci. 1998; 72: 102–110. 31. McComb WC, Sedell JR, Buchholz TD. Dam-site selection by beavers in an eastern Oregon basin. Gt
Basin Nat. 1990; 273–281. 32. Cox DR, Nelson TA. Beaver Habitat Models for Use in Illinois Streams. Trans Illinois State Acad Sci. 2009; 102: 55–64. Available: http://ilacadofsci.com/wp-content/uploads/2013/03/102-05MS2806-print.pdf 33. Anderson J, Bonner J. Modeling Habitat Suitability for Beaver (Castor canadensis) Using Geographic
Information Systems. Int Conf Futur Environ Energy. 2014; 61: 12–23. 34. Macfarlane WW, Wheaton JM, Bouwes N, Jensen ML, Gilbert JT, Hough-Snee N, et al. Modeling the
capacity of riverscapes to support beaver dams. Geomorphology. Elsevier B.V.; 2015; https://doi.org/
10.1016/j.geomorph.2015.11.019 35. Petro V. Evaluating “nuisance” beaver relocation as a tool to increase coho salmon habitat in the Alsea
Basin of the central Oregon Coast Range. M.Sc. Thesis [Internet]. Oregon State University, Corvallis,
OR. 2013. http://ir.library.oregonstate.edu/xmlui/handle/1957/42875 36. Perkins TE. The spatial distribution of beaver (Castor canadensis) impoundments and effects on plant
community structure in the lower Alsea drainage of the Oregon Coast Range, Thesis [Internet]. Oregon
State University, Corvallis, OR. 2000. http://ir.library.oregonstate.edu/jspui/handle/1957/6700 37. Davies JR, Lagueux KM, Sanderson B, Beechie TJ. Modeling stream channel characteristics from
drainage-enforced DEMs in Puget Sound, Washington, USA. J Am Water Resour Assoc. 2007; 43:
414–426. https://doi.org/10.1111/j.1752-1688.2007.00032.x 38. Beechie T, Imaki H. Predicting natural channel patterns based on landscape and geomorphic controls
in the Columbia River basin, USA. Water Resour Res. 2014; 50: 39–57. https://doi.org/10.1002/
2013WR013629 39. Snyder R V., Wade JM. Mt. Baker National Forest soil resource inventory. Washington DC: U.S. Forest
Service; 1970. 40. Hirzel AH, Le Lay G, Helfer V, Randin C, Guisan A. Evaluating the ability of habitat suitability models to
predict species presences. Ecol Modell. 2006; 199: 142–152. https://doi.org/10.1016/j.ecolmodel.2006. 05.017 41. Snodgrass JW, Meffe GK. Influence of Beavers on Stream Fish Assemblages: Effects of Pond Age and
Watershed Position. Ecology. References 1998; 79: 928–942. 42. Open Space, Agricultural Timberlands—Current Use—Conservation Futures, Revised Code of Wash-
ington State § 84.34. 2017. 43. Castro J, Pollock M, Jordan C, Lewallen G, Woodruff K. The Beaver Restoration Guidebook. Work with
Beaver to Restore Streams, Wetl Floodplains. 2015; http://www.fws.gov/oregonfwo/
ToolsForLandowners/RiverScience/Beaver.asp%5Cnpapers2://publication/uuid/F5CC7199-5304-
42F2-8C26-50AF48FC1A31 44. Parker H, Rosell F. Rapid rebound in colony number of an over-hunted population of Eurasian beaver
Castor fiber. Wildlife Biol. 2014; 20: 267–269. https://doi.org/10.2981/wlb.00040 45. Mote P, Hamlet A, Salathe´ E. Has spring snowpack declined in the Washington Cascades? Hydrol
Earth Syst Sci. 2008; 12: 193–206. Available: http://www.hydrol-earth-syst-sci.net/12/193/2008/hess-
12-193-2008.pdf 46. Westbrook CJ, Cooper DJ, Baker BW. Beaver Assisted River Valley Formation. River Res Appl. 2011;
27: 247–256. 47. Pollock MM, Heim M, Werner D. Hydrologic and Geomorphic Effects of Beaver Dams and Their Influ-
ence on Fishes. Am Fish Soc Symp. 2003; 37: 20. 48. Cowardin LM, Carter V, Golet FC, Laroe ET. Classification of wetlands and deepwater habitats of the
United States [Internet]. Washington DC; 1979. FWS/OBS-79/31 49. Law A, McLean F, Willby NJ. Habitat engineering by beaver benefits aquatic biodiversity and ecosystem
processes in agricultural streams. Freshw Biol. 2016; 61: 486–499. https://doi.org/10.1111/fwb.12721 50. Stevens CE, Paszkowski CA, Foote AL. Beaver (Castor canadensis) as a surrogate species for con-
serving anuran amphibians on boreal streams in Alberta, Canada. Biol Conserv. 2007; 134: 1–13. https://doi.org/10.1016/j.biocon.2006.07.017 15 / 15 PLOS ONE | https://doi.org/10.1371/journal.pone.0192538
February 28, 2018
|
https://openalex.org/W2011743547
|
https://www.scielo.br/j/ac/a/yHNngyMMYvDtF6QQ6tJKNQd/?lang=pt&format=pdf
|
Portuguese
| null |
Potencial de economia de água em duas escolas em Florianópolis, SC
|
Ambiente Construído/Ambiente construído
| 2,011
|
cc-by
| 9,721
|
Potencial de economia de água em
duas escolas em Florianópolis, SC Potential for potable water savings in two schools in
Florianópolis, SC Potential for potable water savings in two schools in
Florianópolis, SC Gabriel Balparda Fasola
Enedir Ghisi
Ana Kelly Marinoski
Jaffer Bressan Borinelli Resumo o
e
d
c
escolas do mu
O
bjetivo deste artigo é apresentar os usos finais de água potável
stimados e o potencial de economia de água potável obtido por meio
e um sistema de aproveitamento de água pluvial, reúso de águas
inzas, equipamentos economizadores, ou combinação deles, em duas
nicípio de Florianópolis, Santa Catarina. Para isso, foi necessário
obter informações sobre os hábitos de consumo dos ocupantes e realizar medições
de vazão e levantamento de dados e aparelhos sanitários das escolas (uma estadual
e outra municipal). Para o cálculo do potencial de economia obtido através do
aproveitamento de água pluvial utilizou-se o programa Netuno 2.1. No reúso de
águas cinzas, consideraram-se como oferta de água para a escola municipal os
efluentes provenientes das torneiras de banheiros e da máquina de lavar roupas, e
para a escola estadual foram considerados apenas os efluentes provenientes das
torneiras de banheiros. Por último, as reduções de consumo de água potável,
decorrentes da instalação de equipamentos economizadores, foram avaliadas para
bacias sanitárias, mictórios, torneiras comuns e torneiras de fechamento
automático. Como resultado, obteve-se um consumo de 28,8 litros/pessoa.dia na
escola municipal, e de 25,3 litros/pessoa.dia na escola estadual. Com relação aos
usos finais, as torneiras da cozinha e os mictórios destacaram-se como os maiores
responsáveis pelo consumo de água. No que se refere ao potencial de economia de
água, o resultado mais expressivo foi de 27,8% para a escola municipal e de 72,7%
para a escola estadual, combinando equipamentos economizadores e
aproveitamento de água pluvial. Gabriel Balparda Fasola
Departamento de Engenharia
Sanitária e Ambiental
Universidade Federal de Santa
Catarina
Florianópolis – SC – Brasil
Caixa Postal S/N
CEP 88113-820
E-mail: gabrielbalparda@hotmail.com Gabriel Balparda Fasola
Departamento de Engenharia
Sanitária e Ambiental
Universidade Federal de Santa
Catarina
Florianópolis – SC – Brasil
Caixa Postal S/N
CEP 88113-820
E-mail: gabrielbalparda@hotmail.com Enedir Ghisi
Laboratório de Eficiência Energética
em Edificações, Departamento de
Engenharia Civil
Universidade Federal de Santa
Catarina
Caixa Postal 476
Florianópolis – SC – Brasil
CEP 88040-900
Tel.: (48) 3721-5536
E-mail: enedir@labeee.ufsc.br Enedir Ghisi
Laboratório de Eficiência Energética
em Edificações, Departamento de
Engenharia Civil
Universidade Federal de Santa
Catarina
Caixa Postal 476
Florianópolis – SC – Brasil
CEP 88040-900
Tel.: (48) 3721-5536
E-mail: enedir@labeee.ufsc.br Palavras-chave: Uso final de água. Economia de água potável. Escola. Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011.
ISSN 1678-8621 © 2005, Associação Nacional de Tecnologia do Ambiente Construído. Todos os direitos reservados. Gabriel Balparda Fasola
Departamento de Engenharia
Sanitária e Ambiental
Universidade Federal de Santa
Catarina
Florianópolis – SC – Brasil
Caixa Postal S/N
CEP 88113-820
E-mail: gabrielbalparda@hotmail.com Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011.
ISSN 1678-8621 © 2005, Associação Nacional de Tecnologia do Ambiente Construído. Todos os direitos reservados Keywords: Potable water savings. Water end-uses. Schools. Introdução A água é um recurso essencial para a promoção do
desenvolvimento e da qualidade de vida, porém
nos últimos anos o acelerado crescimento
populacional e a crescente industrialização têm
aumentado o consumo de água, acarretando graves
pressões aos recursos hídricos (UNITED..., 2002). sensores e válvulas de descarga com acionamento
seletivo, é a alternativa que mais vem crescendo no
país (PROGRAMA..., 2006). A fim de minimizar o consumo de água nas
edificações, diversos estudos (MANO; SCHMITT,
2004; SIMIONI et al., 2004; PHILIPPI et al.,
2005; GHISI; OLIVEIRA, 2007) vêm sendo
desenvolvidos
em
diversas
tipologias
de
edificações para verificar os usos finais de água e
avaliar a economia de água obtida mediante o
aproveitamento de água pluvial, reúso de águas
cinzas e uso de equipamentos economizadores. Crises no abastecimento de água estão-se tornando
cada vez mais frequentes em muitos locais devido
à falta de gerenciamento adequado, mudanças nos
hábitos de consumo da população, períodos de
estiagens e também à própria escassez desse bem
(GONÇALVES, 2006). No setor residencial, Barreto (2008) realizou um
levantamento do perfil de consumo e usos finais da
água em uma amostra de sete residências
localizadas em São Paulo, SP. Verificou-se que o
ponto de utilização de maior consumo de água é o
chuveiro, com 13,9% do total consumido, seguido
da torneira de pia da cozinha, com 12,0%. As mudanças climáticas globais possuem também
implicações diversas quanto à disponibilidade de
recursos hídricos nas diferentes regiões do planeta,
tornando a disponibilidade de água nas bacias
hidrográficas
cada
vez
mais
complexa
(ANDRADE; MARINOSKI; BECKER, 2010). Outro fator preocupante é o grande desequilíbrio
entre oferta de água e demanda, ocasionado pela
distribuição irregular da água pelo mundo. No
Brasil, por exemplo, a região Norte, que
compreende a Bacia Amazônica, detém cerca de
70% da água brasileira, e a população naquela
região representa somente 8% da população
nacional. Em contraste, a região Sudeste abriga
43% da população, porém apresenta apenas 6% da
água disponível no país (GHISI, 2006). Peters et al. (2006) avaliaram o potencial de reúso
de água cinza combinada com água pluvial em
uma residência unifamiliar em Florianópolis, SC. A partir dos resultados obtidos observou-se que a
água pluvial possui qualidade superior à água
cinza, apresentando potencial de utilização na
lavagem de roupas. Abstract The objective of this article is to present potable water end-uses and assess the
potential for potable water savings by using rainwater, reusing greywater, using
water-saving plumbing fixtures, and their combination, in two schools located in
Florianópolis, Santa Catarina. Thus, it was necessary to obtain information about
the water consumption habits of users and to perform water flow measurements
and data survey in the schools. The Netuno 2.1 computer programme was used to
estimate the potential for potable water savings obtained by rainwater harvesting. As for greywater reuse, the water supply from toilet taps and one washing machine
were considered in one of the schools, and toilet taps in the other. Potable water
savings due to water-saving plumbing fixtures were evaluated for toilet flushing,
urinals and taps. Potable water consumption of 28.8 litres/person.day and 25.3
litres/person.day were obtained in each school. As for the potable water end-uses,
kitchen taps were responsible for the highest water consumption level in one
school, and urinals in the other. With regards to the potential for potable water
savings, the best result was 27.8% for one school and 72.7% for the other, through
combining water-saving plumbing fixtures and rainwater harvesting. Ana Kelly Marinoski
Laboratório de Eficiência Energética
em Edificações, Departamento de
Engenharia Civil
Universidade Federal de Santa
Catarina
E-mail: anakmarinoski@gmail.com Ana Kelly Marinoski
Laboratório de Eficiência Energética
em Edificações, Departamento de
Engenharia Civil
Universidade Federal de Santa
Catarina
E-mail: anakmarinoski@gmail.com Jaffer Bressan Borinelli
Departamento de Engenharia Civil
Universidade Federal de Santa
Catarina
E-mail: jafferborinelli@gmail.com Recebido em 20/08/11
Aceito em 19/11/11 Recebido em 20/08/11
Aceito em 19/11/11 Keywords: Potable water savings. Water end-uses. Schools. 65 Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B.
66 Introdução economia de água potável obtido com a
implantação de um sistema de aproveitamento de
água pluvial naquela instituição de ensino seria de
45,8%. Com relação ao consumo de água em instituições
de ensino, é importante ressaltar que ele pode
variar bastante devido aos tipos de aparelhos
sanitários e às dependências existentes no local,
como lanchonetes, ginásios, laboratórios, cozinha,
horta e outros ambientes em que ocorre consumo
de água. Além disso, de acordo com Gonçalves
(2006), vários fatores influenciam no consumo de
água, dos quais se destacam o clima da região,
renda familiar, características culturais e valores
das tarifas. Fonini, Fernandes e Pizzo (2004) quantificaram o
volume de água pluvial e águas cinzas com
possibilidade de reaproveitamento para fins não
potáveis em um complexo esportivo universitário
em Passo Fundo, RS. O volume de água pluvial
passível de ser aproveitado foi de 186 m3/mês, o
qual, após tratamento adequado, seria suficiente
para suprir o consumo de água para a manutenção
da piscina do local. Verificou-se que as águas
cinzas provenientes dos chuveiros existentes
geram um montante de aproximadamente 106
m3/mês, volume suficiente para abastecer as caixas
acopladas das bacias sanitárias e promover a
limpeza de ambientes. Tendo em vista que as escolas são exemplos de
instituições que pertencem ao setor público, onde
são
contabilizados
maiores
consumos
e
desperdícios de água, mostra-se cada vez mais
importante o incentivo à conservação de água
nessa tipologia de edificações. Além disso, as escolas atendem direta ou
indiretamente um grande número de pessoas,
sendo, portanto, um excelente meio de divulgação
dos benefícios do emprego de técnicas sustentáveis
como o aproveitamento de água pluvial, o reúso de
águas cinzas e a instalação de equipamentos
economizadores. O maior estudo encontrado na literatura brasileira
referente a usos finais de água em escolas está
pautado em uma pesquisa em uma amostra de 87
escolas de diferentes tipologias que compõem a
rede pública de Campinas, SP. Nessa pesquisa,
foram observados três tipos de escolas: Centro
Municipal de Educação Infantil (Cemei), que
atende crianças de até 4 anos; Escola Municipal de
Educação Infantil (Emei), que atende crianças de 5
e 6 anos); e Escola Municipal e Estadual de Ensino
Fundamental (Emef). Introdução A produção regular de águas
cinzas na residência superou a demanda de água na
bacia sanitária, podendo ser utilizada também em
outros usos não potáveis, tais como rega de jardim
e lavagem de veículos, não havendo a necessidade
de misturá-las com outra fonte alternativa. Não obstante, alternativas vêm sendo utilizadas
para diminuir a demanda e racionalizar o consumo
de água. Entre essas tecnologias destacam-se o
aproveitamento de água pluvial, o reúso de águas
cinzas
e
o
emprego
de
equipamentos
economizadores de água. Sautchúk (2004) analisou o potencial de redução
da demanda de água potável de um edifício de
escritórios localizado em São Paulo, SP, mediante
a instalação de equipamentos economizadores e
medição
individualizada. Foi
verificada
a
possibilidade de redução de 30% no consumo de
água potável. Além disso, verificou-se que o
potencial de redução no consumo de água potável
seria de 34% caso fosse realizado aproveitamento
de água pluvial (para usos em bacias sanitárias,
lavagem de áreas externas e irrigação) aliado à
otimização de consumo. O aproveitamento de água pluvial é uma prática
milenar, empregada no mundo todo. Dependendo
da região, apresenta bons resultados de economia
de água potável (TOMAZ, 2003). O reúso de águas cinzas consiste na reutilização,
após
tratamento
adequado,
de
efluentes
provenientes de tanques, banheiras, chuveiros,
lavatórios e máquinas de lavar roupas em
residências, escritórios comerciais, escolas, entre
outros (ANA, 2005). Quanto à tipologia escolar, em um estudo realizado
por Ghisi e Marinoski (2008), foram estimados os
usos finais de água de uma instituição de ensino
em Florianópolis por meio de entrevistas com
usuários e medição de vazões de aparelhos
sanitários. A partir desses dados constatou-se que
63,5% dos usos finais são utilizados para fins não
potáveis, o que poderia ser realizado com água
pluvial. Além disso, verificou-se, com o auxílio do
programa
computacional
Netuno
(GHISI;
CORDOVA; ROCHA, 2009), que o potencial de Gonçalves (2006) salienta que, embora aporte um
impacto significativo na redução de consumo de
água (em média 15% a 30%), o reúso de águas
cinzas demanda um investimento significativo nas
edificações, tanto na fase de projeto como nas que
necessitam de reforma para implementação, o que
representa um custo-benefício baixo. O uso de equipamentos economizadores, tais como
torneiras hidromecânicas, redutores de vazão, Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. Introdução Foram identificados todos os
tipos de consumo de água em cada ambiente das
escolas estudadas e também por aparelho sanitário,
e verificou-se que os banheiros são responsáveis
pelas maiores parcelas de consumo de água nas
escolas; o segundo maior consumidor de água é a
cozinha; a área externa é responsável pelas
menores parcelas do consumo (YWASHIMA,
2005; YWASHIMA et al., 2006; GONÇALVES et
al., 2005). O objetivo deste artigo é apresentar os usos finais
de água estimados e o potencial de economia de
água potável obtido por meio do aproveitamento
de água pluvial, reúso de águas cinzas, uso de
equipamentos economizadores e combinação entre
essas estratégias em duas escolas localizadas em
Florianópolis, SC. Potencial de economia de água em duas escolas em Florianópolis, SC
6 Onde: Para o cálculo do consumo estimado de água com
o uso das torneiras, cozinha, bebedouros e bacias
sanitárias com válvula de descarga, utilizou-se a
Equação 2. n é o número de pessoas da amostra a serem
entrevistadas; n é o número de pessoas da amostra a serem
entrevistadas; N é o número total de pessoas; e Cap = f * t * Q Eq. 2
Onde: Eq. 2 εo é o erro amostral desejado (1% a 20%). Onde: Para uma amostra ser bastante significativa, o erro
adotado
deveria
estar
entre
1%
e
4%
(BARBETTA, 2003). Porém, para este estudo
foram adotados valores maiores de erros, em
função do número de pessoas que efetivamente
poderiam ser entrevistadas devido à faixa etária. C é o consumo de água de cada usuário por
aparelho sanitário (litros/dia); f é a frequência média de utilização (vezes/dia);
t é o tempo médio de cada utilização
(segundos/vez); e f é a frequência média de utilização (vezes/dia); t é o tempo médio de cada utilização
(segundos/vez); e Determinação da amostra Nos questionários foram feitas perguntas que
demonstrassem o tempo e a frequência de uso que
cada aparelho sanitário era utilizado no período de
ocupação da escola. Embora se tenha procurado obter hábitos de
consumo de praticamente todos os ocupantes das
escolas, isso não foi possível com toda a população
de alunos. As amostras de alunos foram calculadas
segundo a metodologia apresentada por Barbetta
(2003), que salienta que é possível determinar uma
amostra que represente determinado número de
pessoas através da Equação 1. O consumo médio mensal medido de água das
duas escolas foi obtido mediante histórico de
consumo verificado nas faturas da concessionária
de abastecimento de água para um período de dois
anos e oito meses (agosto de 2006 a abril de 2009). ≥
n
Ν
+
Ν
∗
ο
ο
n
n
Eq
Para:
≥
ο
n
_1_,
εo²
Onde: ≥
n
Ν
+
Ν
∗
ο
ο
n
n Eq. 1 Método As escolas consideradas na pesquisa são a Escola
Desdobrada Osvaldo Galupo e a Escola de Ensino
Básico Silveira de Souza, denominadas neste
estudo de escola municipal e escola estadual
respectivamente. Ambas estão localizadas no
centro de Florianópolis, SC. Werneck e Bastos (2006) realizaram um estudo
para avaliar a viabilidade do uso de água pluvial
para fins não potáveis em 77 escolas do município
de Barra do Piraí, RJ. Nessa pesquisa, realizou-se
um estudo de caso para avaliar a viabilidade de
instalação de um sistema de aproveitamento de
água pluvial em um colégio particular, o Colégio
Cândido Mendes. Para tanto, adotou-se um
percentual de 70% da demanda total de água para
usos não potáveis, valor entre os apresentados por
Ywashima (2005) para as escolas de ensino
fundamental. Os autores verificaram que o
consumo de água potável no colégio avaliado
poderia ser reduzido em 40,4% mediante a
implantação de um sistema de aproveitamento de
água pluvial, enquanto, através do uso conjunto de
equipamentos economizadores e aproveitamento
de água pluvial, o consumo seria reduzido em
64,4%. A escola municipal atualmente atende da creche
até a 4a série, com 170 alunos por ano em média, e
conta com 12 professores e cinco funcionários. A
escola estadual atualmente atende às séries pré-
escolares até a 4a série e poucas séries de 5a a 8a,
com uma média de 230 alunos por ano, tendo em
seu quadro 18 professores e cinco funcionários. Como em uma escola pode haver várias faixas
etárias, escolheu-se a faixa dos 8 aos 12 anos para
a aplicação dos questionários, por se acreditar que
essa faixa etária forneceria uma resposta mais
coerente. As séries que compreendem essa faixa
são as de 3a a 5a do ensino fundamental. Então,
solicitou-se às Secretarias Municipal e Estadual de
Educação a lista das escolas públicas com esse tipo 67 Potencial de economia de água em duas escolas em Florianópolis, SC
67 Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. de ensino. Entre as disponíveis e interessadas na
pesquisa, duas foram selecionadas. alunos. Ressalta-se que os questionários aplicados
na escola municipal eram diferentes dos da escola
estadual, pois as escolas apresentam tipos de
aparelhos sanitários diferentes. Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B.
68 Consumo estimado O consumo estimado de água foi obtido por meio
de questionários aplicados aos alunos durante um
período de cinco dias e entrevistas com todos os
funcionários e professores. Onde: Onde: Cdiário é o consumo diário na escola (litros/dia); Caluno é o consumo diário do aluno obtido por
meio das Equações 2 e 3 (litros/dia.aluno); Nalunos é o número total de alunos da escola; Cdiário é consumo diário de água na escola (m3/dia). Eq. 5 A vazão média utilizada nos cálculos foi medida
cronometrando-se o tempo em que a água levava
para encher determinado volume em um recipiente
graduado. Isso foi aplicado para os bebedouros e
as torneiras da edificação. As torneiras de
fechamento automático foram medidas anotando-
se
os
volumes
totais
despejados
a
cada
acionamento. Vbaldes é o volume do balde utilizado (litros). Para a escola municipal, a limpeza do ambiente
inclui também o consumo diário referente a uma
máquina de lavar roupas. O consumo de água
proveniente da máquina de lavar roupas foi
estimado com base na frequência de utilização
(vezes por semana) e no volume de água
consumido no ciclo completo de lavagem
(litros/lavagem). Nessa análise, foi adotado o
consumo semanal, e então dividido pelo número
de dias da semana para a obtenção do consumo
diário, de acordo com a Equação 5. Excluindo-se os fins de semana e feriados
nacionais e locais, há, em média, na cidade de
Florianópolis 20,75 dias úteis por mês. Assim, os
consumos mensais de água foram calculados
utilizando-se a Equação 7. Cmletivo = Cdiário * 20,75 Eq. 7
Onde: Cmletivo = Cdiário * 20,75 Eq. 7
Onde: Eq. 7 Onde: Cmáq lavar é o consumo de água diário a partir da
máquina de lavar roupas (litros); N é a frequência de uso semanal da máquina de
lavar roupas (vezes/semana); e Vmáq é o volume máximo de água consumido no
ciclo completo de lavagem na máquina de lavar
roupas (litros); Para as bacias sanitárias equipadas com válvula de
descarga adotou-se a vazão de 1,7 litro/segundo, e
para mictórios, de 0,15 litro/segundo, valores
recomendados pela norma NBR 5626 (ABNT,
1998). Para esses aparelhos foi medido o tempo a
partir do acionamento até o encerramento da
liberação de água para que se pudesse calcular o
volume. Para as bacias sanitárias com caixa
acoplada,
verificou-se
a
capacidade
de
armazenamento
da
caixa
ou
buscaram-se
informações com o fabricante. As vazões e os
volumes de caixa de descarga foram usados no
cálculo dos consumos específicos. Por fim, para o cálculo do consumo diário na
escola utilizou-se a Equação 6. Cdiáro=(Caluno*Nalunos)+(Cprof*Nprof)+
(Cfunc*Nfunc+Climpeza+Ccozinha) Eq. 6
Onde: Eq. 6 Cmletivo é o consumo mensal de água na escola
durante o período letivo (m3/mês); e Cmletivo é o consumo mensal de água na escola
durante o período letivo (m3/mês); e Cdiário é consumo diário de água na escola (m3/dia). 7
V
N*
C
var
_
máq
la
máq
=
Eq. 5 Levantamento de dados No é a quantidade de baldes utilizados para
executar a limpeza (No/vez); e Vbaldes é o volume do balde utilizado (litros). Levantamento de dados Q é a vazão média do dispositivo (litros/segundo). Inicialmente,
foi
realizado,
com
apoio
da
administração
escolar
de
cada
escola,
um
levantamento dos dados gerais das escolas, como o
número de ocupantes, períodos de funcionamento
e espaços físicos. Para o cálculo do consumo de água através do uso
de bacias sanitárias com caixa de descarga e
torneiras de fechamento automático, utilizou-se a
Equação 3. Cap = f * A * V Eq. 3
Onde: Eq. 3 Para estimar os usos finais de água nas escolas e
assim obter o potencial de economia, foi
necessário realizar levantamentos de dados sobre
hábitos de consumo de água. C é o consumo de água de cada usuário para cada
aparelho (litros/dia); Primeiramente, realizaram-se visitas in loco para
inspeção e levantamento dos tipos de aparelhos
sanitários existentes nas escolas analisadas, estado
de conservação, quais as atividades de higiene e
limpeza realizadas, como elas são desempenhadas
e quais aparelhos sanitários são utilizados nessas
atividades. Além disso, mediante vistoria nos
aparelhos sanitários, verificou-se também se
existiam vazamentos visíveis. f é a frequência média de utilização para cada
aparelho (vezes/dia); A é o número médio de acionamentos do
dispositivo ao utilizá-lo (acionamentos/vez); e A é o número médio de acionamentos do
dispositivo ao utilizá-lo (acionamentos/vez); e V é o volume médio de água armazenado na caixa
de descarga ou volume despejado pela torneira
(litros/acionamento). A quantidade de água utilizada na limpeza foi
medida em baldes, por ser a forma mais comum de
limpeza utilizada. Logo, como forma de padronizar
o consumo de água com essa atividade, mediu-se a Também foram realizadas entrevistas com os
ocupantes das escolas por meio de questionários
diferenciados para funcionários, professores e Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. Nfunc é o número total de funcionários da escola;
Climpeza é o consumo diário para limpeza da escola
(litros/dia); e Ccozinha é o consumo diário da cozinha para
produção da merenda da escola (litros/dia). O consumo mensal de água foi separado em dois
períodos distintos: período letivo e período de
férias. Como nos meses de férias o consumo de
água das escolas se refere a atividades não
cotidianas de difícil mensuração, não foram
estimados os consumos respectivos a esse período. Logo, para efeitos de comparação são consideradas
apenas as médias do consumo no período letivo
apresentadas no histórico de faturas obtido. Usos finais Depois de realizada a análise de sensibilidade e
feita a comparação entre o consumo estimado e o
consumo medido para confirmar se os dados
estavam corretos, foi possível estimar os usos
finais de água. A verificação das áreas de captação de água
pluvial foi realizada com base nas áreas de telhado
verificadas na planta de cobertura de cada escola,
de acordo com as respectivas inclinações dos
telhados. Para a estimativa dos usos finais de água fez-se
necessário classificar os consumos de água potável
de acordo com os tipos de atividade e aparelhos
sanitários mais comuns nas duas escolas, a saber:
torneiras de banheiro, bacia sanitária, mictório,
cozinha, bebedouro, limpeza e máquina de lavar
roupas. Os
dados
pluviométricos
utilizados
foram
fornecidos pela Empresa de Pesquisa Agropecuária
e Extensão Rural de Santa Catarina S.A. (Epagri),
coletados
da
Estação
Meteorológica
de
Florianópolis. Os dados fornecidos incluem
informações sobre precipitações diárias de sete
anos, de 01/01/2000 a 31/12/2006. Posteriormente
a
isso,
classificaram-se
os
consumos de água das escolas em usos potáveis e
usos não potáveis. Os usos potáveis referem-se aos
usos que necessitam estar dentro dos padrões de
potabilidade,
ou
seja,
cozinha,
bebedouro,
torneiras de banheiro. Os usos não potáveis foram
definidos como descarga de bacias sanitárias,
mictórios e limpeza. O coeficiente de aproveitamento é utilizado para
representar o volume aproveitável de água pluvial
após o desvio de escoamento inicial para descarte
de folhas e detritos, e também as perdas por
absorção e evaporação da água pluvial ao atingir a
superfície de captação. Nesta pesquisa utilizou-se
coeficiente de aproveitamento de 80%, ou seja,
20% de perdas no processo de captação da água
pluvial. Mediante a soma dos percentuais de consumo de
água na categoria de usos não potáveis (descargas
de bacias sanitárias, mictórios e limpeza da
escola), verificou-se o percentual de água potável
que poderia ser substituído por água pluvial. A demanda diária de água pluvial é a demanda de
água potável que se deseja substituir por pluvial e
foi obtida por meio da estimativa de usos finais. Conforme descrito anteriormente, considerou-se
que a água utilizada em descargas de bacias
sanitárias, mictórios e limpeza da escola poderia
ser substituída por água pluvial. A demanda diária de água pluvial é a demanda de
água potável que se deseja substituir por pluvial e
foi obtida por meio da estimativa de usos finais. Análise de sensibilidade Cprof é o consumo diário dos professores obtido
por meio das Equações 2 e 3 (litros/dia.professor); Como as estimativas de consumo e de usos finais
de água são feitas com base nas respostas dos
ocupantes das escolas e estão sujeitas a erros, foi
realizada uma análise de sensibilidade a fim de
verificar a influência de cada aparelho sobre o Nprof é o número total de professores da escola; Cfunc é o consumo diário dos funcionários obtido
por meio das Equações 2 e 3
(litros/dia.funcionário); Potencial de economia de água em duas escolas em Florianópolis, SC
6 69 Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. consumo final e determinar quais são os aparelhos
mais sensíveis a erros. Aproveitamento de água pluvial Para simular a implantação de um sistema de
aproveitamento de água pluvial nas escolas
analisadas, foi utilizado o programa computacional
Netuno 2.1 (GHIS; CORDOVA; ROCHA, 2009). O programa Netuno indica o volume ideal de
reservatório de acumulação da água pluvial e o
potencial de economia de água potável obtido pelo
uso de água pluvial. De acordo com os resultados da análise de
sensibilidade, ajustou-se o consumo estimado para
que se igualasse ao consumo médio obtido nas
faturas de água. Os dados de entrada do programa são: área de
captação,
dados
diários
de
precipitação
pluviométrica, percentual de água potável que
poderia ser substituído por água pluvial, demanda
diária de água potável, número de ocupantes,
coeficiente
de
aproveitamento,
volume
do
reservatório superior de água pluvial. Estratégias para redução do consumo Foram analisadas três estratégias (aproveitamento
de água pluvial, reúso de águas cinzas e instalação
de equipamentos economizadores) para a redução
do
consumo
de
água
potável
e
algumas
combinações entre elas. Aplicaram-se variações de -20% a +20%, em
intervalos de 10%, sobre a frequência, vazão e
tempo de uso dos aparelhos que possuíam os
maiores consumos de água nas escolas. Assim, os usos finais estimados foram comparados
aos usos finais após as correções nos consumos
específicos mais sensíveis apontados pela análise
de sensibilidade. Então se avaliou a influência da
aplicação
dessa
análise
quantificando-se
a
diferença (em percentual e em litros) nos dois usos
finais estimados mais sensíveis (antes e após a
análise de sensibilidade) para cada escola. Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B.
70 Usos finais Com base nos dados de usos finais de água das
torneiras dos banheiros e máquina de lavar roupas,
foi verificado o potencial de economia de água
potável nas escolas através do reúso das águas
cinzas provenientes desses aparelhos. Conforme descrito anteriormente, considerou-se
que a água utilizada em descargas de bacias
sanitárias, mictórios e limpeza da escola poderia
ser substituída por água pluvial. Como o programa Netuno possui a opção de
especificar os diferentes consumos em cada dia,
caso a edificação apresente demanda variável de Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. f é a frequência de uso da bacia sanitária
(vezes/dia); água (variação do consumo de acordo com o dia da
semana), para as escolas estudadas, considerou-se
que só há consumo de água durante os dias úteis
da semana. α6 representa a porcentagem de utilizações da
descarga de seis litros, que pode ser de 10%, 30%
e 50% (%); Reúso de águas cinzas O potencial de economia de água potável obtido
nas escolas por meio do reúso de águas cinzas foi
calculado
considerando-se
como
oferta
os
efluentes das torneiras dos banheiros e máquina de
lavar roupas. Tal oferta de água foi utilizada para
diminuir a demanda diária das bacias sanitárias e
mictórios. V3 é o volume da descarga igual a três litros. Para as torneiras e mictórios, usaram-se ambas as
tecnologias: sensor de presença e fechamento
automático. No entanto, para estimar o percentual
de redução do consumo das torneiras e mictórios
utilizou-se a base de dados encontrada nos mais
diversos fabricantes desses tipos de tecnologias. Para estimar a redução do consumo de água pela
troca de torneiras e mictórios para ambas as
tecnologias supracitadas, utilizou-se a Equação 9. Cnovo representa o novo consumo da torneira ou
mictório (litros/dia); Caparelho é o consumo total da torneira ou mictório
antigo (litros/dia); e PR é o percentual de redução do aparelho
economizador verificado nas informações dos
fabricantes (%). Aparelhos economizadores Para estimar a redução de consumo com a
instalação de equipamentos economizadores, foi
prevista a substituição de torneiras, bacias
sanitárias e mictórios. Como existem vários
equipamentos, optou-se por duas tecnologias
distintas: uma sensorial (sensor de presença) e
outra hidromecânica (fechamento automático). Eq. 9 Onde: Para as bacias sanitárias, utilizou-se a descarga
dual. Essa descarga possibilita o despejo de três ou
seis litros de água por acionamento. Considerando-
se que a utilização da descarga de três litros é mais
frequente do que a utilização da descarga de seis
litros, estimou-se que em 90%, 70% e 50% de
utilizações da descarga o acionamento seria o de
três litros. Para estimar a redução proveniente do
sistema dual em bacias sanitárias utilizou-se a
Equação 8. Cnovo representa o novo consumo da torneira ou
mictório (litros/dia); Potencial de economia de água em duas escolas em Florianópolis, SC
71 Conjugação de alternativas Cnovovs +(f * α6 * V6) + (f * α3 *V3) Eq. 8
Onde: Cnovovs +(f * α6 * V6) + (f * α3 *V3) Eq. 8 A fim de estimar o potencial de redução total por
meio
das
estratégias
propostas,
fez-se
a
combinação das alternativas. Assim, criaram-se
três cenários de conjugação, apresentados na
Tabela 1. Resultados matutino) na escola municipal, e a 31 alunos
(14%) das turmas de 4a série e 5a série (período
vespertino) na escola estadual. Esses percentuais
participantes de efetivos são menores para esse
público, pois se considerou apenas uma parcela da
população, estudantes com 8 a 12 anos de idade. A amostra entrevistada foi de 41 pessoas na escola
municipal e de 47 pessoas na escola estadual, com
o erro esperado calculado através da Equação 1 de
13,3% na escola municipal e de 13,1% na escola
estadual, embora na primeira estimativa do
consumo de água os valores de erros percentuais
tenham sido iguais a 44,5% e a 9,2% na escola
municipal e na estadual respectivamente. Essa
diferença elevada na escola municipal foi causada
por algumas respostas incoerentes, sobretudo dos
professores. Onde: Cnovo vs representa o novo consumo diário da bacia
sanitária (litros/dia); Cenários de conjugação das
alternativas
Funcionamento
Reúso de águas cinzas +
aproveitamento de água pluvial
A demanda por água não potável remanescente ao
reúso de águas cinzas poderá ser suprida
separadamente com o aproveitamento de água
pluvial para fins não potáveis (bacias sanitárias,
mictórios e limpeza)
Equipamentos economizadores +
aproveitamento de água pluvial
A água pluvial substituirá o uso de água potável
em fins não potáveis
Equipamentos economizadores +
reúso de águas cinzas +
aproveitamento de água pluvial
A demanda por água não potável remanescente
poderá ser suprida com o aproveitamento de água
pluvial para fins não potáveis
Tabela 1 - Cenários de conjugação das alternativas de redução de consumo de água potável Potencial de economia de água em duas escolas em Florianópolis, SC
71 Ambiente
Resultados
A amostra entrevistada foi de 41 pessoas na escola
municipal e de 47 pessoas na escola estadual, com
o erro esperado calculado através da Equação 1 de
13,3% na escola municipal e de 13,1% na escola
estadual, embora na primeira estimativa do
consumo de água os valores de erros percentuais
tenham sido iguais a 44,5% e a 9,2% na escola
municipal e na estadual respectivamente. Essa
diferença elevada na escola municipal foi causada
por algumas respostas incoerentes, sobretudo dos
professores. A
Tabela
2
apresenta
os
percentuais
de
participantes sobre cada público nas escolas
Destaca-se que para os públicos professores e
alunos foram aplicados questionários, e para o
público funcionários foram feitas entrevistas, pois
estes apresentavam hábitos diferenciados no que
tange ao cotidiano das atividades nas escolas. A
amostra de alunos, embora pequena comparada ao
número total de alunos das escolas, mostrou bons
resultados, como será mostrado mais adiante. Os questionários foram aplicados a 25 alunos
(19%) das turmas de 3a série e 4a série (período
Tabela 2 - Percentual de participantes sobre cad
Escola
Público
No de pessoas participa
Professores
11
Funcionários
5
Alunos
25
Municipal
Total
41
Professores
11
Funcionários
5
Alunos
31
Estadual
Total
47
Figura 1 - Consumo mensal de água medido na es Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B.
72 Consumo medido e primeira estimativa Nas Figuras 1 e 2 pode ser observado o consumo
mensal das escolas, destacando-se o período de
férias e o letivo. O consumo medido obtido através
das contas de água revela que os consumos nas
instituições são próximos, embora a escola
estadual tenha aproximadamente 100 pessoas a
mais. A
Tabela
2
apresenta
os
percentuais
de
participantes sobre cada público nas escolas. Destaca-se que para os públicos professores e
alunos foram aplicados questionários, e para o
público funcionários foram feitas entrevistas, pois
estes apresentavam hábitos diferenciados no que
tange ao cotidiano das atividades nas escolas. A
amostra de alunos, embora pequena comparada ao
número total de alunos das escolas, mostrou bons
resultados, como será mostrado mais adiante. Para a escola estadual o consumo no período de
férias foi apenas 0,8 m³/mês menor do que o
consumo médio mensal no período letivo; e para a
escola municipal essa diferença foi de 3,4 m³/mês
a mais no período letivo. Assim, constatou-se que,
para as escolas analisadas, os períodos de férias
não indicaram redução significativa no consumo
de água, pois nesses períodos foram feitas
limpezas em larga escala, envolvendo um consumo
excessivo de água. Os questionários foram aplicados a 25 alunos
(19%) das turmas de 3a série e 4a série (período Tabela 2 - Percentual de participantes sobre cada público nas escolas
Escola
Público
No de pessoas participantes No total de pessoas do público Percentual (%)
Professores
11
12
92
Funcionários
5
5
100
Alunos
25
132
19
Municipal
Total
41
149
28
Professores
11
18
61
Funcionários
5
5
100
Alunos
31
220
14
Estadual
Total
47
243
19
Figura 1 - Consumo mensal de água medido na escola municipal
Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B. 72 Tabela 2 - Percentual de participantes sobre cada público nas escolas Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. Usos finais corrigidos Os consumos específicos corrigidos, ou seja, os
consumos separados por atividade consumidora
estão apresentados nas Tabelas 4 e 5 para as
escolas. Na coluna “Final”, estão representados os
consumos
corrigidos
após
a
análise
de
sensibilidade e, na coluna representada por
“Anterior”, a primeira estimativa realizada. Consumo medido e primeira estimativa Figura 2 - Consumo mensal de água medido na escola estadual Figura 2 - Consumo mensal de água medido na escola estadual Tabela 3 - Comparação entre consumo medido e consumo estimado
Escola
Consumos
Medido Estimado Diferença (%) Diferença (L)
Diário (m³/dia)
4,3
6,2
44,5
1.908,4
Mensal (m³/mês)
89,1
128,7
44,5
39.598,2
Municipal
Por usuário (L/dia)
28,8
41,6
44,5
12,8
Diário (m³/dia)
6,1
6,7
9,2
565,9
Mensal (m³/mês)
127,5
139,2
9,2
11.743,3
Estadual
Por usuário (L/dia)
25,3
27,6
9,2
2,3 Tabela 3 - Comparação entre consumo medido e consumo estimado Então, considerando apenas o período letivo, fez-
se a primeira estimativa de consumo de água para
as escolas. A Tabela 3 mostra os resultados, que
são comparados ao consumo medido. litros/dia.professor. Ainda com essa aproximação,
a escola necessitou adequação entre o consumo
estimado e o medido, por apresentar um erro
percentual de 30,8% para mais. Evidencia-se uma substancial diferença quanto à
medição na escola municipal. Essa diferença
provém essencialmente de respostas incoerentes de
alguns professores a respeito da frequência e do
tempo de uso das bacias sanitárias, como
acionamentos da descarga por 15 segundos e uso
médio do banheiro 10 vezes ao dia. Sendo assim, a
escola municipal foi submetida ao processo de
análise de sensibilidade, como é exposto no item a
seguir. Os consumos específicos desta primeira
estimativa podem ser vistos na Tabela 3, onde já
são comparados aos valores finais corrigidos. A partir disso, iniciou-se o processo de análise de
sensibilidade com a identificação dos aparelhos
mais sensíveis, sendo eles, em primeiro, a torneira
da cozinha e, em segundo, a bacia sanitária. Logo,
esse
erro
percentual
foi
reduzido
proporcionalmente para esses dois aparelhos. Potencial de economia de água em duas escolas em Florianópolis, SC
73 Análise de sensibilidade Anteriormente
ao
processo
de
análise
de
sensibilidade na escola municipal, fez-se uma
adequação do consumo diário de cada professor,
devido às incoerências observadas nas respostas
das entrevistas. Com a primeira estimativa obteve-
se
um
índice
de
consumo
de
77,7
litros/dia.professor, muito acima da média por
pessoa e muito acima da média dos professores da
escola estadual. Sendo assim, essa média diária de
consumo por professor foi igualada ao consumo
médio medido para a escola, ou seja, 28,8 As Tabelas 4 e 5 mostram algumas diferenças nos
consumos entre funcionários, alunos e professores
na mesma escola, e quando comparadas as duas
escolas. Isso se explica pela jornada de trabalho
distinta nas escolas. Os usos finais corrigidos, após a análise de
sensibilidade, em ambas as escolas podem ser
vistos na Tabela 6. Potencial de economia de água em duas escolas em Florianópolis, SC
73 Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. Tabela 4 - Consumos diários específicos de água corrigidos na escola municipal
Consumo (L/dia.usuário)
Consumo total (L/dia)
Atividade
Anterior
Final
Anterior
Final
Limpeza
2,01
2,01
265,4
265,4
Cozinha
35,12
22,42
3.983,5
2.954,5
Professores
77,7
23,2
932,1
278,2
Funcionários
10,5
8,0
52,3
40,2
Alunos
8,5
5,7
967,9
754,6
Total
–
–
6.201,2
4.292,9
Nota: 1 e 2 Consumo da limpeza dividido pelo total de alunos. Tabela 4 - Consumos diários específicos de água corrigidos na escola municipal Tabela 5 - Consumos diários específicos de água corrigidos na escola estadual
Consumo (L/dia.usuário)
Consumo total (L/dia)
Atividade
Anterior
Final
Anterior
Final
Limpeza
1,31
1,31
280,0
280,0
Cozinha
8,22
8,22
1.486,7
1.486,7
Mictório
–
–
2.880,0
2314,1
Professores
25,9
25,9
465,3
465,3
Funcionários
50,8
50,8
253,9
253,9
Alunos
7,4
7,4
1.342,8
1.342,8
Total
–
–
6.708,7
6.142,7
Nota: 1 e 2 Consumo da limpeza dividido pelo total de alunos. Análise de sensibilidade Tabela 5 - Consumos diários específicos de água corrigidos na escola estadual Tabela 6 - Usos finais de água corrigidos para as escolas municipal e estadual
Escola Municipal
Escola Estadual
Aparelho
Consumo (L/dia)
Percentual (%)
Consumo (L/dia)
Percentual (%)
Torneiras de banheiro
166,6
3,9
187,2
3,1
Bacias sanitárias
841,2
19,6
1.830,1
29,8
Mictório
14,1
0,3
2.314,1
37,7
Limpeza (torneira1)
265,4
6,2
280,0
4,5
Cozinha (torneira)
2.954,5
68,8
1.486,7
24,2
Bebedouro
51,0
1,2
44,7
0,7
Total
4.292,9
100,0
6142,7
100,0
Consumo per capita
28,1
–
25,3
–
Nota: 1 Para a escola municipal, a limpeza inclui também o consumo de uma máquina de lavar roupas. Tabela 6 - Usos finais de água corrigidos para as escolas municipal e estadual Pode-se destacar como principal consumidor de
água a elaboração das refeições diárias para os
alunos da escola municipal e, em seguida, a
descarga da bacia sanitária. Na escola estadual, o
maior consumidor foi o mictório, mas isso ocorre
devido ao fluxo de água contínuo, ou seja, o
usuário não tem autonomia para ativar o despejo
de água. Além disso, é importante ressaltar que a
escola
estadual,
diferentemente
da
escola
municipal, não oferecia almoço para os alunos;
oferecia apenas lanches prontos, como bolachas ou
bolos, o que influencia muito no consumo de água
potável. elevado consumo de água não potável, o que
representa um ótimo potencial de economia. Não é
possível, no entanto, estabelecer um consumo
médio de água não potável devido aos valores
serem
muito díspares, o que confirma a
necessidade de mais estudos em outras escolas. Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B.
74 Potencial de economia de água em duas escolas em Florianópolis, SC
75 Estratégias para a redução do consumo
de água potável Com consumo total de água estimado igual ao
medido e todos os ajustes feitos após a análise de
sensibilidade e usos finais corrigidos, pode-se
propor estratégias para a redução no consumo de
água potável das escolas. Agrupando os dados da Tabela 6 de modo a gerar
um gráfico, as Figuras 3(a) e 3(b) apresentam o
consumo total potável e não potável em termos
percentuais, e pode-se observar que existe um Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. (a) Escola estadual
(b) Escola municipal
Figura 3 - Consumo total potável e não potável nas escolas
Figura 4 - Potencial de economia de água potável versus volume do reservatório inferior para as
escolas municipal e estadual ao se considerar o aproveitamento de água pluvial
Tabela 7 - Dados inseridos no programa Netuno 2.1
Dados de entrada para o Netuno 2.1
Escola Municipal
Escola Estadual
Dados pluviométricos
Florianópolis (2000 a 2006)
Área de captação (m2)
638
800
Seg. a Sex. 28,8
Seg. a Sex. 25,3
Demanda variável (L/dia.pessoa)
Sáb. e Dom. 0
Sáb. e Dom. 0
Número de pessoas
149
243
Porcentagem de água potável a ser substituída por pluvial
(%)
26,1
72,0
Coeficiente de aproveitamento
0,8
0,8
Reservatório superior (litros)
2.000*
5.000*
Cálculo para diversos reservatórios inferiores
Sim
Sim
Volume máximo do reservatório inferior (litros)
50.000
50.000
Intervalo entre volumes do reservatório inferior (litros)
1.000
1.000
Diferença entre potenciais de economia para estimativa do
volume do reservatório inferior (%)
0,5
0,5
Nota:* Valor superior à demanda total de água não potável e mais próximo do comercialmente vendido. Estratégias para a redução do consumo
de água potável (a) Escola estadual
(b) Escola municipal
Figura 3 - Consumo total potável e não potável nas escolas
Figura 4 - Potencial de economia de água potável versus volume do reservatório inferior para as
escolas municipal e estadual ao se considerar o aproveitamento de água pluvial (a) Escola estadual
(b) Escola municipal
Figura 3 - Consumo total potável e não potável nas escolas (b) Escola municipal (a) Escola estadual (b) Escola municipal (a) Escola estadual ( )
Figura 3 - Consumo total potável e não potável nas escolas Figura 4 - Potencial de economia de água potável versus volume do reservatório inferior para as
escolas municipal e estadual ao se considerar o aproveitamento de água pluvial Figura 4 - Potencial de economia de água potável versus volume do reservatório inferior para as
escolas municipal e estadual ao se considerar o aproveitamento de água pluvial Figura 4 - Potencial de economia de água potável versus volume do reservatório inferior para as
escolas municipal e estadual ao se considerar o aproveitamento de água pluvial Tabela 7 - Dados inseridos no programa Netuno 2.1
Dados de entrada para o Netuno 2.1
Escola Municipal
Escola Estadual
Dados pluviométricos
Florianópolis (2000 a 2006)
Área de captação (m2)
638
800
Seg. a Sex. 28,8
Seg. a Sex. 25,3
Demanda variável (L/dia.pessoa)
Sáb. e Dom. 0
Sáb. e Dom. 0
Número de pessoas
149
243
Porcentagem de água potável a ser substituída por pluvial
(%)
26,1
72,0
Coeficiente de aproveitamento
0,8
0,8
Reservatório superior (litros)
2.000*
5.000*
Cálculo para diversos reservatórios inferiores
Sim
Sim
Volume máximo do reservatório inferior (litros)
50.000
50.000
Intervalo entre volumes do reservatório inferior (litros)
1.000
1.000
Diferença entre potenciais de economia para estimativa do
volume do reservatório inferior (%)
0,5
0,5
Nota:* Valor superior à demanda total de água não potável e mais próximo do comercialmente vendido. Tabela 7 - Dados inseridos no programa Netuno 2.1 Tabela 7 - Dados inseridos no programa Netuno 2.1 Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. Analisou-se, primeiro, o potencial de redução
através do aproveitamento de água pluvial, que,
com o auxílio do programa Netuno 2.1, forneceu
um potencial de economia igual a 22,9% para a
escola municipal e de 42,5% para a escola
estadual, como indicado na Figura 4. Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B.
76 Estratégias para a redução do consumo
de água potável Esse valor é
bem significativo, mas seria interessante avaliar o
custo-benefício na construção dos reservatórios,
porque os volumes dimensionados foram grandes,
8 m³ e 22 m³, respectivamente, para as escolas
municipal e estadual. deixou de ser contínuo para funcionar com
equipamentos economizadores. Para a estratégia de redução de consumo através de
reúso de águas cinzas, o potencial foi muito
inferior, ou seja, apenas 5,1% para a escola
municipal e 4,2% para a escola estadual, como
indica a Tabela 8. Entre as combinações, a que demonstrou melhor
resultado foi a de equipamentos economizadores,
seguida pelo aproveitamento de água pluvial. Essa
alternativa atingiu um potencial de redução de
27,8% e 72,7%, respectivamente, para as escolas
municipal e estadual. Além desse elevado
potencial, essa alternativa possui outra vantagem, a
facilidade
para
executar
as
estratégias
separadamente. Os dados de entrada utilizados para a simulação
podem ser observados na Tabela 7, e o resultado
pode ser visualizado na Figura 4, para as escolas. Na redução de consumo de água mediante a
instalação de equipamentos economizadores, os
percentuais foram mais satisfatórios, alcançando
15,3% para a escola municipal e 55,9% para a
escola estadual. Os percentuais de redução
supracitados são provenientes do cenário mostrado
na Tabela 8, onde se considerou como melhor
tecnologia a de sensor de presença, e o melhor
desempenho,
o
fornecido
pelos
fabricantes
pesquisados. A diferença percentual que ocorreu
entre as escolas para essa alternativa se deve
porque na escola estadual o consumo do mictório Para facilitar a visualização dos resultados obtidos,
estruturou-se a Tabela 9, que resume todas as
estratégias e seus respectivos desempenhos. É
possível
observar
que
a
combinação
de
equipamentos
economizadores
com
aproveitamento de água pluvial surtiu melhores
resultados. A
instalação
de
equipamentos
economizadores,
reúso
de
águas
cinzas
e
aproveitamento de água pluvial não foi estimada
devido à pouca oferta de águas cinzas. Tabela 8 - Índices de economia utilizados em aparelhos economizadores para a obtenção dos
percentuais de redução nas escolas
Aparelho sanitário
Troca
Percentual de redução (%)
Torneias de banheiro
Comum para sensorial
77
Torneias de banheiro
Automática para sensorial
48
Mictórios
Comum para sensorial
80
Bacias sanitárias
Existente para descarga dual
α6= 10% ; α3= 90% *
Nota:* Índices utilizados na Equação 9. Tabela 8 - Índices de economia utilizados em aparelhos economizadores para a obtenção dos
percentuais de redução nas escolas Referências Assim como em outras tipologias de edificação, e
até mesmo em escolas, obteve-se como resultado
que um dos aparelhos sanitários que consome
maior quantidade de água é a bacia sanitária,
chegando a 29,8% na escola estadual e a 19,6% na
escola municipal, embora na escola estadual o
maior consumo de água não potável tenha sido
proveniente do mictório, que correspondeu a
37,7%. ASSOCIAÇÃO BRASILEIRA DE NORMAS
TÉCNICAS. NBR 5626: instalação predial de
água fria. Rio de Janeiro, 1998. AGÊNCIA NACIONAL DE ÁGUAS. Conservação e Reúso da Água em Edificações. São Paulo: Prol, 2005. 152 p. ANDRADE, M.; MARINOSKI, A. K.; BECKER,
H. R. Sistemas de Aproveitamento de Água de
Chuva. Casa Eficiente: uso racional da água. 2010. No que diz respeito às estratégias para redução do
consumo de água potável, o aproveitamento de
água pluvial é uma alternativa que promove um
bom
potencial
de
economia. Isso
porque
Florianópolis é uma cidade litorânea e de clima
temperado, onde as chuvas durante o ano são bem
regulares, com maior precipitação nos meses entre
setembro e março. Esse é um dos principais
motivos que tornam o aproveitamento de água
pluvial uma alternativa vantajosa. BARBETTA, P. A. Estatística Aplicada às
Ciências Sociais. Florianópolis: Ed. da UFSC,
2003. BARRETO, D. Perfil do Consumo Residencial
e Usos Finais de Água. Ambiente Construído,
Porto Alegre, v. 8, n. 2, p. 23-40, abr./jun. 2008. O reúso de água mostrou-se uma estratégia
inviável,
pois
não
existiam
aparelhos
que
ofertassem grande volume de efluentes, como
chuveiros ou máquinas de lavar roupas. Além
disso,
os
volumes
disponíveis,
como
os
provenientes das torneiras de banheiro, também
eram irrisórios, se comparados ao consumo de
água não potável. FONINI, A.; FERNANDES, V. M. C.; PIZZO,
H. S. Estudo para Determinação da Capacidade
de Reúso das Águas Pluviais e das Águas
Cinzas em Um Complexo Esportivo
Universitário. In: CONFERÊNCIA LATINO-
AMERICANA DE CONSTRUÇÃO
SUSTENTÁVEL, 1.; ENCONTRO
NACIONAL DE TECNOLOGIA DO
AMBIENTE CONSTRUÍDO, 10., São Paulo,
SP. Anais... São Paulo, 2004. FONINI, A.; FERNANDES, V. M. C.; PIZZO,
H. S. Estudo para Determinação da Capacidade
de Reúso das Águas Pluviais e das Águas
Cinzas em Um Complexo Esportivo Os aparelhos economizadores tornaram-se a
segunda alternativa mais viável. Apresentaram
redução satisfatória na escola municipal e
excelente na escola estadual. GHISI, E. Potential for Potable Water Savings by
Using Rainwater in the Residential Sector of
Brazil. Building and Environment, v. 41, n. 11,
p. 1544-1550, 2006. Conclusões potável
obtido
com
a
combinação
de
aproveitamento de água pluvial e instalação de
aparelhos economizadores. Percebe-se com o fim da pesquisa como se
distribui o consumo de água em duas escolas do
município de Florianópolis. Os índices de
consumo por pessoa foram semelhantes em ambas
as escolas; na escola municipal foi de 28,8
litros/dia.pessoa,
e
na
Estadual,
de
25,3
litros/dia.pessoa. Os resultados sobre usos finais apresentaram
diferenças substanciais entre as duas escolas. Por
isso, há necessidade de mais pesquisas voltadas a
essa tipologia, não só em Florianópolis, mas
também em outras cidades do Brasil. Tabela 9 - Resumo dos resultados de potencial de economia de água potável para diferentes estratégias
para as duas escolas 9 - Resumo dos resultados de potencial de economia de água potável para diferentes estratégias
duas escolas a 9 - Resumo dos resultados de potencial de economia de água potável para diferentes estratégias
as duas escolas Tabela 9 - Resumo dos resultados de potencial de economia de água potável para diferentes estrat
para as duas escolas
Potencial de economia (%)
Estratégia
Escola
Municipal
Escola
Estadual
Aproveitamento de água pluvial
22,9
42,5
Reúso de águas cinzas
5,1
4,2
Instalação de equipamentos economizadores
15,3*
55,9*
Reúso de águas cinzas + aproveitamento de água
pluvial
24,0
46,3
Instalação de equipamentos economizadores +
aproveitamento de água pluvial
27,8
72,7
Nota: * Percentual referente ao cenário com melhor desempenho Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B.
78 Fasola, G. B.; Ghisi, E.; Marinoski, A. K.; Borinelli, J. B.
78
Racional da Água para Escolas de Ensino
Fundamental e Médio. Ambiente Construído,
Porto Alegre, v. 5, n. 3, p. 63, jul./set. 2005.
GONÇALVES, R. F. Uso Racional da Água
em Edificações. Rio de Janeiro: Abes, 2006.
MANO, R. S.; SCHMITT, C. M. Captação
Residencial de Água Pluvial, para Fins Não
Potáveis, em Porto Alegre: aspectos básicos da
viabilidade técnica e dos benefícios do sistema.
In: CONFERÊNCIA LATINO-AMERICANA
DE CONSTRUÇÃO SUSTENTÁVEL, 1.;
ENCONTRO NACIONAL DE
TECNOLOGIA DO AMBIENTE
CONSTRUÍDO, 10., São Paulo, SP, 2004.
Anais... São Paulo, 2004.
PETERS, M. R. et al. Potencialidade de Reúso
Residencial Utilizando Fontes Alternativas de
Água. In: SIMPÓSIO ÍTALO BRASILEIRO DE
ENGENHARIA SANITÁRIA E AMBIENTAL,
8., Fortaleza, 2006. Anais... Fortaleza, 2006.
PHILIPPI, L. S. et al. Reúso Combinado de
Águas Cinzas (Grey Water) e Água de Chuva
em Uma Unidade Residencial. Campo Grande:
ABES, 2005.
PROGRAMA DE PESQUISAS EM
SANEAMENTO BÁSICO. Rede Cooperativa de
Pesquisas. Tecnologias de Segregação e
Tratamento de Esgotos Domésticos na Origem,
Visando a Redução do Consumo de Água e da
Infra-Estrutura de Coleta, Especialmente nas
Periferias Urbanas. Vitória: UFES, UFSC,
UNICAMP, IPT, 2006.
SAUTCHÚK, C. A. Código de Prática de
Projeto de Execução de Sistemas Prediais:
conservação de água em edifícios. Brasília, DF:
Programa Nacional de Combate ao Desperdício de
Água – DTA. Documento Técnico de Apoio no
F3. 2004.
de Tecnologia do Ambiente Construído, 10.,
São Paulo, 2004. Anais... São Paulo: Entac,
2004.
TOMAZ, P. Aproveitamento de Água de Chuva:
para áreas urbanas e fins não-potáveis. São Paulo:
Navegar, 2003.
UNITED NATIONS ENVIRONMENT
PROGRAMME. Global Environment Outlook 3:
past, present and future perspectives. Earthscan,
United Kingdon, 2002.
YWASHIMA, L. A. Avaliação do Uso de
Água em Edifícios Escolares Públicos e
Análise de Viabilidade Econômica da
Instalação de Tecnologias Economizadoras
nos Pontos de Consumo. Dissertação
(Mestrado em Engenharia Civil) – Faculdade
de Engenharia Civil, Arquitetura e Urbanismo;
Universidade Estadual de Campinas,
Campinas, 2005.
YWASHIMA, L. A. et al. Método para
Avaliação da Percepção dos Usuários para o
Uso Racional de Água em Escolas. In:
CONFERÊNCIA LATINO-AMERICANA DE
CONSTRUÇÃO SUSTENTÁVEL, 1.;
ENCONTRO NACIONAL DE
TECNOLOGIA DO AMBIENTE
CONSTRUÍDO, 11., São Paulo, 2006. Anais...
São Paulo: Entac, 2006.
WERNECK, G. A. M.; BASTOS, L. E. G. A
Água da Chuva Como Fonte de Recursos
Hídricos para as Escolas de Barra do Piraí e os
Reflexos Para o Sistema Municipal de
Abastecimento. In: Conferencia Latino-
Americana de Construção Sustentável, 1.;
Encontro Nacional de Tecnologia do Ambiente
Construído, 11., São Paulo. Anais... São Paulo:
Entac, 2006.
Revista Ambiente Construído
Associação Nacional de Tecnologia do Ambiente Construído
Av. Osvaldo Aranha, 99 - 3º andar, Centro
Porto Alegre – RS - Brasil
CEP 90035-190
Telefone: +55 (51) 3308-4084
Fax: +55 (51) 3308-4054
www.seer.ufrgs.br/ambienteconstruido
E-mail: ambienteconstruido@ufrgs.br TOMAZ, P. Aproveitamento de Água de Chuva:
para áreas urbanas e fins não-potáveis. São Paulo:
Navegar, 2003. GONÇALVES, R. F. Uso Racional da Água
em Edificações. Rio de Janeiro: Abes, 2006. MANO, R. S.; SCHMITT, C. M. Captação
Residencial de Água Pluvial, para Fins Não
Potáveis, em Porto Alegre: aspectos básicos da
viabilidade técnica e dos benefícios do sistema. Ê MANO, R. S.; SCHMITT, C. M. Captação
Residencial de Água Pluvial, para Fins Não
Potáveis, em Porto Alegre: aspectos básicos da
viabilidade técnica e dos benefícios do sistema. In: CONFERÊNCIA LATINO-AMERICANA
DE CONSTRUÇÃO SUSTENTÁVEL, 1.;
ENCONTRO NACIONAL DE
TECNOLOGIA DO AMBIENTE
CONSTRUÍDO, 10., São Paulo, SP, 2004. Anais... São Paulo, 2004. UNITED NATIONS ENVIRONMENT
PROGRAMME. Global Environment Outlook 3:
past, present and future perspectives. Earthscan,
United Kingdon, 2002. In: CONFERÊNCIA LATINO-AMERICANA
DE CONSTRUÇÃO SUSTENTÁVEL, 1.; YWASHIMA, L. A. Avaliação do Uso de
Água em Edifícios Escolares Públicos e
Análise de Viabilidade Econômica da
Instalação de Tecnologias Economizadoras
nos Pontos de Consumo. Dissertação
(Mestrado em Engenharia Civil) – Faculdade
de Engenharia Civil, Arquitetura e Urbanismo;
Universidade Estadual de Campinas,
Campinas, 2005. ENCONTRO NACIONAL DE ENCONTRO NACIONAL DE TECNOLOGIA DO AMBIENTE TECNOLOGIA DO AMBIENTE CONSTRUÍDO, 10., São Paulo, SP, 2004. Anais... São Paulo, 2004. PETERS, M. R. et al. Potencialidade de Reúso
Residencial Utilizando Fontes Alternativas de PETERS, M. R. et al. Potencialidade de Reúso
Residencial Utilizando Fontes Alternativas de Água. In: SIMPÓSIO ÍTALO BRASILEIRO DE
ENGENHARIA SANITÁRIA E AMBIENTAL,
8., Fortaleza, 2006. Anais... Fortaleza, 2006. Água. In: SIMPÓSIO ÍTALO BRASILEIRO DE
ENGENHARIA SANITÁRIA E AMBIENTAL,
8., Fortaleza, 2006. Anais... Fortaleza, 2006. PHILIPPI, L. S. et al. Reúso Combinado de
Águas Cinzas (Grey Water) e Água de Chuva
em Uma Unidade Residencial. Campo Grande:
ABES, 2005. PHILIPPI, L. S. et al. Reúso Combinado de
Águas Cinzas (Grey Water) e Água de Chuva
em Uma Unidade Residencial. Campo Grande:
ABES, 2005. CONSTRUÇÃO SUSTENTÁVEL, 1.; ENCONTRO NACIONAL DE PROGRAMA DE PESQUISAS EM
SANEAMENTO BÁSICO. Rede Cooperativa de
Pesquisas. Tecnologias de Segregação e
Tratamento de Esgotos Domésticos na Origem,
Visando a Redução do Consumo de Água e da
Infra-Estrutura de Coleta, Especialmente nas
Periferias Urbanas. Vitória: UFES, UFSC,
UNICAMP, IPT, 2006. SAUTCHÚK, C. A. Código de Prática de
Projeto de Execução de Sistemas Prediais:
conservação de água em edifícios. Brasília, DF:
Programa Nacional de Combate ao Desperdício de
Água – DTA. Documento Técnico de Apoio no
F3. 2004. Referências A combinação que produziu melhor potencial de
economia de água potável foi a instalação de
equipamentos economizadores em conjunto com o
aproveitamento de água pluvial, chegando a 27,8%
na escola municipal e a 72,7% na escola estadual. Tais potenciais de economia são maiores do que os
usos não potáveis de cada escola, pois o uso de
equipamentos economizadores considera também
as torneiras, em que há uso de água potável. Logo,
o potencial de economia pode ser maior do que o
uso final de água não potável. GHISI, E.; CORDOVA, M. M.; ROCHA, V. L. Netuno 2.1. Programa computacional. Universidade Federal de Santa Catarina,
Departamento de Engenharia Civil. Disponível
em:
<http://www labeee ufsc br/downloads/softwar Departamento de Engenharia Civil. Disponível
em: Departamento de Engenharia Civil. Disponível
em: <http://www.labeee.ufsc.br/downloads/softwar
es/netuno>. Acesso em: 10 jul. 2009. GHISI, E.; MARINOSKI, A. K. Aproveitamento de Água Pluvial para Usos
Não Potáveis em Instituição de Ensino: estudo
de caso em Florianópolis, SC. Ambiente
Construído, Porto Alegre, v. 8, n. 2, p. 18,
abr./jun. 2008. No entanto, salienta-se que a escola estadual
apresentou
elevado
consumo
de
água
nos
mictórios, fora do padrão esperado, o que acabou
amplificando o potencial de economia de água Construído, Porto Alegre, v. 8, n. 2, p. 18,
abr./jun. 2008. 77 Potencial de economia de água em duas escolas em Florianópolis, SC
77 Ambiente Construído, Porto Alegre, v. 11, n. 4, p. 65-78, out./dez. 2011. GHISI, E.; OLIVEIRA, S. M. Potential for
Potable Water Savings by Combining the Use
of Rainwater and Greywater in Houses in
Southern Brazil. Building and Environment,
v. 42, n. 4, p. 1731-1742, 2007. SIMIONI, W. I.; GHISI, E.; GÓMEZ, L. A. Potencial de Economia de Água Tratada
Através do Aproveitamento de Águas Pluviais
em Postos de Combustíveis: estudos de caso. In: Conferência Latino-Americana de
Construção Sustentável, 1.; Encontro Nacional
de Tecnologia do Ambiente Construído, 10.,
São Paulo, 2004. Anais... São Paulo: Entac,
2004. GONÇALVES, O. M. et al. Indicadores de Uso
Racional da Água para Escolas de Ensino
Fundamental e Médio. Ambiente Construído,
Porto Alegre, v. 5, n. 3, p. 63, jul./set. 2005. PROGRAMA DE PESQUISAS EM TECNOLOGIA DO AMBIENTE SANEAMENTO BÁSICO. Rede Cooperativa CONSTRUÍDO, 11., São Paulo, 2006. Ana CONSTRUÍDO, 11., São Paulo, 2006. Anais... Sã P
l
E
2006 p
Pesquisas. Tecnologias de Segregação e São Paulo: Entac, 2006. WERNECK, G. A. M.; BASTOS, L. E. G. A
Água da Chuva Como Fonte de Recursos
Hídricos para as Escolas de Barra do Piraí e os
Reflexos Para o Sistema Municipal de
Abastecimento. In: Conferencia Latino-
Americana de Construção Sustentável, 1.;
Encontro Nacional de Tecnologia do Ambiente
Construído, 11., São Paulo. Anais... São Paulo:
Entac, 2006. Revista Ambiente Construído
Associação Nacional de Tecnologia do Ambiente Construído
Av. Osvaldo Aranha, 99 - 3º andar, Centro
Porto Alegre – RS - Brasil
CEP 90035-190
Telefone: +55 (51) 3308-4084
Fax: +55 (51) 3308-4054
www.seer.ufrgs.br/ambienteconstruido
E-mail: ambienteconstruido@ufrgs.br
|
https://openalex.org/W2807597696
|
https://www.nature.com/articles/s41599-018-0068-x.pdf
|
English
| null |
Slums, race and mental health in New York (1938–1965)
|
Palgrave communications
| 2,018
|
cc-by
| 13,582
|
ARTICLE ARTICLE Introduction p
)
Brown’s call for Harlem’s destruction shocked the “law and
order” sensibilities of the neocon Podhoretz, but they also posed a
challenge to racial liberals who had been trying to save Harlemites
—including Brown--for the past thirty years. In New York, racial
liberals—an interracial cadre of individuals who shared the
political aim of ending racial inequality by equally including
African Americans within the state--had called for programs to
revitalize Harlem by expanding the black community’s access to
public mental health resources. Regarding mental health services,
racial liberals in the Domestic Relations Court, Bureau of Child
Guidance, and the private Wiltwyck School for Boys had long
recommended saturating those neighborhoods with psychiatric
care. Such plans called for the city to improve Harlem’s access to
services that could help alleviate the suffering of marginalized
people with a range of psychological or behavioral issues that
contemporary experts referred to using the interchangeable terms
emotional illness and mental illness, remaking public health in
Manhattan’s most overcrowded living space. q
y
What follows is a comparison of liberal campaigns against both
youth crime and mental health disparities in Harlem between
World War II and 1965 and Brown’s own experience as one of
the very Harlemites those racial liberals had served. The paper
will examine each of these programs and their intended goals,
contrasting them with Brown’s insistence that Harlem’s psycho-
logical health would be difficult to redeem as long as Harlem
remained virtually unchanged. The first section of the paper
draws upon Foucauldian political theory to briefly examines both
the aims of these liberal programs and their assumption that
therapy could overcome the psychological impact of Harlem slum
life. Since World War II, New York’s racial liberals in child
psychiatry, child guidance, and the children's courts assumed that
slums—especially in the guise of the strain it allegedly placed on
family dynamics—led to an inordinate amount of emotional and
behavioral problems among its youth. These liberal New Yorkers
believed that institutional racism had prevented authorities from
providing Harlem’s emotionally ill children with the mental Yet here was Brown, a former client of racial liberals at the
Wiltwyck School, advocating that such liberal efforts to include
Harlem in the nation’s prosperity ought to be scrapped. Harlem
did not need inclusion. It required destruction, demolition,
obliteration. What he was demanding was true slum clearance: an
end to ghettoes. Introduction limitations of racial liberalism, especially efforts to ameliorate the
plight of Harlem through the expansion of mental health care
within the black community. I
n 1965, African American law student Claude Brown pub-
lished his controversial autobiography, “Manchild in the
Promised Land”. In this “bildungsroman”, the first-time author
recounts how he was able to escape a life of petty crime and drug
dealing in Central Harlem. 1965 was a crucial year in the black
freedom struggle. Integrationists won a major victory with the
Voting Right Act but the black power movement lost an icon
when El-Hajj Malik El-Shabazz (Malcolm X) was assassinated in
February. Released the year of his death, “The Autobiography of
Malcolm X”, joined Brown’s memoir, psychologist Kenneth B. Clark’s “Dark Ghetto”, and the Moynihan Report as new books
white America hoped would unlock the mystery of black urban
life. Brown’s was a bestseller, attracting more than its share of
criticism, controversy, publicity, and scholarly analysis (Brown,
1965; Karolides et al., 1999, pp 389–392). Some reviewers regar-
ded Brown as an expert on black America, providing an insider’s
view on the so-called “urban crisis”—the economic decline of US
cities, particularly in its predominantly black slums (Rotella,
1998). In this paper I argue that Brown believed such efforts were
doomed to failure in segregated black living spaces because those
places were not conducive to mental health. In his autobiography
Brown recognized that emotional health was not something one
achieved in isolation. Instead it was something that could not
exist without amenities, good jobs, public resources, decent
schools, economic stability, and medical care. While racial liberals
sought to provide more mental health care to Harlem as a way to
promote mental health amongst its African American residents,
Brown’s life experience had taught him that the services that he
had encountered—in the courts and at the Wiltwyck School—
had not generated the results his liberal benefactors had expected. For Brown, the ghetto was not salubrious enough to sustain the
kind of individual therapeutic changes racial liberals sought to
make with black patients through the schools, courts, or Wilt-
wyck School’s Manhattan halfway house. On August 30, 1965, “Commentary’s” neoconservative editor
Norman Podhoretz engaged in a televised conversation with
author Claude Brown on the National Education Television
program “At Issue”. Podhoretz asked him for his opinion of the
Watts Rebellion (or Riot). Introduction Just over 2 weeks earlier, the Watts
neighborhood of Los Angeles, California had been hit by a
spontaneous uprising led by its predominantly black residents. Property was destroyed, thirty-four people died, and fires set
before the National Guard was called in to halt this mass resis-
tance against a recent act of police brutality. Brown answered:
“The riots are a good thing…they had the best idea in Los Angeles
that anybody’s had about any of the ghettoes yet. Burn it to the
ground.” Shocked and incredulous, Podhoretz next asked: “Would
you like Harlem burned to the ground?” To which Brown
responded: “It would be great idea” (Podhoretz and Brown, 1965,
p 20). This historical examination of midcentury crime prevention
and mental care expansion in Harlem intervenes in two histor-
iographies: psychology and its relationship to the urban crisis,
and psychiatry and its engagement with African Americans. The
work of Ellen Herman (1995), Michael E. Staub (2011), Brian
Tochterman (2017), and Ed Ramsden and Matthew Smith (2017)
have traced the rise of the widespread nostrum that the economic
decline of cities caused mental deterioration. Although the idea
that slum life could harm a resident’s internal life had Victorian
precedents, it caught fire in US social science and politics after
World War II with the rise of social psychiatry—a preventive
psychological paradigm that asserted a relationship between
mental health and environment—and the use of psychology in
framing urban crime, blight, poverty, slum clearance, and riots
within policy circles (Smith, 2016). This article engages with that
literature at a historiographical intersection with scholarship on
the role race played in debates over the urban crisis’s psycholo-
gical impact. The work of Daryl Michael Scott (1997), Ellen
Dwyer (2005), Jonathan Metzl (2009), Jay Garcia (2012), Mical
Raz (2013), Martin Summers (2014), and Gabriel Mendes (2015)
have shown that, since at least the 1930s, anti-racists and liberals
claimed that Jim Crow and segregation had emotionally harmed
blacks. This article tries to bring together these literatures on the
urban crisis and the black psyche, exploring the policies and
assumptions of the liberal psychiatrists, judges, and social workers
who interpreted the wartime rise of youth crime in Harlem as the
result of both the mental health dangers posed by slum life and
racial inequality in the distribution of mental health resources. ARTICLE ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms Slums, race and mental health in New York
(1938–1965) Dennis Doyle1 ABSTRACT
Claude Brown’s seminal 1965 memoir “Manchild in the Promised Land”
appeared when Americans were trying to make sense of the Watts Rebellion of 1965. A
“bildungsroman”, Brown’s autobiography details how he, a former juvenile delinquent and
residential treatment center client, became a stable adult once he left his troubled Harlem
neighborhood. This paper argues that Brown’s book revealed just how much liberal mid-
twentieth century efforts to combat poverty and crime in segregated black communities by
offering more mental health services struggled to fully grasp and address the relationship
between mental health and environment. Between 1938 and 1965, officials and mental health
experts with the Wiltwyck School for Boys, New York Domestic Relations Court and the New
York Bureau of Child Guidance imagined that Harlem would become a more stable, law-
abiding community if populated with emotionally healthier people. Methodologically, this
paper compares the archival record of those programs’ goals with Brown’s memoir. Brown’s
own experience as both a former charge of those institutions and a resident of Harlem led
him to doubt that urban ghettoes were environmentally suited to support individuals
struggling to overcome mental illness. In locating Brown’s recollection of his postwar youth
within the context of local efforts to provide New York City’s black juvenile delinquents with
psychiatric care in the postwar era, it becomes apparent that those liberal policies and
programs were designed to produce therapeutic outcomes that proved difficult to sustain
amid the challenging circumstances residents faced in socioeconomically depressed com-
munities. As an intervention into the burgeoning literature on the US history of race and
psychiatry, this research represents one of the first attempts to compare the intentions of
mental health professionals seeking to improve the health care of African Americans and the
perspectives of their African American clients. 1 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms PALGRAVE COMMUNICATIONS| (2018) 4:11 Introduction This paper offers that Brown’s off-the-cuff
apocalyptic solution to the urban crisis in his televised encounter
with Podhoretz, when viewed in the context of his “Manchild in
the Promised Land”, demonstrates an impatience and distrust
with liberal efforts to save or improve the so-called ghetto. When
put into conversation with his televised remarks, Brown’s 1965
memoir demonstrates a thinker with a unique insight into the PALGRAVE COMMUNICATIONS| (2018) 4:11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms 2 ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x health care needed to help them develop the self-control expected
of citizens. They imagined that Harlem’s disruptive classrooms
and youth crime or “juvenile delinquency” would decline once
Harlem’s streets teemed with people who had received psychiatric
care. Relying on archival evidence and policy reports, the next
two sections examine how this faith in psychiatry’s power to
prevent crime and treat psychological suffering in Harlem pro-
duced three programs (the Harlem Special Guidance Service Unit,
Joint Kindergarten Project, and Harlem Project) that con-
centrated therapeutic and preventive services in Harlem schools
between 1940 and 1945. The fourth section explores how many of
the same racial liberals also sought to neutralize Harlem’s mental
health risks for black youth offenders—including Brown—by
placing them with the Catskills’ Wiltwyck School for Boys and its
aftercare facilities. with harsh punishment. But with the psychological turn, a juve-
nile delinquent became an emotionally needy child whose habi-
tual misbehavior might cease with psychotherapy and psychiatric
case work (Jones, 1999; Horn, 1989). Liberals pressed La Guardia
to spread those services into Harlem. In Foucauldian terms, liberals were asking for the extension of
a more productive system of power to Harlem’s African Amer-
icans. Power is productive when cultivated through the collective
self-management of the masses. Some conspiracy or single ruling
authority does not generate this diffuse type of power. Instead, it
develops through the efforts of private and public authorities, all
separately working to help citizens internalize societal norms and
regulate their own personal conduct.1 In limiting black access to psychiatry, institutional racism
prevented productive power from being fully extended into
Harlem on a more racially equal basis. According to anthro-
pologist Rosalind Morris (2008, p 110), the techniques for gen-
erating such productive power have been “unevenly distributed
among people of different racial categories” since the Progressive
Era in both European empires and the United States. Introduction According to his-
torian Ellen Herman, the kind of “therapeutic government”
(Herman, 2008, p 11, pp 12–13, p 206, pp 285–286) that Polier
and other racial liberals promoted was supposed to reduce social
problems through more invasive management/reduction of
pathological behaviors and unhealthy emotional states (Stoler,
2009, p 3). Perhaps with more psychiatric care in Harlem, its
crowded streets would suddenly teem with individuals emotion-
ally stable enough to avoid the temptation of gangs and crime. Introduction This
longstanding institutional neglect of black subjectivity was pre-
dicated by the assumption that non-whites were incapable of the
self-regulation expected of normal, law-abiding Americans. From
a racial conservative’s standpoint, it made little sense to provide
African Americans with an opportunity they were racially
incapable of using (Muhammad, 2010, pp 3–9, pp 152–154). The fourth and fifth sections also feature a close reading of the
passages in Brown’s memoir regarding his experience as a former
client of the liberal Wiltwyck School and his psychological insights
into psychiatry’s limited usefulness in Harlem. I aim to demon-
strate that Brown, as a Harlem resident, was able to recognize and
challenge the faulty assumption underwriting racial liberals’ hopes
for mental health care’s expansion in Harlem: namely, that mental
health could proliferate there without major changes to Harlem as
a living space. Brown believed that his own emotional health only
improved once he left Central Harlem, observing that those who
remained behind seemed at higher risk for seemingly interminable
drug addictions and behavioral problems. In teasing out Brown’s
own ontological assumptions from his memoir and unpacking
them using the insights of philosopher Ian Hacking, this paper
makes the case that Brown was able to question that flawed core
assumption informing liberal mental health programs in Harlem
because he recognized that Harlem lacked the environmental
supports needed to sustain the self-regulating mode of subjectivity
that both modern psychology and racial liberalism promoted. By
making a Harlem patient’s own perspective on mental health and
the environment central to the history of racial liberalism and the
psychological sciences in Harlem we can more clearly understand
why, in his TV interview, Brown rejected efforts to salvage Harlem
in favor of burning it to the ground. In contrast, racial liberalism was animated by the faith that
productive power could be generated in and through black minds
and bodies. New York liberals and racial progressives such as
Children’s Court Judges Justine Wise Polier and Jane Bolin were
convinced that African Americans were capable of introspection
and emotional self-management. These racial liberals—whose
ranks included both African Americans and whites--saw the
modern liberal state’s lack of investment in African-American
mental health not only as an unjust act of misrecognition but as a
major oversight (Ward, 2012; Doyle, 2016). Eliminating racial slippage in productive power: New York
liberals and the fight against juvenile delinquency,
1940–1945 In the New York City of Mayor Fiorello La Guardia, juvenile
delinquency in Harlem had become a major source of concern
entering World War II. Juvenile delinquency was a contemporary
label for violent or criminal child behavior that usually resulted in
an arrest and a court hearing. In New York, the majority of
children remanded to the Children’s Court on charges of juvenile
delinquency were African Americans from Harlem. Liberal jud-
ges, psychiatrists, psychologists, and their allies in the local civil
rights movement made the argument that crime and juvenile
delinquency had increased because La Guardia had provided
Harlem with few crime prevention resources—even after the
Harlem Riot of 1935 (Markowitz, Rosner, 2000, pp 5–12). According to Khalil Gibran Muhammad (2010, pp 3–9, pp
152–154), critics in New York and other cities blamed institu-
tional racism for the lack of crime prevention tools in segregated
black communities. Since the 1920s, child guidance, mental
hygiene, and psychiatric social work were considered the latest
and most scientific ways to fight juvenile delinquency. Each of
these disciplines framed juvenile delinquency as the product of a
previously undiagnosed psychological issue. Previously, most
Victorian Era criminal justice officials had long understood
juvenile delinquency as willful misbehavior that could only cease y
g
p
g
g
Between 1940 and 1945, racial liberals in New York’s Bureau of
Child Guidance, the Domestic Relations Court, and its School of
Social Work created several public school programs for Harlem
intended to identify, treat, and track African American children
thought to be at greatest risk for the emotional illnesses that
caused juvenile delinquency. Judge Polier convinced the New
York City Board of Education to implement these new programs,
arguing that removing racial barriers to a more equal distribution
of psychiatric services would enable the modern state to more
effectively establish productive power through the personal lives
of Harlem’s black citizens, especially during the critical pattern-
forming years of childhood. According to Polier, this wartime
extension of psychiatric authority over the lives of black students
in New York’s public school system would increase mental health
in Harlem and ultimately diminish the “rate of court appearances
and institutional commitment” in Harlem (Polier, 1940). | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x Sjuvenile justice speculated that delinquepecial Child Guidance
Service Unit (HSCGSU). Psychiatrist Max Winsor spearheaded
and administered this program. Lasting from 1940–1942, Winsor’s
program mobile child guidance team available to three junior high
schools and, by 1941, a kindergarten in neighborhoods with the
highest juvenile delinquency rates. Through 1941–1942’s Joint
Kindergarten Project, P.S. 194, an elementary school with a pre-
dominantly black student population, received the most intensive
and collaborative services the HSCGSU offered any school, mak-
ing it a central base of operations in the liberal effort to eliminate
the racial slippage in productive power’s metropolitan expansion. inequality. In response to the panic over the crime wave, they
formed a new civil rights organization, the City-Wide Citizens
Committee for Harlem (CWCCH), in late 1941. In some sense,
the CWCCH served as a kind of think-tank for local housing
reformers, activists, politicians, academics, mental health experts,
and public servants committed to ending crime, poverty, and
socioeconomic disparities in Harlem. They imagined new policy
solutions. One of the new policy solutions to emerge out of a
CWCCH committee was the Harlem Project (Markowitz and
Rosner, 2000). inequality. In response to the panic over the crime wave, they
formed a new civil rights organization, the City-Wide Citizens
Committee for Harlem (CWCCH), in late 1941. In some sense,
the CWCCH served as a kind of think-tank for local housing
reformers, activists, politicians, academics, mental health experts,
and public servants committed to ending crime, poverty, and
socioeconomic disparities in Harlem. They imagined new policy
solutions. One of the new policy solutions to emerge out of a
CWCCH committee was the Harlem Project (Markowitz and
Rosner, 2000). ,
)
Initiated in June 1943, the Harlem Project was a three-year
experiment that the charitable New York Foundation had funded
within New York’s public school system (Markowitz and Rosner,
2000, p 13). Administered by many of the same judges, psy-
chiatrists, educators, and mental health experts who created the
HSCGSU, the Harlem Project aimed to transform three Harlem
public schools (Junior High School 120, Junior High School 161,
P.S. 10) with high child arrest rates into all-day community
centers. The Project was rooted in two basic child guidance
principles: first, that mental illness was responsible for most
juvenile delinquency; and second, that “inadequate families” were
chiefly responsible for causing the emotional distress that delin-
quents experienced (Harlem Project, 1949, p 39). ARTICLE As Matthew
Smith (2016) noted, the child guidance movement was heavily
influenced by psychoanalytic theory, placing any environmental
blame for psychological problems squarely on the shoulders of
the parents “rather than on broader social factors.” The Harlem
Project leaders never claimed or even intimated that racial biology
had transformed Harlem into a den of bad parenting. Rather,
according to Daryl Michael Scott (1997), racial progressives had
argued as early as the 1910s that forces of racial and socio-
economic inequality made it that much harder for working-poor
black families to promote the mental health of their children and
serve as agents of personal growth and emotional stability. The
well-meaning but condescending Harlem Project researchers and
managers agreed with that assessment, claiming that “pervasive
economic and social evils as result from segregation and pre-
judice” (Harlem Project, 1949, p 136) made it highly unlikely that
Harlem’s poorest black households would be the kinds of spaces
that fostered self-control and healthy adjustment. The ease with
which the Harlem Project Research Committee’s members lat-
ched onto the explanation that poverty made it difficult to ade-
quately parent was certainly a product of the unexamined class
assumptions underlying both liberalism and most psychological
theory. They had normalized the financial stability, educational
attainment, and parenting philosophies of middle-class parents as
somehow essential to the promotion of optimal human growth--a
problem that marred much early 20th century childrearing lit-
erature (Stearns, 2004). So rather than oppose the longstanding
pathologization of the working-poor black family, racial liberals
reinforced this trope, claiming to offer a way to neutralize the
psychological damage wrought by Harlem’s alleged glut of bad
parents. pp g
p
p
p
p
This Joint Kindergarten Project was the HSCGSU’s most
concerted effort to extend productive power into New York’s
African American communities (Kirkpatrick, 1990; Ackerly,
1973). Racial liberals in juvenile justice speculated that delin-
quency rates would tumble if authorities could somehow identify,
track, and treat potential delinquents before they had even
committed a crime. Preferably, they hoped to identify and begin
psychiatric interventions with these troubled youngsters in early
childhood when, according to child guidance experts, humans
were most therapeutically reachable. Kindergarten was the first
public institution all children were obligated to enter. Viola W. Bernard (1942), the psychiatric resident who ran the kindergarten
program, (1942), recognized that P.S. ARTICLE 194 thus offered the state its
first real opportunity to collect data on a potential delinquent’s
“total needs, assets, and liabilities as early as possible in his or her
school experience.”2 Working with every kindergartener, Ber-
nard’s team of psychologists, case workers, and classroom aids
conducted
psychological
tests
and
classroom
observations,
interviewed families, and even made home visits (Bernard, 1998). Although the program lasted less than two years, Bernard hoped
that the data could be securely maintained in a central registry
and be made available to the police, the courts, and other agencies
interested in a specific child (Robison, 1960, pp 47–54). Armed
with this data, Bernard expected that authorities could tailor
educational and clinical services for the children identified as at
greatest risk for juvenile delinquency. It was hoped that such
personalized scrutiny could help each student to learn to control
his or her impulses, mood, and behavior—primary goals within
regimes of productive power (Bernard, 1942). | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms Developing the productive power of P.S. 194: the joint
kindergarten project This increased public investment in black Harlem’s collective
mental health began in 1940 with the creation of the Harlem PALGRAVE COMMUNICATIONS| (2018) 4:11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms 3 3 ARTICLE ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x one attention paid by a female role model. The Project worked
well with girls, the committee contended, because the schools
could approximate the conditions necessary for that sort of
domestic relationship in a private office with a female teacher or
case worker. Drawing upon traditional gender assumptions once
again, the same writers claimed that the boys of Junior High
School 120 were far less likely to have their emotional needs met
in the confines of an office. As males they were drawn to Harlem’s
streets and the masculine temptations of gangs, petty crime,
rowdy games, property destruction, fights and violence. Without
enough after-school activities or male role models at school, there
was little the Project leaders believed that they could do in
Harlem for the most troubled young men living across 110th
Street. But they imagined they might have better luck finding a
more suitable therapeutic environment in the Catskill Mountains. meals, mental hygiene, role modeling, and medical services. The
idea was that the less time a child spent at home with their
parents and the longer he or she spent at school with their par-
ental substitutes, the odds of preserving any emotional break-
through achieved there would increase. Essentially, the Project
attempted to socially engineer an emotionally healthier Harlem
and promote productive power by transforming its schools into
spaces capable of producing self-possessed citizens less suscep-
tible to the lure of crime. (Harlem Project, 1949; Board of Edu-
cation, 1947–). By 1944 however, it had become obvious that both
entrenched racial prejudice within the largely white faculty and
wartime budgetary cutbacks had derailed the Project, preventing
those three schools from ever serving as all-day, year-long com-
munity centers churning out law-abiding, well-adjusted Harle-
mites (Wittenberg, 1944; Harlem Project, 1949). These liberal attempts to track and prevent juvenile delin-
quency did not aim to substantially alter Harlem’s socioeconomic
structure. None of those school programs instituted between 1940
and 1945 were accompanied by concomitant efforts to reduce the
poverty, housing discrimination, chronic overcrowding, price
gouging, decaying infrastructure, hiring discrimination, police
brutality, and gang activity that had plagued Central Harlem since
it had first been redlined by banks. The Harlem Project’s Report
(1949) did recognize that the mental health problems across
110th Street were in some ways the product of the inequalities
and injustices that many of its black residents had been forced to
endure. The Wiltwyck school for boys and Claude Brown’s sense of
self, 1948–1965 self, 1948 1965
Claude Brown (1965) dedicated his memoir to: “The late Eleanor
Roosevelt, who founded the Wiltwyck School for Boys. And to the
WILTWYCK SCHOOL, which is still finding Claude Browns.” In
1937, the Wiltwyck School for Boys began as a summer camp that
New York’s Protestant Episcopal Mission Society ran in Esopus, a
small town in New York’s bucolic Catskills. Eventually it became
a year-round private reform school for pre-teen boys from New
York City. In 1942, the facility stood on the brink of closure. But
it was one of the few private facilities that would accept black
male delinquents at a moment when arrests of young men were
on the rise, space in private boys’ reformatories was limited, and
children’s care providers could still discriminate on the basis of
race. With arrest rates lower for young women, space was less
limited in private facilities for women, and beds more available
for black women in the House of the Good Shepherd and other
private providers (Hicks, 2010). As Children’s Court justices with
a racial justice bent, Justine Wise Polier and African American
judges Jane Bolin and Herbert T. Delany regularly assigned young
black men from Harlem to Wiltwyck. Determined to keep the
school open, Polier contacted some of her closest political allies
including Eleanor Roosevelt (Polier’s family friend and the First
Lady of the United States) and many of the racial liberals and
philanthropists involved with the Harlem Project (Bernstein,
2001, p 55). Pooling their funds, these racial liberals and their
allies took over the administration of the Wiltwyck School. Under
their watch it became a residential treatment center (RTC). Originating in World War II, an RTC was a facility that,
according to historian Deborah Doroshow (2016), treated its
clients
as
“emotionally
disturbed”
children
requiring
psy-
chotherapy rather than as delinquents in need of correction. RTCs were supposed to offer psychiatric care, counseling, case
work, and staff informed by child psychology. New York liberals
in the juvenile justice system held out hope that Wiltwyck the
rural residential treatment center, located far from the city's
temptations, might offer the best way to put Harlem’s troubled
young men on the path to mental health. And in 1948, one of
those young men was Claude Brown. The Wiltwyck school for boys and Claude Brown’s sense of
self, 1948–1965 That is why the Project encouraged its staff, clinicians, and
teachers to form intense emotional bonds with select students,
especially girls, offering them the attention, nurture, and support
they supposedly did not get at home. While the Project could not
alter the relationship between African Americans and American
society, they could create new relationships between some African
American children and professional adult mentors that possessed
a psychodynamic understanding of a developing child’s psycho-
logical need for unconditional love and warmth. According to the
tenets of child guidance theory, selfhood did not develop in iso-
lation. Instead, the human self was a social product, forged in
childhood either through a relationship with the child’s primary
caregiver or some other close guardian. The Harlem Project’s
Research Committee argued that their female staff had succeeded
in becoming “mother substitutes” for some of the so-called
“unmanageable girls”—the gender-appropriate term then for
female students with disciplinary problems. In line with child
guidance thinking, the Report credited these relationships with
producing healthier selves for some of the girls. Some of them
responded well to therapy and adjusted much better to school. According to the liberals’ own assessment at least, the Project
seemed to have found one way to increase productive power in
Harlem (Harlem Project, 1949, p 88, p 90, p 91). Nevertheless, the Harlem Project’s final report (1949) struck a
decidedly less celebratory tone when it assessed its relative success
with the main target of its anti-delinquency efforts: the young
men who made up the bulk of child arrests. The Research
Committee claimed that a relationship with a school mentor at
school, most of whom were women, did not do enough to change
the affect and behavior of troubled African American boys in
Central Harlem. It reached the conclusion that essential gender
differences explained the disparate results between boys and girls. Falling back on well-worn, Victorian-era gender assumptions
about a woman’s proper place, the committee intimated that a
woman’s personality was largely built at home through one-on- At 11 years of age, Claude Brown—known to his family as
“Sonny”—was sent to Wiltwyck following his arrest for robbing a
store on Broadway and 147th Street in Harlem. In Children’s
Court the next day, Jane C. Bolin was the presiding judge. ARTICLE Ultimately though, the racial liberals who penned this
final report believed that, barring wholesale structural change, the
best they could do was to help at least some individual children
avoid making big mistakes in life by becoming more emotionally
secure and stable. | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms The Harlem project, 1943–1945: forging a community of
mental health The Harlem Special Child Guidance Service Unit lapsed in 1942,
but its successor program—the Harlem Project--attempted to do
something even more ambitious in the pursuit of productive
power’s expansion: transform Harlem into an emotionally heal-
thy community by making school the center of this healthier
Harlem. As Edward Ramsden and Matthew Smith (2017) have
demonstrated, psychological experts and urban reformers have
long argued that America’s cities were breeding grounds for
mental illness and juvenile delinquency. Starting in the 1920s,
advocates of what became known as slum clearance and urban
renewal theorized that better urban planning and the destruction
of older housing stock could eliminate the environmental con-
ditions that gave rise to misbehavior. A small surge in black youth
crime had stimulated New York’s racial liberals to make an
attempt at socially engineering an emotionally healthier Harlem. The sensationalistic local news dailies reported the small surge as
a major crime wave that had hit this predominantly black enclave
of the city in November 1941 (Brandt, 1996; Kelley, 2009). Local
racial liberals and civil rights activists took advantage of the panic
the press had generated in the city, politicizing this alleged
Harlem crime wave as further proof that Harlem required better
crime prevention and mental health services and an end to racial In hopes of preventing local children from becoming delin-
quents, the Project aimed to redirect the locus of their emotional
maturation away from emotionally damaging homes and into the
school as the community’s new center. The Harlem Project lea-
ders expected that the desired changes in the curriculum, staffing,
and administration of their three target schools would transform
those buildings into therapeutic environments. Diagnostic and
therapeutic services were made more readily available, mental
health experts were regularly on site, teachers were given lessons
in child psychology, and the Project clinicians and case workers
were urged to serve as the students’ parental substitutes. The
Project leaders even hoped that schools could stay open all day
and all through the summer, providing recreation, athletics, PALGRAVE COMMUNICATIONS| (2018) 4:11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms 4 ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x Psychopathic Hospital for a psychiatric evaluation after he was
“falsely accused of trying to push a boy out of a five-story win-
dow” (Brown, 1965, p 22). On January 5, 1949 Brown returned to
court for his placement hearing and Bolin said “she was going to
place me in some kind of school for boys…” He initially thought
he was bound for the Warwick State Training School, a notorious
state-run reform school. Instead, he was transported by train to
Wiltwyck on March 4, 1949 (Brown, 1965, p 64, p 66). specific type of individual or mode of being, one that featured
psychological insight into oneself as a key component of its
assemblage. At the RTC he became determined to become that
sort of person, to achieve that kind of self-awareness and mastery
of one’s own instincts and emotions and to achieve it on the
streets of Harlem no less. In Foucauldian terms, he was looking to
become an agent for the expansion of productive power into
Harlem. y
p
p
It was there he met Ernst Papanek, the figure that Brown
claimed had put him on the path towards the emotional health
and stability racial liberals had been seeking to promote in
Harlem. An Austrian immigrant, Ernst Papanek was a psychiatric
social worker the Wiltwyck board had chosen as its new executive
director the same year Brown became a resident. Papanek had
joined the school just as Wiltwyck’s Board was making a con-
certed effort to transform it into an RTC. Papanek (1951) pushed
the staff to be more mindful of their charges’ emotional devel-
opment and he led by example. Brown enjoyed talking with him
about “something really bothering me. Most of the time, I never
told him what was really bothering me, but we would always talk
about something. And regardless of what we talked about, it
always made me feel better” (Brown, 1965, p 121). In these ses-
sions, Papanek listened to Brown, praised him, encouraged him,
gave him life advice, and counseled him on different strategies for
getting along with his family (Brown, 1965, p 121, p 123). ARTICLE He was
benefiting from the care and guidance of this social worker,
developing such a strong attachment to him that Brown recalled
that: “…he was all I had then…He was the first person I ever
wanted to do anything for” (Brown, 1965, p 123). After Brown’s
release from Wiltwyck, he got in trouble for theft again and was
sent to the Warwick State Training School. Nonetheless, Brown
never blamed Papanek or Wiltwyck. He believed that he had
failed them, indicating in his memoir that he sensed that he had
not yet become the type of person that could stay out of juvenile
detention. Nevertheless, Brown found it difficult to maintain this emo-
tional health in postwar Central Harlem. Remarkably, Brown
learned something that many academics had not yet embraced in
1965: different types of selves or subject positions are difficult or
even impossible to implement if a given culture or social system
does not recognize, nurture, and reinforce those subjectivities
(Hacking, 2002, pp 22–23). Throughout the memoir, Brown
intuitively grasped the proposition that subjectivity was condi-
tional, fluid, and situational. An individual could inhabit a par-
ticular mode of being but only in certain environments. Once he
was released back to his family in Harlem after two and a half
years, he felt that: “I had changed…I was moving away from
things. There was no place for me. I felt lonelier in Harlem that
I’d felt when I first went to Wiltwyck” (Brown, 1965, p 103). At
Wiltwyck he had begun to develop a different kind of subjectivity,
one that was more reflective and less volatile. Yet at home in
Central Harlem, he found it difficult to sustain that healthier kind
of self. In Harlem, he found that his parents did not understand
or meet his emotional needs. The friends and the environment of
the “the streets” (Brown, 1965, p 415) only seemed to push him to
be the kind of person who had previously ended up in court. Among his old friends, he slipped into bad habits. He resumed
skipping school, fighting, stealing, and smoking marijuana. “I had
a feeling that something kind of bad was in store for me out on
the streets” and “I longed to get back into Wiltwyck” despite—at
13 years of age—being too old for re-admittance (Brown, 1965, p
119). ARTICLE One of the least-studied aspects of Brown’s memoir is the
young author’s awareness of something akin to what philosopher
Ian Hacking calls “historical ontology,” the recognition that dif-
ferent times and places produce different kinds of selves or
subjectivities for individuals to inhabit and practice. Throughout
“Manchild”, Brown demonstrates a fairly uncommon epistemo-
logical sense that American culture offered a number of “possible
ways to be a person,” of imagining how one’s individual self is
fundamentally organized or constituted (Hacking, 2002, p 2, pp
3–4, pp 22–23). He partially attributed his successful transition
into adulthood to his discovery that the modern language of
psychology provided the best way to make sense of his interior
self. In one sense, Brown’s narrative seemed to confirm what the
Harlem Project’s racial liberals had suspected would happen to
Harlem’s troubled male youth when released from a therapeutic
environment. Combined together, the lure of mischief in Har-
lem’s public spaces and an inadequate family life were supposed
to keep someone such as Brown from maintaining the develop-
mental gains made in Esopus, New York. According to Brown, “I
used to feel that I belonged on the Harlem streets…I always
thought of Harlem as home, but I never thought of Harlem as
being in the house. To me, home was the streets. I suppose there
were many people who felt that way. If home was so miserable,
the street was the place to be” (Brown, 1965, p 415). Similar to the
Harlem Project writers, Brown partly blamed his parents for his
delinquency. According to Brown, they were “old-fashioned and
countryfied” transplants from rural, Depression-era South Car-
olina “who still have most of the Southern ways” (Brown, 1965, p
301). They did not model behavior for their children, relying
instead on instilling fear and shame through aggression, insults,
and corporal punishment. “Mama and Dad..[t]hey were trying to
bring that down-home life up to Harlem. They had done it. But it
just wasn’t working” (Brown, 1965, pp 282–283). Without any
consideration of child psychology, they did not show much
affection or seek to understand their children’s feelings. He
deemed them ill-suited to help him and his brother adjust to
modern, urban life. For Brown, his family became a burden he
just wanted to escape. Harlem’s well-traversed thoroughfares—
with their temptations of violence, sex, theft, and drugs--were his
outlet. Racial liberals would have expected as much. The Wiltwyck school for boys and Claude Brown’s sense of
self, 1948–1965 A
sponsor of the Harlem Project and a member of the Wiltwyck
School’s board of directors once it had made the transition to
RTC, Bolin initially assigned him to the Youth House on East
12th Street—a local juvenile detention center--while awaiting
adjudication. Constantly in trouble, Brown had already been
expelled from three schools at age eight and even sent to Bellevue PALGRAVE COMMUNICATIONS| (2018) 4:11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms 5 “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land p
When “Manchild in the Promised Land” was published in 1965,
leftist critics vilified Brown’s book, claiming that he blamed
Harlem’s black community rather than racism for the problems
he experienced. They immediately panned Brown for failing to
see how structural forces beyond his neighbors’ and family’s
control were really what set African Americans his age off on the
path of crime, mental illness, or drug addiction. White voices
from the left, including “Village Voice“ jazz reviewer Nat Hentoff,
anarchist and education critic Paul Goodman, and novelist and
socialist Warren Miller, noted that Brown’s book made no
mention of the civil rights movement, neglected to explore how
African Americans could collectively struggle to improve their lot,
and offered individual self-discovery and flight from segregated
black communities as the only solution to the 1960s’ urban crisis. These critics regarded his analysis of his subjectivity, existential
angst, psychological turmoil, and relationship with the Wiltwyck
School as pointless navel-gazing that drew attention away from
the larger, more practical issues of institutional racism, housing
segregation, wealth inequality, and governmental neglect of black
communities. (Rotella, 1998, pp 293–310, Tochterman, 2017, pp
108–109) )
While there is merit to those criticisms, much of the vitriol
directed at Brown had just as much to do with the book’s timing. “Manchild” appeared at a moment when, according to historians
Laura Briggs (2002) and Mical Raz (2013), liberal and neo-
conservative sociologists, psychologists, and other academicians
argued that slum-dwelling had psychologically damaged the poor,
especially in predominantly black neighborhoods. The year
“Manchild” was published, two landmarks in urban black
pathology literature were also released: Harlem psychologist
Kennth B. Clark’s “Dark Ghetto” and sociologist Daniel Patrick
Moynihan’s infamous report for the US Department of Labor,
“The Negro Family: A Case for National Action”. Both Clark’s
“Dark Ghetto” and Moynihan’s report presented inner-city black
enclaves as dens of poverty and mental pathology. And both
authors traced these developments to an unhealthy black family
structure characterized by domineering matriarchs and emo-
tionally weak fathers emasculated by racial discrimination (Her-
man, 1995, pp 192–193; Martin, 2013, pp 21–38; Scott, 1997, pp
150–159). “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land In the works of these and other social scientists
including Frank Riessman, Nathan Glazer, and Oscar Lewis,
theories touting the existence of a “culture of poverty” and “cul-
tural deprivation” in slums presented the nonwhite poor as the
practitioners of an inferior lifestyle and family dynamic that had
doomed them to a future of inescapable poverty (Raz, 2013; Scott,
1997). Brown came to a different conclusion, one that the liberals at
Wiltwyck were unwilling to completely accept. Throughout
“Manchild in the Promised Land” Brown indicated that emotional
health would be difficult or even impossible to produce in Har-
lem. Taking stock of his neighborhood, especially the cultural
assumptions his Southern-born family members and neighbors
shared about human selfhood, he became convinced that a
healthy psychological self could not be adequately grown and
sustained in Central Harlem. Returning from Wiltwyck he
claimed that: “I didn’t feel a part of Harlem any more…After a
while, I thought it might be a good idea for me to move out of the
neighborhood and see some other sides of life” (Brown, 1965, p
176). Describing working-poor Harlem of the 1950s as a culture
rooted in pre-modern folk ideas transplanted from traditions of
conjure, rural Southern small-town life, and evangelical Chris-
tianity, Brown found his neighborhood ideologically and cultu-
rally ill-prepared to sustain the type of self he was trying to
cultivate. Brown observed that: “…everybody in Harlem needed
something. Some people needed religion. The junkies needed
drugs. Some people needed to get drunk on Saturday night and
raise hell. A lot of people needed the numbers. Me, I needed to get
the hell out of Harlem” (Brown, 1965, p 203). He did just that. In the memoir, Brown became the kind of emotionally stable,
law-abiding citizen deemed essential to regimes of productive
power—but only once he moved out of Harlem. Finding support
for his new self in Wiltwyck’s downtown Manhattan offices, he
moved to Greenwich Village, settling down in a “little loft room
down on Cooper Square” (Brown, 1965, p 177). He left the
underground economy behind and began a new life in an
environment that left him with less anxiety and conflicted feel-
ings. “I was afraid of what Harlem could bring out in a person. When I decided to move, I was trying to get away from the fear”
(Brown, 1965, p 414). PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x well that he told one acquaintance that he “blended in with the
furniture” (Brown, 1965, p 348). Nevertheless, Brown and New York’s racial liberals diverged as
to whether therapeutic aftercare could undo the power of poor
parenting and Harlem street-life. Wiltwyck’s continued existence
hinged on the directors’ conviction that followup care with its
former students could prevent recidivism. In the 1940s, former
residents were encouraged to meet with a case worker at Wilt-
wyck’s Harlem office on 125th street. After his release, Brown
visited the office when he was in emotional distress, fearing that
he would get in trouble with the law. At one visit in 1950,
Papanek “seemed determined to force me to make it out on the
street.” (Brown, 1965, p 121) Even as Brown got involved in
selling drugs and spent time in juvenile detention over the course
of the next 3 years, Papanek told his staff in 1953 that Brown was
going to “make out just great” (Brown, 1965, 167). Despite
Papanek’s confidence, an internal study Wiltwyck conducted the
following year discovered that the recidivism rate among its
graduates stood at 50% since the school opened. To change that
rate, Wiltwyck’s liberal directors believed that Wiltwyck needed
to provide much more followup care—especially in the city. Between 1954 and 1962, Wiltwyck opened two half-way house
facilities in New York City, one in St. Albans, Queens and one on
18th Street named for champion boxer and former Wiltwyck
student Floyd Patterson (Doyle, 2015). Aftercare was now far
more intense and psychiatric in orientation. Brown never offered
his opinion on Witwyck’s new continuous care program or what
he thought of its aftercare facilities. Instead his memoir provides
evidence that he was nowhere as bullish on the idea that reinte-
gration back into Harlem ought to be the aim of therapy and
followup care. ARTICLE Slum family
dynamics and the lure of urban excitement would sabotage any
therapeutic successes made with any young man recently released
from an RTC. Through his association with the Wiltwyck School the author
learned that his interior landscape was a hidden world of drives,
fears, emotions, anxieties, stages of development, and complexes
that motivated his behavior without his conscious awareness. Brown credited Papanek with helping him to both gain this
modern insight into human interiority. Brown “used to think the
cat was a little crazy at first” because the language of psychology
and child guidance was so new to him. But eventually he began to
think that Papanek “had the ability to see everybody as they really
are—just people, no more and no less. Also he saw children as
people, little young people with individuality, not as some sepa-
rate group of beings called children, dominated by the so-called
adult world” (Brown, 1965, p 120). By the time the courts
remanded him to the Warwick State Training School in his
teenage years, Brown began to see that some individuals—such as
Papanek—“seemed to have a whole lot of control over life and
knew what he was going to do and what he wasn’t going to do”
(Brown, 1965, p 151). Brown thought of Papanek as modeling a PALGRAVE COMMUNICATIONS| (2018) 4:11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms 6 ARTICLE | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land Yet, when read in light of
Brown’s conversation with Podhoretz, the memoir reveals
Brown’s understanding of Harlem as a space. Because Brown
offered very little description in the way of what his neighbor-
hood in Harlem even looked like or what resources or amenities it
possessed, it is difficult for readers to determine what it lacked. Yet once Brown narrates his escape into Greenwich Village and
actively presents what it had to offer him, it becomes clear that While Brown’s critics were correct in their assertion that he
never addressed the racism and socioeconomic forces that had
made Harlem a “slum ghetto” the way that Baldwin or Tucker
had, Brown did not simply blame his parents and their generation
for Harlem’s status as slum. Instead, he tried to convey that rural
Southern transplants had arrived in a Harlem that was already
unable to support their psychological health and successful citi-
zenship. In “Manchild”, Harlem appears as less a promised land
than it does a wasteland, “… a dirty, stinky, uncared-for closet-
size section of a great city” (Brown, 1965, p 8). Brown presents the
Central Harlem in which he grew up in an almost nondescript
fashion. It appears as little more than a ruinous void in which the
family and friends of his youth play out their unmoored exis-
tence. Reviewers including Goodman, Podhoretz, and Hentoff
interpreted the author’s relative inattention to the Harlem
environment as a function of the text’s apparent message that
individuals, culture, and psychology, not social forces or cir-
cumstances, had produced the slum’s problems (Rotella, 1998). l
dh
h
ff
d
h
h y
Brown however expressed skepticism that Harlem could either
be redeemed or at least become a site where some lost souls could
be saved. Instead he called for the destruction of ghettos, a
position shared by other African American intellectuals and
activists. One of these like-minded compatriots was novelist
James Baldwin, a fellow Harlem native who had written one of
the promotional blurbs supporting Brown’s memoir. Between
1948 and 1966, Baldwin’s fiction and his political essays decried
Harlem and black urban ghettos as sociologically unique envir-
onments that had psychologically harmed their residents in ways
that ethnic white immigrant enclaves such as Manhattan’s Hell’s
Kitchen or the Lower East Side never had. His essays reveal a
Harlem filled with “self-loathing…madness…frustration and
bitterness.” (Baldwin, 1962, pp 56–63). “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land to white ethnics who could leave their neighborhoods, most
African Americans could not escape Harlem. Systemic racism in
the credit, mortgage, and housing markets made sure of that. (Baldwin, 1962, 1963, 1985; Scott, 1997, p 165) In Baldwin’s view,
Harlem was a racially segregated and unequal place and its
residents little more than hostages. Efforts to improve Harlem
through urban renewal would be inconsequential and doomed to
failure as a segregated slum’s very existence was inhumane and
antidemocratic. to white ethnics who could leave their neighborhoods, most
African Americans could not escape Harlem. Systemic racism in
the credit, mortgage, and housing markets made sure of that. (Baldwin, 1962, 1963, 1985; Scott, 1997, p 165) In Baldwin’s view,
Harlem was a racially segregated and unequal place and its
residents little more than hostages. Efforts to improve Harlem
through urban renewal would be inconsequential and doomed to
failure as a segregated slum’s very existence was inhumane and
antidemocratic. In particular, Baldwin decried New York’s ongoing efforts to
rehabilitate Harlem through the destruction of its brownstone
tenements and their replacement with cheap, low-income, public
housing. (Tochterman, 2017, pp 83–84). In Baldwin’s view, one
shared by housing reformers such as Jane Jacobs (1961) in her
landmark “The Death and Life of Great American Cities”, urban
renewal had done nothing to change Harlemites’ life outcomes,
promote economic opportunity, or ameliorate social injustice. New York’s housing officials did not move the black poor out of
Harlem. Instead, by locating the new public housing units in
Harlem, urban renewal continued to concentrate the black poor
within the same space they had inhabited before, sending African
Americans the message that “they are living there because white
people do not think they are good enough to live anywhere else.”
(Baldwin, 1962, p 65) In an oft-anthologized 1960 “Esquire” article (1962, p 65)
entitled “Fifth Avenue, Uptown,” Baldwin wrote that: “A ghetto
can be improved in only one way: out of existence.” Sterling
Tucker (1968, p 23), director of Washington D.C.’s Urban Lea-
gue, concurred, arguing that: “If it is to rid itself of the problems
of the ghetto forever, if its cities are to survive, America must
eliminate the ghetto and the ghetto mentality.” African American
ghettos were inherently unjust living spaces that were frankly
beyond redemption, a sentiment Brown also evinced in his tele-
vised conversation with Podhoretz. “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land (Joseph, 2006) Some of these leftist intellectuals and activists
branded any claim that urban ghettos were rife with bad behavior
and
psychological
damage
as
politically
irresponsible
and
potentially “racist.” (Scott, 1997, pp 177–183) Given that Brown’s
account of his own struggle depicted the Second Great Black
Migration’s Southern black transplants as rural rubes who failed
to adapt to Northern urban life, critics assailed his work with the
same vitriol they later reserved for the Moynihan report and, the
next year, anthropologist Oscar Lewis’s characterization of the
badly behaved and seemingly irredeemable Boricuan denizens of
San Juan’s barrios and Manhattan’s slums in “La Vida: A Puerto
Rican Family in the Culture of Poverty“ (Tochterman, 2017, pp
123–124; Briggs, 2002, p 178). grievances against police brutality, housing discrimination, and
inadequate social services. Ryan recognized that if slum-life was
psychologically damaging and the culture of the black poor was
the culprit, then legislators had no reason to fight economic and
racial inequality. In the fight against both the culture of poverty
thesis and the urban disinvestment it justified, scholars and
activists pointed to the existence of thriving communities in the
midst of poverty. In sociology, Herbert Gans’ (1962) classic
“Urban Villagers“, drawing upon field work he had begun in 1957
among working-class Italian-Americans in Boston’s West End,
argued that emotionally healthy communities could form within
slums. (Ramsden and Smith, 2017, pp 15–17) Poet Amiri Baraka
and other black cultural nationalists even pointed to Harlem and
the stabilizing presence of the Nation of Islam’s Temple Number
Seven and his own Black Arts Movement’s lifestyle entrepreneurs
as proof that Harlem was not a uniform den of pathology. (Joseph, 2006) Some of these leftist intellectuals and activists
branded any claim that urban ghettos were rife with bad behavior
and
psychological
damage
as
politically
irresponsible
and
potentially “racist.” (Scott, 1997, pp 177–183) Given that Brown’s
account of his own struggle depicted the Second Great Black
Migration’s Southern black transplants as rural rubes who failed
to adapt to Northern urban life, critics assailed his work with the
same vitriol they later reserved for the Moynihan report and, the
next year, anthropologist Oscar Lewis’s characterization of the
badly behaved and seemingly irredeemable Boricuan denizens of
San Juan’s barrios and Manhattan’s slums in “La Vida: A Puerto
Rican Family in the Culture of Poverty“ (Tochterman, 2017, pp
123–124; Briggs, 2002, p 178). “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land He found steady work, graduated night
school, played jazz piano, read books, listened to poetry readings,
and began to interact with other young people who understood
interiority in the same modern psychological terms he had picked
up at Wiltwyck. He felt that he had adapted to downtown life so )
Brown’s critics and other radical intellectuals vehemently
attacked the proposition that poverty was a psychologically
damaging culture rather than an economic condition, arguing
that the concept could be used to justify political inaction in the
battles against poverty and racial injustice. In the aftermath of the
1965 Watts Rebellion, policymakers both in California and in
Pres. Lyndon B. Johnson’s administration framed this urban
uprising as a symptom of family instability and psychological
decline in black ghettos, citing the Moynihan report and similar
works as support (Herman, 1995, pp 206–207; Scott, 1997, pp
156–159) Psychologist William Ryan (1971) argued that the
official reliance on facile cultural and psychological explanations
for the rioting in Los Angeles “blamed the victims” and depoli-
ticized
the
riots,
ignoring
the
Watts
residents’
legitimate 7 7 PALGRAVE COMMUNICATIONS| (2018) 4:11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x grievances against police brutality, housing discrimination, and
inadequate social services. Ryan recognized that if slum-life was
psychologically damaging and the culture of the black poor was
the culprit, then legislators had no reason to fight economic and
racial inequality. In the fight against both the culture of poverty
thesis and the urban disinvestment it justified, scholars and
activists pointed to the existence of thriving communities in the
midst of poverty. In sociology, Herbert Gans’ (1962) classic
“Urban Villagers“, drawing upon field work he had begun in 1957
among working-class Italian-Americans in Boston’s West End,
argued that emotionally healthy communities could form within
slums. (Ramsden and Smith, 2017, pp 15–17) Poet Amiri Baraka
and other black cultural nationalists even pointed to Harlem and
the stabilizing presence of the Nation of Islam’s Temple Number
Seven and his own Black Arts Movement’s lifestyle entrepreneurs
as proof that Harlem was not a uniform den of pathology. | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land Nevertheless, some of the racial liberals who supported the
theory that slum culture was deficient and psychologically
harmful did not write off Harlem’s ghetto denizens as ther-
apeutically hopeless. They held out hope that psychiatry still held
the key to break the cycle of poverty and enable some Harlemites
to live emotionally healthy lives even in the midst of poverty. From 1960 to 1967, Wiltwyck psychiatrist Salvador Minuchin and
his colleagues relied upon the new modality of family therapy to
help recovering delinquents maintain their therapeutic gains in
aftercare. (Weinstein, 2013) In “Families of the Slums”, Minuchin
(1967) argued that it was possible to change a slum family’s
dysfunctional family dynamics so that a poor family’s home could
become an environment capable of sustaining healthy personal-
ities. “Families of the Slum” made it clear that the old liberal
vision of expanding productive power within Harlem’s African
American neighborhoods could still be realized, one individual
family at a time. While Brown’s critics were correct in their assertion that he
never addressed the racism and socioeconomic forces that had
made Harlem a “slum ghetto” the way that Baldwin or Tucker
had, Brown did not simply blame his parents and their generation
for Harlem’s status as slum. Instead, he tried to convey that rural
Southern transplants had arrived in a Harlem that was already
unable to support their psychological health and successful citi-
zenship. In “Manchild”, Harlem appears as less a promised land
than it does a wasteland, “… a dirty, stinky, uncared-for closet-
size section of a great city” (Brown, 1965, p 8). Brown presents the
Central Harlem in which he grew up in an almost nondescript
fashion. It appears as little more than a ruinous void in which the
family and friends of his youth play out their unmoored exis-
tence. Reviewers including Goodman, Podhoretz, and Hentoff
interpreted the author’s relative inattention to the Harlem
environment as a function of the text’s apparent message that
individuals, culture, and psychology, not social forces or cir-
cumstances, had produced the slum’s problems (Rotella, 1998). Consequently, Podhoretz was caught off-guard when, in the
midst of their exchange on public television, Brown indicated that
Harlem--rather than the population that dwelled there--was
beyond saving. Given Brown’s use of psychological jargon and his
criticisms of the habits, affect, and attitudes of the people in
“Manchild”, readers such as Podhoretz expected to write-off
Harlem’s residents, not Harlem itself. Brown: Yes, to burn Harlem to the ground and rebuild it. Brown: Yes, to burn Harlem to the ground and rebuild it. Podhoretz: Well not really burn it. But bulldoze it or rebuild
it. Brown: Just demolish it. Whichever you prefer. (Podhoretz,
Brown, 1965) In some sense, through gentrification and the rise of the prison
complex, America has made it desirable for the state to place
black people—especially those in poverty or with mental illness—
in spaces even less desirable than Harlem. Even after the Fair
Housing Act of 1968 banning racial discrimination in housing,
living space in the US remains segregated by race in the 21st
Century. In the 2010s, people of color have become even likelier
to occupy disinvested communities with high concentrations of
poverty than in 1965 (Lipsitz, 2011). But, oddly enough, the
location of those predominantly poor black spaces has changed. Through gentrification, Harlem’s black denizens have been by
displaced by a whiter, wealthier population—leading to increased
homelessness and concentrations of black poverty and mental
illness in housing projects within New York’s outer boroughs. Owing to racial profiling, deinstitutionalization, and draconian
drug laws, prisons in the post-civil rights era contain a dis-
proportionate share of mentally ill African Americans. Neither
the housing project nor the prison is the kind of environment
Brown would have considered conducive to the mode of self-
regulating selfhood he was trying to live (Metzl, 2009; Alexander,
2010). As both this exchange and his own “Manchild in the Promised
Land” demonstrate, Brown was just as interested in Harlem’s
reclamation as the racial liberals of the Special Harlem Child
Guidance Service Unit, the Harlem Project, and the Wiltwyck
School for Boys. Unlike them however, Brown conceived of
Harlem’s reclamation as something entirely separate from the
reclamation of the individual Harlemites who inhabited it. In
answer to juvenile delinquency in Harlem, liberal psychiatrists,
judges, educators, and other health professionals forged ther-
apeutic solutions designed to alter individual African Americans
and ultimately change the social landscape of Harlem. y
g
p
To Brown, Harlem and other predominantly black urban
spaces were not environments that could be expected to support
the material needs of those undergoing therapeutic transforma-
tions. He recognized that the psychologically health mode of
selfhood that he wanted for himself and that racial liberals wanted
for Harlem’s troubled black youth could only be forged in living
spaces that offered good jobs, services, social capital, and sup-
portive institutions. “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land Yet unlike other authors
in the urban pathology vein, Baldwin did not claim that flaws
within black culture were to blame for the damage Harlem had
caused the human psyche. Instead, Baldwin consistently recog-
nized predominantly black slums and the mental health risks they
carried as the product of years of racial discrimination in housing,
employment, law enforcement, health, and education. In contrast p
p
Consequently, Podhoretz was caught off-guard when, in the
midst of their exchange on public television, Brown indicated that
Harlem--rather than the population that dwelled there--was
beyond saving. Given Brown’s use of psychological jargon and his
criticisms of the habits, affect, and attitudes of the people in
“Manchild”, readers such as Podhoretz expected to write-off
Harlem’s residents, not Harlem itself. Yet, when read in light of
Brown’s conversation with Podhoretz, the memoir reveals
Brown’s understanding of Harlem as a space. Because Brown
offered very little description in the way of what his neighbor-
hood in Harlem even looked like or what resources or amenities it
possessed, it is difficult for readers to determine what it lacked. Yet once Brown narrates his escape into Greenwich Village and
actively presents what it had to offer him, it becomes clear that PALGRAVE COMMUNICATIONS| (2018) 4:11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms 8 ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x solutions to complex problems such as crime could be effective
without serious efforts to either remake the spaces where crime
took place or to permanently resettle recovering delinquents in
stable, adequately resourced living spaces. Their faith in human
will flew in the face of what Brown had learned about the self’s
contingent nature. As Brown and even some of his leftist critics
understood, America’s system of segregated living spaces had to
end before the social problems that system generated could be
adequately addressed. Harlem
lacked
jobs,
legal
opportunities
for
advancement,
affordable amenities, social capital, services, and furnished living
spaces. In that downtown environment he found material support
for the kind of selfhood he had been looking to cultivate since his
encounters with Papanek and Wiltwyck. In his estimation, Har-
lem was not equipped to help him to do that. And like Baldwin
and Tucker, he did not think it ever could. Consequently, it was
not worth retaining. Harlem was better off burnt to the ground. “Why the Ghetto Must Go”: manchild in a post-apocalyptic
promised land q
y
In 1968 the Urban League’s Sterling Tucker advocated that
most racial inequalities and even individual health disparities in
places such as Harlem could be solved by radical integrationism
in housing. Where an individual lived in postwar America
determined what sort of person he or she could become. Health,
economic success, social stability and security came to those
citizens with ready access to the most optimal resources. Increasingly, predominantly black urban spaces lacked those
resources. Tucker advocated that government end racial segre-
gation in housing and give African Americans of all income levels
the freedom to live anywhere they wanted. According to Tucker,
if the US was to become a place where more than just “a few
Claude Browns touch a star,” then: “What America must do is
make it desirable for black people to be elsewhere” than Harlem
(Tucker, 1968, p 5, p 26). Brown: Yes, to burn Harlem to the ground and rebuild it. Brown and others like him could not be
expected to change in Harlem unless Harlem changed first. Brown and other progressive black thinkers recognized that tar-
geted social reforms would not fix Harlem or reduce the racial
slippage in productive power’s expansion. A ghetto was an
inherently flawed space—the product of racial segregation, dis-
crimination and neglect. It could not be salvaged and reformed
into the kind of place where psychotherapy could work wonders
with troubled youth. For Brown, a far more human solution was
the outright destruction of segregated living spaces and their
replacement with something far healthier and more supportive of
individual emotional health. )
As Harlem began to transform into a white professional
commuter neighborhood in the early 2000s, journalist Sharifa
Rhodes-Pitts (2011) learned firsthand that Harlem in the era of
neoliberal redevelopment had become increasingly unable to
meet the needs of the most vulnerable. Living in Harlem between
2002 and 2008, Rhodes-Pitts noted the rise of overpriced con-
dominiums, trendy eateries, and coffee shops made possible by
neoliberal tax incentives, subsidies, and other enticements that
came at the expense of reduced government expenditures for
health, social services, housing, and education. Within one of the
hip new cafes, Rhodes-Pitts overheard a conversation between a
recent white resident and his equally white and upwardly mobile
guest. Awestruck by the gentrification, the guest said: “This is
fabulous…Really you have to do something to get the word out. There need to be more people up here” (Rhodes-Pitts, 2011). By
“people” the man meant the kind of allegedly self-managed citi-
zens that 1940s’ racial liberals hoped would proliferate in Harlem. Only the speaker’s ‘people’ were not Harlem’s native sons and
daughters, they were privileged outsiders whose mode of selfhood
required minimal social support from Harlem. These were mostly
white individuals who had enough inherited wealth and social Brown seemed to grasp that liberal attempts to rehabilitate
troubled African Americans were weakened by the absence of
efforts to “rebuild” Harlem. The program directors of the
SHCGSU, the Harlem Project, and Wiltwyck did recognize that
changes in environment aided the therapeutic process; otherwise
they would not have tried turning schools into community cen-
ters, sending youth offenders to the mountains, or conducting
therapy with delinquents’ families. Yet they only identified the
family as the environment in need of alterations. | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms PALGRAVE COMMUNICATIONS| (2018) 4:11 Conclusion In their televised 1965 conversation, Norman Podhoretz pressed
Claude Brown further about what he meant when he suggested
that burning Harlem and other ghettos would be “pretty nice”: Brown: It would be a great idea. Podhoretz: To burn Harlem to the ground? Brown: Yes, to burn Harlem to the ground and rebuild it. Such programs
were stymied by a liberal confidence that individual therapeutic PALGRAVE COMMUNICATIONS| (2018) 4:11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms 9 ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x capital that they were able to work, network, invest, exercise, see a
therapist, fill their prescriptions, and educate their children all
outside of Harlem. Harlem could not adequately provide those
things for black residents in Brown’s lifetime. By the 2000s local
government still did not adequately meet those needs, precisely
because the new white residents were advantaged enough to have
those needs met elsewhere. They just needed Harlem to provide
luxurious spaces where they could eat and sleep. And as Amer-
ican policymakers increasingly seem incapable of responding to
complex racial disparities with anything more than neoliberal
solutions that expect individuals to change themselves without
altering their circumstances, the US will continue to remain the
sort of place where only “a few Claude Browns touch a star.” Doroshow D (2016) Residential treatment and the invention of the emotionally
disturbed child in twentieth-century America. Bull Hist Med 90(1):92–123 Doyle D (2015) Black celebrities, selfhood, and psychiatry in the civil rights era: the
wiltwyck school for boys and the floyd patterson house. Social Hist Med
58:330–350 Doyle D (2016) Psychiatry and Racial Liberalism in Harlem, 1936-1968. University
of Rochester Press, Rochester Dwyer E (2005) Psychiatry and race during world war II. J Hist Med Allied Sci
61:117–143 Foucault M (1977) Discipline and punish: the birth of the prison. Pantheon, New
York Foucault M (2003) Abnormal: lectures at the college de France, 1974-1975. Picador,
New York Gans H (1962) The urban villagers: group and class in the life of Italian Americans. Free Press, New York Garcia J (2012) Psychology comes to Harlem: rethinking the race question in
twentieth-century America. Johns Hopkins University Press, Baltimore Garcia J (2012) Psychology comes to Harlem: rethinking the race question in
twentieth century America Johns Hopkins University Press Baltimore Received: 1 November 2017 Accepted: 15 January 2018 Gordon C (1991) Governmental rationality: an introduction. In: Burchell G,
Gordon C, Miller P (ed) The Foucault effect: studies in governmentality. University of Chicago Press, Chicago University of Chicago Press, Chicago
Hacking I (2002) Historical ontology. Harvard University Press, Cambridge y
g
g
Hacking I (2002) Historical ontology. Harvard University Press, Cambridge Hacking I (2002) Historical ontology. References
k l
( Morris R (2008) The Miner’s ear. Transition 98:96–115 Ackerly S (1973) Interview with Viola W. Bernard. Columbia University, Health
Sciences Library, Archives and Special Collections, Viola W. Bernard Papers,
New York. (Hereafter VWB) Muhammad K (2010) The condemnation of blackness: race, crime, and the making
of modern urban America. University of Harvard Press, Cambridge Minuchin S (1967) Families of the slums: an exploration of their structure and
treatment. Basic, New York Alexander M (2010) The New Jim Crow: mass incarceration in the age of color-
blindness. New Press, New York Papanek E (1951) Report of the executive director to the board of directors: Sep-
tember 1949 to June 1951. VWB. Baldwin J (1962) Nobody knows my name: more notes of a native son. Delta, New
York Podhoretz N, Brown C (1965) Nobody wants to hear that nonsense in Harlem. New Repub 153:20 Baldwin J (1963) The fire next time. Vintage, New York Baldwin J (1985) The price of the ticket: collected nonfiction, 1948-1985. St. Martin’s, New York p
Polier J (1940) Letter to Hon. James Marshall. Radcliffe Institute for Advanced
Study Schlesinger Library Justine Wise Polier Papers Cambridge Polier J (1940) Letter to Hon. James Marshall. Radcliffe Institute for Advanced Polier J (1940) Letter to Hon. James Marshall. Radcliffe Institute for A
Study, Schlesinger Library, Justine Wise Polier Papers, Cambridge Polier J (1940) Letter to Hon. James Marshall. Radcliffe Institute for Ad
Study, Schlesinger Library, Justine Wise Polier Papers, Cambridge Study, Schlesinger Library, Justine Wise Polier Papers, Cambridge Bernard V (1942) Speech written for conference on October 8 1942. Health Sci-
ences Library, Columbia University Ramsden E, Smith M (2017) Remembering the West End: social science, mental
health and the American urban environment 1939 1968 Urban History Ramsden E, Smith M (2017) Remembering the West End: social science, mental
health and the American urban environment, 1939-1968. Urban History
1–22. https://doi.org/10.1017/S0963926817000025 Bernard V (1998) Some applications of psychoanalysis to social issues. Psychoanal
Rev 85:139–170 Raz M (2013) What’s Wrong with the Poor? psychiatry, race, and the war on
Poverty. University of North Carolina, Chapel Hill Bernstein N (2001) The lost children of wilder: the epic struggle to change foster
care. Vintage, New York y
y
Rhodes-Pitts S (2011) Harlem is nowhere: a journey to the Mecca of Black
America. Little, Brown, New New York g
Board of Education of the City of New York. Notes Kelley R (2009) Thelonious monk: the life and times of an Ame
Press, New York
Kirkpatrick W (1990) Interview with Viola W. Bernard. VWB Press, New York
Kirkpatrick W (1990) Interview with Viola W. Bernard. VWB. Lipsitz G (2011) How racism takes place. Temple University Press, Philadelphia Lipsitz G (2011) How racism takes place. Temple University Markowitz G, Rosner D (2000) Children, race, and power: Kenneth and Mamie
Clark’s northside center. Routledge, New York Martin D (2013) On the corner: African American intellectuals and the urban
crisis. Harvard University Press, Cambridge, 2013 y
g
Mendes G (2015) Under the strain of color: Harlem’s Lafargue clinic and the
promise of an antiracist psychiatry. Cornell University Press, Ithaca Project, (Doyle, 2016, pp 68–69, p 86) Project, (Doyle, 2016, pp 68–69, p 86) Metzl J (2009) The protest psychosis: how schizophrenia became a black disease. Beacon, Boston Brown: Yes, to burn Harlem to the ground and rebuild it. Harvard Univers Harlem Project Research Committee (1949) The role of the school in preventing
and correcting maladjustment and delinquency: a study in three schools. New
York Foundation, New York Notes Herman E (1995) The romance of American psychology: political culture in the age
of experts. University of California Press, Berkeley 1 Here I am using the term productive in the sense intended by the late French
intellectual Michel Foucault (2003, p 21, pp 48–52) and (1977, pp 20–24, pp 25–30; p
296, pp 298–303, p 305). Ably summarized here by Judith Butler (1993, p 22), this
productive or “regulatory power produces the subjects it controls, that power is not
imposed externally, but works as the regulatory and normative means by which
subjects are formed.” In a similar vein, on the role of modern families as decentralized
agents of both the modern liberal state and the diffuse sort of state power achieved
through individual self-management, see Donzelot (1979, pp 94–95) and Gordon
(1991). 1 Here I am using the term productive in the sense intended by the late French
intellectual Michel Foucault (2003, p 21, pp 48–52) and (1977, pp 20–24, pp 25–30; p
296, pp 298–303, p 305). Ably summarized here by Judith Butler (1993, p 22), this
productive or “regulatory power produces the subjects it controls, that power is not
imposed externally, but works as the regulatory and normative means by which
subjects are formed.” In a similar vein, on the role of modern families as decentralized
agents of both the modern liberal state and the diffuse sort of state power achieved
through individual self-management, see Donzelot (1979, pp 94–95) and Gordon
(1991). of experts. University of California Press, Berkeley Herman E (2008) Kinship by design: a history of adoption in the modern United
States. University of Chicago Press, Chicago Hicks C (2010) Talk with you like a woman: African American women, justice, and
reform in New York, 1890-1935. University of North Carolina Press, Chapel
Hill Horn M (1989) Before it’s too late: the child guidance movement in the United
States, 1922-1945. Temple University Press, Philadelphia Jacobs J (1961) The death and life of great American cities. Vintage, New York Jones K (1999) Taming the troublesome child: American families, child guidance, 2 Viola W. Bernard was no ordinary psychiatric resident. A 1936 graduate of Cornell
Medical College, Bernard had been a longtime friend of two vital HSCGSU
administrators, Justine Wise Polier and psychiatrist Marion E. Kenworthy, one of the
child guidance movement’s founders. Their friend Bernard had already completed her
first psychiatric residency at Westchester’s Grasslands Hospital in 1938. Notes She undertook
a second residency at the New York State Psychiatric Institute in 1939 at the same time
she had been accepted for training at the prestigious and exclusive New York
Psychoanalytic Institute. In 1940, Max Winsor hired Bernard to serve as a part-time
psychiatrist for the HSCGSU, convincing the American Board of Neurology and
Psychiatry to accept her two years of part-time clinical work as the equivalent of a
third-year of residency. In early 1942, Bernard, Winsor, and Polier joined the
CWCCH. Bernard served on committees that Winsor and Polier headed,
demonstrating alignment with their progressive racial politics. Shortly thereafter,
Winsor gave Bernard the opportunity to shepherd the short-lived Joint Kindergarten 2 Viola W. Bernard was no ordinary psychiatric resident. A 1936 graduate of Cornell
Medical College, Bernard had been a longtime friend of two vital HSCGSU
administrators, Justine Wise Polier and psychiatrist Marion E. Kenworthy, one of the
child guidance movement’s founders. Their friend Bernard had already completed her
first psychiatric residency at Westchester’s Grasslands Hospital in 1938. She undertook
a second residency at the New York State Psychiatric Institute in 1939 at the same time
she had been accepted for training at the prestigious and exclusive New York
Psychoanalytic Institute. In 1940, Max Winsor hired Bernard to serve as a part-time
psychiatrist for the HSCGSU, convincing the American Board of Neurology and
Psychiatry to accept her two years of part-time clinical work as the equivalent of a
third-year of residency. In early 1942, Bernard, Winsor, and Polier joined the
CWCCH. Bernard served on committees that Winsor and Polier headed,
demonstrating alignment with their progressive racial politics. Shortly thereafter,
Winsor gave Bernard the opportunity to shepherd the short-lived Joint Kindergarten Jones K (1999) Taming the troublesome child: American families, child guidance,
and the limits of psychiatric authority. Harvard University Press, Cambridge
Joseph P (2006) Waiting ‘til the midnight hour: a narrative history of black power
in America. Henry Holt, New York Joseph P (2006) Waiting til the midnight hour: a narrative history of black power
in America. Henry Holt, New York Karolides N, Bald M, Sova D (1999) 100 banned books: censorship histories of
world literature. Checkmark, New York Kelley R (2009) Thelonious monk: the life and times of an American original. Free
Press, New York
Kirkpatrick W (1990) Interview with Viola W. Bernard. VWB. | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms Reprints and permission information is available online at http://www.nature.com/
reprints Stoler A (2009) Along the Archival Grain: Epistemic Anxieties and Colonial
Common Sense. Princeton University Press, Princeton Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Summers M (2014) Diagnosing the ailments of black citizenship: african american
physicians and the politics of mental illness, 1895-1940. In: Green L,
McKiernan–Gonzalez J, Summers M (eds) Precarious prescriptions: con-
tested histories of race and health in North America. University of Minnesota
Press, Minneapolis p
Tochterman B (2017) The dying city: postwar New York and the ideology of fear. University of North Carolina Press, Chapel Hill Open Access This article is licensed under a Creative Commons
Attribution 4.0 International License, which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative
Commons license, and indicate if changes were made. The images or other third party
material in this article are included in the article’s Creative Commons license, unless
indicated otherwise in a credit line to the material. If material is not included in the
article’s Creative Commons license and your intended use is not permitted by statutory
regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder. To view a copy of this license, visit http://creativecommons.org/
licenses/by/4.0/. Tucker S (1968) Why the Ghetto must go, pamphlet, Public Affairs Committee,
New York Ward G (2012) The black child-savers: racial democracy and juvenile justice. University of Chicago Press, Chicago Weinstein D (2013) The pathological family: postwar America and the rise of
family therapy. Cornell University Press, Ithaca Wittenberg R (1944) Rethinking the clinic function in a public school setting. Am J
Orthopsychiatry 14:725 References
k l
( (1947–1948) Extended school services
through the all-day neighborhood schools. Curric Bull 2:1–81 through the all-day neighborhood schools. Curric Bull 2:1–81 Brandt N (1996) Harlem at war: The black experience in WW II. Syracuse Uni-
versity Press, New York q
y
Rotella C (1998) October cities: the redevelopment of urban literature. University
Press, Berkeley Briggs L (2002) Reproducing empire: race, sex, science, and U.S. Imperialism in
Puerto Rico. University of California Press, Berkeley y
Ryan W (1971) Blaming the victim. Vintage, New York y
y
Brown C (1965) Manchild in the promised land. MacMillan, New York Scott D (1997) Contempt and pity: social policy and the image of the damaged
blackpsyche, 1880-1996. University of North Carolina Press, Chapel Hill Butler J (1993) Bodies that matter: on the discursive limits of sex. Routledge, New
York Smith M (2016) A fine balance: individualism, society, and the prevention of
mental illness in the United States, 1945-1968. Palgrave Commun 2:1–13 Donzelot J (1979) The policing of families. Random House, New York | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms PALGRAVE COMMUNICATIONS| (2018) 4:11 10 ARTICLE PALGRAVE COMMUNICATIONS | DOI: 10.1057/s41599-018-0068-x Competing interests: The authors declare no competing financial interests. Stearns P (2004) Anxious parents: a history of modern childrearing in America. New York University Press, New York Reprints and permission information is available online at http://www.nature.com/
reprints Additional information Staub M (2011) Madness is civilization: when the diagnosis was social, 1948-1980. University of Chicago Press, Chicago Staub M (2011) Madness is civilization: when the diagnosis was social, 1948-1980. University of Chicago Press, Chicago Competing interests: The authors declare no competing financial interests. Data availability
ll d
d © The Author(s) 2018 y
All data generated or analyzed during this study are included in this published article. © The Author(s) 2018 All data generated or analyzed during this study are included in this published article. PALGRAVE COMMUNICATIONS| (2018) 4:11 11 | DOI: 10.1057/s41599-018-0068-x| www.nature.com/palcomms
|
https://openalex.org/W4391576616
|
https://www.imrpress.com/journal/RCM/25/2/10.31083/j.rcm2502060/pdf
|
English
| null |
Antithrombotic Therapy Following Structural Heart Disease Interventions: Current Status and Future Directions
|
Reviews in cardiovascular medicine
| 2,024
|
cc-by
| 14,463
|
1. Introduction apy is determined based on several factors, including the
type of intervention, individual patient characteristics, and
the presence of other indications for anticoagulation or an-
tiplatelet therapy. The primary goals of antithrombotic ther-
apy in these cases are to prevent thrombus formation, min-
imize the risk of embolism or thrombus-related complica-
tions, and ensure optimal long-term outcomes. Mostly, an-
tiplatelets [Aspirin (ASA) and/or Clopidogrel], indirect an-
ticoagulants (e.g., Vitamin K antagonists) or direct oral an-
ticoagulants (DOACs) are used. Catheter-based interventional cardiology procedures
for structural heart disease have experienced remarkable
evolution in recent decades, transforming the management
of complex cardiovascular diseases. Nowadays these inter-
ventions are considered first-line treatment methods, pro-
viding alternatives to traditional open-heart surgeries, and
enabling quicker recovery for patients. Catheter based interventions have been progressed
for the management of valvular conditions, including tran-
scatheter aortic valve implantation (TAVI) for the manage-
ment of severe aortic stenosis (SAS), transcatheter edge to
edge repair (TEER) for the management of severe mitral
(MR) and tricuspid regurgitation (TR). Catheter-based in-
terventions have also been developed for other structural
heart conditions. Closure devices are used to seal patent
foramen ovale (PFO), atrial septal defects (ASDs) or ven-
tricular septal defects (VSDs). Additionally, left atrial ap-
pendage (LAA) occlusion procedures have been developed
to reduce the risk of stroke in patients with atrial fibrilla-
tion (AF) who are unable to tolerate or to whom long-term
anticoagulation is contraindicated [1]. The purpose of this article is to review the current ev-
idence on antithrombotic therapies for structural heart dis-
ease interventions and highlight the importance of a person-
alized approach in each patient. Abstract Interventions in structural heart disease cover many catheter-based procedures for congenital and acquired conditions including valvular
diseases, septal defects, arterial or venous obstructions, and fistulas. Among the available procedures, the most common are aortic
valve implantation, mitral or tricuspid valve repair/implantation, left atrial appendage occlusion, and patent foramen ovale closure. Antithrombotic therapy for transcatheter structural heart disease interventions aims to prevent thromboembolic events and reduce the
risk of short-term and long-term complications. The specific approach to antithrombotic therapy depends on the type of intervention and
individual patient factors. In this review, we synopsize contemporary evidence on antithrombotic therapies for structural heart disease
interventions and highlight the importance of a personalized approach. These recommendations may evolve over time as new evidence
emerges and clinical guidelines are updated. Therefore, it’s crucial for healthcare professionals to stay updated on the most recent
guidelines and individualize therapy based on patient-specific factors and procedural considerations. Keywords: antiplatelets; antithrombotics; ASD; atrial appendage; atrial fibrillation; LAA; mitral valve; TAVI; transcatheter aortic valve
implantation; TEER; TMVR; patent foramen ovale Antithrombotic Therapy Following Structural Heart Disease
Interventions: Current Status and Future Directions 1Cardiology Department, Nicosia General Hospital, 2029 Nicosia, Cyprus
2Cardiology Department, Limassol General Hospital, 3304 Nicosia, Cyprus
3Department of Internal Medicine, Cardiology Clinic, Kantonsspital Baden, 5404 Baden, Switzerland
*Correspondence: andymits7@gmail.com (Andreas Mitsis)
Academic Editor: Udaya S. Tantry
Submitted: 8 October 2023
Revised: 25 November 2023
Accepted: 7 December 2023
Published: 5 February 2024 1Cardiology Department, Nicosia General Hospital, 2029 Nicosia, Cyprus
2Cardiology Department, Limassol General Hospital, 3304 Nicosia, Cyprus
3Department of Internal Medicine, Cardiology Clinic, Kantonsspital Baden, 5404 Baden, Switzerland
*Correspondence: andymits7@gmail.com (Andreas Mitsis)
Academic Editor: Udaya S. Tantry
Submitted: 8 October 2023
Revised: 25 November 2023
Accepted: 7 December 2023
Published: 5 February 2024 Copyright: © 2024 The Author(s). Published by IMR Press.
This is an open access article under the CC BY 4.0 license.
Publisher’s Note: IMR Press stays neutral with regard to jurisdictional claims in published maps and institutional affiliations. Rev. Cardiovasc. Med. 2024; 25(2)
https://doi.org/10.31083/j.rcm25020
Review
Antithrombotic Therapy Following Structural Heart Disease
Interventions: Current Status and Future Directions
Andreas Mitsis1,*, Michaela Kyriakou1, Evi Christodoulou2, Stefanos Sakellaropoulos3,
Panayiotis Avraamides1 Rev. Cardiovasc. Med. 2024; 25(2): 60
https://doi.org/10.31083/j.rcm2502060 MR Press stays neutral with regard to jurisdictional claims in published maps and institutional affiliations. 2.2 Transcatheter Aortic Valve Implantation TAVI has revolutionized the treatment of SAS and has
expanded treatment options to patients who are at high sur-
gical risk or deemed inoperable to even intermediate and
lower risk patients [6,7]. Despite this advancement, the
challenges posed by ischemic and embolic post-procedural
related complications, as well as hemorrhagic events, con-
tinue to be crucial factors and associated with mortality. Within this context, the most effective antithrombotic regi-
men following a successful TAVI lacks clarity. Despite sev-
eral randomized trials (Table 1) many recommendations are
still based on expert opinion. Most of the thrombotic events post TAVI occurs dur-
ing the first 48–72 h after valve implantation and are likely
related to acute embolization of fibro-calcific valve mate-
rial or catheter manipulation damaging aortic wall. Later
ischemic events may be linked to thrombosis of the pros-
thesis surface or to unrecognized/new onset of atrial fibrilla-
tion [8]. Of note, anatomopathological analyses support the
3 months antithrombotic strategy. A recent study showed
that neointimal tissue infiltration and full endothelialisation
of the valve stent frame occur approximately 3 months af-
ter the procedure, with a decrease in thromboembolic events
thereafter [9]. Fig. 1. Illustration of virchow’s triad in device-related throm-
bosis. The figure depicts the three key factors—endothelial in-
jury, altered blood flow, and hypercoagulability—comprising Vir-
chow’s Triad, contributing to thrombosis formation on the device
surface. During cardiac interventions, the introduction and de-
ployment of devices can cause endothelial injury. The dis-
ruption of the normal vascular architecture triggers a cas-
cade of events, promoting local inflammatory response and
leading to platelet adhesion and activation, providing a sub-
strate for thrombus formation [3]. The dedicated antithrombotic therapy post-TAVI has
been evolved over the years. During early days of TAVI, a
common approach was to initiate dual antiplatelet therapy
(DAPT) with aspirin and clopidogrel for a limited duration
following the intervention. The duration of DAPT typically
ranged from 3 to 6 months, although it could be extended
in certain cases based on individual patient characteristics
and procedural factors. Many studies have been designed
to test this DAPT antithrombotic strategy. Ussia et al. [10],
showed that the strategy of adding clopidogrel to aspirin for
3 months after TAVI was not found to be superior to single
antiplatelet therapy (SAPT) with aspirin alone. 2.1 Mechanism of Device Thrombosis Implantable cardiac devices for the treatment of struc-
tural heart disease are made of various materials, and their
introduction into the cardiovascular system can trigger a
cascade of events that may lead to thrombus formation. The
mechanisms of device thrombosis in cardiac structural heart
disease interventions can be multifactorial and include sev-
eral factors but this process always follows the classical
concept of the Virchow’s Triad; endothelial injury, stasis
or altered blood flow, hypercoagulability [2] (Fig. 1). The evolution of catheter-based interventional car-
diology procedures for structural heart disease has been
driven by advancements in technology, imaging modalities,
and procedural techniques. Following a structural heart
disease intervention, the necessity of antithrombotic ther- Fig. 1. Illustration of virchow’s triad in device-related throm-
bosis. The figure depicts the three key factors—endothelial in-
jury, altered blood flow, and hypercoagulability—comprising Vir-
chow’s Triad, contributing to thrombosis formation on the device
surface. positioning, or incomplete expansion of the device can cre-
ate areas where blood flow is disturbed, increasing the risk
of thrombosis [5]. 2.2 Transcatheter Aortic Valve Implantation The figure illustrates the
stepwise process by which contact activation occurs on the artificial surface, ultimately resulting in thrombosis of the device. The ARTE (Aspirin Versus Aspirin + Clopidogrel Fol-
lowing Transcatheter Aortic Valve Implantation) trial, a
study involving 222 patients, aimed to compare the out-
comes of aspirin plus clopidogrel versus aspirin alone fol-
lowing the TAVI procedure in patients receiving balloon-
expandable valves. The composite of death, myocardial
infarction (MI), stroke, transient ischemic attack, or ma-
jor or life-threatening bleeding showed a tendency to occur
more frequently in the DAPT group (15.3% vs. 7.2%, p =
0.065). However, there were no significant differences be-
tween the groups in terms of death (DAPT, 6.3%; Single
Antiplatelet Therapy (SAPT), 3.6%; p = 0.37), MI (DAPT,
3.6%; SAPT, 0.9%; p = 0.18), or stroke/transient ischemic
attack (DAPT, 2.7%; SAPT, 0.9%; p = 0.31) at 3 months. The DAPT group exhibited a higher incidence of major or
life-threatening bleeding events (10.8% vs. 3.6% in the
SAPT group, p = 0.038). Single antiplatelet therapy was
associated with a reduced risk of major or life-threatening
bleeding events without an increased risk of MI or stroke
[12]. clopidogrel for a duration of 3 months, followed by aspirin
alone. The study findings revealed that aspirin monother-
apy was associated with a notable reduction in the occur-
rence of bleeding events, including major, life-threatening,
or disabling bleeding incidents (p = 0.001). While aspirin
alone demonstrated noninferiority compared to the combi-
nation of aspirin and clopidogrel in terms of the composite
outcome, which encompassed thromboembolic events such
as cardiovascular-related mortality, ischemic stroke, or my-
ocardial infarction, it did not exhibit superiority in this re-
gard [13]. Furthermore, the exploration of dual therapy involv-
ing a direct oral anticoagulant (DOAC) in TAVI patients
who did not require oral anticoagulation therapy was ini-
tially undertaken in the GALILEO trial [14]. GALILEO
(Global Study Comparing a Rivaroxaban-based Antithrom-
botic Strategy to an Antiplatelet-based Strategy after Tran-
scatheter Aortic Valve Replacement to Optimize Clinical
Outcomes) trial randomized 1644 patients into two groups:
one receiving dual therapy (comprising rivaroxaban 10 mg
daily and aspirin 75–100 mg daily for the initial 3 months)
and the other receiving aspirin alone at a daily dose of 75
to 100 mg (along with clopidogrel 75 mg daily for the first
3 months). 2.2 Transcatheter Aortic Valve Implantation Similarly,
SAT-TAVI [11] and ARTE [12] studies showed that TAVI
procedures can be performed without DAPT, without any
cost in the morbidity and mortality. Moreover, implantable cardiac devices have a pro-
thrombotic surface that has the potential to trigger the ac-
tivation of the coagulation system through intricate inter-
actions between blood cells and plasma proteins [3]. The
adsorption of proteins onto the surface of medical devices
prompts platelet adhesion, activation, and aggregation [4]. When Factor XII adheres to the surface, it undergoes au-
toactivation, leading to the conversion of prekallikrein to
kallikrein and initiating the processes of coagulation and
thrombin generation. Beyond facilitating fibrin deposition
on the surface, thrombin plays a role in enhancing platelet
activation. The aggregates of platelets deposited on the
surface are further stabilized by fibrin strands, forming a
cohesive platelet–fibrin thrombus [4]. Notably, kallikrein,
thrombin, and other coagulation enzymes activate comple-
ment, thereby inducing a localized inflammatory response
(Fig. 2). The SAT-TAVI (Single Antiplatelet Therapy for Tran-
scatheter Aortic Valve Implantation) trial involved 120 pa-
tients undergoing TAVI, randomly assigned to either the
DAPT group, receiving aspirin and clopidogrel 75 mg/od
or ticlopidine 500 mg/bid, or the Aspirin-Only (ASA)
group. No significant disparities were observed in the
Valve Academic Research Consortium (VARC) combined
30-day safety endpoint, all-cause mortality, and cardiovas-
cular mortality between the two groups. However, at the
30-day mark, the ASA group exhibited a noteworthy reduc-
tion in vascular complications (p < 0.05). No discernible
distinctions in clinical status were noted between the groups
up to the 6-month follow-up period [11]. Finally, changes in blood flow patterns, and shear
stress in the vicinity of the implanted device such as tur-
bulence or stagnation, can promote thrombosis. The intro-
duction of devices can alter the normal hemodynamic of
blood flow, creating areas of stasis or disturbed flow that
enhance the risk of clot formation. This is particularly rel-
evant in areas where the devices are implanted, and blood
flow may become turbulent. Besides, improper sizing, mal- 2 Fig. 2. Schematic representation of contact activation on artificial surface leading to device thrombosis. The figure illustrates the
stepwise process by which contact activation occurs on the artificial surface, ultimately resulting in thrombosis of the device. Fig. 2. Schematic representation of contact activation on artificial surface leading to device thrombosis. 2.2 Transcatheter Aortic Valve Implantation Of note, the trial was prematurely halted due to
safety concerns observed in the dual therapy group. After
a median follow-up duration of 17 months, patients in the
dual therapy group exhibited a higher incidence of the com-
posite outcome of death or the first thromboembolic event
(p = 0.04). Additionally, there was a numerical increase
in major, disabling, or life-threatening bleeding events (p
=0.08) [14]. The POPULAR TAVI (Antiplatelet Therapy for Pa-
tients Undergoing Transcatheter Aortic Valve Implanta-
tion) trial validated the safety of monotherapy compared to
DAPT following TAVI. The occurrence of bleeding and the
combined incidence of bleeding or thromboembolic events
at the one-year mark were notably less frequent with aspirin
alone than with the combination of aspirin and clopidogrel
administered over a three-month period [13]. In the cohort
A of the trial, 665 patients without an indication for long-
term oral anticoagulation (OAC) were randomly assigned
in an open-label manner, to receive either aspirin alone at
a dose of 80–100 mg per day or DAPT with aspirin and 3 Table 1. Summary of Randomized Trials Investigating Antithrombotic Therapy Following Transcatheter Aortic Valve
Implantation, in patients with or without indication to long-term OAC. Study
Year
Participants
Patients
characteristics
Antithrombotic therapy
Clinical outcome
Ussia et al. 2011
79
Patients without
indication to
long-term OAC
3 months DAPT followed by
ASA alone vs. ASA alone
No difference between DAPT vs. ASA at 30 days and 6 months
SAT-TAVI
2014
120
Patients without
indication to
long-term OAC
6 months DAPT vs. ASA
alone
No difference in the VARC com-
bined safety end point at 30 days, no
differences in the clinical status at 6
months
ARTE
2017
222
Patients without
indication to
long-term OAC
3 months DAPT vs. ASA
alone
In the DAPT group, there was a
trend towards a higher incidence of
the composite outcome or major or
life-threatening bleeding
POPULAR TAVI
(Cohort A)
2020
665
Patients without
indication to
long-term OAC
ASA alone vs. 3 months
DAPT
followed
by
ASA
alone
ASA monotherapy was associated
with a reduction in the occurrence of
bleeding events
GALILEO
2020
1644
Patients without
indication to
long-term OAC
Rivaroxaban 10 mg/d (with
ASA for the first 3 months)
vs. 2.2 Transcatheter Aortic Valve Implantation ASA (with Clopido-
grel 75 mg/d for the first 3
months)
Rivaroxaban
group
exhibited
a
higher incidence of the composite
outcome of death or the first throm-
boembolic
event
and
numerical
increase of bleeding events
POPULAR TAVI
(Cohort B)
2020
313
Patients with
indication to
long-term OAC
OAC alone vs. OAC with
Clopidogrel for the first 3
months followed by OAC
alone
OAC monotherapy was associated
with reduced incidence of bleeding
events, without a simultaneous in-
crease in thrombotic events
ATLANTIS (1st
Stratum)
2022
451
Patients with
indication to
long-term OAC
Apixaban vs. vitamin K an-
tagonists
Apixaban was associated with a
higher risk for the composite of
death, any stroke or transient is-
chemic attack
ATLANTIS (2nd
Stratum)
2022
1049
Patients without
indication to
long-term OAC
Apixaban vs. antiplatelet
therapy (ASA or DAPT)
The hazard ratio for apixaban versus
antiplatelet therapy (single or dual)
was 0.88 (95% CI: 0.66–1.17)
ASA, aspirin; DAPT, dual antiplatelet therapy (ASA 75–100 mg/day plus Clopidogrel 75 mg/day); SAT-TAVI, single antiplatelet therapy for
transcatheter aortic valve implantation; OAC, oral anticoagulation; VARC, valve academic research consortium; 95% CI, 95% confidence
interval. ummary of Randomized Trials Investigating Antithrombotic Therapy Following Transcatheter Aortic Valve
Implantation, in patients with or without indication to long-term OAC. ASA, aspirin; DAPT, dual antiplatelet therapy (ASA 75–100 mg/day plus Clopidogrel 75 mg/day); SAT-TAVI, single antiplatelet therapy for
transcatheter aortic valve implantation; OAC, oral anticoagulation; VARC, valve academic research consortium; 95% CI, 95% confidence
interval. The ATLANTIS (Anti-Thrombotic Strategy to Lower
All Cardiovascular and Neurologic Ischemic and Hemor-
rhagic Events after Trans-Aortic Valve Implantation for
Aortic Stenosis trial) – Stratum 2 specifically structured to
establish the superiority of apixaban over the standard of
care (vitamin K antagonists for patients with an established
indication for OAC or antiplatelet therapy for patients with-
out indication for OAC) after TAVI [15]. The trial aimed to
assess the effectiveness and safety of a 5 mg twice-daily
dose of apixaban when compared to the established stan-
dard of care, which involved SAPT/DAPT in patients with-
out indication for OAC. The trial’s findings indicate that
apixaban does not exhibit superiority over standard of care. The primary endpoint, which includes a composite of death,
stroke, myocardial infarction, systemic emboli, intracardiac
or valve thrombosis, and deep vein thrombosis/pulmonary embolism, showed a similar occurrence for apixaban com-
pared to standard of care, a finding that remained consistent
when valve thrombosis was excluded [15]. 2.2 Transcatheter Aortic Valve Implantation dard of care, particularly Vitamin K Antagonists (VKA), in
patients requiring OAC. Nevertheless, the trial’s outcomes
reveal that apixaban does not demonstrate superiority over
VKA. This conclusion is supported by the hazard ratio for
the primary outcome, which was 1.02, and for the primary
safety endpoint, which was 0.91. However, it’s important
to note that non-inferiority was demonstrated in the trial re-
sults. due to an elevated ischemic risk (e.g., recent acute coronary
syndrome, coronary stent implantation, coronary artery by-
pass grafting, peripheral artery revascularization, or stroke)
(Table 2) [19]. After completion of DAPT, the guidelines
suggest continuing with SAPT (aspirin or clopidogrel) for
up to 6 months to 1 year. The choice between aspirin and
clopidogrel depends on individual patient factors, such as
bleeding risk and concomitant indications. For patients with additional indications for OAC (e.g.,
AF, mechanical heart valve), the decision to use antico-
agulation along with antiplatelet therapy should be indi-
vidualized based on the balance between thrombotic and
bleeding risks. Taking under consideration that these pa-
tients are usually old and frail, with an elevated bleeding
risk, monotherapy with OACs seems reasonable, unless in
a coexistent elevated ischemic risk where dual therapy with
OAC and SAPT for a period 1–6 moths seems reasonable
(Table 2). The question surrounding the potential replacement
VKAs with DOACs in patients undergoing TAVI remains
a subject of ongoing debate. DOACs have gained broad
acceptance in patients with nonvalvular AF, as they have
shown noninferiority to VKA in preventing thromboem-
bolic events with specific agents like dabigatran, rivarox-
aban, and edoxaban [20]. A study conducted by Tanawut-
tiwat et al. [21], including a cohort of 21,131 patients with
indications for OAC, drawn from the STS/ACC TVT (Soci-
ety of Thoracic Surgeons/American College of Cardiology
Transcatheter valve therapy) Registry, revealed no signifi-
cant difference in one-year stroke rates (2.51% vs. 2.37%
for DOAC and VKA, respectively; p = 0.980). However, it
showed a lower rate of one-year bleeding events, intracra-
nial hemorrhage, and mortality associated with DOACs in
comparison to VKA [21]. Previous observational studies have undertaken as-
sessments, comparing outcomes between those managed
with OAC alone and those subjected to a regimen combin-
ing OAC with antiplatelet therapy. The findings from these
studies notably support the use of OACs as a standalone
strategy, given its safety profile characterized by lower rates
of bleeding events. 2.2 Transcatheter Aortic Valve Implantation Also, in accordance with a recent systemic meta-
analysis, at the 30-day post- TAVI mark, there were no dis-
cernible differences in outcomes such as all-cause mortality
(7.3% vs. 6%, p = 0.57), cardiovascular mortality (5% vs. 6%, p = 0.76), stroke (p = 0.57), and myocardial infarction
(p = 0.59) between patients receiving DAPT and those re-
ceiving SAPT. However, it’s noteworthy that individuals in
the DAPT group exhibited a notably elevated incidence of
severe and major bleeding events during this 30-day follow-
up period (18% vs. 7%, p = 0.004) [16]. At present, both American and European guidelines,
support the use of single antiplatelet therapy after the in-
tervention [17,18], unless there is another reason for DAPT 4 Table 2. Summary of evidence regarding antithrombotic therapy following Transcatheter Aortic Valve Implantation. Antithrombotic therapy after Transcatheter Aortic Valve Implantation
No Indication for long-term anticoagulation
Indication for anticoagulation
Low ischaemic risk and/or high
bleeding risk patients
High ischaemic risk and/or low
bleeding risk patients
High ischaemic risk and/or low
bleeding risk patients
Low ischaemic risk and/or high
bleeding risk patients
SAPT (ASA or Clopidogrel)
lifelong
DAPT for 1–6 months followed
by SAPT (ASA or Clopidogrel)
lifelong
OAC and SAPT (preferable
Clopidogrel) for 1–6 months
and then OAC lifelong
OAC monotherapy lifelong
Ischemic risk is considered elevated after an acute coronary syndrome, implantation of coronary stent, coronary artery bypass, peripheral
artery disease, or stroke. Bleeding risk is considered elevated in elderly patients, in frailty, after history of GIH, elevated HAS-BLED score,
anemia, thrombocytopenia, renal failure, hemorrhagic stroke etc. ASA, aspirin; DAPT, dual antiplatelet therapy; GIH, gastro-intestinal
hemorrhage; OAC, oral anticoagulation therapy; SAPT, single antiplatelet therapy. Table 2. Summary of evidence regarding antithrombotic therapy following Transcatheter Aortic Valve Im evidence regarding antithrombotic therapy following Transcatheter Aortic Valve Implantation. y y
,
p
y
,
y
y yp
, p
p
artery disease, or stroke. Bleeding risk is considered elevated in elderly patients, in frailty, after history of GIH, elevated HAS-BLED score,
anemia, thrombocytopenia, renal failure, hemorrhagic stroke etc. ASA, aspirin; DAPT, dual antiplatelet therapy; GIH, gastro-intestinal
hemorrhage; OAC, oral anticoagulation therapy; SAPT, single antiplatelet therapy. artery disease, or stroke. Bleeding risk is considered elevated in elderly patients, in frailty, after history of GIH, elevated HAS-BLED score,
anemia, thrombocytopenia, renal failure, hemorrhagic stroke etc. ASA, aspirin; DAPT, dual antiplatelet therapy; GIH, gastro-intestinal
hemorrhage; OAC, oral anticoagulation therapy; SAPT, single antiplatelet therapy. 2.2 Transcatheter Aortic Valve Implantation Furthermore, OAC monotherapy is
demonstrated to be noninferior when compared to the com-
bination of OACs and clopidogrel concerning key clinical
endpoints, including overall mortality, cardiovascular mor-
tality, and ischemic events. In addition, in the combined France-TAVI and France-
2 registries, a total of 8962 patients received OAC ther-
apy following TAVI with 2180 (24%) of them prescribed
DOACs and 6782 (76%) VKAs. After a three-year follow-
up and propensity score matching, the data revealed an in-
crease in mortality rates associated with VKAs compared to
DOACs (VKA vs. DOAC: 35.6% vs. 31.2%; p < 0.005), as
well as in major bleeding events (VKA 12.3% vs. DOAC
8.4%; p < 0.005). However, no notable differences were
observed between the two groups concerning the occur-
rence of ischemic stroke and acute coronary syndrome [22]. In the POPULAR-TAVI trial’s cohort B, a total of 313
TAVI patients who required long-term OAC therapy, were
randomly divided into two groups: one receiving OAC
alone and the other receiving OAC in combination with a
three-month course of clopidogrel. The trial’s findings led
to the conclusion that the administration of OAC in isola-
tion resulted in a diminished occurrence of bleeding events,
and notably, it did so without concomitantly elevating the
incidence of thrombotic events or cardiovascular mortality
[13]. Moreover, a recent comprehensive meta-analysis was
conducted involving 30,388 patients who underwent TAVI
and had AF, with the aim to assess the comparative effi-
cacy of DOACs with VKAs. The analysis did not reveal
a statistically significant difference in stroke incidence be-
tween the DOACs group and the VKAs group. However,
it’s worth noting that the DOACs group displayed a numer- The ATLANTIS trial, specifically designed within
Stratum 1 [15], was structured with the aim of establish-
ing whether apixaban could surpass the conventional stan- 5 gitation (COAPT) trial, standard regimen included aspirin,
81 mg/day, and/or clopidogrel, 75 mg/day, was used for 6
months or longer [27]. ically higher but non-significant number of composite end-
point events when compared to the VKAs group. Never-
theless, the incidence of major bleeding events was lower
in the DOACs group (11.29% vs. 13.89%, p < 0.00001),
as was the rate of all-cause mortality (14.18% vs. 17.61%,
p < 0.00001) compared to the VKAs group. In summary,
these findings suggest that the adoption of DOACs is asso-
ciated with a diminished incidence of major bleeding and
decreased all-cause mortality [23]. 2.3 Transcatheter Edge-to-Edge Repair of Mitral Valve TEER has become an important tool the manage-
ment of severe symptomatic MR and TR in patient with-
out surgical option. Based on the surgical Alfieri technique,
TEER technique uses a clipping device that grasps the valve
leaflets thereby creating a “double orifice” valve area [24]. At present, there are two commercially available devices
with Conformité Européene (CE) Mark; Abbott offers the
MitralClip and the TriClip system for the mitral and tricus-
pid valve respectively. Edwards developed the Pascal de-
vices to treat both valves. The Endovascular Valve Edge-to-
Edge Repair Study (EVEREST) compared TEER with the
MitraClip device to conventional surgery for primary mi-
tral regurgitation, enrolling 279 patients with grade 3+ or
4+ MR, with outcomes demonstrating efficacy and safety
at 12 months [25] and 5-year follow up [26]. The COAPT
trial enrolled patients with symptomatic heart failure and
moderate-to-severe or severe secondary MR, showing that
TEER with the MitraClip device, in addition to medical
therapy, significantly reduced heart failure hospitalizations
and overall mortality compared to medical therapy alone
[27]. 2.2 Transcatheter Aortic Valve Implantation Current practice is to recommend DAPT with ASA
and Clopidogrel for a period of 3 to 6 months, depending
on the individualized bleeding risk of each patient, and then
to continue with ASA lifelong. Of note, these recommen-
dations have not been evaluated in controlled randomized
trials. Consequently, clinicians should consider the unique
characteristics of each patient and assess personalized
bleeding risk when deliberating on the optimal anticoagu-
lation regimen. This individualized approach is essential
for the optimization of patient outcomes in the post-TAVI
setting (Table 2). AF is not uncommon comorbidity in patients with
moderate or severe MR as showed in the large registries
Real World Expanded Multi-center Study of the MitraClip
System (REALISM) [31] and A Two-Phase Observational
Study of the MitraClip System in Europe (ACCESS-EU)
[32] which report coexisting AF in 66.5% and 67.7% of
TEER patients, respectively. A recent multicenter, ob-
servation study, showed that the prevalence of concomi-
tant AF in patients who underwent TEER was more than
75% and the majority of patients received postprocedu-
ral antithrombotic therapy consisting of an oral anticoag-
ulant [33]. Overall, VKAs were used most frequently
compared with DOACs (52.1% vs. 47.9%, respectively). Post-procedurally, in patients with indication for OAC, the
combination of OAC + SAPT was used most frequently
(55.2%), followed by OAC monotherapy (32.6%) and OAC
+ DAPT combination (12.2%). The remaining patients
without an indication for OAC (26.3%) received ASA pre-
procedurally (88.7%) and were predominantly switched to
DAPT with the addition of clopidogrel after TEER (82.5%)
[33]. Current practice for patients with AF and a clear indi-
cation for lifelong OAC is to maintain OAC with VKA and
a target international normalized ratio (INR) 2.5. 2.4 Transcatheter Mitral Valve Replacement Transcatheter mitral valve replacement (TMVR) rep-
resent a new therapeutic opportunity for patients with mi-
tral valve disease and no option for surgical mitral valve
replacement(MVR) or TEER. The last years, new dedi-
cated devices have been presented [34], while new indi-
cations like the treatment of degenerated bio-prostheses
(valve-in-valve [ViV]), failed annuloplasty rings (valve-in-
ring [ViR]), and severe mitral annular calcification (valve-
in-mitral annular calcification [ViMAC]) have been also ap-
peared [35]. Given the absence of specific guidelines, the choice of
antithrombotic therapy after TEER is based on the design
of these landmark trials and individualized on patient char-
acteristics (thromboembolic vs. bleeding risk), procedural
factors, and the presence of other indications for anticoag-
ulation or antiplatelet therapy (Table 3). In general, after a TEER procedure, a common ap-
proach is to use DAPT with aspirin and clopidogrel for a
limited duration. The duration of DAPT may vary, but it is
often continued for several months, like the recommenda-
tions for other transcatheter interventions. In the EVEREST
I trial [28], EVEREST II study protocol [29], EVEREST II
RCT [25] and the EVEREST II high risk registry (HRR)
[30], a regimen of aspirin at a dose of 325 mg daily for 6
months to 1 year was used associated with clopidogrel at
a dose of 75 mg daily for 1 month. In the Cardiovascular
Outcomes Assessment of the MitraClip Percutaneous Ther-
apy for Heart Failure Patients with Functional Mitral Regur- TMVR is still an evolving field, and specific guide-
lines for antithrombotic therapy after TMVR have not been
established. Patients treated with TMVR are exposed to
an increased risk of valve thrombosis and thromboembolic
event. In clinical practice the most common approach
is to follow the current recommendation for surgical bio-
prosthetic MVR. After surgical bioprosthetic MVR, current
guidelines support the use of OAC with VKA and a target
INR 2.5 for 3–6 months, as it is known that endothelialisa-
tion is usually complete after 90 days after the implantation
of the valve [36]. Prolongation of the OAC for more than
6 months after aortic valve replacement (AVR) has showed 6 Table 3. Summary of evidence regarding antithrombotic therapy following Transcatheter Mitral or Tricuspid Valve
Interventions. 2.4 Transcatheter Mitral Valve Replacement Antithrombotic therapy after Transcatheter Mitral or Tricuspid Valve Interventions
Transcatheter Edge to Edge Repair
Transcatheter Valve Replacement
Concomitant AF
No Indication for long-term
anticoagulation
Low thrombotic risk and/or
high bleeding risk
High thrombotic risk and/or
low bleeding risk
OAC with VKA with target INR
2.5–3 lifelong
DAPT for 1–6 months and then
ASA lifelong
OAC with VKA and target INR
2.5–3 for 3 months
OAC with VKA and target INR
2.5–3 for 6 months
Then continue with ASA lifelong unless other reason for OAC (e.g., AF)
Thrombotic risk can be elevated due to patient characteristics (e.g., increased age, left ventricular dysfunction, hypercoagulable state) or
procedural related factors (tricuspid site procedure, valve in valve procedures, type of device). Bleeding risk is considered elevated in elderly
patients, in frailty, after history of GIH, elevated HAS-BLED score, anemia, thrombocytopenia, renal failure, hemorrhagic stroke etc. AF,
atrial fibrillation; DAPT, dual antiplatelet therapy; ASA, aspirin; INR, international normalized ratio; GIH, gastro-intestinal hemorrhage;
OAC, oral anticoagulation therapy; VKA, vitamin-K antagonists. Table 3. Summary of evidence regarding antithrombotic therapy following Transcatheter Mitral or Tricuspid Valve
Interventions. mmary of evidence regarding antithrombotic therapy following Transcatheter Mitral or Tricuspid Valve
Interventions. Thrombotic risk can be elevated due to patient characteristics (e.g., increased age, left ventricular dysfunction, hypercoagulable state) or
procedural related factors (tricuspid site procedure, valve in valve procedures, type of device). Bleeding risk is considered elevated in elderly
patients, in frailty, after history of GIH, elevated HAS-BLED score, anemia, thrombocytopenia, renal failure, hemorrhagic stroke etc. AF,
atrial fibrillation; DAPT, dual antiplatelet therapy; ASA, aspirin; INR, international normalized ratio; GIH, gastro-intestinal hemorrhage;
OAC, oral anticoagulation therapy; VKA, vitamin-K antagonists. Thrombotic risk can be elevated due to patient characteristics (e.g., increased age, left ventricular dysfunction, hypercoagulable state) or
procedural related factors (tricuspid site procedure, valve in valve procedures, type of device). Bleeding risk is considered elevated in elderly
patients, in frailty, after history of GIH, elevated HAS-BLED score, anemia, thrombocytopenia, renal failure, hemorrhagic stroke etc. AF,
atrial fibrillation; DAPT, dual antiplatelet therapy; ASA, aspirin; INR, international normalized ratio; GIH, gastro-intestinal hemorrhage;
OAC, oral anticoagulation therapy; VKA, vitamin-K antagonists. following TMVR. Notably, 71.8% of the patients in the
study received anticoagulant therapy post-TMVR, while
the remaining 28.2% were administered antiplatelet ther-
apy. Intriguingly, the cumulative one-year incidence of
valve thrombosis was markedly higher in patients who did
not receive anticoagulation in comparison to those who did
(6.6% vs. 2.4 Transcatheter Mitral Valve Replacement 1.6%; p = 0.019) [35]. Similarly, a single center
TMVR registry, showed that a 2-year rate of re-intervention
and valve thrombosis were 8.8% and 14.4%, respectively
[41]. to be related with improved survival and less thromboem-
bolic events but more bleeding episodes [37]. Taking un-
der consideration that mitral site is more thrombogenic than
the aortic site due to lower local blood flow perturbations
around the valve prosthesis, oral anticoagulation with vita-
min K antagonist (VKA) seems reasonable to be maintained
for at least 6 months [36]. TMVR in native mitral valve has been shown to have
increase thrombogenicity as a procedure. In the feasibil-
ity trial of the Tendyne valve (Abbot), 6 cases of throm-
bosis were reported at 1-year follow-up (6 of 100 patients,
rate 6.0%), all observed in the early part of the study (first
35 cases), when post-operative medical therapy comprised
only of aspirin. After these thrombotic episodes, the study
protocol changed applying the use of mandatory VKA ther-
apy (target INR 2.5 to 3.5) for at least 3 months, and no
further cases of valve thrombosis were observed [38]. In
contrast, no cases of clinically overt valve thrombosis at 1
year were reported after Intrepid valve (Medtronic) proce-
dure because of the antithrombotic strategy with VKA (tar-
get INR 2.5 to 3.5) plus SAPT for at least 3 months. Of note,
this combination had as a result a relatively high rate (18%)
of 30-day major bleeding [39]. Taking under consideration
all the above, OAC with VKA and a target INR around 2.5
for 3-6 months should be considered after TMVR [40]. Oral
anticoagulation is recommended lifelong for patients who
have other indications for anticoagulation, like AF. Taking under consideration all the above, it seems rea-
sonable to prescribe oral anticoagulation with VKA the first
months after any TMVR procedure in patients who do have
not an indication for long-term anticoagulation, to minimize
the risk of valve thrombosis. Further personalized treat-
ment may vary based on the specific patient characteristics,
procedural considerations, and the presence of other indica-
tions for anticoagulation or antiplatelet therapy (Table 3). 2.5 Transcatheter Edge to Edge Repair of Tricuspid Valve Tricuspid regurgitation (TR) is frequently observed in
individuals with left-sided valvular or myocardial condi-
tions, often indicating an advanced stage of chronic heart
failure with an unfavorable prognosis [42]. Even in the
present day, isolated tricuspid valve surgery remains un-
common and is associated with the highest mortality rate
among all types of valve procedures [43]. Therefore, in re-
cent times, a great evolution of multiple percutaneous thera-
pies and mainly TR-TEER, has been developed for treating
severe tricuspid regurgitation. Other therapeutic options in-
clude procedures for annuloplasty (i.e., Cardioband), and fi-
nally, dedicated native tricuspid valve orthotopic valve im-
plantation (i.e., Triscend, NaviGate, TriSol). TMVR has found application in cases involving a de-
generated mitral valve surgical bio-prosthesis (ViV), un-
successful mitral valve repairs with an annuloplasty ring
(valve-in-ring), and significant mitral annular calcification
(valve-in-mitral annular calcification). In such scenarios,
the utilization of the Edwards Sapien Valve has emerged as
a viable therapeutic choice for managing degenerated bio-
prosthetic valves and annuloplasty rings that have failed,
particularly in patients considered to be at high or pro-
hibitive surgical risk [35]. Information gleaned from the
largest multicenter TMVR registry revealed instances of
valve thrombosis in 10 cases (4.2%), occurring at vari-
ous intervals ranging from the initial days to up to 2 years Data from randomized trials and registries have shown
that most of the cases that require transcatheter tricuspid in-
terventions are cases of functional (secondary) TR, mostly
due to right ventricular dysfunction, tricuspid annular di-
latation, and impaired leaflet coaptation [44,45]. More than
90% of these patients have coexistence AF, requiring sys-
temic anticoagulation regardless of the procedure [45,46]. 7 (50 to 100 mg daily) and dipyridamole (225 to 400 mg
daily), or clopidogrel (75 mg once daily). All patients re-
mained at the prescribed antiplatelet therapy for a follow-
up of 3.2 years. Notably, serious device-related adverse
events were observed in 6 patients (1.4%) in the PFO clo-
sure group, and atrial fibrillation occurred in 29 patients
(6.6%) following PFO closure [55]. For the remaining patients, with no indication for systemic
anticoagulation, similarly to other structural and valvular
transcatheter interventions, DAPT consisting of 4 weeks of
aspirin plus clopidogrel, followed by aspirin daily for life,
is currently recommended. In absence of dedicated, randomized studies, current
practice include the extrapolation from recommendations
with surgical bioprosthetic valves. 2.6 Patent Foramen Ovale, Atrial and Ventricular Septal
Defects Transcatheter Closure 2.6 Patent Foramen Ovale, Atrial and Ventricular Septal
Defects Transcatheter Closure In the CLOSE trial, 663 patients who had experi-
enced cryptogenic stroke underwent randomization in a
1:1:1 ratio, with options for transcatheter PFO closure (uti-
lizing various PFO occluders) combined with long-term an-
tiplatelet therapy, antiplatelet therapy alone, or oral antico-
agulation. Patients undergoing PFO closure were admin-
istered DAPT, consisting of 75 mg of ASA and 75 mg of
clopidogrel, for a duration of 3 months, followed by SAPT
for a follow-up period of 5.5 years. Among those assigned
to oral anticoagulation, 93% received VKA, and 7% were
on DOACs. In the antiplatelet therapy group, 87% were
prescribed ASA 75 mg, 10% received clopidogrel 75 mg,
and 3% were on a combination of ASA 75 mg and dipyri-
damole (225 to 400 mg daily) throughout the study period. Notably, the incidence of atrial fibrillation was higher in the
PFO closure group compared to the antiplatelet-only group
(4.6% vs. 0.9%, p = 0.02) [57]. The PFO and the ASD represent the most common
congenital heart diseases. Currently the indications for per-
cutaneous closure include the prevention of recurrent para-
doxical embolism in patients with diagnosis of PFO and im-
portant left-to-right shunt with signs of right ventricle over-
load and pulmonary vascular resistance lower than 5 Wood
units in patients with secundum ASD [48]. PFO closure plays an important role for preventing re-
current stroke in patients with cryptogenic stroke in absence
of any other intracardiac embolic source, or a stroke associ-
ated with major intracranial and extracranial vascular disor-
ders [49]. Antithrombotic medication after the PFO closure
is needed to avoid device thrombosis (2–3%) and emboliza-
tion [50–53]. Device thrombosis typically occurs on the
metallic structures of the closure devices and develops early
after implantation, within the first 4 weeks, caused by lack
of endothelization in this initial period [50]. Of note, the
endothelization of the device can continue up to five years
post implantation, therefore early cessation of therapy may
cause minor cerebrovascular events after PFO closure [52]. To conclude, in routine clinical practise, patients who
undergo PFO closure due to a cryptogenic ischemic stroke,
require DAPT with aspirin (81 to 100 mg) and clopidogrel
75 mg for a limited period, typically for 1–6 months, fol-
lowed by ASA only (81 to 100 mg) for additional 4 to 8
months [55–57] (Table 4). 2.5 Transcatheter Edge to Edge Repair of Tricuspid Valve For interventions in the
tricuspid valve focusing the annulus or the leaflets, aggres-
sive antithrombotic treatment seems not to be needed, rather
than a short period of DAPT, until the device endothelial-
ization. However, for cases of transcatheter tricuspid valve
implantations, in the absence of an indication for antithrom-
botic therapy, OAC with VKAs for 6 months appears rea-
sonable [47]. In the RESPECT trial, 980 patients diagnosed with
cryptogenic ischemic stroke were randomly assigned to ei-
ther undergo PFO closure using the Amplatzer PFO oc-
cluder or receive medical therapy, with a follow-up duration
of 5.9 years. Patients undergoing PFO closure were admin-
istered 81 to 325 mg of aspirin (ASA) along with clopido-
grel 75 mg daily for one month, followed by ASA 81 mg for
the subsequent five months. In the medical-therapy group,
four regimens were permitted: ASA 81 mg daily, clopido-
grel 75 mg daily, warfarin with a target INR of 2–3, and
ASA plus dipyridamole (225 to 400 mg daily) [56]. 2.7 Left Atrial Appendage Occlusion rable to traditional devices with a good safety profile at
medium-term follow-up. Patients were pretreated with and
maintained on single antiplatelet therapy (preferably aspirin
100 mg) for approximately 1 month [61]. The majority of the thrombi causing stroke in patients
with AF are formed in the LAA [69]. VKA and DOACs
remain the gold standard therapy in patients with elevated
thrombotic risk, assessed with the CHA2DS2-VASc risk
factors [70]. However, in patients with contraindication to
receive antithrombotic medication or in an elevated bleed-
ing risk, LAA occlusion (LAAO) remains a safe alternative
[71]. ASD is among the frequently observed congenital car-
diac anomalies in adulthood. ASD is characterized by a
flaw in the interatrial septum, enabling the direct passage
of pulmonary venous return from the left atrium to the right
atrium. Depending on the magnitude of the shunt, ASD can
manifest with varying degrees of severity, ranging from an
inconspicuous finding to a notable volume overload on the
right side and the development of pulmonary arterial hyper-
tension [62]. The use of antithrombotic therapy in the immediate
post-procedural period is required to minimize the risk of
thrombus formation on the closure device. The incidence of
device-related thrombus (DRT) has been reported to range
between 4% and 17.6% [72,73]. DRT is mostly related to
technical factors (e.g., type of the device [74], uncovered
pulmonary ridge, deep device implantation, peri-prosthetic
leakage) or patient related factors (elevated CHA2DS2-
VASc risk score, ventricular dysfunction, advanced age)
[75]. The most current recommendations for antithrom-
botic therapy after LAAO depend on the type of the device
used for closure, individual patient factors, and the pres-
ence of other indications for anticoagulation or antiplatelet
therapy (Table 5). Device closure has become the first choice for secun-
dum defect closure, when the procedure is feasible, based
on morphology characteristics (diameter ≤38 mm and suf-
ficient rim of 5 mm except towards the aorta) [63]. The type
of the device and the site of the defect is like the PFO closure
concept and since there are no dedicated studies for solely
ASD closure, the current recommendations are based on the
PFO trials. Therefore, after an ASD closure, antiplatelet
therapy is required for at least 6 months (aspirin 75 mg o.d. minimum) [64]. 2.6 Patent Foramen Ovale, Atrial and Ventricular Septal
Defects Transcatheter Closure The optimal duration of antithrombotic therapy after
PFO closure remains under debate. As of now, there are
no definitive guidelines for medical management following
PFO closure, except for the recommendation of antiplatelet
therapy for secondary stroke prevention [54]. The most cur-
rent recommendations for antithrombotic therapy after PFO
closure depend on the specific indication for the procedure
and individual patient factors and mainly extracted by the
design of the pivotal REDUCE [55], RESPECT [56] and
CLOSE [57] randomised trials that investigate the use of
PFO occlusion devices, as compared with antiplatelet ther-
apy. Interestingly, PFO closure is associated with increased
risk of new-onset AF [58]. Most device-associated AF inci-
dences occurred early, were transient with no documented
recurrence (76%), and only a minority of patients random-
ized to a device had stroke presumably caused by device-
associated AF [59]. These short AF episodes most likely are
related with peri-procedural factors as well with the type of
the device, are transients with no documented relapse and
are rarely causes of stroke [60]. Based on these character-
istics a short-term (1–3 months) period of anticoagulation
has been proposed [60]. In the REDUCE trial, 664 patients who had experi-
enced a cryptogenic stroke were randomized in a 2:1 ratio
to either undergo PFO closure using the Gore PFO occluder
along with antiplatelet therapy or to receive antiplatelet
therapy alone. The antiplatelet regimen included aspirin
alone (75 to 325 mg once daily), a combination of aspirin A novel method of suture-mediated “deviceless” clo-
sure of PFO with the NobleStitch EL device has been tested
in a small registry and was found feasible in most septal
anatomies, providing an effective closure of PFO compa- 8 Table 4. Summary of evidence regarding antithrombotic therapy following PFO/ASD/VSD closure. Antithrombotic therapy after PFO/ASD/VSD closure
Amplatzer and Gore Occluders
Noble Stitch EL
High Bleeding risk and/or
low thrombotic risk patients
Low bleeding risk patients and/or high
thrombotic risk patients
Pretreatment with ASA 1 month
6–12 months ASA
1–6 months DAPT and then ASA lifelong
1–3 months DAPT. Then continue
with ASA up to 12 months
Bleeding risk is considered elevated in elderly patients, in frailty, after history of GIH, elevated HAS-BLED score,
anemia, thrombocytopenia, renal failure, hemorrhagic stroke etc. PFO, patent foramen ovale; ASA, aspirin; ASD,
atral septal defect; VSD, ventricular septal defect; DAPT, dual antiplatelet therapy; GIH, gastro-intestinal hemor-
rhage. 2.6 Patent Foramen Ovale, Atrial and Ventricular Septal
Defects Transcatheter Closure ry of evidence regarding antithrombotic therapy following PFO/ASD/VSD closure. 2.7 Left Atrial Appendage Occlusion 2.7 Left Atrial Appendage Occlusion Ventricular septal defects (VSDs) represent one the
most prevalent forms of congenital heart disease, and sur-
gical closure is widely acknowledged as the gold-standard
treatment when deemed necessary [48]. Closure is typically
recommended for VSDs leading to a Qp/Qs ratio exceeding
1.5 and resulting in volume overload in the left ventricle. In specific cases, percutaneous closure of VSD is consid-
ered a less invasive alternative to conventional open-heart
surgery, particularly for membranous or muscular defects
[65]. To ensure safe VSD closure using devices, it is es-
sential to maintain an adequate distance (≥2 mm) from the
aortic valves [66]. A variety of different devices have been
used in the past for transcatheter VSD closure. Irrespec-
tively of the device, recommendations regarding specific
anticoagulation or antiplatelet therapy after device place-
ment remain controversial [67]. Since there are no ran-
domized trials available to assess the effectiveness of any
of these treatment strategies against the other, all patients
should receive a minimum of 74–100 mg aspirin for at least
6 months, similarly to the ASD closure procedure [68]. The significant heterogeneity of the LAAO popula-
tion, together with a wide variety of studies with different
closure devices, different regimes and different outcomes
make difficult a clear recommendation. Furthermore, an-
tithrombotic therapy after LAAO has not been studied in a
randomization fashion. Currently, the trend is to support
the physician in the decision-making process for the choice
of the suitable regimen post procedure, always taking un-
der consideration the preference of the patient the bleeding
and stroke risk, as well that the fact that all options (OAC,
DOAC, DAPT) appear safe and effective. For the cases where a WATCHMAN device has been
used, the recommendations can be extracted from the land-
mark randomized clinical trials PROTECT-AF (Watch-
man Left Atrial Appendage System for Embolic Protec-
tion in Patients with Atrial Fibrillation) [76] and PRE-
VAIL (Prospective Randomized Evaluation of the Watch-
man Left Atrial Appendage Closure Device in Patients With
Atrial Fibrillation Versus Long Term Warfarin Therapy)
[77]. These trials used a short period of VKA (45 days) 9 Table 5. Summary of evidence regarding antithrombotic therapy following Left Atrial Appendage Closure. 2.7 Left Atrial Appendage Occlusion Antithrombotic therapy after Left Atrial Appendage Closure
WATCHMAN
AMULET
High Bleeding risk patients
with contraindications to
VKA
Low bleeding risk patients
and/or elevated device-related
thrombotic risk
High Bleeding risk
patients with
contraindications to VKA
Low bleeding risk patients
1 months DAPT (ASA with
clopidogrel)
ASA + DOAC for 45 days. Then continue with DAPT for
6 months
1–3 months DAPT
3–6 months DAPT
Then continue with ASA for
12 months
Then continue with ASA for
another 6 months
Then continue with ASA
up to 12 months
Then continue with ASA
alone
Device related thrombotic risk is considered elevated when is present history of stroke, heart failure, persistant AF, elevated
CHA2DS2-VASc score, enlarged left atrial appendage diameter, decreased left atrium velocities, important periprosthetic leak,
and deep device implantation. Bleeding risk is considered elevated in elderly patients, in frailty, after history of GIH, elevated
HAS-BLED score, anaemia, thrombocytopenia, renal failure, haemorrhagic stroke etc. AF, atrial fibrillation; ASA, aspirin;
DAPT, dual antiplatelet therapy; DOAC, direct oral anticoagulation; VKA, vitamin k antagonists; GIH, gastro-intestinal hem-
orrhage. Table 5. Summary of evidence regarding antithrombotic therapy following Left Atrial Appendage Closure. of evidence regarding antithrombotic therapy following Left Atrial Appendage Closure. Device related thrombotic risk is considered elevated when is present history of stroke, heart failure, persistant AF, elevated
CHA2DS2-VASc score, enlarged left atrial appendage diameter, decreased left atrium velocities, important periprosthetic leak,
and deep device implantation. Bleeding risk is considered elevated in elderly patients, in frailty, after history of GIH, elevated
HAS-BLED score, anaemia, thrombocytopenia, renal failure, haemorrhagic stroke etc. AF, atrial fibrillation; ASA, aspirin;
DAPT, dual antiplatelet therapy; DOAC, direct oral anticoagulation; VKA, vitamin k antagonists; GIH, gastro-intestinal hem-
orrhage. DAPT in patients who underwent LAAO, for patient treated
either with WATCHMAN or AMULET, showed that post-
procedural use of SAPT instead of DAPT was associated
with reduction of bleeding complications, with no signifi-
cant increase in the risk of thrombotic events [83]. In the
absence of significant peri-device flow or device-related
thrombus (DRT), short-term DAPT for six weeks followed
by single antiplatelet therapy appears to be a viable alter-
native for patients after LAAO [84]. 2.7 Left Atrial Appendage Occlusion In summary, for pa-
tients at a high risk of bleeding, adopting a strategy of 1-
to 6-month DAPT involving low-dose aspirin and clopi-
dogrel (preferably continued until sufficient sealing of the
left atrial appendix) seems appropriate, followed by an ex-
tended period of single antiplatelet therapy (Table 5). with a longer course of ASA. At the day 45, the VKA was
discontinued and Clopidogrel was used for up to 6 months
after the procedure [76,77]. Based on this data, the post implant drug regimen for
patient’s prescribed short-term oral anticoagulation (OAK)
with VKA is that patients should begin aspirin and warfarin
with target and INR of 2.0 to 3.0 for at least 45 days post im-
plant. After cessation of VKA the patient should remain on
aspirin and begin clopidogrel until at least three months of
elapse after implantation. Patients should remain on aspirin
for at least 12 months after implantation [76,77]. The more recent prospective registry EWOLUTION
(Evaluating Real-Life Clinical Outcomes in Atrial Fibril-
lation Patients Receiving the Watchman Left Atrial Ap-
pendage Closure Technology) studied a higher risk popula-
tion with elevated thrombotic risk (mean CHA2DS2-VASc
score 4.5 ± 1.6) and elevated bleeding risk, supporting the
use of SAPT or DAPT alone (without OAC) after device
implantation is safe and feasible [78,79]. 2.8 Challenges and Future Directions This fact, in the field
of coronary interventions, underlined the need for more po-
tent and consistent platelet inhibition that was covered with
novel generation P2Y12 inhibitors [86]. However, in the
field of structural heart disease interventions, clopidogrel
was ever since the studied regimen. The management of patients undergoing structural
cardiac interventions presents an additional challenge due
to gender-related differences. Gender-related variances in
the management of patients undergoing structural heart dis-
ease interventions have gained increasing attention in car-
diovascular care. While the prevalence of structural heart
disease and valvular conditions may vary between genders,
research has also explored potential variations in the di-
agnosis, treatment, and outcomes based on gender [94]. Given the perception of women as a potentially more del-
icate group susceptible to bleeding, they often receive less
aggressive treatment in clinical settings. Nevertheless, mul-
tiple studies have highlighted comparable thrombotic risks
between genders, with a tendency towards increased bleed-
ing risk in females [95]. This inclination is often influenced
by factors such as advanced age, lower body weight, higher
comorbidity rates, and potential overuse of antithrombotic
medications. Of note, the benefits of aspirin for cardiovas-
cular risk, in both primary and secondary prevention, has
shown no significant gender-related differences [96]. Simi-
larly, there is no indication of significant gender-related dif-
ferences in the context of anticoagulant drugs [94]. Platelet reactivity can be measured with the com-
mercially available VerifyNow assay (Accriva Diagnostics,
San Diego, CA, USA). The recent Assessment of platelet
REACtivity after Transcatheter Aortic Valve Implantation
(REAC-TAVI) trial enrolled patients with aortic stenosis
(AS) undergoing TAVI pre-treated with aspirin and clopi-
dogrel, aimed to compare the efficacy of clopidogrel and
ticagrelor in suppressing high platelet reactivity (HPR) af-
ter TAVI [87]. The study showed that HPR to clopido-
grel is present in a considerable number of patients with
AS undergoing TAVI. However, in this elderly population
with a high risk of bleeding the high level of platelet in-
hibition achieved with a potent antiplatelet agent might
considered as a drawback. The ongoing, TICTAVI study
(NCT02817789), which will investigate further the impact
of ticagrelor monotherapy for 30 days after valve implan-
tation vs. DAPT with clopidogrel and the soluble salt of
aspirin lysine acetylsalicylate. Anticoagulation therapy has
seen significant advancements in the past decade, primarily
attributed to the development of FXa inhibitors [88]. 2.8 Challenges and Future Directions Despite the growing use of structural heart disease
interventions, there is a relative lack of robust random-
ized clinical trials and high-quality evidence specifically
addressing antithrombotic therapy in these settings. Many
recommendations are based on expert consensus or extrap-
olation from studies focused on other cardiovascular inter-
ventions. The post implant drug regimen for patients prescribed
DAPT only, is that patients should begin clopidogrel and as-
pirin for at least 3 months post implantation. The EWOLU-
TION clinical study data establishing safety and effective-
ness are based on demonstration of peri-device flow 5 mm
as a measure of adequacy of LAA seal. If LAA seal is not
demonstrated, the decision to discontinue clopidogrel is at
physician discretion. Of note, patients should remain on
aspirin at least 12 months after implantation. If thrombo-
sis observed on the device use of anticoagulation again is at
physician discretion [78]. Well-designed randomized controlled trials (RCTs)
comparing different antithrombotic regimens, durations,
and intensities of therapy are needed to provide stronger ev-
idence for guiding treatment decisions. Furthermore, sub-
group analyses within existing trials or registry-based stud-
ies can provide valuable insights into specific patient popu-
lations and procedural nuances. Collaboration among mul-
tiple centers or international consortia can help facilitate
larger-scale studies to address these gaps. Most of the studies that examine the antithrom-
botic treatment after the use of an AMPLATZER Cardiac
Plug/Amulet device, found that ASA monotherapy after im-
plantation [80–82] or DAPT with ASA and Clopidogrel for
a period of 30 to 180 days [82] can be used without an
increased risk of device-related thrombosis or stroke. A
recent observational study, a comparison of SAPT versus One of these gaps is related to the effectiveness of
clopidogrel, a widely used antiplatelet medication in struc-
tural interventions. The effectiveness of clopidogrel can be
hindered by certain limitations, notably the heightened is-
chemic risk observed in individuals with high platelet re- 10 ing these parameters, clinicians can tailor anticoagulation
and antiplatelet strategies more precisely during heart in-
terventions, optimizing the delicate balance between pre-
venting thrombosis and minimizing bleeding risks. activity and genetic variations impacting the CYP2C19 en-
zyme [85]. Clopidogrel is characterised by high interindi-
vidual variability in platelet inhibition and a large propor-
tion of patients are not-responders. 2.8 Challenges and Future Directions How-
ever, existing anticoagulants, both direct and indirect, lack
specificity in distinguishing between pathological coagula-
tion (thrombosis) and physiological coagulation (haemosta-
sis). Despite their clinical effectiveness, these agents often
lead to substantial bleeding complications, particularly in
specific patient groups such as those with chronic kidney
disease [89]. Novel anticoagulants may address these chal-
lenges by targeting coagulation proteins of the intrinsic and
contact activation pathways, such as factor XIa. Focusing
on FXIa could enhance anticoagulant effects while mini-
mizing bleeding risks, given its predominant role in patho-
logical blood clotting (thrombosis) and a lesser role in phys-
iological blood clotting (haemostasis) [90]. Optimal antithrombotic therapy following structural
heart disease interventions requires an individualized ap-
proach. Patient-specific factors such as age, comorbidities,
bleeding risk, thrombotic risk, and procedural character-
istics need to be carefully considered. Currently, there is
limited guidance on how to balance the risks of thrombo-
sis and bleeding in specific patient subgroups. Developing
risk stratification models and decision-making tools can as-
sist in tailoring therapy to individual patients. Besides, achieving the delicate balance between pre-
venting thrombotic events and minimizing bleeding com-
plications is a major challenge in antithrombotic therapy
after these interventions. There is a need to define optimal
duration and intensity of therapy, as prolonged use of an-
tithrombotic agents may increase bleeding risk without sub-
stantial benefit, while premature discontinuation may in-
crease the risk of thrombosis. Patients should stratify based
on thrombotic and bleeding risk, along with refining risk
prediction models, can help guide treatment decisions and
strike an appropriate balance. Innovative approaches to antithrombotic treatment,
such as targeting factor XI/XIa or XII/XIIa through small-
molecule inhibitors, antibodies, or antisense oligonu-
cleotides, are actively under development. These emerging
strategies hold promise for effectively inhibiting the contact
activation pathway on artificial devices, presenting novel
and compelling avenues for intervention [91,92]. In the pursuit of tailoring antithrombotic treatment
to individuals undergoing cardiac interventions, significant
efforts have been dedicated in the past decade to enhance
the identification of patients with an elevated risk of bleed-
ing complications. Numerous risk algorithms and scores
are utilized to assess the significance of specific clinical,
laboratory, and technical factors [97]. Abbreviations Frailty is a prevalent condition among those undergo-
ing TAVI and other valvular heart disease interventions and
can influence their overall management. Many studies indi-
cate that the risks of both short and long-term mortality, as
well as bleeding complications, rise with increasing degrees
of frailty [99–101]. Consequently, there is a suggestion
to incorporate preoperative screening tools, including both
geriatric and nongeriatric scales such as the Hospital Frailty
Risk Score and the Clinical Frailty Scale, to enhance the op-
timization of TAVI care pathways and refine antithrombotic
strategies associated with the procedure [102]. AF, Atrial Fibrillation; ASA, Aspirin; ASD, Atrial
Septal Defect; AVR, Aortic Valve Replacement; DAPT,
Dual Antiplatelet Therapy; DOACs, Direct Oral Anticoag-
ulants; HPR, High Platelet Reactivity; INR, International
Normalized Ratio; LAA, Left Atrial Appendage; LAAO,
Left Atrial Appendage Occlusion; MR, Mitral Regurgita-
tion; MVR, Mitral Valve replacement; OAC, Oral Antico-
agulation; PFO, Patent Foramen Ovale; RCT, Randomized
Control Trials; SAS, Severe Aortic Stenosis; SAPT, Sin-
gle Antiplatelet Therapy; TAVI, Transcatheter Aortic Valve
Implantation; TEER, Transcatheter Edge to Edge Repair;
TMVR, Transcatheter Mitral Valve Replacement; TR, Tri-
cuspid Regurgitation; VARC, Valve Academic Research
Consortium; ViMAC, Valve in MAC; ViR, Valve in Ring;
ViV, Valve in Valve; VKA, Vitamin K antagonists; VSD,
Ventricular Septal Defect. More recent, the Valve Academic Research Consor-
tium criteria provided standardized definitions for various
clinical events related to valvular heart disease interven-
tions. The VARC criteria were developed to facilitate con-
sistent reporting of clinical outcomes mainly in TAVI stud-
ies and trials [103,104]. Especially for bleeding events, the
VARC-2 criteria define three levels of severity: minor, ma-
jor, and life-threatening or disabling bleeding [103]. The
most recent updated VARC-3 criteria have been modified
into a more descriptive classification scheme: type 1 (mi-
nor), type 2 (major), type 3 (life-threatening), and type 4
(leading to death) bleeding [104]. When evaluating bleed-
ing risk in the context of TAVI or other structural heart dis-
ease procedures, clinicians may use these VARC definitions
in conjunction with other bleeding risk assessment tools
and considerations, such as patient history, laboratory as-
sessments, and procedural factors. The goal is to tailor the
assessment and management to the specific needs of each
patient undergoing structural interventions. It’s important
to note that the applicability of specific scores may vary
depending on the context and the population being stud-
ied. Author Contributions AM and EC contributed to the design and concept. AM, EC, SS, PA and MK performed the literature searches,
wrote the manuscript and critiqued the successive ver-
sions. All authors contributed to editorial changes in
the manuscript. All authors read and approved the final
manuscript. All authors have participated sufficiently in
the work and agreed to be accountable for all aspects of the
work. 2.8 Challenges and Future Directions While most of these
risk scores have been designed and validated for identifying
bleeding risk in patients’ post-percutaneous coronary inter-
vention, their validation within the realm of structural heart Thromboelastography (TEG or ClotPro) and rota-
tional thromboelastometry (ROTEM) are advanced hemo-
static monitoring techniques used to assess intrinsic throm-
botic propensity or bleeding propensity in heart interven-
tions [93]. These point-of-care tests provide dynamic infor-
mation on the entire coagulation process, offering insights
into clot formation, strength, and breakdown. By evaluat- 11 and exploring novel agents and technologies to further en-
hance patient outcomes in this exciting and evolving field
of interventional cardiology. disease interventions is lacking. Among them, the HAS-
BLED score which was initially developed to assess bleed-
ing risk in patients with atrial fibrillation who are receiving
anticoagulant therapy, has been applied to other settings,
including structural cardiac interventions [98]. References [1] Olasinska-Wisniewska
A,
Grygier
M. Antithrom-
botic/Antiplatelet
Treatment
in
Transcatheter
Structural
Cardiac Interventions-PFO/ASD/LAA Occluder and Interatrial
Shunt Devices. Frontiers in Cardiovascular Medicine. 2019; 6:
75. [1] Olasinska-Wisniewska
A,
Grygier
M. Antithrom-
botic/Antiplatelet
Treatment
in
Transcatheter
Structural
Cardiac Interventions-PFO/ASD/LAA Occluder and Interatrial
Shunt Devices. Frontiers in Cardiovascular Medicine. 2019; 6:
75. Conflict of Interest The authors declare no conflict of interest. The authors declare no conflict of interest. Funding Addressing these challenges and knowledge gaps re-
quires collaborative efforts among clinicians, researchers,
industry, and regulatory bodies. Conducting well-designed
clinical trials, generating real-world evidence, and lever-
aging emerging technologies will help bridge the gaps in
knowledge and provide evidence-based guidelines for an-
tithrombotic therapy following structural and valvular heart
disease interventions. This research received no external funding. This research received no external funding. Acknowledgment Not applicable. Abbreviations Additionally, individual patient characteristics and lo-
cal practices may influence the choice of risk assessment
tools. 3. Summary and Conclusion In conclusion, antithrombotic therapy following struc-
tural heart disease interventions is a rapidly evolving field. Although current recommendations provide general guid-
ance, personalized approaches based on individual patient
factors are essential. Future research should focus on gener-
ating high-quality evidence, developing tailored strategies, [2] Sukavaneshvar S. Device thrombosis and pre-clinical blood
flow models for assessing antithrombogenic efficacy of drug-
device combinations. Advanced Drug Delivery Reviews. 2017;
112: 24–34. [3] Wolfe JT, Shradhanjali A, Tefft BJ. Strategies for Improving En- [3] Wolfe JT, Shradhanjali A, Tefft BJ. Strategies for Improving En- 12 dothelial Cell Adhesion to Blood-Contacting Medical Devices. Tissue Engineering. Part B, Reviews. 2022; 28: 1067–1092. undergoing transcatheter aortic valve implantation: a consensus
document of the ESC Working Group on Thrombosis and the
European Association of Percutaneous Cardiovascular Interven-
tions (EAPCI), in collaboration with the ESC Council on Valvu-
lar Heart Disease. European Heart Journal. 2021; 42: 2265–
2269. dothelial Cell Adhesion to Blood-Contacting Medical Devices. Tissue Engineering. Part B, Reviews. 2022; 28: 1067–1092. [4] Jaffer IH, Fredenburgh JC, Hirsh J, Weitz JI. Medical device-
induced thrombosis: what causes it and how can we prevent it? Journal of Thrombosis and Haemostasis: JTH. 2015; 13 Suppl
1: S72–S81. [19] [5] Casa LDC, Deaton DH, Ku DN. Role of high shear rate in throm-
bosis. Journal of Vascular Surgery. 2015; 61: 1068–1080. [19] Calabrò P, Gragnano F, Niccoli G, Marcucci R, Zimarino M,
Spaccarotella C, et al. Antithrombotic Therapy in Patients Un-
dergoing Transcatheter Interventions for Structural Heart Dis-
ease. Circulation. 2021; 144: 1323–1343. [6] Leon MB, Smith CR, Mack M, Miller DC, Moses JW, Svens-
son LG, et al. Transcatheter aortic-valve implantation for aortic
stenosis in patients who cannot undergo surgery. The New Eng-
land Journal of Medicine. 2010; 363: 1597–1607. [20] Roberti R, Iannone LF, Palleria C, Curcio A, Rossi M, Sciacqua
A, et al. Direct Oral Anticoagulants: From Randomized Clinical
Trials to Real-World Clinical Practice. Frontiers in Pharmacol-
ogy. 2021; 12: 684638. [7] Leon MB, Smith CR, Mack MJ, Makkar RR, Svensson LG, Ko-
dali SK, et al. Transcatheter or Surgical Aortic-Valve Replace-
ment in Intermediate-Risk Patients. The New England Journal
of Medicine. 2016; 374: 1609–1620. [21] Tanawuttiwat T, Stebbins A, Marquis-Gravel G, Vemulapalli S,
Kosinski AS, Cheng A. Use of Direct Oral Anticoagulant and
Outcomes in Patients with Atrial Fibrillation after Transcatheter
Aortic Valve Replacement: Insights from the STS/ACC TVT
Registry. Journal of the American Heart Association. 3. Summary and Conclusion 2015; 66:
2844–2854. [27] Stone GW, Lindenfeld J, Abraham WT, Kar S, Lim DS, Mishell
JM, et al. Transcatheter Mitral-Valve Repair in Patients with
Heart Failure. The New England Journal of Medicine. 2018;
379: 2307–2318. [13] Brouwer J, Nijenhuis VJ, Delewi R, Hermanides RS, Holvoet
W, Dubois CLF, et al. Aspirin with or without Clopidogrel af-
ter Transcatheter Aortic-Valve Implantation. The New England
Journal of Medicine. 2020; 383: 1447–1457. [28] Feldman T, Wasserman HS, Herrmann HC, Gray W, Block PC,
Whitlow P, et al. Percutaneous mitral valve repair using the
edge-to-edge technique: six-month results of the EVEREST
Phase I Clinical Trial. Journal of the American College of Car-
diology. 2005; 46: 2134–2140. [14] Dangas GD, Tijssen JGP, Wöhrle J, Søndergaard L, Gilard
M, Möllmann H, et al. A Controlled Trial of Rivaroxaban af-
ter Transcatheter Aortic-Valve Replacement. The New England
Journal of Medicine. 2020; 382: 120–129. [29] Mauri L, Garg P, Massaro JM, Foster E, Glower D, Mehoudar P,
et al. The EVEREST II Trial: design and rationale for a random-
ized study of the evalve mitraclip system compared with mitral
valve surgery for mitral regurgitation. American Heart Journal. 2010; 160: 23–29. [15] Collet JP, Van Belle E, Thiele H, Berti S, Lhermusier T,
Manigold T, et al. Apixaban vs. standard of care after tran-
scatheter aortic valve implantation: the ATLANTIS trial. Eu-
ropean Heart Journal. 2022; 43: 2783–2797. [30] Whitlow PL, Feldman T, Pedersen WR, Lim DS, Kipperman
R, Smalling R, et al. Acute and 12-month results with catheter-
based mitral valve leaflet repair: the EVEREST II (Endovascu-
lar Valve Edge-to-Edge Repair) High Risk Study. Journal of the
American College of Cardiology. 2012; 59: 130–139. [16] Vavuranakis M, Siasos G, Zografos T, Oikonomou E, Vrachatis
D, Kalogeras K, et al. Dual or Single Antiplatelet Therapy After
Transcatheter Aortic Valve Implantation? A Systematic Review
and Meta-Analysis. Current Pharmaceutical Design. 2016; 22:
4596–4603. [31] De Rosa R, Silverio A, Baldi C, Di Maio M, Prota C, Radano
I, et al. Transcatheter Repair of Functional Mitral Regurgitation
in Heart Failure Patients - A Meta-Analysis of 23 Studies on
MitraClip Implantation. Circulation Journal: Official Journal of
the Japanese Circulation Society. 2018; 82: 2800–2810. [17] Otto CM, Nishimura RA, Bonow RO, Carabello BA, Erwin
JP, 3rd, Gentile F, et al. 3. Summary and Conclusion 2022; 11:
e023561. [8] Amat-Santos IJ, Rodés-Cabau J, Urena M, DeLarochellière R,
Doyle D, Bagur R, et al. Incidence, predictive factors, and
prognostic value of new-onset atrial fibrillation following tran-
scatheter aortic valve implantation. Journal of the American Col-
lege of Cardiology. 2012; 59: 178–188. [22] Didier R, Lhermusier T, Auffret V, Eltchaninoff H, Le Breton H,
Cayla G, et al. TAVR Patients Requiring Anticoagulation: Di-
rect Oral Anticoagulant or Vitamin K Antagonist? JACC. Car-
diovascular Interventions. 2021; 14: 1704–1713. [9] Noble S, Asgar A, Cartier R, Virmani R, Bonan R. Anatomo-
pathological analysis after CoreValve Revalving system implan-
tation. EuroIntervention: Journal of EuroPCR in Collaboration
with the Working Group on Interventional Cardiology of the Eu-
ropean Society of Cardiology. 2009; 5: 78–85. [23] Wang L, Sang W, Jian Y, Zhang X, Han Y, Wang F, et al. Post-
TAVR patients with atrial fibrillation: are NOACs better than
VKAs?-A meta-analysis. Frontiers in Cardiovascular Medicine. 2023; 10: 1175215. [10] Ussia GP, Scarabelli M, Mulè M, Barbanti M, Sarkar K, Cam-
malleri V, et al. Dual antiplatelet therapy versus aspirin alone in
patients undergoing transcatheter aortic valve implantation. The
American Journal of Cardiology. 2011; 108: 1772–1776. [24] Maisano F, La Canna G, Colombo A, Alfieri O. The evolution
from surgery to percutaneous mitral valve interventions: the role
of the edge-to-edge technique. Journal of the American College
of Cardiology. 2011; 58: 2174–2182. [11] Stabile E, Pucciarelli A, Cota L, Sorropago G, Tesorio T,
Salemme L, et al. SAT-TAVI (single antiplatelet therapy for
TAVI) study: a pilot randomized study comparing double to sin-
gle antiplatelet therapy for transcatheter aortic valve implanta-
tion. International Journal of Cardiology. 2014; 174: 624–627. [25] Feldman T, Foster E, Glower DD, Kar S, Rinaldi MJ, Fail PS, et
al. Percutaneous repair or surgery for mitral regurgitation. The
New England Journal of Medicine. 2011; 364: 1395–1406. [12] Rodés-Cabau J, Masson JB, Welsh RC, Garcia Del Blanco B,
Pelletier M, Webb JG, et al. Aspirin Versus Aspirin Plus Clopi-
dogrel as Antithrombotic Treatment Following Transcatheter
Aortic Valve Replacement with a Balloon-Expandable Valve:
The ARTE (Aspirin Versus Aspirin + Clopidogrel Following
Transcatheter Aortic Valve Implantation) Randomized Clinical
Trial. JACC. Cardiovascular Interventions. 2017; 10: 1357–
1365. [26] Feldman T, Kar S, Elmariah S, Smart SC, Trento A, Siegel
RJ, et al. Randomized Comparison of Percutaneous Repair and
Surgery for Mitral Regurgitation: 5-Year Results of EVEREST
II. Journal of the American College of Cardiology. 3. Summary and Conclusion 2020 ACC/AHA Guideline for the
Management of Patients with Valvular Heart Disease: Execu-
tive Summary: A Report of the American College of Cardiol-
ogy/American Heart Association Joint Committee on Clinical
Practice Guidelines. Circulation. 2021; 143: e35–e71. [32] Maisano F, Franzen O, Baldus S, Schäfer U, Hausleiter J, But-
ter C, et al. Percutaneous mitral valve interventions in the
real world: early and 1-year results from the ACCESS-EU, a [18] Ten Berg J, Sibbing D, Rocca B, Van Belle E, Chevalier B, Col-
let JP, et al. Management of antithrombotic therapy in patients 13 agement of adult congenital heart disease: The Task Force for
the management of adult congenital heart disease of the Euro-
pean Society of Cardiology (ESC). Endorsed by: Association for
European Paediatric and Congenital Cardiology (AEPC), Inter-
national Society for Adult Congenital Heart Disease (ISACHD). European Heart Journal. 2021; 42: 563–645. prospective, multicenter, nonrandomized post-approval study of
the MitraClip therapy in Europe. Journal of the American Col-
lege of Cardiology. 2013; 62: 1052–1061. [33] Waechter C, Ausbuettel F, Chatzis G, Cheko J, Fischer D, Nef
H, et al. Antithrombotic Treatment and Its Association with Out-
come in a Multicenter Cohort of Transcatheter Edge-to-Edge
Mitral Valve Repair Patients. Journal of Cardiovascular Devel-
opment and Disease. 2022; 9: 366. [49] [49] Pristipino C, Sievert H, D’Ascenzo F, Louis Mas J, Meier B,
Scacciatella P, et al. European position paper on the manage-
ment of patients with patent foramen ovale. General approach
and left circulation thromboembolism. European Heart Journal. 2019; 40: 3182–3195. [34] Regueiro A, Granada JF, Dagenais F, Rodés-Cabau J. Tran-
scatheter Mitral Valve Replacement: Insights from Early Clini-
cal Experience and Future Challenges. Journal of the American
College of Cardiology. 2017; 69: 2175–2192. [50] Krumsdorf U, Ostermayer S, Billinger K, Trepels T, Zadan E,
Horvath K, et al. Incidence and clinical course of thrombus for-
mation on atrial septal defect and patient foramen ovale closure
devices in 1,000 consecutive patients. Journal of the American
College of Cardiology. 2004; 43: 302–309. [35] Yoon SH, Whisenant BK, Bleiziffer S, Delgado V, Dhoble A,
Schofer N, et al. Outcomes of transcatheter mitral valve replace-
ment for degenerated bioprostheses, failed annuloplasty rings,
and mitral annular calcification. European Heart Journal. 2019;
40: 441–451. [51] Davies A, Ekmejian A, Collins N, Bhagwandeen R. Multidis-
ciplinary Assessment in Optimising Results of Percutaneous
Patent Foramen Ovale Closure. Heart, Lung & Circulation. 2017; 26: 246–250. 3. Summary and Conclusion 2018; 39: 2679–2689. [56] Saver JL, Carroll JD, Thaler DE, Smalling RW, MacDonald
LA, Marks DS, et al. Long-Term Outcomes of Patent Foramen
Ovale Closure or Medical Therapy after Stroke. The New Eng-
land Journal of Medicine. 2017; 377: 1022–1032. [42] Nath J, Foster E, Heidenreich PA. Impact of tricuspid regurgita-
tion on long-term survival. Journal of the American College of
Cardiology. 2004; 43: 405–409. [57] Mas JL, Derumeaux G, Guillon B, Massardier E, Hosseini H,
Mechtouff L, et al. Patent Foramen Ovale Closure or Anticoag-
ulation vs. Antiplatelets after Stroke. The New England Journal
of Medicine. 2017; 377: 1011–1021. [43] Alqahtani F, Berzingi CO, Aljohani S, Hijazi M, Al-Hallak A,
Alkhouli M. Contemporary Trends in the Use and Outcomes of
Surgical Treatment of Tricuspid Regurgitation. Journal of the
American Heart Association. 2017; 6: e007597. American Heart Association. 2017; 6: e007597. [58] Jurczyk D, Macherey-Meyer S, Rawish E, Stiermaier T, Eitel
I, Frerker C, et al. New-onset atrial fibrillation after percuta-
neous patent foramen ovale closure: a meta-analysis. Clinical
Research in Cardiology: Official Journal of the German Cardiac
Society. 2023; 112: 1824–1834. [44] Taramasso M, Hahn RT, Alessandrini H, Latib A, Attinger-
Toller A, Braun D, et al. The International Multicenter TriValve
Registry: Which Patients Are Undergoing Transcatheter Tri-
cuspid Repair? JACC. Cardiovascular Interventions. 2017; 10:
1982–1990. [59] Staubach S, Steinberg DH, Zimmermann W, Wawra N, Wilson
N, Wunderlich N, et al. New onset atrial fibrillation after patent
foramen ovale closure. Catheterization and Cardiovascular In-
terventions: Official Journal of the Society for Cardiac Angiog-
raphy & Interventions. 2009; 74: 889–895. [45] Asmarats L, Puri R, Latib A, Navia JL, Rodés-Cabau J. Tran-
scatheter Tricuspid Valve Interventions: Landscape, Challenges,
and Future Directions. Journal of the American College of Car-
diology. 2018; 71: 2935–2956. [46] Lurz P, Stephan von Bardeleben R, Weber M, Sitges M, Sora-
jja P, Hausleiter J, et al. Transcatheter Edge-to-Edge Repair for
Treatment of Tricuspid Regurgitation. Journal of the American
College of Cardiology. 2021; 77: 229–239. [60] Elgendy AY, Elgendy IY, Mojadidi MK, Mahmoud AN, Barry
JS, Jneid H, et al. New-onset atrial fibrillation following percu-
taneous patent foramen ovale closure: a systematic review and
meta-analysis of randomised trials. EuroIntervention: Journal of
EuroPCR in Collaboration with the Working Group on Interven-
tional Cardiology of the European Society of Cardiology. 2019;
14: 1788–1790. [47] Chang CC, Veen KM, Hahn RT, Bogers AJJC, Latib A, Oei FBS,
et al. 3. Summary and Conclusion [36] Heras M, Chesebro JH, Fuster V, Penny WJ, Grill DE, Bailey
KR, et al. High risk of thromboemboli early after bioprosthetic
cardiac valve replacement. Journal of the American College of
Cardiology. 1995; 25: 1111–1119. [52] Abaci A, Unlu S, Alsancak Y, Kaya U, Sezenoz B. Short and
long term complications of device closure of atrial septal de-
fect and patent foramen ovale: meta-analysis of 28,142 patients
from 203 studies. Catheterization and Cardiovascular Interven-
tions: Official Journal of the Society for Cardiac Angiography
& Interventions. 2013; 82: 1123–1138. [37] Brennan JM, Edwards FH, Zhao Y, O’Brien S, Booth ME,
Dokholyan RS, et al. Early anticoagulation of bioprosthetic aor-
tic valves in older patients: results from the Society of Thoracic
Surgeons Adult Cardiac Surgery National Database. Journal of
the American College of Cardiology. 2012; 60: 971–977. [53] Wöhrle J, Bertrand B, Søndergaard L, Turner M, Scholtz W,
Ibrahim R, et al. PFO closuRE and CryptogenIc StrokE (PRE-
CISE) registry: a multi-center, international registry. Clinical
Research in Cardiology: Official Journal of the German Cardiac
Society. 2012; 101: 787–793. [38] Sorajja P, Moat N, Badhwar V, Walters D, Paone G, Bethea B, et
al. Initial Feasibility Study of a New Transcatheter Mitral Pros-
thesis: The First 100 Patients. Journal of the American College
of Cardiology. 2019; 73: 1250–1260. [39] Bapat V, Rajagopal V, Meduri C, Farivar RS, Walton A, Duffy
SJ, et al. Early Experience with New Transcatheter Mitral Valve
Replacement. Journal of the American College of Cardiology. 2018; 71: 12–21. [54] Messé SR, Gronseth G, Kent DM, Kizer JR, Homma S, Roster-
man L, et al. Practice advisory: Recurrent stroke with patent
foramen ovale (update of practice parameter): Report of the
Guideline Development, Dissemination, and Implementation
Subcommittee of the American Academy of Neurology. Neu-
rology. 2016; 87: 815–821. [40] Baumgartner H, Falk V, Bax JJ, De Bonis M, Hamm C, Holm
PJ, et al. 2017 ESC/EACTS Guidelines for the management of
valvular heart disease. European Heart Journal. 2017; 38: 2739–
2791. [55] Søndergaard L, Kasner SE, Rhodes JF, Andersen G, Iversen HK,
Nielsen-Kudsk JE, et al. Patent Foramen Ovale Closure or An-
tiplatelet Therapy for Cryptogenic Stroke. The New England
Journal of Medicine. 2017; 377: 1033–1042. [41] Urena M, Brochet E, Lecomte M, Kerneis C, Carrasco JL, Ghod-
bane W, et al. Clinical and haemodynamic outcomes of balloon-
expandable transcatheter mitral valve implantation: a 7-year ex-
perience. European Heart Journal. 3. Summary and Conclusion [78] Boersma LVA, Schmidt B, Betts TR, Sievert H, Tamburino C,
Teiger E, et al. Implant success and safety of left atrial ap-
pendage closure with the WATCHMAN device: peri-procedural
outcomes from the EWOLUTION registry. European Heart
Journal. 2016; 37: 2465–2474. [65] Song J. Percutaneous Transcatheter Closure of Congenital Ven-
tricular Septal Defects. Korean Circulation Journal. 2023; 53:
134–150. [79] Boersma LV, Ince H, Kische S, Pokushalov E, Schmitz T,
Schmidt B, et al. Evaluating Real-World Clinical Outcomes in
Atrial Fibrillation Patients Receiving the WATCHMAN Left
Atrial Appendage Closure Technology: Final 2-Year Outcome
Data of the EWOLUTION Trial Focusing on History of Stroke
and Hemorrhage. Circulation. Arrhythmia and Electrophysiol-
ogy. 2019; 12: e006841. [66] Morray BH. Ventricular Septal Defect Closure Devices, Tech-
niques, and Outcomes. Interventional Cardiology Clinics. 2019;
8: 1–10. [67] Franke A, Kuhl HP. The Role of Antiplatelet Agents in the Man-
agement of Patients Receiving Intracardiac Closure Devices. Current Pharmaceutical Design. 2006; 12: 1287–1291. [80] Korsholm K, Nielsen KM, Jensen JM, Jensen HK, Andersen G,
Nielsen-Kudsk JE. Transcatheter left atrial appendage occlusion
in patients with atrial fibrillation and a high bleeding risk using
aspirin alone for post-implant antithrombotic therapy. EuroInt-
ervention: Journal of EuroPCR in Collaboration with the Work-
ing Group on Interventional Cardiology of the European Society
of Cardiology. 2017; 12: 2075–2082. [68] Sherman JM, Hagler DJ, Cetta F. Thrombosis after septal
closure device placement: a review of the current literature. Catheterization and Cardiovascular Interventions: Official Jour-
nal of the Society for Cardiac Angiography & Interventions. 2004; 63: 486–489. [69] Glikson M, Wolff R, Hindricks G, Mandrola J, Camm AJ,
Lip GYH, et al. EHRA/EAPCI expert consensus statement on
catheter-based left atrial appendage occlusion - an update. Eu-
roIntervention: Journal of EuroPCR in Collaboration with the
Working Group on Interventional Cardiology of the European
Society of Cardiology. 2020; 15: 1133–1180. [81] Landmesser U, Schmidt B, Nielsen-Kudsk JE, Lam SCC, Park
JW, Tarantini G, et al. Left atrial appendage occlusion with the
AMPLATZER Amulet device: periprocedural and early clini-
cal/echocardiographic data from a global prospective observa-
tional study. EuroIntervention: Journal of EuroPCR in Collabo-
ration with the Working Group on Interventional Cardiology of
the European Society of Cardiology. 2017; 13: 867–876. [70] Hindricks G, Potpara T, Dagres N, Arbelo E, Bax JJ,
Blomström-Lundqvist C, et al. 3. Summary and Conclusion Uncertainties and challenges in surgical and transcatheter
tricuspid valve therapy: a state-of-the-art expert review. Euro-
pean Heart Journal. 2020; 41: 1932–1940. [61] Gaspardone A, De Marco F, Sgueglia GA, De Santis A, Iamele 1] Gaspardone A, De Marco F, Sgueglia GA, De Santis A, Ia [48] Baumgartner H, De Backer J, Babu-Narayan SV, Budts W,
Chessa M, Diller GP, et al. 2020 ESC Guidelines for the man- 14 M, D’Ascoli E, et al. Novel percutaneous suture-mediated patent
foramen ovale closure technique:
early results of the No-
bleStitch EL Italian Registry. EuroIntervention: Journal of Eu-
roPCR in Collaboration with the Working Group on Interven-
tional Cardiology of the European Society of Cardiology. 2018;
14: e272–e279. son DN, et al. Device-Related Thrombus After Left Atrial Ap-
pendage Closure: Incidence, Predictors, and Outcomes. Circu-
lation. 2018; 138: 874–885. M, D’Ascoli E, et al. Novel percutaneous suture-mediated patent
foramen ovale closure technique:
early results of the No-
bleStitch EL Italian Registry. EuroIntervention: Journal of Eu-
roPCR in Collaboration with the Working Group on Interven-
tional Cardiology of the European Society of Cardiology. 2018;
14: e272–e279. son DN, et al. Device-Related Thrombus After Left Atrial Ap-
pendage Closure: Incidence, Predictors, and Outcomes. Circu-
lation. 2018; 138: 874–885. [76] Holmes DR, Reddy VY, Turi ZG, Doshi SK, Sievert H, Buch-
binder M, et al. Percutaneous closure of the left atrial appendage
versus warfarin therapy for prevention of stroke in patients
with atrial fibrillation: a randomised non-inferiority trial. Lancet
(London, England). 2009; 374: 534–542. [62] Akagi T. Current concept of transcatheter closure of atrial septal
defect in adults. Journal of Cardiology. 2015; 65: 17–25. [77] Holmes DR, Jr, Kar S, Price MJ, Whisenant B, Sievert H, Doshi
SK, et al. Prospective randomized evaluation of the Watchman
Left Atrial Appendage Closure device in patients with atrial fib-
rillation versus long-term warfarin therapy: the PREVAIL trial. Journal of the American College of Cardiology. 2014; 64: 1–12. [63] Butera G, Carminati M, Chessa M, Youssef R, Drago M, Gi-
amberti A, et al. Percutaneous versus surgical closure of secun-
dum atrial septal defect: comparison of early results and com-
plications. American Heart Journal. 2006; 151: 228–234. [64] Drakopoulou
M,
Soulaidopoulos
S,
Stathogiannis
K,
Oikonomou G, Papanikolaou A, Toutouzas K, et al. An-
tiplatelet and Antithrombotic Therapy After Patent Foramen
Oval and Atrial Septal Defect Closure. Current Pharmaceutical
Design. 2020; 26: 2769–2779. 3. Summary and Conclusion 2020 ESC Guidelines for the di-
agnosis and management of atrial fibrillation developed in col-
laboration with the European Association for Cardio-Thoracic
Surgery (EACTS): The Task Force for the diagnosis and man-
agement of atrial fibrillation of the European Society of Cardiol-
ogy (ESC) Developed with the special contribution of the Euro-
pean Heart Rhythm Association (EHRA) of the ESC. European
Heart Journal. 2021; 42: 373–498. [82] Urena M, Rodés-Cabau J, Freixa X, Saw J, Webb JG, Freeman
M, et al. Percutaneous left atrial appendage closure with the
AMPLATZER cardiac plug device in patients with nonvalvular
atrial fibrillation and contraindications to anticoagulation ther-
apy. Journal of the American College of Cardiology. 2013; 62:
96–102. [83] Patti G, Sticchi A, Verolino G, Pasceri V, Vizzi V, Brscic E, et al. Safety and Efficacy of Single Versus Dual Antiplatelet Therapy
After Left Atrial Appendage Occlusion. The American Journal
of Cardiology. 2020; 134: 83–90. [71] Holmes DR, Jr, Doshi SK, Kar S, Price MJ, Sanchez JM, Siev-
ert H, et al. Left Atrial Appendage Closure as an Alternative to
Warfarin for Stroke Prevention in Atrial Fibrillation: A Patient-
Level Meta-Analysis. Journal of the American College of Car-
diology. 2015; 65: 2614–2623. [84] Weise FK, Bordignon S, Perrotta L, Konstantinou A, Bologna
F, Nagase T, et al. Short-term dual antiplatelet therapy after in-
terventional left atrial appendage closure with different devices. EuroIntervention: Journal of EuroPCR in Collaboration with the
Working Group on Interventional Cardiology of the European
Society of Cardiology. 2018; 13: e2138–e2146. [72] Lempereur M, Aminian A, Freixa X, Gafoor S, Kefer J, Tzikas
A, et al. Device-associated thrombus formation after left atrial
appendage occlusion: A systematic review of events reported
with the Watchman, the Amplatzer Cardiac Plug and the Amulet. Catheterization and Cardiovascular Interventions: Official Jour-
nal of the Society for Cardiac Angiography & Interventions. 2017; 90: E111–E121. [85] Zeb I, Krim N, Bella J. Role of CYP2C19 genotype testing in
clinical use of clopidogrel: is it really useful? Expert Review of
Cardiovascular Therapy. 2018; 16: 369–377. [73] Alkhouli M, Busu T, Shah K, Osman M, Alqahtani F, Raybuck
B. Incidence and Clinical Impact of Device-Related Throm-
bus Following Percutaneous Left Atrial Appendage Occlusion:
A Meta-Analysis. JACC. Clinical Electrophysiology. 2018; 4:
1629–1637. [86] Serebruany VL, Steinhubl SR, Berger PB, Malinin AI, Bhatt DL,
Topol EJ. Variability in platelet responsiveness to clopidogrel
among 544 individuals. Journal of the American College of Car-
diology. 3. Summary and Conclusion 2005; 45: 246–251. [87] Jimenez Diaz VA, Tello-Montoliu A, Moreno R, Cruz Gonzalez
I, Baz Alonso JA, Romaguera R, et al. Assessment of Platelet
REACtivity After Transcatheter Aortic Valve Replacement: The
REAC-TAVI Trial. JACC. Cardiovascular Interventions. 2019;
12: 22–32. [74] Kar S, Hou D, Jones R, Werner D, Swanson L, Tischler B, et
al. Impact of Watchman and Amplatzer devices on left atrial
appendage adjacent structures and healing response in a canine
model. JACC. Cardiovascular Interventions. 2014; 7: 801–809. ;
[75] Dukkipati SR, Kar S, Holmes DR, Doshi SK, Swarup V, Gib- 15 of the European Association for Cardio-thoracic Surgery. 2018;
53: 34–78. [88] Ageno W, Gallus AS, Wittkowsky A, Crowther M, Hylek EM,
Palareti G. Oral anticoagulant therapy: Antithrombotic Therapy
and Prevention of Thrombosis, 9th ed: American College of
Chest Physicians Evidence-Based Clinical Practice Guidelines. Chest. 2012; 141: e44S–e88S. [97] Pelliccia F, Gragnano F, Pasceri V, Cesaro A, Zimarino M, Cal-
abrò P. Risk Scores of Bleeding Complications in Patients on
Dual Antiplatelet Therapy: How to Optimize Identification of
Patients at Risk of Bleeding after Percutaneous Coronary Inter-
vention. Journal of Clinical Medicine. 2022; 11: 3574. [89] Simic J, Mihajlovic M, Zec N, Kovacevic V, Marinkovic M,
Mujovic N, et al. The impact of anticoagulation therapy on kid-
ney function in patients with atrial fibrillation and chronic kid-
ney disease. Expert Review of Cardiovascular Therapy. 2023;
1–9. [98] Tarantini G, D’Amico G, Schmidt B, Mazzone P, Berti S, Fischer
S, et al. The Impact of CHA2DS2-VASc and HAS-BLED Scores
on Clinical Outcomes in the Amplatzer Amulet Study. JACC. Cardiovascular Interventions. 2020; 13: 2099–2108. [90] Al-Horani RA. Factor XI(a) inhibitors for thrombosis: an up-
dated patent review (2016-present). Expert Opinion on Thera-
peutic Patents. 2020; 30: 39–55. [99] Shimura T, Yamamoto M, Kano S, Kagase A, Kodama A,
Koyama Y, et al. Impact of the Clinical Frailty Scale on Out-
comes After Transcatheter Aortic Valve Replacement. Circula-
tion. 2017; 135: 2013–2024. [91] Larsson M, Rayzman V, Nolte MW, Nickel KF, Björkqvist
J, Jämsä A, et al. A factor XIIa inhibitory antibody provides
thromboprotection in extracorporeal circulation without increas-
ing bleeding risk. Science Translational Medicine. 2014; 6:
222ra17. [100] Hioki H, Watanabe Y, Kozuma K, Nara Y, Kawashima H,
Kataoka A, et al. Pre-procedural dual antiplatelet therapy in
patients undergoing transcatheter aortic valve implantation in-
creases risk of bleeding. Heart (British Cardiac Society). 2017;
103: 361–367. [92] Weitz JI, Fredenburgh JC. 3. Summary and Conclusion Factors XI and XII as Targets for New
Anticoagulants. Frontiers in Medicine. 2017; 4: 19. [101] Kundi H, Popma JJ, Reynolds MR, Strom JB, Pinto DS, Vals-
dottir LR, et al. Frailty and related outcomes in patients under-
going transcatheter valve therapies in a nationwide cohort. Eu-
ropean Heart Journal. 2019; 40: 2231–2239. [93] Korpallová B, Samoš M, Bolek T, Škorňová I, Kovář F, Kubisz
P, et al. Role of Thromboelastography and Rotational Throm-
boelastometry in the Management of Cardiovascular Diseases. Clinical and Applied Thrombosis/hemostasis: Official Journal
of the International Academy of Clinical and Applied Thrombo-
sis/Hemostasis. 2018; 24: 1199–1207. [102] Afilalo J. The Clinical Frailty Scale: Upgrade Your Eyeball
Test. Circulation. 2017; 135: 2025–2027. [94] Calabrò P, Niccoli G, Gragnano F, Grove EL, Vergallo R,
Mikhailidis DP, et al. Are we ready for a gender-specific ap-
proach in interventional cardiology? International Journal of
Cardiology. 2019; 286: 226–233. [103] Kappetein AP, Head SJ, Généreux P, Piazza N, van Mieghem
NM, Blackstone EH, et al. Updated standardized endpoint
definitions for transcatheter aortic valve implantation:
the
Valve Academic Research Consortium-2 consensus document
(VARC-2). European Journal of Cardio-thoracic Surgery: Of-
ficial Journal of the European Association for Cardio-thoracic
Surgery. 2012; 42: S45–S60. [95] Townsend N, Wilson L, Bhatnagar P, Wickramasinghe K,
Rayner M, Nichols M. Cardiovascular disease in Europe: epi-
demiological update 2016. European Heart Journal. 2016; 37:
3232–3245. [104] VARC-3 WRITING COMMITTEE, Généreux P, Piazza N,
Alu MC, Nazif T, Hahn RT, et al. Valve Academic Research
Consortium 3: Updated Endpoint Definitions for Aortic Valve
Clinical Research. Journal of the American College of Cardiol-
ogy. 2021; 77: 2717–2746. [96] Valgimigli M, Bueno H, Byrne RA, Collet JP, Costa F, Jeppsson
A, et al. 2017 ESC focused update on dual antiplatelet therapy in
coronary artery disease developed in collaboration with EACTS. European Journal of Cardio-thoracic Surgery: Official Journal 16
|
https://openalex.org/W2071870207
|
https://europepmc.org/articles/pmc2852846?pdf=render
|
English
| null |
The Fibrillar Collagen Family
|
International journal of molecular sciences
| 2,010
|
cc-by
| 8,913
|
Int. J. Mol. Sci. 2010, 11, 407-426; doi:10.3390/ijms11020407 Int. J. Mol. Sci. 2010, 11, 407-426; doi:10.3390/ijms11020407 International Journal of
Molecular Sciences
ISSN 1422-0067
www.mdpi.com/journal/ijms
OPEN ACCESS International Journal of
Molecular Sciences
ISSN 1422-0067
www.mdpi.com/journal/ijms
OPEN ACCESS Keywords: fibrillar collagen; extracellular matrix; metazoan evolution 1. Introduction Collagen, in all its forms, represents the most abundant protein in animals. The collagens represent
a heterogeneous family of extracellular matrix glycoproteins containing at least one triple helical
domain and are generally involved in the formation of supramolecular networks [1,2]. All of the
collagen molecules are made up of three chains that may or may not be identical. At the primary
structure level, the sequence of chains involved in the formation of triple-helical structure consists of
repeating Gly-Xaa-Yaa triplets and is called the collagenous domain or triple helix motif. Thus, the
triple-helical structure corresponds to a right-handed superhelix resulting from the intertwining of the
collagenous domains of three chains, each of which adopts a polyproline II-like left-handed
conformation. Collagens are often considered as a metazoan hallmark, even if proteins possessing
triple-helical motifs have been identified in viruses, bacteria, fungi and the protists choanoflagellates
[2–5]. Moreover, some other metazoan proteins contain a triple helix but are not members of the
collagen family. These include several humoral proteins included in the so-called defense collagen
family, and implicated in innate immunity [2,6]. Among the 28 different types identified in vertebrates [7,8], basement membrane type IV and the
fibrillar collagens are the only ones to have been hitherto described from sponges to humans [9,10]. Type IV collagen is one of the major constituents of basement membranes where it forms a three-
dimensional network. It has been characterized in Homoscleromorpha, the only sponge group
presenting basement membrane-like structures. Interestingly, in another sponge group devoid of
basement membrane structure, the Demospongiae, a short-chain collagen family evolutionarily related
to type IV collagens has been described. These short-chain collagens seem to be present only in
invertebrates with the notable exception of Ecdyzozoa [11]. The fibrillar collagens are present in almost all animals, and are the components of the well-known
striated fibrils. A prototypal fibrillar procollagen chain consists of an uninterrupted collagenous
domain or major triple helix made up of approximately 338 Gly-Xaa-Yaa triplets, this region being
flanked by two non-collagenous domains, the N- and the C-propeptides. On the biosynthetic pathway
leading to the formation of the striated fibrils (Figure 1A), we first have the selection and association
of three procollagen chains. The resultant procollagen molecules are processed into collagen
molecules. During this maturation, the N- and the C-propeptides are generally cleaved by specific
proteases. Jean-Yves Exposito *, Ulrich Valcourt, Caroline Cluzel and Claire Lethias Institut de Biologie et Chimie des Protéines, IFR 128 Biosciences Lyon-Gerland, CNRS UMR 5086,
Université de Lyon, 7 passage du Vercors, F-69367 Lyon Cedex 07, France;
E-Mails: u.valcourt@ibcp.fr (U.V.); caroline.cluzel-grangeasse@ibcp.fr (C.G.);
c.lethias@ibcp.fr (C.L.) * Author to whom correspondence should be addressed; E-Mail: jy.exposito@ibcp.fr;
Tel.: +33-4-72-72-26-77; Fax: +33-4-72-72-26-04. * Author to whom correspondence should be addressed; E-Mail: jy.exposito@ibcp.fr;
Tel.: +33-4-72-72-26-77; Fax: +33-4-72-72-26-04. Received: 30 December 2009; in revised form: 22 January 2010 / Accepted: 23 January 2010 /
Published: 28 January 2010 Received: 30 December 2009; in revised form: 22 January 2010 / Accepted: 23 January 2010 /
Published: 28 January 2010 Abstract: Collagens, or more precisely collagen-based extracellular matrices, are often
considered as a metazoan hallmark. Among the collagens, fibrillar collagens are present
from sponges to humans, and are involved in the formation of the well-known striated
fibrils. In this review we discuss the different steps in the evolution of this protein family,
from the formation of an ancestral fibrillar collagen gene to the formation of different
clades. Genomic data from the choanoflagellate (sister group of Metazoa) Monosiga
brevicollis, and from diploblast animals, have suggested that the formation of an ancestral
chain occurred before the metazoan radiation. Phylogenetic studies have suggested an
early emergence of the three clades that were first described in mammals. Hence the
duplication events leading to the formation of the A, B and C clades occurred before the
eumetazoan radiation. Another important event has been the two rounds of “whole genome
duplication” leading to the amplification of fibrillar collagen gene numbers, and the
importance of this diversification in developmental processes. We will also discuss some
other aspects of fibrillar collagen evolution such as the development of the molecular
mechanisms involved in the formation of procollagen molecules and of striated fibrils. Int. J. Mol. Sci. 2010, 11 408 2. Fibrillar Collagen Family To better understand the evolution of fibrillar collagens, we will first describe some sequence
particularities of these proteins by taking into account human data. In humans, the fibrillar collagen
family included types I-III, V and XI, but also the more recently characterized types XXIV and XXVII
[2,18–20]. As illustrated in Figure 1B, types XXIV and XXVII share some particularities with the
other fibrillar collagen chains. Their major triple helix is slightly shorter (997 instead of 1014 to 1020
residues) and presents two successive glycine substitutions and one Gly-Xaa-Yaa-Zaa imperfection. Moreover, their N-propeptide domains are devoid of a minor triple-helical region, unlike the other
fibrillar collagens. Human fibrillar chains harbor different non-collagenous modules in their
N-propeptide domains (Figures 1B and 1C). The pro1(I), pro1(II), pro1(III) and pro2(V) (e.g., a
pro2(I) collagen polypeptide corresponds to the pro chain 2 of type I collagen) chains contain a
VWC module in their N-propeptides while a TSPN domain is observed for the pro1(V), pro3(V),
pro1(XI), pro2(XI), pro1(XXIV) and pro1(XXVII) chains. For the pro2(I) chain, the
N-propeptide is almost entirely made of a short triple helical region. At the molecular level, types II
and III collagens are made up of three identical chains (homotrimer). Structural considerations and
tissue localizations suggest that collagens XXIV and XXVII form homotrimeric molecules [18–20]. Type I is generally an heterotrimer comprising two pro1(I) and one pro2(I) chains (Figure 1A), but
homotrimeric molecules made of three pro1(I) chains have been detected. The situation of types V
and XI is more complicated. These often represent heterotrimeric molecules, but a homotrimer of the
pro1(V) chain has been characterized and composite molecules of types V and XI have also been
described [21]. It should been noted that the pro3(XI) chain appears to be a modified product of the
gene encoding the type II collagen chain [22,23]. Since the same cell can synthesize different types of fibrillar collagen at the same time, a specific
molecular mechanism is required for the recognition and discrimination of chains during assembly
of the procollagen molecule. Using chimeric recombinants of human pro2(I) and pro1(III) chains,
Lee et al. [24] have characterized a discontinuous region of 15 amino acids in the C-propeptide which
is involved in such recognition of fibrillar procollagen chains. 1. Introduction The collagen molecules mostly correspond to the major triple helix and appear as rod-like
structures 300 nm in length with diameter approximately 1.5 nm. Two short non-collagenous segments
or telopeptides flank the major triple helix in these mature collagen molecules, which are then able to
assemble into fibrils. The triple helical structure is less susceptible to proteases than non-collagenous
domains, and since fibrillar collagens are abundant proteins, this might explain why they have been
useful in analyzing palaeontologic material [13,14]. Indeed, taking advantage of the fact that vertebrate
type I collagen is one of the most abundant vertebrate proteins, several studies have been able to
sequence part of this well preserved molecule using old fossilized bones from dinosaurs 68 to
80 million years old [15,16]. Although there is some controversy about the results of these studies,
reanalysis by another group of the Tyrannosaurus rex sample has led to analogous results [17]. As
indicating by Bern et al. [17], contamination remains a tricky and possibly unresolvable issue for these
ancient fossilized samples, necessitating considerable precautions during the extraction process. Int. J. Mol. Sci. 2010, 11 409 Figure 1. Fibrillar collagen characteristics. (A) From fibrillar chains to the striated
fibrils. To illustrate the different steps leading to the formation of collagen fibrils, we have
chosen human type I collagen. After the selection of appropriate chains, the
C-propeptides play a fundamental role in alignment and registration of chains, permitting
nucleation of the triple helix and its elongation in a C- to a N-terminal direction. Then, the
procollagens are processed by N- and C-proteinases, and the resultant collagen molecules
aggregate to form the fibrils. (B) Modular structures of human fibrillar collagen chains. Dashed lines are used to illustrate the three different N-propeptide modular configurations
found in human types I-III, V and XI. (C) Different N-propeptide architectures of metazoan
fibrillar collagen chains. (+) indicates that at least one chain presents this type of
N-propeptide. In the case of cnidarian data, (+a) signifies that these N-propeptide modular
structures have not been characterized to date, but are present either in hydra or in sea
anemone. (?b) indicates that phylogenetic analysis has indicated that the sea urchin 7
chain is related to vertebrate types XXIV and XXVII, but that the N-propeptide of this
fibrillar collagen is still unknown [12]. 410 Int. J. Mol. Sci. 2010, 11 Figure 1. Cont. 2. 1. Introduction Fibrillar Collagen Family
To better understand the evolution of fibrillar collagens, we will first describe some sequence
particularities of these proteins by taking into account human data. In humans, the fibrillar collagen
family included types I-III, V and XI, but also the more recently characterized types XXIV and XXVII
[2,18–20]. As illustrated in Figure 1B, types XXIV and XXVII share some particularities with the
other fibrillar collagen chains. Their major triple helix is slightly shorter (997 instead of 1014 to 1020
residues) and presents two successive glycine substitutions and one Gly-Xaa-Yaa-Zaa imperfection. Moreover, their N-propeptide domains are devoid of a minor triple-helical region, unlike the other
fibrillar collagens. Human fibrillar chains harbor different non-collagenous modules in their
N-propeptide domains (Figures 1B and 1C). The pro1(I), pro1(II), pro1(III) and pro2(V) (e.g., a
pro2(I) collagen polypeptide corresponds to the pro chain 2 of type I collagen) chains contain a
VWC module in their N-propeptides while a TSPN domain is observed for the pro1(V), pro3(V),
pro1(XI), pro2(XI), pro1(XXIV) and pro1(XXVII) chains. For the pro2(I) chain, the
N-propeptide is almost entirely made of a short triple helical region. At the molecular level, types II
and III collagens are made up of three identical chains (homotrimer). Structural considerations and
tissue localizations suggest that collagens XXIV and XXVII form homotrimeric molecules [18–20]. Type I is generally an heterotrimer comprising two pro1(I) and one pro2(I) chains (Figure 1A), but
homotrimeric molecules made of three pro1(I) chains have been detected. The situation of types V
and XI is more complicated. These often represent heterotrimeric molecules, but a homotrimer of the
pro1(V) chain has been characterized and composite molecules of types V and XI have also been
described [21]. It should been noted that the pro3(XI) chain appears to be a modified product of the
gene encoding the type II collagen chain [22,23]. Since the same cell can synthesize different types of fibrillar collagen at the same time a specific Figure 1. Cont. 2. Fibrillar Collagen Family Figure 1. Cont. Figure 1. Cont. 2. Fibrillar Collagen Family 3. The N-Propeptide Region of Fibrillar Procollagens As indicated above, after removal of the propeptides from procollagens, the resultant collagen
molecules are involved in the formation of striated fibrils. Once more, this is not a simple situation. Fibrils are generally heterotypic structures, being composed of one or two quantitatively major
collagens (I–III) as well as one quantitatively minor collagen (V or XI). We can also distinguish fibrils
present in cartilage (including types II and XI) from those in non-cartilage tissues (types I, III and V). Moreover, partial processing of the N-propeptide of minor fibrillar collagens in these heterotypic
fibrils has been demonstrated. The structural importance of the retention of the N-propeptide in fibrils
has been pointed out in several studies [26,27]. From the model of Linsenmayer et al. [27], the
presence of the type V N-propeptide on the fibril surface regulates fibril diameter by sterically
preventing the further addition of collagen molecules. In other words, the thinnest heterotypic fibrils
have the highest minor collagen content. In the case of type XXVII collagen, it was recently shown
that this unusual fibrillar collagen is involved in the formation of ultra-thin 10 nm thick non-striated
fibrils [28]. However, another group has indicated that type XXVII is a component of non-banded
fibrous structures, filamentous networks, and thin banded fibrils [29]. Four N-propeptide configurations have been described in human fibrillar collagen chains
(Figure 1B). As shown in Figure 1C, most metazoan chains can be assigned to one of these four
types of N-propeptide. One exception to this rule occurs in Cnidaria, where prochains possess an
N-propeptide made of WAP or WAP and VWA modules (not shown in Figure 1B) in addition to a
minor triple helix. Also not shown is the WASP module (eight cysteine residues), which we have
demonstrated is similar to the VWC domain (10 cysteine residues) in terms of length, location in the
N-propeptide and presence of two successive cysteine residues near the C-terminus [30]. The second
exception concerns the presence in some sea urchin chains of a series of a four-cysteine modules
(called SURF modules) between a VWC domain and the minor triple helix within their N-propeptide
regions (Figure 1C) [31,32]. Another sea urchin chain from Strongylocentrotus purpuratus, termed 1, has an N-propeptide
reduced to a minor triple helix reminiscent of the situation found in the vertebrate pro2(I) chain [33]. 2. Fibrillar Collagen Family Multiple alignment analysis of
mammalian C-propeptides permitted these authors to show that this region corresponds to two
relatively hydrophilic stretches of 12 and three amino acids separated by a highly conserved and
hydrophobic sequence (Figure 2A). Hence, the C-propeptide plays a fundamental role allowing for cell
type-specific assembly of fibrillar procollagen molecules. Int. J. Mol. Sci. 2010, 11 411 Figure 2. Multiple alignments of C-propeptide (COLF1) domains. (A) Selected human
(Hsa) and choanoflagellate (Mbr, Monosiga brevicolis) COLF1 domains are aligned. Residues that are perfectly conserved among these proteins are shaded in yellow. Cysteine
residues are colored in red and numbered. The grey boxes represent the chain selectivity
recognition domains identified by Lees et al. [24]. (B) Chain recognition sequences in
Metazoa. This sequence alignment is based on previous studies [12,25]. A A A
1(III)-Hsa GSRKNPARNCRDLKFCHPELKSGEYWVDPNQGCKLDAIKVFCNMET-GETCISAN--PLNVPRKHWW-TDSSAEKKHVWFGE
2(I)-Hsa GSRKNPARTCRDLRLSHPEWSSGYYWIDPNQGCTMEAIKVYCDFPT-GETCIRAQ--PENIPAKNWY--RSSKDKKHVWLGE
1(I)-Hsa GSRKNPARTCRDLKMCHSDWKSGEYWIDPNQGCNLDAIKVFCNMET-GETCVYPT--QPSVAQKNWYISKNPKDKRHVWFGE
1(II)-Hsa GSRKNPARTCRDLKLCHPEWKSGDYWIDPNQGCTLDAMKVFCNMET-GETCVYPN--PANVPKKNWWSSK-SKEKKHIWFGE
3(V)-Hsa GTAERPGLVCHELHRNHPHLPDGEYWIDPNQGCARDSFRVFCNFTAGGETCLYPDKKFEIVKLASW-----SKEKPGGWYST
1(XI)-Hsa GTQTNPARTCKDLQLSHPDFPDGEYWIDPNQGCSGDSFKVYCNFTSGGETCIYPDKKSEGVRISSW-----PKEKPGSWFSE
1(V)-Hsa GTQQNPARTCKDLQLCHPDFPDGEYWVDPNQGCSRDSFKVYCNFTAGGSTCVFPDKKSEGARITSW-----PKENPGSWFSE
Cysteine
1 2 3 4 5
Mbr1600
GTKFNPGKTCYDIYLHSSGATDGTYYIDPNGGNDRDAVLVTCNMTGGGWTGLHPD---TQVPLAHY---RDGAGDGYFWYSD
Mbr60234 GSRLRPGRSCLDIFMHGQAFNDTLYAIDPNGGDPRDYVMAFCNMSGGGWTGVSVT---EQVPFRAW--NSEGGGDGHRFFST
1(III)-Hsa SMDGGFQFSYGNPELPEDVLDVQLAFLRLLSSRASQNITYHCKNSIAYMDQASGNVKKALKLMGSNEGEFKAEGNSKFTYTV
2(I)-Hsa TINAGSQFEYNVEGVTSKEMATQLAFMRLLANYASQNITYHCKNSIAYMDEETGNLKKAVILQGSNDVELVAEGNSRFTYTV
1(I)-Hsa SMTDGFQFEYGGQGSDPADVAIQLTFLRLMSTEASQNITYHCKNSVAYMDQQTGNLKKALLLKGSNEIEIRAEGNSRFTYSV
1(II)-Hsa TINGGFHFSYGDDNLAPNTANVQMTFLRLLSTEGSQNITYHCKNSIAYLDEAAGNLKKALLIQGSNDVEIRAEGNSRFTYTA
3(V)-Hsa -FRRGKKFSYVDADGSPVNV-VQLNFLKLLSATARQNFTYSCQNAAAWLDEATGDYSHSARFLGTNGEELSFNQTTATTVSV
1(XI)-Hsa -FKRGKLLSYLDVEGNSINM-VQMTFLKLLTASARQNFTYHCHQSAAWYDVSSGSYDKALRFLGSNDEEMSYDNNPFIK--T
1(V)-Hsa -FKRGKLLSYVDAEGNPVGV-VQMTFLRLLSASAHQNVTYHCYQSVAWQDAATGSYDKALRFLGSNDEEMSYDNNPYIR--A
Cysteine
6
Mbr1600
-TTAGSEIGYDVSG-------DQLTALLAQSFEGTQMIAWQCKGVMMYSD-SQAEMSSAAIYKANSGFQWTYSEPG---YTV
Mbr60234 -LDDGFTIPYSMRS-------NQLSALLALSSEATQMVSVDCIDAIVYERESDGSLNFAFIFEGYNGFQWLHQNAN---YTV B
1(III)-Hsa
WFGESMDGGFQFSYG--NPELPEDVL-DVQLAFLRLLSSRASQNITYHC
2(I)-Hsa
WLGETINAGSQFEYN--VEGVTSKEM-ATQLAFMRLLANYASQNITYHC
1(I)-Hsa
WFGESMTDGFQFEYG--GQGSDPADV-AIQLTFLRLMSTEASQNITYHC
1(II)-Hsa
WFGETINGGFHFSYG--DDNLAPNTA-NVQMTFLRLLSTEGSQNITYHC
a1(IIa))Pma
WFGETMNSGSQFNYG--DDSLPPNTA-AIQMTFLRLLSTEASQNITYHC
3(V)-Hsa
WYST-FRRGKKFSYV--DADGSPVNV--VQLNFLKLLSATARQNFTYSC
1(XI)-Hsa
WFSE-FKRGKLLSYL--DVEGNSINM--VQMTFLKLLTASARQNFTYHC
1(V)-Hsa
WFSE-FKRGKLLSYV--DAEGNPVGV--VQMTFLRLLSASAHQNVTYHC
1(XXVII)-Hsa
----------KVEFA--IS--------RVQMNFLHLLSSEVTQHITIHC
Ci759-Cin
YYGEEMATGSTVRYDPSDEDRVPHADYTSQLTFLRLLSRQVKQHVTFYC
Col1-Bfl
WFGDSMKGGYHFTYT--ADE--------IQMQFLRLSSTGARQNITYQC
Emf1-Emu
WFSD-MLGGFKLTYD--IS--------RSQLQFIRAASRHAVQSFTYKC B Int. J. Mol. Sci. 2010, 11 412 3. The N-Propeptide Region of Fibrillar Procollagens However, the large intronic sequence (approximately 22,800 bp) between the two first 5’ exons of the
gene encoding the 1 chain might potentially encode one VWC and 16 SURF modules without
perturbing the open reading frame (Figure 3). Blast analysis reveals that four ESTs (from S. purpuratus larva tissues) span part of these newly deduced exons (Figure 3). It should be noted that the
study concerning the S. purpuratus 1 chain was carried out using blastula to pluteus embryos and that
in all the cDNAs analyzed the open reading frame encoded a 1 chain presenting an N-propeptide
reduced to the minor triple helix [33]. In agreement with the cDNA study, Northern-blot analysis
revealed a 5 kb mRNA specific to the 1 chain. Interestingly, and as shown in Figure 3, over-exposed
autoradiograms show an 11 kb mRNA band at the pluteus stage that might potentially encode the long
isoform of the 1 chain. Int. J. Mol. Sci. 2010, 11 413 Figure 3. The sea urchin 1 fibrillar collagen chain. (A) Modular structure of the 1
chain. Domains are illustrated as in Figure 1. (B) the exon/intron structure of COLP1, the
gene encoding the S. purpuratus 1 chain. The COLP1 sequence is available using a sea
urchin server (http://genome.ucsc.edu/cgi-bin/hgGateway; Scaffold69286:454253-495522
bp). Exons are represented by closed boxes. Below the COLP1gene, the short and
putative long mRNA isoforms are schematized. The four ESTs specific to the long 1
mRNA isoform are indicated with their accession number. (C) Northern-blot analysis of
1 mRNA. A short-exposure time of this Northern-blot was shown previously [34]. Here,
we present different times of autoradiography, from 2 h to 72 h. 4. The C-Propeptide of Fibrillar Collagens 4. The C-Propeptide of Fibrillar Collagens 4. The C-Propeptide of Fibrillar Collagens 4. The C-Propeptide of Fibrillar Collagens The C-propeptide or COLF1 domain contains highly conserved sequences that are probably
involved in its own structure, but is also punctuated by less conserved regions like those involved in
chain selection [24,35]. The most important result concerning the evolution of this domain has been to
realize that most of the defined chain selectivity recognition sequence is absent in invertebrate fibrillar
collagens [36]. As shown in Figure 2B, only one invertebrate chordate chain, Ci759-Cin, possesses a
complete sequence. The relevance of this situation in regard to fibrillar collagen evolution will be Int. J. Mol. Sci. 2010, 11 414 discussed later. In spite of the increase of metazoan data, the COLF1 domain has only been described
to date at the C-terminus of fibrillar collagen chains. Choanoflagellates are the closest living relatives
of the Metazoa. Interestingly, King et al. [5] have indicated that the genome of the choanoflagellate
Monosiga brevicolis can potentially encode two proteins including a triple-helical sequence and three
possessing a COLF1 domain. Multiple alignment analysis (Figure 2A) reveals that M. brevicolis
COLF1 modules lack Cysteine residues 2, 3, 5 and 8. In fibrillar collagens, Cys-5 and Cys-8 form an
intra-chain disulfide bond while either Cys-2 or Cys-3 or both of them can be absent. Figure 4. Hypothetical steps leading to the formation of an ancestral fibrillar
collagen gene. Figure 4. Hypothetical steps leading to the formation of an ancestral fibrillar
collagen gene. 5. The Major Triple Helical Sequences and the Formation of an Ancestral Gene 6. Using Triple Helical Sequences to Decipher Fibrillar Collagen Evolution Preceding phylogenetic analyses, molecular and electron microscopic studies have suggested that
fibrillar collagens from invertebrates, and more especially from diploblast animals seem to be related
to the vertebrates types V/XI [9,42,43]. Hence, in sponges, striated fibrils have a uniform diameter of
25 nm, a situation observed in vertebrates for heterofibrils containing types V or XI collagens. A
second observation allowing the first classification of vertebrate fibrillar collagens has resulted from
the sequencing of the related genes. Takahara et al. [39] proposed, from the exon/intron distribution in
the region encoding the major triple helix that the fibrillar collagens could be divided into two
subgroups. The first includes the genes encoding types I-III and the pro2(V) chains while the second
includes those encoding the pro1(V), pro1(XI) and pro2(XI) chains [39,40]. Later on, sequencing
projects demonstrated that COL5A3 is a member of the second group. The next step in knowledge of
the evolution of this collagen family was to make a phylogenetic analysis using human chains and a
few invertebrate fibrillar collagens [44]. Despite the small number of sequences used, it was clear that
vertebrate chains could be divided in two subfamilies, this study confirming the previous suggestion
made from simple observations of gene organization. Hence, the first (types I-III, pro2(V) chain) and
second (pro1(V), pro3(V), pro1(XI), and pro2(XI) chains) subfamilies were called the A and B
clades, respectively. In agreement with these studies, the N-propeptide composition of the A and B
chains are different. A clade members possess a VWC module in their N-propeptide, while B clade
members possess a TSPN module. It should be noted that the pro2(I) chain lacks the VWC domain,
but is included in the A clade. More recently, a third subfamily of fibrillar collagen that includes the
pro1(XXIV) and pro1(XXVII) chains was characterized, and called the C clade [19]. While at this
point the evolutionary relationship of vertebrate fibrillar collagen chains was well understood, there
remained some difficulty and/or controversy in assigning invertebrate fibrillar chains to one of the
vertebrate clades despite the presence in several invertebrate chains of a VWC module in their
N-propeptide. For these phylogenetic analyses [19,44], the authors used the C-propeptide sequences. However, due to several factors (variability in length and sequence), this domain is not sufficiently
informative to decipher the evolution of the fibrillar collagens. 5. The Major Triple Helical Sequences and the Formation of an Ancestral Gene The characterization of the genes encoding fibrillar collagen chains have led to proposals
concerning the exon-intron organization of an ancestral fibrillar collagen chain in addition to some
steps leading to its formation. By chronological order, it was first obvious that half the exons encoding
the major triple helix of types I and III collagens were 54 bp of length while the others are multiples of
54 bp (108 and 162 bp) or multiples of 54 bp minus 9 bp (45 and 99 bp). From this observation,
Yamada et al. [37] suggested that the primordial genetic unit of an ancestral fibrillar collagen includes
an exon of 54 bp in length, beginning with an intact Glycine codon, ending with an intact Yaa codon,
and encoding six Gly-Xaa-Yaa triplets. From this point of view, the formation of a putative ancestral
gene arose from the multiple duplications of this primordial unit. The presence of the 45 bp and 99 bp
exons in fibrillar collagen genes could be explained in this hypothesis by unequal crossing-over. Later 415 Int. J. Mol. Sci. 2010, 11 on, from the study of a freshwater sponge fibrillar collagen gene and by comparing this data with the
exon-intron structures of mammalian types I-III genes, we have been able to propose the exon-intron
organization of a putative ancestral fibrillar collagen gene [38]. In comparison to the Yamada model,
we suggest that two genetic units are at the origin of the fibrillar collagen genes. As proposed by
Yamada et al. [37], the first steps have been multiple rounds of duplication of an exon of 54 bp. An
unequal crossing-over event led to the formation of a 45 bp exon beginning by an intact Glycine
codon. As shown in Figure 4, multiple duplications of a new genetic unit including a 54 bp and a 45 bp
exon might explain the particular distribution of these two types of exons in fibrillar collagen genes. Interestingly, and with the availability of more genomic data, the exon-intron organization of
numerous genes [25,30,39,40] is consistent with that suggested for an ancestral fibrillar collagen gene
([41] and Figure 4). 6. Using Triple Helical Sequences to Decipher Fibrillar Collagen Evolution A new approach was to postulate that
the conservation of the exon/intron organization of metazoan fibrillar collagen genes in the region
encoding the major triple helix reflects conservation of related amino acid sequences [25]. Int. J. Mol. Sci. 2010, 11 416 Int. J. Mol. Sci. 2010, 11 In agreement with this methodological approach, it should be noted that, with the availability of
complete sequences of eukaryotic genomes, exon-intron-structures have indeed been used as a novel
source of evolutionary information [45,46]. As indicated by Csurös et al. [47], “comparative-genomic
studies show that numerous intron positions in orthologous genes are conserved at great evolutionary
depths, for example, between plants and animals”. Hence, the use of intron positions might improve
multiple protein sequence alignments in regions of questionable alignment [48]. It is even possible to
align two or more unrelated collagenous sequences by this method, while multiple alignments
generally result in numerous gaps. In contrast, multiple alignments of bilaterian major triple helices
confirm the pattern of introns of fibrillar collagen genes [25,30]. Figure 5. Phylogenetic analysis of some metazoan fibrillar collagen chains. This unrooted
tree was modified from a previous study [30]. The illustration was drawn using the
TreeDyn program [49]. Gray boxes indicate the ascidian fibrillar collagen chains. Using triple-helical sequence with or without the C-propeptide domain, it was possible to
investigate more precisely the fibrillar collagen story (Figures 5 and 6) Altogether, these studies have
permitted the evolution of this protein family to be followed from sponges to humans
[12,19,25,30,50,51]. As shown in Figure 5, the three fibrillar collagen clades, defined in humans have
emerged before the emergence of chordates. Hence, the invertebrate chordate Ciona intestinalis
(ascidian) clearly possesses a member of each clade, but also another chain (906-ascidian) related to
the C clade and presenting numerous imperfections and Glycine substitutions in its major triple helical
domain. With the availability of poriferan (parazoan) and cnidarian (Radiata, eumetazoan) genomes,
new analyses have revealed the early evolution of the fibrillar collagen family [30,50]. Hence, there is
strong phylogenetic support for the hypothesis that the emergence of the A, B and C clades predated Using triple-helical sequence with or without the C-propeptide domain, it was possible to
investigate more precisely the fibrillar collagen story (Figures 5 and 6) Altogether, these studies have
permitted the evolution of this protein family to be followed from sponges to humans
[12,19,25,30,50,51]. 7. Suggested Evolutionary Model for the Fibrillar Collagen Family A model for the evolution of fibrillar collagens is presented in Figure 6. Moreover, to better
understand the Figure 6, a simplified tree of life is illustrated in Figure 7. From the literature available
to date, fibrillar collagens seem to be specific to Metazoa. Although we could not reject the hypothesis
that fibrillar collagen information was lost in Choanoflagellatea (the sister group of Metazoa,
Figure 7), several data favor the idea that an ancestral fibrillar collagen gene arose in the lineage
leading up to the Metazoa. Hence, the choanoflagellate M. brevicollis might potentially encode
proteins including either triple helical or COLF1 sequences while fibrillar collagens are present in
sponges. The three M. brevicollis COLF1 sequences lack cysteine residues 5 and 8. The fact that
cysteine residues 5 and 8 form an intra-chain disulfide bond and are strictly conserved among fibrillar
collagen chains suggests that they play an important function in the structure of the COLF1 module. As shown in Figure 6, the COLF1 domain present in the ancestral fibrillar collagen chain might
possess cysteine residues 5 and 8. The lack of cysteine residues 2 and 3 in M. brevicollis COLF1
sequences is more questionable. Hence, previous studies have suggested that only chains possessing
all 8 cysteine residues are able to form homotrimeric procollagen molecules [59,60]. In contrast, these
two cysteine residues are absent in some invertebrate fibrillar collagen chains [30]. Moreover,
recombinant studies using semi-intact cells have shown that cysteine residue 2 is not required during
chain association and triple helix folding [61]. The emergence of the A and B/C clades occurred before the parazoan–eumetazoan split, the earliest
divergence among extant animal phyla. As shown in this model (Figure 6), the divergence between the
ancestral B and C clade fibrillar collagen chains occurred either before the separation of poriferan and
eumetazoan lineages (H1 hypothesis) or predated metazoan cladogenesis (H2). The modular
organization of sponge and sea anemone fibrillar chains (Figure 1C and see Figure 1 in Reference
[30]) is in favor of the H2 hypothesis, and reveals that only B clade collagens have conserved their
N-propeptides and triple helix characteristics from sponges to humans. For the A clade, we can note
that the N-propeptide seems to be reduced to the minor triple helix in sponge. The formation of an A
clade fibrillar collagen chain possessing a VWC module in its N-propeptide predated the bilaterian
radiation. 6. Using Triple Helical Sequences to Decipher Fibrillar Collagen Evolution As shown in Figure 5, the three fibrillar collagen clades, defined in humans have
emerged before the emergence of chordates. Hence, the invertebrate chordate Ciona intestinalis
(ascidian) clearly possesses a member of each clade, but also another chain (906-ascidian) related to
the C clade and presenting numerous imperfections and Glycine substitutions in its major triple helical
domain. With the availability of poriferan (parazoan) and cnidarian (Radiata, eumetazoan) genomes,
new analyses have revealed the early evolution of the fibrillar collagen family [30,50]. Hence, there is
strong phylogenetic support for the hypothesis that the emergence of the A, B and C clades predated Using triple-helical sequence with or without the C-propeptide domain, it was possible to
investigate more precisely the fibrillar collagen story (Figures 5 and 6) Altogether, these studies have
permitted the evolution of this protein family to be followed from sponges to humans
[12,19,25,30,50,51]. As shown in Figure 5, the three fibrillar collagen clades, defined in humans have
emerged before the emergence of chordates. Hence, the invertebrate chordate Ciona intestinalis
(ascidian) clearly possesses a member of each clade, but also another chain (906-ascidian) related to
the C clade and presenting numerous imperfections and Glycine substitutions in its major triple helical
domain. With the availability of poriferan (parazoan) and cnidarian (Radiata, eumetazoan) genomes,
new analyses have revealed the early evolution of the fibrillar collagen family [30,50]. Hence, there is
strong phylogenetic support for the hypothesis that the emergence of the A, B and C clades predated Int. J. Mol. Sci. 2010, 11 417 the Radiata–Bilateria split [30]. Moreover, and although not strongly supported by phylogenetic
analyses, there is compelling evidence that the emergence of the three clades predated the divergence
of poriferan lineages. Hence, the modular structures of the sponge fibrillar collagen chains are in good
agreement with this hypothesis. Int. J. Mol. Sci. 2010, 11 419 Int. J. Mol. Sci. 2010, 11 As indicated in Figure 6, lamprey and hagfish (agnathans) have true orthologs of COL2A1, the gene
encoding the vertebrate type II collagen (member of the A clade), which is the major structural protein
of cartilage in gnathostomes [62–64]. Although the cartilage of agnathans was first described as a non-
collagenous tissue [65], the presence of type II collagen has been demonstrated, suggesting that the
formation of a collagen-based cartilage predated the agnathan-gnathostome split. This hypothesis has
to be related to recent studies indicating that the two rounds (2R) of whole genome duplication
occurred between the origin of chordates and before the divergence between cyclostomes and
gnathostomes [66,67]. Hence, Kuraku [67] suggests that “a post-2R state is a genomic synapomorphy
for all extant vertebrates”. The relationships between fibrillar collagens and cartilage have also been
investigated in invertebrates [12,51,63,68]. Rychel et al. [51] have shown that collagenous proteins are
present in the pharyngeal cartilage of hemichordates and cephalochordates, this result suggesting that
the formation of this collagenous tissues occurred near the time of deuterostome diversification [68]. In lancelet, the gene encoding this collagenous protein is expressed in the notochord [63]. It is related
to the A clade and might be defined as the pre-2R ortholog of types I, II, III and the pro2(V) fibrillar
collagen chains. In jawed vertebrates, the A clade genes are mostly expressed in notochord and/or
notochordal sheath. As indicated by Zhang and Cohn [63], the vertebrate chondrocytes that express the
type II gene may have evolved from notochordal cells. The evolution of the chain selection sequence present in the COLF1 module (Figure 6) has been
firstly described as a model of molecular incest [36]. In this model, a rare genomic event led to the
formation of a sequence encoding a complete chain selection region at the dawn of the chordates and
before the two whole genome duplication events. This gene might encode a fibrillar pro chain
participating to the formation of a homotrimeric procollagen molecule. After the first round of
duplications, the two newly formed genes can make the same homotrimeric molecule. With time, these
two genes diverge but their translational product might still trimerize together in what is now an
incestuous relationship. For the authors [36], this model could hold for all the multimeric proteins. 7. Suggested Evolutionary Model for the Fibrillar Collagen Family The VWC module might have evolved from a WAP module present in Cnidaria as
previously suggested [30], or the presence of WAP sequences in A clade related chains might be
specific to Cnidaria. The C clade is the less known family, and in the absence of more sequence data,
we can only indicate that the major triple helix of C clade members seems to have evolved more
rapidly than the comparable domains in clades A and B. Hence, the ascidian C clade fibrillar collagen
chains do not have the Gly-Xaa-Yaa-Zaa imperfection present in types XXIV and XXVII. Int. J. Mol. Sci. 2010, 11 418 Figure 6. Evolution of the fibrillar collagen family. This model was modified from a
previous study [30]. It should be followed from the bottom to the top. In this model, we
suggest that the steps leading to the formation of an ancestral chain occurred before the
metazoan radiation and the divergence of the three clades predated the Parazoa-Eumetazoa
split. The different steps (emergence of the different clades, module or chain selection
sequence acquisition) are presented. We have two major hypotheses concerning the B/C
clades. In the H1 scenario, sponges possess fibrillar collagen chains containing a TSPN
module and the related genes have duplicated before the divergence of the B and the C
clades from an ancestral B/C clade gene. In this hypothesis, the emergence of the B and C
clades occurred between Parazoa-Eumetazoa and Cnidaria-Bilateria split. In hypothesis
H2, B and C clade genes are present in demosponges and their emergence predated
metazoan cladogenesis. Int. J. Mol. Sci. 2010, 11 Int. J. Mol. Sci. 2010, 11 Int. J. Mol. Sci. 2010, 11 421 8. Conclusions During the last few years, data arising from sequencing projects have led to a better understand the
evolution of the fibrillar collagen genes [30,50], and have highlighted the importance of the chain
selection sequence and of the two rounds of genome duplication in the evolution of vertebrate
development [53,62,63]. Another level of complexity concerns the molecular mechanisms leading to
the formation and structural aspects of collagen fibrils. In vertebrates, fibrils are generally heterotypic,
their diameters depending on the procollagen types present and their ratio, as well as the N-propeptide
maturation of minor procollagens and interactions with other extracellular matrix components [69]. Moreover, it has been suggested that the minor fibrillar collagens (types V and XI) play a pivotal
function in the nucleation of fibril assembly [69–71], and have been named as the “nucleators” of the
initiation of the collagen fibrillogenesis [69]. Interestingly, the B clade fibrillar collagen chains have
conserved the same modular organization and triple helix characteristics from sponges to humans. While little is known about the composition of invertebrate fibrils, we have previously demonstrated in
sea urchin the presence of heterotypic fibrils made of quantitatively major and minor collagen
molecules undergoing distinct maturation of their N-propeptide domains [32]. In sponges, all collagen
fibrils have a thin, uniform diameter of 20–25 nm [2], although phylogenetic studies suggest that
members of the three fibrillar collagen clades are present in these animals. During the next years, a
new challenge will be to decipher the evolution of the collagen fibrils. We are indebted to David J. Hulmes for critically reading the manuscript and revising the English. We are indebted to David J. Hulmes for critically reading the manuscript and revising the English. 6.
Acton, S.; Resnick, D.; Freeman, M.; Ekkel, Y.; Ashkenas, J.; Krieger, M. The collagenous
domains of macrophage scavenger receptors and complement component C1q mediate their Int. J. Mol. Sci. 2010, 11 Later on and from the studies of invertebrate chordate fibrillar collagens, another group pointed out
that it is not one but two rare genomic events that preceded the two rounds of genome duplication [12]. The first event occurred before the ascidian-vertebrate split and permitted the formation of an A clade
gene encoding a fibrillar collagen possessing a complete chain selection sequence. The second rare
genomic event predated the vertebrate radiation and led to the formation of a B clade gene including
the complete coding sequence of the chain selection domain. The functional importance of the chain
selection sequence in vertebrates led us to think about the situation of invertebrate fibrillar collagen
chains. Hence, seven and eight fibrillar collagen chains have been described in sponges and sea
anemones, respectively [30]. All these chains having an incomplete chain selection sequence, other
mechanisms might be used in invertebrates. First and with the lack of biochemical and developmental
data, we can imagine that these sponge or sea anemone genes are differentially expressed in these
organisms. Second, some of these chains might be indiscriminately used in the formation of
heterotrimeric molecules. Thirdly, other variable regions of the COLF1 domain might be involved in
the chain selection in invertebrates. Int. J. Mol. Sci. 2010, 11 420 Figure 7. Simplified Eukarya tree of life with a special focus on the kingdom Animalia. Most of the animals discussed in the text are represented. This tree is based on several
studies [51–58]. Sponges are presented as a monophyletic group [57]. Figure 7. Simplified Eukarya tree of life with a special focus on the kingdom Animalia. Most of the animals discussed in the text are represented. This tree is based on several
studies [51–58]. Sponges are presented as a monophyletic group [57]. [
]
p
g
p
p y
g
p [
] References and Notes 1. Myllyharju, J.; Kivirikko, K.I. Collagens, modifying enzymes and their mutations in humans, flies
and worms. Trends Genet. 2004, 20, 33–43. 1. Myllyharju, J.; Kivirikko, K.I. Collagens, modifying enzymes and their mutations in humans, flies
and worms. Trends Genet. 2004, 20, 33–43. 2. Exposito, J.Y.; Cluzel, C.; Garrone, R.; Lethias, C. Evolution of collagens. Anat. Rec. 2002, 268,
302–316. 2. Exposito, J.Y.; Cluzel, C.; Garrone, R.; Lethias, C. Evolution of collagens. Anat. Rec. 2002, 268,
302–316. 3. Rasmussen, M.; Jacobsson, M.; Björck, L. Genome-based identification and analysis of collagen-
related structural motifs in bacterial and viral proteins. J. Biol. Chem. 2003, 278, 32313–32316. 3. Rasmussen, M.; Jacobsson, M.; Björck, L. Genome-based identification and analysis of collagen-
related structural motifs in bacterial and viral proteins. J. Biol. Chem. 2003, 278, 32313–32316. 4. Celerin, M.; Ray, J.M.; Schisler, N.J.; Day, A.W.; Stetler-Stevenson, W.G.; Laudenbach, D.E. Fungal fimbriae are composed of collagen. EMBO J. 1996, 15, 4445–4453. 4. Celerin, M.; Ray, J.M.; Schisler, N.J.; Day, A.W.; Stetler-Stevenson, W.G.; Laudenbach, D.E. Fungal fimbriae are composed of collagen. EMBO J. 1996, 15, 4445–4453. 5. King, N.; Westbrook, M.J.; Young, S.L.; Kuo, A.; Abedin, M.; Chapman, J.; Fairclough, S.;
Hellsten, U.; Isogai, Y.; Letunic, I.; Marr, M.; Pincus, D.; Putnam, N.; Rokas, A.; Wright, K.J.;
Zuzow, R.; Dirks, W.; Good, M.; Goodstein, D.; Lemons, D.; Li, W.; Lyons, J.B.; Morris, A.;
Nichols, S.; Richter, D.J.; Salamov, A.; Sequencing, J.G.I.; Bork, P.; Lim, W.A.; Manning, G.;
Miller, W.T.; McGinnis, W.; Shapiro, H.; Tjian, R.; Grigoriev, I.V.; Rokhsar, D. The genome of
the choanoflagellate Monosiga brevicollis and the origin of metazoans. Nature 2008, 451,
783–788. 6. Acton, S.; Resnick, D.; Freeman, M.; Ekkel, Y.; Ashkenas, J.; Krieger, M. The collagenous
domains of macrophage scavenger receptors and complement component C1q mediate their 6. Acton, S.; Resnick, D.; Freeman, M.; Ekkel, Y.; Ashkenas, J.; Krieger, M. The collagenous
domains of macrophage scavenger receptors and complement component C1q mediate their Int. J. Mol. Sci. 2010, 11 422 similar, but not identical, binding specificities for polyanionic ligands. J. Biol. Chem. 1993, 268,
3530–3537. 7. Heino, J. The collagen family members as cell adhesion proteins. Bioessays 2007, 29, 1001–1010 7. Heino, J. The collagen family members as cell adhesion proteins. Bioessays 2007, 29, 1001–1010. 8. Söderhäll, C.; Marenholz, I.; Kerscher, T.; Rüschendorf, F.; Esparza-Gordillo, J.; Worm, M.;
Gruber, C.; Mayr, G.; Albrecht, M.; Rohde, K.; Schulz, H.; Wahn, U.; Hubner, N.; Lee, Y.A. References and Notes 2010, 11 423 characteristics establishes a new clade within the vertebrate fibrillar collagen family. J. Biol. Chem. 2003, 278, 31067–31077. characteristics establishes a new clade within the vertebrate fibrillar collagen family. J. Biol. Chem. 2003, 278, 31067–31077. 20. Pace, J.M.; Corrado, M.; Missero, C.; Byers, P.H. Identification, characterization and expression
analysis of a new fibrillar collagen gene, COL27A1. Matrix Biol. 2003, 22, 3–14. 20. Pace, J.M.; Corrado, M.; Missero, C.; Byers, P.H. Identification, characterization and expression
analysis of a new fibrillar collagen gene, COL27A1. Matrix Biol. 2003, 22, 3–14. 21. Kleman, J.P.; Aeschlimann, D.; Paulsson, M.; van der Rest, M. Transglutaminase-catalyzed cross-
linking of fibrils of collagen V/XI in A204 rhabdomyosarcoma cells. Biochemistry 1995, 34,
13768–13775. 22. Burgeson, R.E.; Hollister, D.W. Collagen heterogeneity in human cartilage: identification of
several new collagen chains. Biochem. Biophys. Res. Commun. 1979, 87, 1124–1131. 23. Reese, C.A.; Mayne, R. Minor collagens of chicken hyaline cartilage. Biochemistry 1981, 20,
5443–5448. 24. Lees, J.F.; Tasab, M.; Bulleid, N.J. Identification of the molecular recognition sequence which
determines the type-specific assembly of procollagen. EMBO J. 1997, 16, 908–916. 25. Aouacheria, A.; Cluzel, C.; Lethias, C.; Gouy, M.; Garrone, R.; Exposito, J.Y. Invertebrate data
predict an early emergence of vertebrate fibrillar collagen clades and an anti-incest model. J. Biol. Chem. 2004, 279, 47711–47719. 26. Thom, J.R.; Morris, N.P. Biosynthesis and proteolytic processing of type XI collagen in
embryonic chick sterna, J. Biol. Chem. 1991, 266, 7262–7269. 27. Linsenmayer, T.F.; Gibney, E.; Igoe, F.; Gordon, M.K.; Fitch, J.M.; Fessler, L.I.; Birk, D.E. Type
V collagen: molecular structure and fibrillar organization of the chicken 1(V) NH2-terminal
domain, a putative regulator of corneal fibrillogenesis. J. Cell Biol. 1993, 121, 1181–1189. 28. Plumb, D.A.; Dhir, V.; Mironov, A.; Ferrara, L.; Poulsom, R.; Kadler, K.E.; Thornton, D.J.;
Briggs, M.D.; Boot-Handford, R.P. Collagen XXVII is developmentally regulated and forms thin
fibrillar structures distinct from those of classical vertebrate fibrillar collagens. J. Biol. Chem. 2007, 282, 12791–12795. 29. Hjorten, R.; Hansen, U.; Underwood, R.A.; Telfer, H.E.; Fernandes, R.J.; Krakow, D.; Sebald, E.;
Wachsmann-Hogiu, S.; Bruckner, P.; Jacquet, R.; Landis, W.J.; Byers, P.H.; Pace, J.M. Type
XXVII collagen at the transition of cartilage to bone during skeletogenesis. Bone 2007, 41,
535–542. 30. Exposito, J.Y.; Larroux, C.; Cluzel, C.; Valcourt, U.; Lethias, C.; Degnan, B.M. References and Notes Variants in a novel epidermal collagen gene (COL29A1) are associated with atopic dermatitis. PLoS Biol. 2007, 5, e242. 9. Exposito, J.Y.; Garrone, R. Characterization of a fibrillar collagen gene in sponges reveals the
early evolutionary appearance of two collagen gene families. Proc. Natl. Acad. Sci. USA 1990, 87,
6669–6673. 10. Boute, N.; Exposito, J.Y.; Boury-Esnault, N.; Vacelet, J.; Noro, N.; Miyazaki, K.; Yoshizato, K.;
Garrone, R. Type IV collagen in sponges, the missing link in basement membrane ubiquity. Biol. Cell. 1996, 88, 37–44. 11. Aouacheria, A.; Geourjon, C.; Aghajari, N.; Navratil, V.; Deléage, G.; Lethias, C.; Exposito, J.Y. Insights into early extracellular matrix evolution: spongin short chain collagen-related proteins are
homologous to basement membrane type IV collagens and form a novel family widely distributed
in invertebrates. Mol. Biol. Evol. 2006, 23, 2288–2302. 12. Wada, H.; Okuyama, M.; Satoh, N.; Zhang, S. Molecular evolution of fibrillar collagen in
chordates, with implications for the evolution of vertebrate skeletons and chordate phylogeny. Evol. Dev. 2006, 8, 370–377. 13. Wick, G.; Kalischnig, G.; Maurer, H.; Mayerl, C.; Müller, P.U. Really old-palaeoimmunology:
immunohistochemical analysis of extracellular matrix proteins in historic and pre-historic
material. Exp. Gerontol. 2001, 36, 1565–1579. 14. Franc, S.; Marzin, E.; Boutillon, M.M.; Lafont, R.; Lechéne de la Porte, P.; Herbage, D. Immunohistochemical and biochemical analyses of 20,000–25,000-year-old fossil cartilage. Eur. J. Biochem. 1995, 234, 125–131. 15. Asara, J.M.; Schweitzer, M.H.; Freimark, L.M.; Phillips, M.; Cantley, L.C. Protein sequences
from mastodon and Tyrannosaurus rex revealed by mass spectrometry. Science 2007, 316,
280–285. 16. Schweitzer, M.H.; Zheng, W.; Organ, C.L.; Avci, R.; Suo, Z.; Freimark, L.M.; Lebleu, V.S.;
Duncan, M.B.; Vander Heiden, M.G.; Neveu, J.M.; Lane, W.S.; Cottrell, J.S.; Horner, J.R.;
Cantley, L.C.; Kalluri, R.; Asara, J.M. Biomolecular characterization and protein sequences of the
Campanian hadrosaur B. canadensis. Science 2009, 324, 626–631. 17. Bern, M.; Phinney, B.S.; Goldberg, D. Reanalysis of Tyrannosaurus rex Mass Spectra. J. Proteome Res. 2009, 8, 4328–4332. 18. Koch, M.; Laub, F.; Zhou, P.; Hahn, R.A.; Tanaka, S.; Burgeson, R.E.; Gerecke, D.R.; Ramirez,
F.; Gordon, M.K. Collagen XXIV, a vertebrate fibrillar collagen with structural features of
invertebrate collagens: selective expression in developing cornea and bone. J. Biol. Chem. 2003,
278, 43236–43244. 19. Boot-Handford, R.P.; Tuckwell, D.S.; Plumb, D.A.; Rock, C.F.; Poulsom, R. A novel and highly
conserved collagen [pro()1(XXVII)] with a unique expression pattern and unusual molecular Int. J. Mol. Sci. References and Notes Demosponge and
sea anemone fibrillar collagen diversity reveals the early emergence of A/C clades and the
maintenance of the modular structure of type V/XI collagens from sponge to human. J. Biol. Chem. 2008, 283, 28226–28235. 31. Exposito, J.Y.; D'Alessio, M.; Ramirez, F. Novel amino-terminal propeptide configuration in a
fibrillar procollagen undergoing alternative splicing. J. Biol. Chem. 1992, 267, 17404–17408. 32. Cluzel, C.; Lethias, C.; Garrone, R.; Exposito, J.Y. Distinct maturations of N-propeptide domains
in fibrillar procollagen molecules involved in the formation of heterotypic fibrils in adult sea
urchin collagenous tissues. J. Biol. Chem. 2004, 279, 9811–9817. 33. Exposito, J.Y.; D'Alessio, M.; Solursh, M.; Ramirez, F. Sea urchin collagen evolutionarily
homologous to vertebrate pro-2(I) collagen. J. Biol. Chem. 1992, 267, 15559–15562. Int. J. Mol. Sci. 2010, 11 424 34. Suzuki, H.R.; Reiter, R.S.; D'Alessio, M.; Di Liberto, M.; Ramirez, F.; Exposito, J.Y.; Gambino,
R.; Solursh, M. Comparative analysis of fibrillar and basement membrane collagen expression in
embryos of the sea urchin, Strongylocentrotus purpuratus. Zoolog. Sci. 1997, 14, 449–454. 34. Suzuki, H.R.; Reiter, R.S.; D'Alessio, M.; Di Liberto, M.; Ramirez, F.; Exposito, J.Y.; Gambino,
R.; Solursh, M. Comparative analysis of fibrillar and basement membrane collagen expression in
embryos of the sea urchin, Strongylocentrotus purpuratus. Zoolog. Sci. 1997, 14, 449–454. 35. Dion, A.S.; Myers, J.C. COOH-terminal propeptides of the major human procollagens. Structural,
functional and genetic comparisons. J. Mol. Biol. 1987, 193, 127–143. 36. Boot-Handford, R.P.; Tuckwell, D.S. Fibrillar collagen: the key to vertebrate evolution? A tale of
molecular incest. Bioessays 2003, 25, 142–151. 37. Yamada, Y.; Avvedimento, V.E.; Mudryj, M.; Ohkubo, H.; Vogeli, G.; Irani, M.; Pastan, I.; de
Crombrugghe, B. The collagen gene: evidence for its evolutinary assembly by amplification of a
DNA segment containing an exon of 54 bp. Cell 1980, 22, 887–892. 38. Exposito, J.Y.; van der Rest, M.; Garrone, R. The complete intron/exon structure of Ephydatia
mülleri fibrillar collagen gene suggests a mechanism for the evolution of an ancestral gene
module. J. Mol. Evol. 1993, 37, 254–259. 39. Takahara, K.; Hoffman, G.G.; Greenspan, D.S. Complete structural organization of the human
1(V) collagen gene (COL5A1): divergence from the conserved organization of other
characterized fibrillar collagen genes. Genomics 1995, 29, 588–597. 40. Vuoristo, M.M.; Pihlajamaa, T.; Vandenberg, P.; Prockop, D.J.; Ala-Kokko, L. The human
COL11A2 gene structure indicates that the gene has not evolved with the genes for the major
fibrillar collagens. J. Biol. Chem. 1995, 270, 22873–22881. 41. References and Notes Exposito, J.Y.; Cluzel, C.; Lethias, C.; Garrone, R. Tracing the evolution of vertebrate fibrillar
collagens from an ancestral chain. Matrix Biol. 2000, 19, 275–279. 42. Miura, S.; Kimura S. Jellyfish mesogloea collagen. Characterization of molecules as 123
heterotrimers. J. Biol. Chem. 1985, 260, 15352–15356. 43. Tillet, E.; Franc, J.M.; Franc, S.; Garrone, R. The evolution of fibrillar collagens: a sea-pen
collagen shares common features with vertebrate type V collagen. Comp. Biochem. Physiol. B:
Biochem. Mol. Biol. 1996, 113, 239–246. 44. Sicot, F.X.; Exposito, J.Y.; Masselot, M.; Garrone, R.; Deutsch, J.; Gaill, F. Cloning of an annelid
fibrillar-collagen gene and phylogenetic analysis of vertebrate and invertebrate collagens. Eur. J. Biochem. 1997, 246, 50–58. 45. Yandell, M.; Mungall, C.J.; Smith, C.; Prochnik, S.; Kaminker, J.; Hartzell, G.; Lewis, S.; Rubin,
G. M. Large-scale trends in the evolution of gene structures within 11 animal genomes. PLoS
Comput. Biol. 2006, 2, e15. 46. Roy, S.W.; Gilbert, W. Resolution of a deep animal divergence by the pattern of intron
conservation. Proc. Natl. Acad. Sci. USA 2005, 102, 4403–4408. 47. Csurös, M.; Rogozin, I.B.; Koonin, E.V. Extremely intron-rich genes in the alveolate ancestors
inferred with a flexible maximum-likelihood approach. Mol. Biol. Evol. 2008, 25, 903–911. 48. Irimia, M.; Roy, S.W. Spliceosomal introns as tools for genomic and evolutionary analysis. Nucleic Acids Res. 2008, 36, 1703–1712. 49. Chevenet, F.; Brun, C.; Banuls, A.L.; Jacq, B.; Chisten, R. TreeDyn: Towards dynamic graphics
and annotations for analyses of trees. BMC Bioinformatics 2006, 7, doi:10.1186/1471-2105-7-439. Int. J. Mol. Sci. 2010, 11 425 50. Zhang, X.; Boot-Handford, R.P.; Huxley-Jones, J.; Forse, L.N.; Mould, A.P.; Robertson, D.L.; Li,
L.; Athiyal, M.; Sarras, M.P., Jr. The collagens of hydra provide insight into the evolution of
metazoan extracellular matrices. J. Biol. Chem. 2007, 282, 6792–6802. 51. Rychel, A.L.; Smith, S.E.; Shimamoto, H.T.; Swalla, B.J. Evolution and development of the
chordates: collagen and pharyngeal cartilage. Mol. Biol. Evol. 2006, 23, 541–549. 52. DeSalle, R.; Schierwater, B. An even "newer" animal phylogeny. Bioessays 2008, 30, 1043–1047. 53. Zhang, G.; Cohn, M.J. Genome duplication and the origin of the vertebrate skeleton. Curr. Opin. Genet. Dev. 2008, 18, 387–393. 52. DeSalle, R.; Schierwater, B. An even "newer" animal phylogeny. Bioessays 2008 53. Zhang, G.; Cohn, M.J. Genome duplication and the origin of the vertebrate skeleton. Curr. Opin. Genet. Dev. 2008, 18, 387–393. 54. Degnan, B.M.; Vervoort, M.; Larroux, C.; Richards, G.S. Early evolution of metazoan
transcription factors. References and Notes Curr. Opin. Genet. Dev. 2009, 19, 591–599. 55. Garcia-Fernàndez, J.; Benito-Gutiérrez, E. It's a long way from amphioxus: descendants of the
earliest chordate. Bioessays 2009, 31, 665–675. 56. Hejnol, A.; Obst, M.; Stamatakis, A.; Ott, M.; Rouse, G.W.; Edgecombe, G.D.; Martinez, P.;
Baguñà, J.; Bailly, X.; Jondelius, U.; Wiens, M.; Müller, W.E.; Seaver, E.; Wheeler, W.C.;
Martindale, M.Q.; Giribet, G.; Dunn, C.W. Assessing the root of bilaterian animals with scalable
phylogenomic methods. Proc. Biol. Sci. 2009, 276, 4261–4270. 57. Philippe, H.; Derelle, R.; Lopez, P.; Pick, K.; Borchiellini, C.; Boury-Esnault, N.; Vacelet, J.; 57. Philippe, H.; Derelle, R.; Lopez, P.; Pick, K.; Borchiellini, C.; Boury-Esnault, N.; Vacelet, J.;
Renard, E.; Houliston, E.; Quéinnec, E.; Da Silva, C.; Wincker, P.; Le Guyader, H.; Leys, S.;
Jackson, D.J.; Schreiber, F.; Erpenbeck, D.; Morgenstern, B.; Wörheide, G.; Manuel, M. Phylogenomics revives traditional views on deep animal relationships. Curr. Biol. 2009, 19,
706–712. 58. van de Peer, Y.; Maere, S.; Meyer, A. The evolutionary significance of ancient genome
duplications. Nat. Rev. Genet. 2009, 10, 725–732. 59. Weil, D.; Bernard, M.; Gargano, S.; Ramirez, F. The pro2(V) collagen gene is evolutionarily
related to the major fibrillar-forming collagens. Nucleic Acids Res. 1987, 15, 181–198. 60. Bernard, M.; Yoshioka, H.; Rodriguez, E.; van der Rest, M.; Kimura, T.; Ninomiya, Y.; Olsen,
B.R.; Ramirez, F. Cloning and sequencing of pro-1(XI) collagen cDNA demonstrates that type
XI belongs to the fibrillar class of collagens and reveals that the expression of the gene is not
restricted to cartilagenous tissue. J. Biol. Chem. 1988, 263, 17159–17166. 61. Bulleid, N.J.; Wilson, R.; Lees, J.F. Type-III procollagen assembly in semi-intact cells: chain
association, nucleation and triple-helix folding do not require formation of inter-chain disulphide
bonds but triple-helix nucleation does require hydroxylation. Biochem. J. 1996, 317, 195–202. 62. Zhang, G.; Miyamoto, M.M.; Cohn, M.J. Lamprey type II collagen and Sox9 reveal an ancient
origin of the vertebrate collagenous skeleton. Proc. Natl. Acad. Sci. USA 2006, 103, 3180–3185. 63. Zhang, G.; Cohn, M.J. Hagfish and lancelet fibrillar collagens reveal that type II collagen-based
cartilage evolved in stem vertebrates. Proc. Natl. Acad. Sci. USA 2006, 103, 16829–16833. 64. Ohtani, K.; Yao, T.; Kobayashi, M.; Kusakabe, R.; Kuratani, S.; Wada, H. Expression of Sox and
fibrillar collagen genes in lamprey larval chondrogenesis with implications for the evolution of
vertebrate cartilage. J. Exp. Zool. B: Mol. Dev. Evol. 2008, 310, 596–607. 65. Wright, G.M.; Keeley, F.W.; Robson, P. © 2010 by the authors; licensee Molecular Diversity Preservation International, 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/). References and Notes The unusual cartilaginous tissues of jawless craniates,
cephalochordates and invertebrates. Cell Tissue Res. 2001, 304, 165–174. Int. J. Mol. Sci. 2010, 11 426 66. Kuraku, S.; Meyer, A.; Kuratani, S. Timing of genome duplications relative to the origin of the
vertebrates: did cyclostomes diverge before or after? Mol. Biol. Evol. 2009, 26, 47–59. 66. Kuraku, S.; Meyer, A.; Kuratani, S. Timing of genome duplications relative to the origin of the
vertebrates: did cyclostomes diverge before or after? Mol. Biol. Evol. 2009, 26, 47–59. 67. Kuraku, S. Insights into cyclostome phylogenomics: Pre-2R or post-2R. Zoolog. Sci. 2008, 25,
960–968. 68. Rychel, A.L.; Swalla, B.J. Development and evolution of chordate cartilage. J. Exp. Zool. B: Mol. Dev. Evol. 2007, 308, 325–335. 69. Kadler, K.E.; Hill, A.; Canty-Laird, E.G. Collagen fibrillogenesis: fibronectin, integrins, and
minor collagens as organizers and nucleators. Curr. Opin. Cell Biol. 2008, 20, 495–501. 70. Wenstrup, R.J.; Florer, J.B.; Davidson, J.M.; Phillips, C.L.; Pfeiffer B.J.; Menezes, D.W.;
Chervoneva, I.; Birk, D.E. Murine model of the Ehlers-Danlos syndrome. col5a1
haploinsufficiency disrupts collagen fibril assembly at multiple stages. J. Biol. Chem. 2006, 281,
12888–12895. 71. Fernandes, R.J.; Weis, M.; Scott, M.A.; Seegmiller, R.E.; Eyre, D.R. Collagen XI chain
misassembly in cartilage of the chondrodysplasia (cho) mouse. Matrix Biol. 2007, 26, 597–603. © 2010 by the authors; licensee Molecular Diversity Preservation International, 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/). © 2010 by the authors; licensee Molecular Diversity Preservation International, 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/). © 2010 by the authors; licensee Molecular Diversity Preservation International, 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/).
|
https://openalex.org/W4327950414
|
https://www.mdpi.com/2310-2861/9/3/243/pdf?version=1679300748
|
English
| null |
Biomanufacturing Recombinantly Expressed Cripto-1 Protein in Anchorage-Dependent Mammalian Cells Growing in Suspension Bioreactors within a Three-Dimensional Hydrogel Microcarrier
|
Gels
| 2,023
|
cc-by
| 20,047
|
Citation: Lev, R.; Bar-Am, O.; Lati, Y.;
Guardiola, O.; Minchiotti, G.; Seliktar,
D. Biomanufacturing Recombinantly
Expressed Cripto-1 Protein in
Anchorage-Dependent Mammalian
Cells Growing in Suspension
Bioreactors within a
Three-Dimensional Hydrogel
Microcarrier. Gels 2023, 9, 243. https://doi.org/10.3390/
gels9030243 Keywords: hydrogel; recombinant protein; bioreactor; microcarrier; HEK293 cells; protein therapeutics gels gels Biomanufacturing Recombinantly Expressed Cripto-1 Protein in
Anchorage-Dependent Mammalian Cells Growing in Suspension
Bioreactors within a Three-Dimensional Hydrogel Microcarrier
Rachel Lev 1, Orit Bar-Am 1, Yoni Lati 1,2
, Ombretta Guardiola 3, Gabriella Minchiotti 3
and Dror Seliktar 1,* 1
Faculty of Biomedical Engineering, Technion—Israel Institute of Technology, Haifa 3200003, Israel
2
The Norman Seiden Multidisciplinary Graduate Program in Nanoscience and Nanotechnology, The Russell
Berrie Nanotechnology Institute, Technion—Israel Institute of Technology, Haifa 3200003, Israel
3
Stem Cell Fate Laboratory, Institute of Genetics and Biophysics “A. Buzzati Traverso”, CNR,
80131 Naples, Italy
*
Correspondence: dror@bm.technion.ac.il 1
Faculty of Biomedical Engineering, Technion—Israel Institute of Technology, Haifa 3200003, Israel
2
The Norman Seiden Multidisciplinary Graduate Program in Nanoscience and Nanotechnology, The Russell
Berrie Nanotechnology Institute, Technion—Israel Institute of Technology, Haifa 3200003, Israel
3
Stem Cell Fate Laboratory, Institute of Genetics and Biophysics “A. Buzzati Traverso”, CNR,
80131 Naples, Italy
*
Correspondence: dror@bm.technion.ac.il p
y
*
Correspondence: dror@bm.technion.ac.il Abstract: Biotherapeutic soluble proteins that are recombinantly expressed in mammalian cells can
pose a challenge when biomanufacturing in three-dimensional (3D) suspension culture systems. Herein, we tested a 3D hydrogel microcarrier for a suspension culture of HEK293 cells overexpressing
recombinant Cripto-1 protein. Cripto-1 is an extracellular protein that is involved in developmental
processes and has recently been reported to have therapeutic effects in alleviating muscle injury and
diseases by regulating muscle regeneration through satellite cell progression toward the myogenic
lineage. Cripto-overexpressing HEK293 cell lines were cultured in microcarriers made from poly
(ethylene glycol)-fibrinogen (PF) hydrogels, which provided the 3D substrate for cell growth and
protein production in stirred bioreactors. The PF microcarriers were designed with sufficient strength
to resist hydrodynamic deterioration and biodegradation associated with suspension culture in
stirred bioreactors for up to 21 days. The yield of purified Cripto-1 obtained using the 3D PF
microcarriers was significantly higher than that obtained with a two-dimensional (2D) culture system. The bioactivity of the 3D-produced Cripto-1 was equivalent to commercially available Cripto-1 in
terms of an ELISA binding assay, a muscle cell proliferation assay, and a myogenic differentiation
assay. Taken together, these data indicate that 3D microcarriers made from PF can be combined with
mammalian cell expression systems to improve the biomanufacturing of protein-based therapeutics
for muscle injuries. 1. Introduction Academic Editor: Damien Dupin The production of recombinant therapeutic proteins has become increasingly popu-
lar for the large-scale manufacturing of medical-grade biotherapeutics [1–3]. Although
Escherichia coli (E. coli) and yeast are the most established organisms for biomanufacturing
of recombinant proteins, production in mammalian cells has considerable advantages,
particularly for complex protein products [3,4]. When produced in mammalian cells, re-
combinant human proteins undergo more accurate post-translational processing, which
is crucial for proteins that require complicated tertiary structures to exhibit biological
activity [3,5–7]. Compared to the simpler expression systems of E. coli and yeast, one of the
biggest drawbacks of using mammalian cells can be the more stringent culture conditions,
which can also involve anchorage-dependent growth with less efficient two-dimensional
(2D) cultures. The 2D culture systems are reliable and well defined, but the limited growth
surface area places them at a disadvantage with respect to large-scale production. Over the
past two decades, much effort has been directed at adapting mammalian cell expression
systems for more efficient three-dimensional (3D) culture in suspension. This has been Received: 25 January 2023
Revised: 5 March 2023
Accepted: 14 March 2023
Published: 18 March 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/gels Gels 2023, 9, 243. https://doi.org/10.3390/gels9030243 Gels 2023, 9, 243 2 of 24 achieved by either adapting the mammalian cells to continuous cell lines (CCLs), such as
with Chinese hamster ovary (CHO) cells that can grow directly in suspension, or growing
the mammalian cells with microcarriers [8–10]. Whereas certain mammalian cell types
that are anchorage-dependent may not be able to conform to suspension culture, most
anchorage-dependent cells can grow in or on microcarriers. g
p
g
The manufacturing capacity of systems using anchorage-dependent mammalian cells
has become a critical issue in the development of protein-based therapeutics. As new ther-
apeutic proteins produced in these cells are introduced, 2D systems are initially used for
making high-quality products with sufficient production yields for achieving the research
and development goals. As the biotherapeutic reaches the clinical phases of development,
efficient bioprocessing using large-scale, state-of-the-art manufacturing paradigms becomes
essential. The bioprocessing of these biotherapeutics must also meet stringent commercial
and clinical requirements, and the 2D manufacturing paradigms initially applied sub-
stantially limit the potential to reach the high production yields required by industry for
more advanced stages of clinical development. Therefore, as new therapeutic proteins
progress toward the clinic, production efficiency must be addressed together with clinical
efficacy—usually with the help of the microcarrier systems. In this context, microcarriers
combined with suspension bioreactors address many of the key manufacturing drawbacks
of the 2D production methodologies. Although conventional microcarriers provide a higher
surface area for anchorage-dependent cell cultivation, cells that grow on these polymeric
systems exhibit 2D growth characteristics. Therefore, the potential of 3D suspension culti-
vation using microcarriers may not be fully realized until microcarriers can accommodate
cell growth within the volume of the carrier [11,12]. Indeed, many new cell carrier systems
for protein production are premised on porous polymeric scaffolds or hydrogel scaffolds
that can accommodate 3D cell growth in the pores or bulk of the material. The polymeric
materials can be designed as spherical or disk-shaped microcarriers with increased cell
growth capacity and the advantages of high surface area to volume ratios. g
p
y
g
g
Several research groups worldwide have developed and optimized the production
of therapeutic proteins in stirred suspension bioreactors utilizing 2D and 3D microcarrier-
based cultivation systems [1,13,14]. Various types of microcarriers have been examined for
their ability to serve as growth substrates for cell cultivation in a bioreactor, including solid
and porous materials. Solid microcarriers that support 2D cell attachment on their surface
are typically made from synthetic materials such as glass or crosslinked polystyrene, and
these can be further modified with an electrical charge potential or immobilized proteins
for better cell adhesion [15]. Macroporous materials that support 3D cell culture based
on a sponge-like architecture are typically made from dextran, collagen, or alginate. Mi-
croporous hydrogels can also be used as microcarriers for 3D cell culture in suspension
by providing cells with an encapsulating milieu [16–18]. In this approach, the microp-
orous hydrogels entrap the cells in the bulk of the materials during the hydrogel gelation
process [19–21]. This requires a bioprocessing step that can accommodate the need to
procure large quantities of cell-laden hydrogel microcarriers prior to the protein production
run. A number of techniques are available for this bioprocessing, including microflu-
idics, emulsion polymerization strategies, drop-wise polymerization, or polymerization on
superhydrophobic surfaces [22–27]. A 3D microcarrier-based cultivation in stirred suspension bioreactors offers pro-
nounced advantages over the use of 2D microcarriers, which are limited by surface area
and hampered by hydrodynamic or collisional forces associated with stirred suspension
bioreactors [28–30]. Because the 3D microcarriers made from encapsulating microporous
hydrogels take advantage of the volume of the microcarrier for cell growth, the cells
growing in the bulk of the hydrogel matrix are also protected from the mechanical stress en-
vironment of the bioreactor. This combined advantage allows long-term, semi-continuous
culturing which contributes to greater biomass production capacity and scalability [31–33]. This advantage is also particularly important for secreted proteins that can diffuse through
the hydrogel matrix. Specifically, cells expressing proteins that are secreted into the 3D mi- Gels 2023, 9, 243 3 of 24 3 of 24 croporous hydrogel system can be periodically harvested from the culture medium without
ever disturbing the cells inside the hydrogel matrix. These advantages can bring 3D hy-
drogel microcarriers closer to automatization, which is a requirement of the biotechnology
industry [28,34,35]. y
Spherical microgels made from hydrogel biomaterials represent a promising class
of microcarriers with the potential to be used in 3D cell cultivation systems [9,36,37]. These microcarriers are receiving more widespread attention owing to their viscoelastic
behavior that mimics that of the natural environment of the extracellular matrix (ECM) of
anchorage-dependent cells [38]. Hydrogels are classified as either natural, synthetic, or
semisynthetic. Naturally derived hydrogels provide adhesion sites, which support cell
function; however, they lack the mechanical properties necessary for long-term cultivation
in suspension cultures. Synthetic hydrogels are reproducible and exhibit stable mechanical
properties that can be easily manipulated but are deficient in bioactive functionality, such
as possessing adhesive sites for cell attachment. Semisynthetic hydrogels, which contain
both biological and synthetic elements, constitute the optimal combination, making them
amenable for suspension culture applications. Specifically, these hydrogels possess stable
mechanical properties owing to their synthetic composition and can exhibit cell adhesivity
and proteolytic degradability because of their biological domains [39–41]. The biological and synthetic composition of a semisynthetic hydrogel used for making
microcarriers will depend on the type of cells used for protein production, as well as the
requirements of the suspension bioreactor system. Polyethylene glycol (PEG)-based hydro-
gels have been used extensively in 3D cultures of various cell types for tissue engineering;
they exhibit high biocompatibility as well as versatile physical characteristics depending
on their weight percent, molecular chain length, and crosslinking density [42]. The PEG
component can maintain the structural integrity of the composite structure, thereby en-
suring microcarrier stability under the hydrodynamic loads of suspension bioreactors. Conjugating PEG with fibrinogen, the natural substrate for tissue remodeling, provides
bioactivity to the PEG hydrogels, which would otherwise be lacking [42]. The gelation pro-
cess of PEG-fibrinogen (PF) is mild and nontoxic for cells, even when cells are suspended
in the precursor solution [43]. The natural cell adhesion motifs and protease cleavage
sites on fibrinogen facilitate the stable maintenance of cells while simultaneously allowing
dynamic changes such as cell motility and invasion, which are necessary for cell growth
and proliferation [44]. These features of PF hydrogels, including biological motifs, chemical
crosslinking, and ECM-like physical properties, make them an effective candidate micro-
carrier material for working with anchorage-dependent cells under the hydrodynamics of
bioreactors [42]. PF hydrogels have been used to encapsulate various kinds of mammalian cells, such
as sheep aortic smooth muscle cells (SASMCs), human foreskin fibroblasts (HFFs), and
human embryonic kidney 293 (HEK293) cells [21,44,45]. The latter, when encapsulated in
PF hydrogels, have managed to maintain high cell viability for long durations. This strategy
was effective in facilitating the production of a model protein, acetylcholine esterase (AChE),
to enhance production capacity several-fold over 2D cultures. Using PF hydrogels as a
microcarrier for HEK293 cells and cultivating them in stirred suspension bioreactors led
to a higher yield of AChE. It was further found that the PF microcarriers provided a
biocompatible environment for cell culture, as indicated by a high percentage of living cells
and the formation of cell clusters in the 3D PF microcarriers over the culture duration [21]. PF hydrogels have been used to encapsulate various kinds of mammalian cells, such
as sheep aortic smooth muscle cells (SASMCs), human foreskin fibroblasts (HFFs), and
human embryonic kidney 293 (HEK293) cells [21,44,45]. The latter, when encapsulated in
PF hydrogels, have managed to maintain high cell viability for long durations. This strategy
was effective in facilitating the production of a model protein, acetylcholine esterase (AChE),
to enhance production capacity several-fold over 2D cultures. Using PF hydrogels as a
microcarrier for HEK293 cells and cultivating them in stirred suspension bioreactors led
to a higher yield of AChE. It was further found that the PF microcarriers provided a
biocompatible environment for cell culture, as indicated by a high percentage of living cells
and the formation of cell clusters in the 3D PF microcarriers over the culture duration [21]. In the present study, we aimed to scale up the production of a therapeutic protein called
Cripto-1 using recombinantly modified HEK293 cells grown in PF microcarriers. Cripto-1
is a 27 kDa membrane glycosylphosphatidylinositol (GPI)-anchored protein, which be-
longs to the EGF–CFC protein family and plays an important regulatory role in embryonic
development [46]. It can act both as a ligand via the Nodal/Alk4-independent signaling
pathway and as a co-receptor for Nodal through activation of the ALK4/ActRIIB receptor
complex [5,47,48]. Previous findings have indicated that Cripto-1, which is expressed in
myoblasts of regenerative muscles but not in normal muscle fibers, influences myostatin In the present study, we aimed to scale up the production of a therapeutic protein called
Cripto-1 using recombinantly modified HEK293 cells grown in PF microcarriers. Cripto-1
is a 27 kDa membrane glycosylphosphatidylinositol (GPI)-anchored protein, which be-
longs to the EGF–CFC protein family and plays an important regulatory role in embryonic
development [46]. It can act both as a ligand via the Nodal/Alk4-independent signaling
pathway and as a co-receptor for Nodal through activation of the ALK4/ActRIIB receptor
complex [5,47,48]. Previous findings have indicated that Cripto-1, which is expressed in
myoblasts of regenerative muscles but not in normal muscle fibers, influences myostatin Gels 2023, 9, 243 4 of 24 4 of 24 signaling in myoblasts [49,50]. Guardiola et al. showed that Cripto-1 modulates myogenic
cell determination and promotes proliferation by antagonizing myostatin. In addition,
myostatin and Cripto-1 are expressed in regenerating muscles, and the latter attenuates the
myostatin signaling pathway. They also demonstrated that Cripto-1 antagonizes the an-
tiproliferative effect of myostatin on isolated myofibers, promoting myogenic commitment,
and simultaneously blocks myostatin activity, promoting the entry of satellite cells into S
phase and their commitment to differentiation. The promising results of their study suggest
that Cripto-1 is a novel regulator of muscle regeneration and satellite cell progression
toward the myogenic lineage [51]. The availability of large quantities of biologically activated Cripto-1 is crucial to the
advancement of clinical studies using this promising therapeutic protein. Recombinant
Cripto-1 protein cannot be expressed in E. coli, yeast, or CHO cells because of a mutation of
the Asn63 residue that prevents post-translational modification (i.e., glycosylation), which
affects protein activity in vivo [5]. Hence, our goal was to provide Cripto-1-overexpressing
HEK293 cells with optimal conditions in a 3D culture suspension bioreactor, including
a supportive microenvironment for improved cell viability leading to enhanced protein
yields. For this purpose, PF microcarriers were designed to enable the HEK293 cell survival,
proliferation, and secretion of large quantities of the recombinantly expressed therapeutic
protein. Cripto-1-overexpressing HEK293 cell lines transfected with His-tagged protein
were encapsulated in PF microcarriers and cultivated in stirred suspension bioreactors. The PF microcarriers were designed to possess high mechanical strength to resist the shear
forces and biodegradation associated with long-term suspension culture in the bioreactors. The yield of Cripto-1 protein obtained using this system was significantly higher than that
obtained with the traditional 2D system. Cripto-1 bioactivity was maintained throughout
the production and purification process. Moreover, long-term evaluation showed that the
stability and integrity of Cripto-1 were maintained for up to 6 years after production in the
PF microcarrier system. 2. Results 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors Cripto-overexpressing HEK293 cell lines transfected with a soluble form of His-tagged
Cripto-1 protein were encapsulated in the PF microcarriers made from PF and different
concentrations of PEG-DA. Three PF formulations were initially tested using 8 mg/mL PF
and the addition of 0%, 1%, and 2% PEG-DA to reach a final shear storage modulus of ap-
proximately 250 Pa, 1000 Pa, and 2000 Pa, respectively. The 8 mg/mL PF concentration that
was used in this study was based on our previous experiments using this hydrogel system
for 3D HEK293 cell cultures [21]. The microcarriers were prepared using a droplet-based
formation of PF precursor solution mixed with ~8.5 × 106 cells/mL, deposited on a superhy-
drophobic surface, and exposed to UV light to initiate a photo-polymerization reaction with
the PF. The cells were cultivated within the microcarriers in stirred suspension bioreactors
(Figure 1). The live/dead staining of the microcarriers showed individual cells encapsulated
within the PF matrix after one day forming colonies of viable cells within the matrix after
7 and 21 days (Figure 2A–C). High-magnification live/dead images for day 1 and day 7 are
shown in the supplementary data (Supplementary Figure S5). FITC-rhodamine F-actin
staining of the microcarriers showed the progression from single cells dispersed within the
PF matrix at day 1 to multicellular colonies at day 7 and day 21 (Figure 2D–F). The initially
rounded cells remained rounded in the PF matrix throughout the culture duration, and the
proliferating cells formed colonies within the matrix during this time. High-magnification
confocal images of an individual cell colony after 21 days with TRITC-rhodamine staining
for f-actin and a SYTOX-green nuclear stain underscore the consequence of the PF matrix’s
confining effects on cell proliferation and colony formation (Supplementary Figure S6). 3, 9, 243
5
23, 9, x FOR PEER REVIEW
6
Figure 1. Schematic illustration of PF microcarriers and the bioprocessing procedure for
ing Cripto protein. (A) i: A set of bioreactors were used for Cripto production; each bioreacto
tivates microcarriers made of PEG-fibrinogen (PF) hydrogel containing Cripto-overexpre
HEK293 cells. ii: Phase contrast microscopy image of a typical microcarrier shows individua
growing in the 3D PF hydrogel. iii: Bioreactor cultivation timeline of a 3-week culture period
microcarriers in the bioreactors. 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors Schematic illustration of PF microcarriers and the bioprocessing procedure for mak
ing Cripto protein (A) i: A set of bioreactors were used for Cripto production; each bioreactor cul
Figure 1. Schematic illustration of PF microcarriers and the bioprocessing procedure for making Figure 1. Schematic illustration of PF microcarriers and the bioprocessing procedure for mak-
ing Cripto protein. (A) i: A set of bioreactors were used for Cripto production; each bioreactor cul-
tivates microcarriers made of PEG-fibrinogen (PF) hydrogel containing Cripto-overexpressing
HEK293 cells. ii: Phase contrast microscopy image of a typical microcarrier shows individual cells
growing in the 3D PF hydrogel. iii: Bioreactor cultivation timeline of a 3-week culture period of the
microcarriers in the bioreactors. Cells were cultured in growth medium (depicted in red) on days 0,
7, and 14 for 3 days of maintenance, with the medium then changed for starvation medium (depicted
in yellow) on days 3, 10, and 17 for the collection step that lasted 4 days each time. (B) i: The manu-
factured Cripto protein was concentrated and diafiltrated using PALL Centramate membrane. ii:
The Cripto protein was purified using a Ni-NTA column followed by a dialysis step. iii: Finally,
structural and functional characterization of the purified Cripto protein was performed by SDS-
PAGE, ELISA, and bioactivity assays. Figure 1. Schematic illustration of PF microcarriers and the bioprocessing procedure for making
Cripto protein. (A) i: A set of bioreactors were used for Cripto production; each bioreactor cultivates
microcarriers made of PEG-fibrinogen (PF) hydrogel containing Cripto-overexpressing HEK293 cells. ii: Phase contrast microscopy image of a typical microcarrier shows individual cells growing in the
3D PF hydrogel. iii: Bioreactor cultivation timeline of a 3-week culture period of the microcarriers
in the bioreactors. Cells were cultured in growth medium (depicted in red) on days 0, 7, and 14 for
3 days of maintenance, with the medium then changed for starvation medium (depicted in yellow)
on days 3, 10, and 17 for the collection step that lasted 4 days each time. (B) i: The manufactured
Cripto protein was concentrated and diafiltrated using PALL Centramate membrane. ii: The Cripto
protein was purified using a Ni-NTA column followed by a dialysis step. iii: Finally, structural and
functional characterization of the purified Cripto protein was performed by SDS-PAGE, ELISA, and
bioactivity assays. Figure 1. Schematic illustration of PF microcarriers and the bioprocessing procedure for mak-
ing Cripto protein. 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors Cells were cultured in growth medium (depicted in red) on d
7, and 14 for 3 days of maintenance, with the medium then changed for starvation medium (dep
in yellow) on days 3, 10, and 17 for the collection step that lasted 4 days each time. (B) i: The m
factured Cripto protein was concentrated and diafiltrated using PALL Centramate membra
The Cripto protein was purified using a Ni-NTA column followed by a dialysis step. iii: Fi
structural and functional characterization of the purified Cripto protein was performed by
PAGE, ELISA, and bioactivity assays. Bioreactor assembly and maintenance
Purification process and protein characterization
SDS-PAGE
ELISA
Bioactivity
assays
Medium
collection
Medium
culture
Medium
collection
Medium
culture
Medium
collection
Medium
culture
A
B
Cripto-overexpressing
HEK293 cells
PEGylated Fibrinogen
hydrogel
iii
i
ii
iii
i
ii
Figure 1. Schematic illustration of PF microcarriers and the bioprocessing procedure for ma
Cripto protein. (A) i: A set of bioreactors were used for Cripto production; each bioreactor culti
microcarriers made of PEG-fibrinogen (PF) hydrogel containing Cripto-overexpressing HEK293
ii: Phase contrast microscopy image of a typical microcarrier shows individual cells growing i
3D PF hydrogel. iii: Bioreactor cultivation timeline of a 3-week culture period of the microca
in the bioreactors. Cells were cultured in growth medium (depicted in red) on days 0, 7, and 1
3 days of maintenance, with the medium then changed for starvation medium (depicted in ye
on days 3, 10, and 17 for the collection step that lasted 4 days each time. (B) i: The manufact
Cripto protein was concentrated and diafiltrated using PALL Centramate membrane. ii: The C
protein was purified using a Ni-NTA column followed by a dialysis step. iii: Finally, structura
functional characterization of the purified Cripto protein was performed by SDS-PAGE, ELISA Gels 2023, 9, 243
Gels 2023, 9, x FO 5 of 24
6 of 25 Bioreactor assembly and maintenance Bioreactor assembly and maintenance y
Cripto-overexpressin
HEK293 cells
PEGylated Fibrinogen
hydrogel
i
i Cripto-overexpressing
HEK293 cells
PEGylated Fibrinogen
hydrogel
ii i Medium
collection
Medium
culture
Medium
collection
Medium
culture
Medium
collection
Medium
culture
iii iii Purification process and protein characterization
B Purification process and protein characterization
B B ii i SDS-PAGE
ELISA
Bioactivity
assays
iii
ii SDS-PAGE
ELISA
Bioactivity
assays
iii SDS-PAGE
ELISA
Bioactivity
assays
iii
i
ii i ii iii Figure 1. 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors (A) i: A set of bioreactors were used for Cripto production; each bioreactor cul-
tivates microcarriers made of PEG-fibrinogen (PF) hydrogel containing Cripto-overexpressing
HEK293 cells. ii: Phase contrast microscopy image of a typical microcarrier shows individual cells
growing in the 3D PF hydrogel. iii: Bioreactor cultivation timeline of a 3-week culture period of the
microcarriers in the bioreactors. Cells were cultured in growth medium (depicted in red) on days 0,
7, and 14 for 3 days of maintenance, with the medium then changed for starvation medium (depicted
in yellow) on days 3, 10, and 17 for the collection step that lasted 4 days each time. (B) i: The manu-
factured Cripto protein was concentrated and diafiltrated using PALL Centramate membrane. ii:
The Cripto protein was purified using a Ni-NTA column followed by a dialysis step. iii: Finally,
structural and functional characterization of the purified Cripto protein was performed by SDS-
PAGE, ELISA, and bioactivity assays. Figure 1. Schematic illustration of PF microcarriers and the bioprocessing procedure for making
Cripto protein. (A) i: A set of bioreactors were used for Cripto production; each bioreactor cultivates
microcarriers made of PEG-fibrinogen (PF) hydrogel containing Cripto-overexpressing HEK293 cells. ii: Phase contrast microscopy image of a typical microcarrier shows individual cells growing in the
3D PF hydrogel. iii: Bioreactor cultivation timeline of a 3-week culture period of the microcarriers
in the bioreactors. Cells were cultured in growth medium (depicted in red) on days 0, 7, and 14 for
3 days of maintenance, with the medium then changed for starvation medium (depicted in yellow)
on days 3, 10, and 17 for the collection step that lasted 4 days each time. (B) i: The manufactured
Cripto protein was concentrated and diafiltrated using PALL Centramate membrane. ii: The Cripto
protein was purified using a Ni-NTA column followed by a dialysis step. iii: Finally, structural and
functional characterization of the purified Cripto protein was performed by SDS-PAGE, ELISA, and
bioactivity assays. 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors Gels 2023, 9, 243 6 of 24 A
B
C
1 day
7 days
21 days
500 µm
500 µm
500 µm
H
I
0
2
4
6
8
10
12
0
1
2
3
4
5
6
7
8
Number of living cells 106/
1ml PF
Days in bioreactor
250Pa
1000Pa
2000Pa
G
0
20
40
60
80
100
% of living cells (PI staining)
0 3 6 9 12 15 18 21
Days in bioreactor
0
20
40
60
80
100
% of living cells (trypan blue)
0 3 6 9 12 15 18 21
Days in bioreactor
Ethidium Calcein
50µm
50µm
50µm
D
E
F
DAPI Phalloidin
1 day
7 days
21 days
Figure 2. Viability of HEK293 cells within PF microcarriers in 3D culture. (A–C) Cell via
of HEK293 cells growing in the 3D PF microcarriers (8 mg/mL, G’ = 250–2000 Pa) in biore
was verified using a calcein/ethidium assay. Initially, viable cells were distributed uniform
the microcarriers on day 1 (A) and organized into colonies by day 7 (B), remaining viable be
day 21 (C). High-magnification images of cells stained with f-actin FITC-phalloidin (green
DAPI (nucleus in blue) show the cells initially distributed uniformly within the microcarrie
day 1 (D). After 7 and 21 days, the cell colonies were also distributed uniformly througho
microcarrier (E,F). (G) The number of living cells was quantified in the microcarriers as a funct
culture time (up to 7 days) and PF modulus (G’ = 250–2000 Pa). The G’ values shown in the
correspond to the PF hydrogels made from different formulations, as determined based on
provided in Supplementary Figure S1. As can be seen, both PF modulus and culture time aff
the number of HEK293 cells in the microcarriers. (H) Cell viability over 21 days in PF microca
(G’ = 1000) with suspension culture, as measured by a trypan blue exclusion assay. Each time
represents data from an average of several bioreactors (3 < n < 18). (I) Cell proliferation
microcarriers (G’ = 1000) with suspension culture in bioreactors for up to 21 days, as measure
PI staining assay; each time point is represented by an average of at least three different experi
(n > 3). All results shown are as mean ± S.D. of at least three independent experiments. 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors C B C 7 days A 1 day 21 days 50µm
E
7 days 50µm
D
1 day E D I
0
20
40
60
80
100
% of living cells (PI staining)
0 3 6 9 12 15 18 21
Days in bioreactor
DAPI Phalloidin H
0
20
40
60
80
100
% of living cells (trypan blue)
0 3 6 9 12 15 18 21
Days in bioreactor 0
2
4
6
8
10
12
0
1
2
3
4
5
6
7
8
Number of living cells 106/
1ml PF
Days in bioreactor
250Pa
1000Pa
2000Pa
G G I H Days in bioreactor Days in bioreactor Days in bioreactor Days in bioreactor Figure 2. Viability of HEK293 cells within PF microcarriers in 3D culture. (A–C) Cell viability
of HEK293 cells growing in the 3D PF microcarriers (8 mg/mL, G’ = 250–2000 Pa) in bioreactors
was verified using a calcein/ethidium assay. Initially, viable cells were distributed uniformly in
the microcarriers on day 1 (A) and organized into colonies by day 7 (B), remaining viable beyond
day 21 (C). High-magnification images of cells stained with f-actin FITC-phalloidin (green) and
DAPI (nucleus in blue) show the cells initially distributed uniformly within the microcarriers on
day 1 (D). After 7 and 21 days, the cell colonies were also distributed uniformly throughout the
microcarrier (E,F). (G) The number of living cells was quantified in the microcarriers as a function of
culture time (up to 7 days) and PF modulus (G’ = 250–2000 Pa). The G’ values shown in the graph
correspond to the PF hydrogels made from different formulations, as determined based on data
provided in Supplementary Figure S1. As can be seen, both PF modulus and culture time affected
the number of HEK293 cells in the microcarriers. (H) Cell viability over 21 days in PF microcarriers
(G’ = 1000) with suspension culture, as measured by a trypan blue exclusion assay. Each time point
represents data from an average of several bioreactors (3 < n < 18). (I) Cell proliferation in PF
microcarriers (G’ = 1000) with suspension culture in bioreactors for up to 21 days, as measured by a
PI staining assay; each time point is represented by an average of at least three different experiments
(n > 3). All results shown are as mean ± S.D. of at least three independent experiments. Figure 2. 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors The quantitative viability data of the HEK293 cells within microcarriers show consistent
levels of around 80% throughout the 21 days in culture, as measured by both trypan blue
and PI incorporation assays (Figure 2H,I). Based on these initial assessments of viability, we decided to use PF microcarriers made
from 8 mg/mL PF and 1% PEG-DA (G’ = 1000 Pa) in all further experiments. Accordingly,
cells cultured in these microcarriers in suspension for up to three weeks were quantitatively
evaluated for viability during the duration of the Cripto-1 production cycle (Figure 2H,I). The quantitative viability data of the HEK293 cells within microcarriers show consistent
levels of around 80% throughout the 21 days in culture, as measured by both trypan blue
and PI incorporation assays (Figure 2H,I). p
y
g
The cell-laden microcarriers were used for the Cripto production cycle as illustrated
in Figure 1. After an initial 3 days of incubation in growth medium, starvation medium
was used to collect the secreted Cripto protein on a daily basis for 4 days, and this cycle
was repeated three times (Figure 1A). The collected Cripto was defrosted and pooled
for ultrafiltration followed by His-tag affinity chromatography and dialysis (Figure 1B). SDS-PAGE results of the Cripto protein in the fractions of the chromatography obtained at
different stages of the process confirmed the presence of the Cripto, as well as the effects
of the purification steps (Figure 3A). Seven fractions were collected in total, including the
concentrated sample after ultrafiltration, samples from the first and second flowthrough of
the affinity chromatography run, two samples after each wash, and two samples eluted
from the Ni-NTA resin. A band corresponding to Cripto-1 protein was clearly visible at
27 kDa after elution from the Ni-NTA resin [5] (Figure 3A arrow). Cripto-1 purification on
the Ni-NTA column was also verified by the gradual disappearance of the dominant protein
bands at around 70 kDa during the chromatography process (Figure 3A). These bands are
likely attributed to residues of fibrinogen chains originating from the PF microcarrier-based
cultivation system. 023, 9, x FOR PEER REVIEW
9 of 2 KDa
25
240
140
100
70
50
35
20
15
7
M
1
2
3
4
5
6
7
***
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
3D Batch
2D Batch
Production Yield (mg)
A
B
C
Cripto
Cripto(3D)
Cripto(2D) Figure 3. 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors The production yield, activity, and purification of recombinant Cripto produced in the 3D
microcarriers as compared to the 2D method. (A) SDS-PAGE analysis of the purification steps o
recombinant Cripto: lane M is the protein molecular weight marker; lane 1 is the protein solutio
from ultrafiltration; lane 2 is the flowthrough after the first passage through the His-tag affinity N
NTA resin; lane 3 is the flowthrough after the second passage through the same resin; lane 4 is th
KDa
25
240
140
100
70
50
35
20
15
7
M
1
2
3
4
5
6
7
***
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
3D Batch
2D Batch
Production Yield (mg)
A
B
C
Cripto
Cripto(3D)
Cripto(2D)
0
10
20
30
40
50
60
70
80
90
100
3D Batch
2D Batch
Cripto activity (%)
Cripto(3D)
Cripto(2D)
Figure 3. The production yield, activity, and purification of recombinant Cripto produced in the
3D microcarriers as compared to the 2D method. (A) SDS-PAGE analysis of the purification steps of ***
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
3D Batch
2D Batch
Production Yield (mg)
Cripto(3D)
Cripto(2D) KDa
25
240
140
100
70
50
35
20
15
7
M
1
2
3
4
5
6
7
A
B
Cripto B A Figure 3 The production yield activity and purification of recombinant Cripto produced in the 3
3D Batch
2D Batch
C
Cripto(3D)
Cripto(2D)
0
10
20
30
40
50
60
70
80
90
100
3D Batch
2D Batch
Cripto activity (%)
Cripto(3D)
Cripto(2D)
Figure 3 The production yield activity and purification of recombinant Cripto produced in the C
0
10
20
30
40
50
60
70
80
90
100
3D Batch
2D Batch
Cripto activity (%)
Cripto(3D)
Cripto(2D) C C Figure 3. The production yield, activity, and purification of recombinant Cripto produced in the 3D
microcarriers as compared to the 2D method. (A) SDS-PAGE analysis of the purification steps o
recombinant Cripto: lane M is the protein molecular weight marker; lane 1 is the protein solutio
from ultrafiltration; lane 2 is the flowthrough after the first passage through the His tag affinity N
Figure 3. The production yield, activity, and purification of recombinant Cripto produced in the
3D microcarriers as compared to the 2D method. (A) SDS-PAGE analysis of the purification steps of Figure 3. 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors Viability of HEK293 cells within PF microcarriers in 3D culture. (A–C) Cell viability Figure 2. Viability of HEK293 cells within PF microcarriers in 3D culture. (A–C) Cell viability
of HEK293 cells growing in the 3D PF microcarriers (8 mg/mL, G’ = 250–2000 Pa) in bioreactors
was verified using a calcein/ethidium assay. Initially, viable cells were distributed uniformly in
the microcarriers on day 1 (A) and organized into colonies by day 7 (B), remaining viable beyond
day 21 (C). High-magnification images of cells stained with f-actin FITC-phalloidin (green) and
DAPI (nucleus in blue) show the cells initially distributed uniformly within the microcarriers on
day 1 (D). After 7 and 21 days, the cell colonies were also distributed uniformly throughout the
microcarrier (E,F). (G) The number of living cells was quantified in the microcarriers as a function of
culture time (up to 7 days) and PF modulus (G’ = 250–2000 Pa). The G’ values shown in the graph
correspond to the PF hydrogels made from different formulations, as determined based on data
provided in Supplementary Figure S1. As can be seen, both PF modulus and culture time affected
the number of HEK293 cells in the microcarriers. (H) Cell viability over 21 days in PF microcarriers
(G’ = 1000) with suspension culture, as measured by a trypan blue exclusion assay. Each time point
represents data from an average of several bioreactors (3 < n < 18). (I) Cell proliferation in PF
microcarriers (G’ = 1000) with suspension culture in bioreactors for up to 21 days, as measured by a
PI staining assay; each time point is represented by an average of at least three different experiments
(n > 3). All results shown are as mean ± S.D. of at least three independent experiments. The number of living cells in the microcarriers was quantified and shown to increase
relative to the culture duration and the mechanical properties of the PF matrix (Figure 2G). Gels 2023, 9, 243 7 of 24 7 of 24 Based on these initial assessments of viability, we decided to use PF microcarriers made
from 8 mg/mL PF and 1% PEG-DA (G’ = 1000 Pa) in all further experiments. Accordingly,
cells cultured in these microcarriers in suspension for up to three weeks were quantitatively
evaluated for viability during the duration of the Cripto-1 production cycle (Figure 2H,I). 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors The production yield, activity, and purification of recombinant Cripto produced in the
microcarriers as compared to the 2D method. (A) SDS-PAGE analysis of the purification step
recombinant Cripto: lane M is the protein molecular weight marker; lane 1 is the protein solut
from ultrafiltration; lane 2 is the flowthrough after the first passage through the His-tag affinity
Figure 3. The production yield, activity, and purification of recombinant Cripto produced in the
3D microcarriers as compared to the 2D method. (A) SDS-PAGE analysis of the purification steps of Gels 2023, 9, 243 8 of 24 recombinant Cripto: lane M is the protein molecular weight marker; lane 1 is the protein solution
from ultrafiltration; lane 2 is the flowthrough after the first passage through the His-tag affinity
Ni-NTA resin; lane 3 is the flowthrough after the second passage through the same resin; lane 4 is
the first wash step; lane 5 is the second wash step; lane 6 is the first elution from the His-tag affinity
Ni-NTA resin; and lane 7 is the second elution from the same resin. The band at approximately
27 kDa is the Cripto protein (indicated by the red arrow). (B) Quantitative amounts of Cripto protein
produced in the 3D batch (Cripto(3D)) with HEK293 cells encapsulated in PF microcarriers and
incubated in bioreactors after three rounds of harvesting are compared to the maximum amount of
Cripto produced in the 2D batch (Cripto(2D)) with HEK293 cells adherent to cell culture plates and
cultured to their density threshold limits. An initial cell seeding of 3.2 × 106 cells was used for both
techniques. (C) The biological activity of recombinant Cripto was compared for Cripto produced in
PF microcarriers versus the 2D method by measuring binding affinity to the AlK4 receptor. Four
independent experiments were carried out for the 3D system and three independent experiments
were performed for the 2D cultivation method. Results are shown as mean ± S.D. *** indicates
p < 0.001. The production yields of purified Cripto-1 protein obtained from the 3D PF microcar-
rier system (Cripto(3D)) were quantitively compared to the yields obtained from traditional
2D culture production (Cripto(2D)). The comparative experiments were performed using the
same initial number of cells in each culture system. A total of six independent experiments
were performed using a seeding of 3.2 × 106 HEK293 cells for each treatment (i.e., 3D
versus 2D). 2.1. Production of Recombinant Cripto in a 3D PF Microcarrier-Based System Using Stirred
Suspension Bioreactors The experiments using the 3D system were conducted as per the protocol
illustrated in Figure 1, whereas the experiments using the 2D cultivation method were
conducted on TCP dishes until the cells approached a density threshold and started to
detach from the plate. The concentration of total purified Cripto-1 from all experiments
was determined by means of an ELISA. The average production yield of the 3D method
(4.5 mg Cripto) was more than one order of magnitude higher than that of the 2D method
(0.25 mg Cripto) (Figure 3B). These data represent the amount of protein that was produced
with each technique using the fixed initial cell population. The Cripto-1 produced in 3D
microcarriers and 2D flasks was also tested for its biological activity using an ELISA kit
that assesses its ability to bind to the AlK4 receptor. The binding level of Cripto-1 protein
produced by the 3D microcarriers was 93%, while the binding level of Cripto-1 produced
by the 2D system was 84% (Figure 3C); however, there was no statistically significant
difference between the two systems in terms of binding levels as measured by the AlK4
receptor ELISA. 2.2. In Vitro Functional Activity of Purified Recombinant Cripto To demonstrate the proliferative effect of the recombinantly produced Cripto-1 on
myoblasts, a BrdU incorporation assay was performed alongside cell counting experiments. C2C12 myoblasts were cultured for 48 h in starvation medium (0.5% FBS) containing
either the Cripto-1 produced in 3D PF microcarriers (Cripto(3D)) or commercially avail-
able Cripto-1 purchased from R&D Systems (Cripto(R&D)). Two control groups were also
examined, including myoblasts grown in starvation medium containing basic fibroblast
growth factor (bFGF) as a proliferation inducer (positive control) and myoblasts grown in
starvation medium with no supplements (negative control). The results confirmed that
C2C12 proliferation was significantly increased in the presence of Cripto(3D) compared
with the negative control group. Myoblasts treated with Cripto(R&D) or bFGF displayed a
significantly higher level of BrdU incorporation when compared to the negative control
group but lower levels of BrdU incorporation when compared to the Cripto(3D) treatment
(Figure 4A). BrdU incorporation results comparing Cripto(3D) and Cripto(R&D) to negative
controls showed a dose-dependent increase in the proliferative response of C2C12 my-
oblasts to Cripto-1 (Figure 4B). Cell counting experiments quantifying the number of live Gels 2023, 9, 243 9 of 24
to neg
C2C12 cells after each treatment showed similar trends among the different treatment groups
(Figure 4C). cells after each treatment showed similar trends among the different treatment gr
(Figure 4C). cells after each treatment showed similar trends among the different treatment groups
(Figure 4C). cells after each treatment showed similar trends among the different treatment g
(Figure 4C). (Figure 4C). (
g
)
Figure 4. The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detect
the BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU
poration assay after being cultured for 48 h in serum-free medium containing Cripto produc
3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated w
bFGF medium positive control and a serum-free medium negative control. (B) The recomb
***
***
***
0.7
0.8
0.9
1
1.1
1.2
1.3
1.4
Cripto_Lab Cripto_R&D
bFGF
Untreated
BrdU incorporation
(Fold over control, a.u.)
Cripto(3D) Cripto(R&D)
bFGF
Control
A
B
**
*
**
0
2
4
6
8
10
12
14
16
Cripto_Lab Cripto_R&D
bFGF
Untreated
Cripto(3D)
Cripto(R&D)
bFGF
Control
Number of live cells (x104)
C
0
0.5
1
1.5
2
2.5
3
3.5
4
0
100
200
300
400
500
BrdU incorporation
(Fold over control, a.u.)
Cripto concentration (ng/ml)
Cripto_Lab
Cripto_R&D
BM
Cripto(3D)
Cripto(R&D)
Control
Figure 4. 2.2. In Vitro Functional Activity of Purified Recombinant Cripto The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detected
by the BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU
incorporation assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (B) The recombinant
Cripto induces myoblast proliferation in a dose-dependent pattern; increasing concentrations of
Cripto(3D) and Cripto(R&D) were added to C2C12 cells, and proliferation was quantified by the BrdU
i
ti
(C) C ll
lif
ti
f
th
l
t d b
ti
th t t l
b
f li Figure 4. The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detecte
the BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU i
poration assay after being cultured for 48 h in serum-free medium containing Cripto produc
3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated w
bFGF medium positive control and a serum-free medium negative control. (B) The recomb
Cripto_Lab Cripto_R&D
bFGF
Untreated
Cripto(3D) Cripto(R&D)
bFGF
Control
**
*
**
0
2
4
6
8
10
12
14
16
Cripto_Lab Cripto_R&D
bFGF
Untreated
Cripto(3D)
Cripto(R&D)
bFGF
Control
Number of live cells (x104)
C
0
100
200
300
400
500
Cripto concentration (ng/ml)
Figure 4. The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detected
by the BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU
incorporation assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (B) The recombinant
Cripto induces myoblast proliferation in a dose-dependent pattern; increasing concentrations of
C i
d C i
dd d
C2C12
ll
d
lif
i
ifid b
h B dU **
*
**
0
2
4
6
8
10
12
14
16
Cripto_Lab Cripto_R&D
bFGF
Untreated
Cripto(3D)
Cripto(R&D)
bFGF
Control
Number of live cells (x104)
C
Cripto concentration (ng/ml) **
*
**
0
2
4
6
8
10
12
14
16
Cripto_Lab Cripto_R&D
bFGF
Untreated
Cripto(3D)
Cripto(R&D)
bFGF
Control
Number of live cells (x104)
C C gure 4. The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detect
he BrdU incorporation assay. 2.2. In Vitro Functional Activity of Purified Recombinant Cripto (A) C2C12 myoblast proliferation was evaluated by the BrdU i
oration assay after being cultured for 48 h in serum-free medium containing Cripto produc
D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated w
FGF medium positive control and a serum-free medium negative control. (B) The recomb
Figure 4. The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detected
by the BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU
incorporation assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (B) The recombinant
Cripto induces myoblast proliferation in a dose-dependent pattern; increasing concentrations of
Cripto(3D) and Cripto(R&D) were added to C2C12 cells, and proliferation was quantified by the BrdU
incorporation assay. (C) Cell proliferation was further evaluated by counting the total number of live
cells. The proliferative effect of Cripto(3D) was compared with that of commercial Cripto(R&D). The
data are presented as mean ± S.D. from at least three independent experiments. * indicates p < 0.05,
** indicates p < 0.01, *** indicates p < 0.001. gure 4. The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detecte
he BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU i
oration assay after being cultured for 48 h in serum-free medium containing Cripto produc
D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated w
FGF medium positive control and a serum-free medium negative control. (B) The recomb
Figure 4. The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detected
by the BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU
incorporation assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (B) The recombinant
Cripto induces myoblast proliferation in a dose-dependent pattern; increasing concentrations of
Cripto(3D) and Cripto(R&D) were added to C2C12 cells, and proliferation was quantified by the BrdU
incorporation assay. (C) Cell proliferation was further evaluated by counting the total number of live
cells. The proliferative effect of Cripto(3D) was compared with that of commercial Cripto(R&D). The
data are presented as mean ± S.D. 2.2. In Vitro Functional Activity of Purified Recombinant Cripto The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detected
by the BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU
incorporation assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (B) The recombinant
Cripto induces myoblast proliferation in a dose-dependent pattern; increasing concentrations of
Cripto(3D) and Cripto(R&D) were added to C2C12 cells, and proliferation was quantified by the BrdU
incorporation assay. (C) Cell proliferation was further evaluated by counting the total number of live
cells. The proliferative effect of Cripto(3D) was compared with that of commercial Cripto(R&D). The
data are presented as mean ± S D from at least three independent experiments * indicates p < 0 05 ***
***
***
0.7
0.8
0.9
1
1.1
1.2
1.3
1.4
Cripto_Lab Cripto_R&D
bFGF
Untreated
BrdU incorporation
(Fold over control, a.u.)
Cripto(3D) Cripto(R&D)
bFGF
Control
A
B
0
0.5
1
1.5
2
2.5
3
3.5
4
0
100
200
300
400
500
BrdU incorporation
(Fold over control, a.u.)
Cripto concentration (ng/ml)
Cripto_Lab
Cripto_R&D
BM
Cripto(3D)
Cripto(R&D)
Control ***
***
***
0.7
0.8
0.9
1
1.1
1.2
1.3
1.4
Cripto_Lab Cripto_R&D
bFGF
Untreated
BrdU incorporation
(Fold over control, a.u.)
Cripto(3D) Cripto(R&D)
bFGF
Control
A dl
B
0
0.5
1
1.5
2
2.5
3
3.5
4
0
100
200
300
400
500
BrdU incorporation
(Fold over control, a.u.)
Cripto concentration (ng/ml)
Cripto_Lab
Cripto_R&D
BM
Cripto(3D)
Cripto(R&D)
Control B A Figure 4. The effect of Cripto produced in 3D microcarriers on C2C12 cell proliferation detect
the BrdU incorporation assay. (A) C2C12 myoblast proliferation was evaluated by the BrdU i
poration assay after being cultured for 48 h in serum-free medium containing Cripto produc
3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated w
bFGF medium positive control and a serum-free medium negative control. (B) The recomb
***
***
0.7
0.8
0.9
1
1.1
1.2
Cripto_Lab Cripto_R&D
bFGF
Untreated
BrdU incorporatio
(Fold over control, a
Cripto(3D) Cripto(R&D)
bFGF
Control
**
*
**
0
2
4
6
8
10
12
14
16
Cripto_Lab Cripto_R&D
bFGF
Untreated
Cripto(3D)
Cripto(R&D)
bFGF
Control
Number of live cells (x104)
C
0
0.5
1
1.5
2
2.5
3
3.5
0
100
200
300
400
500
BrdU incorporation
(Fold over control, a.u
Cripto concentration (ng/ml)
BMControl
Figure 4. 2.2. In Vitro Functional Activity of Purified Recombinant Cripto from at least three independent experiments. * indicates p < 0.05,
** indicates p < 0.01, *** indicates p < 0.001. Cripto(3D) and Cripto(R&D) were added to C2C12 cells, and proliferation was quantified by the BrdU
incorporation assay. (C) Cell proliferation was further evaluated by counting the total number of live
cells. The proliferative effect of Cripto(3D) was compared with that of commercial Cripto(R&D). The
data are presented as mean ± S.D. from at least three independent experiments. * indicates p < 0.05,
** indicates p < 0.01, *** indicates p < 0.001. The biological activity of purified Cripto-1 was investigated by staining the treated
myoblasts with the proliferation marker Ki67. Bright field and fluorescence images of the
cells were acquired and used to assess the effects on the cells. The bright field images
showed that cells treated with Cripto(3D) were more confluent than the untreated cells
(Figure 5A). Fluorescence images were quantified for the percentage of Ki67-positive cells; Gels 2023, 9, 243 10 of 24 10 of 24 the number of positive cells treated with Cripto(3D) was the highest of all the treatments
(Figure 5B). To further assess the bioactivity of the Cripto-1 produced in the PF microcar-
riers, we measured the effects of the protein on satellite cell differentiation. Satellite cells
were grown in low-activation medium (10% HS) supplemented either with Cripto(3D) or
Cripto(R&D) or without supplement as a negative control. Double immunostaining for the
myogenic differentiation markers myosin heavy chain (MyHC) and myogenin (MyoG)
was performed after 24, 72 h, and 7 days (Figure 6A). MyoG is a myogenic marker that is
expressed during differentiation. High levels of this marker indicate that the differentiation
capacity of the cells is elevated due to the presence of the Cripto proteins. These results
are consistent with the previous findings of Guardiola et al.; they observed that treatment
with Cripto increases the tendency of satellite cells toward differentiation and expression of
MyoG [51]. The rates of myogenic differentiation were evaluated by measuring the fusion
index, which is the percentage of nuclei within MyHC-positive myotubes (i.e., those with
≥2 nuclei) out of the total number of nuclei. Quantitative analysis of the images showed
significantly increased fusion in cells treated with Cripto(3D) compared to the negative
controls at all time points (Figure 6B). 2.2. In Vitro Functional Activity of Purified Recombinant Cripto The quantification of MyoG-positive cells at each
time point also showed a significantly higher level of MyoG in cells treated with Cripto(3D)
compared to the negative control cells (p < 0.05, n ≥3) (Figure 6C). MyoG levels in cells
treated with Cripto(R&D) were also significantly higher compared to the negative control
cells at the early time points (p < 0.05, n ≥3) (Figure 6C). 12 of 25 A Cripto(3D)
Cripto(R&D)
bFGF
Control
A
1.4
B
DAPI KI67
Figure 5. Cont. Cripto(3D)
Cripto(R&D)
bFGF
Control
1 4
B
DAPI KI67
Figure 5. Cont. Control Cripto(3D) Cripto(3D) These results are consistent with
data obtained in a conducted stability study that used an ELISA to show that Cripto-1
protein retains its ability to bind AlK4 receptors when stored at −80 ◦C for up to six years
(Supplementary Figure S7B). 2.4. Discussion
Recent clinical progress in novel protein therapeutics has drawn renewed interest
in establishing more robust methods for producing complex recombinant proteins in
suspension bioreactors, particularly with mammalian cell lines. These efforts involve a
range of mammalian cell types being engineered to overexpress the therapeutic protein,
which is either secreted directly into the culture medium or retained within cells and
extracted afterwards [21,52–54]. In this study, our aim was to optimize and validate a
PF hydrogel 3D microcarrier for the production of large quantities of Cripto-1 protein by
employing Cripto-overexpressing HEK293 cells grown in suspension bioreactors. For this
purpose, 3D microcarriers made from semisynthetic PF hydrogels were designed to provide
both physical stability and bioactivity to enable HEK293 cell survival and proliferation
within the microcarriers for up to 21 days in suspension culture. The ability of the cells to
secrete large amounts of Cripto protein into the culture medium was an equally important
feature of the PF microcarrier system that we sought to investigate. Figure 5. Proliferation analysis using Ki67 immunostaining of C2C12 myoblasts after treatment with
Cripto produced in 3D microcarriers. C2C12 myoblast proliferation was evaluated by a Ki67 im-
munostaining assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (A) Representative
bright field images of myoblasts showing the morphology of the cells in the different treatments. Fluorescence staining for the cell proliferation marker Ki-67 (red) is shown for the different
**
*
0.7
0.8
0.9
1
1.1
1.2
1.3
1.4
Cripto_Lab Cripto_R&D
bFGF
NT
Ki67 positive cells
(Fold over control)
B
DAPI KI67
Cripto(3D)
Cripto(R&D)
bFGF
Control
Figure 5. Proliferation analysis using Ki67 immunostaining of C2C12 myoblasts after treatment with
Cripto produced in 3D microcarriers. C2C12 myoblast proliferation was evaluated by a Ki67 im-
munostaining assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. 2.3. Stability and Binding Capacity of Recombinant Cripto during Long-Term Storage 2.3. Stability and Binding Capacity of Recombinant Cripto during Long-Term Storage The shelf life and stability of the recombinant Cripto(3D) protein was evaluated for up
to six years after production. After every manufacturing process, the batch of the purified
Cripto-1 protein was snap-frozen in liquid nitrogen and stored at −80 ◦C. Protein samples
from batches produced at different time points were thawed and quantified for their
stability and integrity. The SDS-PAGE analysis results for Cripto-1 samples from different
batches are shown in Supplementary Figure S7A. In all samples, the bands corresponding
to Cripto-1 proteins that were stored for different periods showed little evidence of protein
degradation that may have occurred during storage. These results are consistent with
data obtained in a conducted stability study that used an ELISA to show that Cripto-1
protein retains its ability to bind AlK4 receptors when stored at −80 ◦C for up to six years
(Supplementary Figure S7B). Cripto(3D) (A) Representative
bright field images of myoblasts showing the morphology of the cells in the different treatments. Fluorescence staining for the cell proliferation marker Ki-67 (red) is shown for the different treat-
ments. Scale bar 100 µm. (B) Ki67 levels were quantified and presented as fold change over control
(serum-free medium). The proliferative effect of Cripto(3D) was compared with that of commercial
Cripto(R&D). Results are shown as mean ± S.D. of at least three independent experiments. * indicates
p < 0.05, ** indicates p < 0.01. **
*
0.7
0.8
0.9
1
1.1
1.2
1.3
1.4
Cripto_Lab Cripto_R&D
bFGF
NT
Ki67 positive cells
(Fold over control)
B
DAPI KI67
Cripto(3D)
Cripto(R&D)
bFGF
Control **
*
0.7
0.8
0.9
1
1.1
1.2
1.3
1.4
Cripto_Lab Cripto_R&D
bFGF
NT
Ki67 positive cells
(Fold over control)
B
Cripto(3D)
Cripto(R&D)
bFGF
Control B Figure 5. Proliferation analysis using Ki67 immunostaining of C2C12 myoblasts after trea
Figure 5. Proliferation analysis using Ki67 immunostaining of C2C12 myoblasts after trea Figure 5. Proliferation analysis using Ki67 immunostaining of C2C12 myoblasts after treatment with
Cripto produced in 3D microcarriers. C2C12 myoblast proliferation was evaluated by a Ki67 im-
munostaining assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (A) Representative
bright field images of myoblasts showing the morphology of the cells in the different treatments. Fluorescence staining for the cell proliferation marker Ki-67 (red) is shown for the different
Figure 5. Proliferation analysis using Ki67 immunostaining of C2C12 myoblasts after treatment with
Cripto produced in 3D microcarriers. C2C12 myoblast proliferation was evaluated by a Ki67 im-
munostaining assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (A) Representative
bright field images of myoblasts showing the morphology of the cells in the different treatments. Fluorescence staining for the cell proliferation marker Ki-67 (red) is shown for the different treat-
ments. Scale bar 100 µm. (B) Ki67 levels were quantified and presented as fold change over control
(serum-free medium). The proliferative effect of Cripto(3D) was compared with that of commercial
Cripto(R&D). Results are shown as mean ± S.D. of at least three independent experiments. Cripto(3D) * indicates
p < 0.05, ** indicates p < 0.01. Fluorescence staining for the cell proliferation marker Ki-67 (red) is shown for the different
bright field images of myoblasts showing the morphology of the cells in the different treatments. Fluorescence staining for the cell proliferation marker Ki-67 (red) is shown for the different treat-
ments. Scale bar 100 µm. (B) Ki67 levels were quantified and presented as fold change over control
(serum-free medium). The proliferative effect of Cripto(3D) was compared with that of commercial
Cripto(R&D). Results are shown as mean ± S.D. of at least three independent experiments. * indicates
p < 0.05, ** indicates p < 0.01. Cripto(3D) Figure 5. Cont. 11 of 24 Gels 2023, 9, 243 Figure 5. Proliferation analysis using Ki67 immunostaining of C2C12 myoblasts after treatment with
Cripto produced in 3D microcarriers. C2C12 myoblast proliferation was evaluated by a Ki67 im-
munostaining assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (A) Representative
bright field images of myoblasts showing the morphology of the cells in the different treatments. Fluorescence staining for the cell proliferation marker Ki-67 (red) is shown for the different
**
*
0.7
0.8
0.9
1
1.1
1.2
1.3
1.4
Cripto_Lab Cripto_R&D
bFGF
NT
Ki67 positive cells
(Fold over control)
B
DAPI KI67
Cripto(3D)
Cripto(R&D)
bFGF
Control
Figure 5. Proliferation analysis using Ki67 immunostaining of C2C12 myoblasts after treatment with
Cripto produced in 3D microcarriers. C2C12 myoblast proliferation was evaluated by a Ki67 im-
munostaining assay after being cultured for 48 h in serum-free medium containing Cripto produced
in 3D microcarriers (Cripto(3D)) or commercially available Cripto (Cripto(R&D)). Also evaluated were
a bFGF medium positive control and a serum-free medium negative control. (A) Representative
bright field images of myoblasts showing the morphology of the cells in the different treatments. Fluorescence staining for the cell proliferation marker Ki-67 (red) is shown for the different treat-
ments. Scale bar 100 µm. (B) Ki67 levels were quantified and presented as fold change over control
(serum-free medium). The proliferative effect of Cripto(3D) was compared with that of commercial
Cripto(R&D). Results are shown as mean ± S.D. of at least three independent experiments. * indicates
p < 0.05, ** indicates p < 0.01. 2.3. Stability and Binding Capacity of Recombinant Cripto during Long-Term Storage
The shelf life and stability of the recombinant Cripto(3D) protein was evaluated for up
to six years after production. After every manufacturing process, the batch of the purified
Cripto-1 protein was snap-frozen in liquid nitrogen and stored at −80 ◦C. Protein samples
from batches produced at different time points were thawed and quantified for their
stability and integrity. The SDS-PAGE analysis results for Cripto-1 samples from different
batches are shown in Supplementary Figure S7A. In all samples, the bands corresponding
to Cripto-1 proteins that were stored for different periods showed little evidence of protein
degradation that may have occurred during storage. 2.4. Discussion Recent clinical progress in novel protein therapeutics has drawn renewed interest
in establishing more robust methods for producing complex recombinant proteins in
suspension bioreactors, particularly with mammalian cell lines. These efforts involve a
range of mammalian cell types being engineered to overexpress the therapeutic protein,
which is either secreted directly into the culture medium or retained within cells and
extracted afterwards [21,52–54]. In this study, our aim was to optimize and validate a
PF hydrogel 3D microcarrier for the production of large quantities of Cripto-1 protein by
employing Cripto-overexpressing HEK293 cells grown in suspension bioreactors. For this
purpose, 3D microcarriers made from semisynthetic PF hydrogels were designed to provide
both physical stability and bioactivity to enable HEK293 cell survival and proliferation
within the microcarriers for up to 21 days in suspension culture. The ability of the cells to
secrete large amounts of Cripto protein into the culture medium was an equally important
feature of the PF microcarrier system that we sought to investigate. 12 of 24
t of com-
iments. * 12 of 24
t of com
iments. * Gels 2023, 9, 243 Figure 6. Cripto protein produced in 3D microcarriers retains the ability to induce muscle satellite
cell commitment toward a differentiative fate. Muscle satellite cells were cultured in 10% HS me-
dium containing Cripto(3D) or commercial Cripto(R&D) and compared to the control group (containing
72 hr
7 day
24 hr
Cripto(3D)
Cripto(R&D)
Control
A
**
**
*
*
*
0
10
20
30
40
50
60
70
80
90
100
24 hr
72 hr
7 d
Fusion index (%)
Cripto (lab)
Cripto (R&D)
Ctrl
*
**
*
*
*
0
10
20
30
40
50
60
70
80
90
100
24 hr
72 hr
7 d
MyoG positive cells (%)
Cripto(3D)
Cripto(R&D)
Control
B
C
DAPI myoG MyHC
Figure 6. Cripto protein produced in 3D microcarriers retains the ability to induce muscle satellite
cell commitment toward a differentiative fate. Muscle satellite cells were cultured in 10% HS medium
containing Cripto(3D) or commercial Cripto(R&D) and compared to the control group (containing only
10%FBS medium). (A) Cells were stained with DAPI (blue), MyHC (green), and myoG (red), and
representative images were obtained for 24 h, 72 h, and 7 days in culture. (B) Differentiation was
estimated by measuring the fusion index, which is the percentage of nuclei within MyHC-positive
cells. 2.4. Discussion (C) Quantification of MyoG-positive nuclei per total myonuclei, as identified with a DAPI
t
t i
R
lt
h
± S D
f t l
t th
i d
d
t
i
t
* i di
t A 72 hr
7 day
24 hr
Cripto(3D)
Cripto(R&D)
Control
A
DAPI myoG MyHC Control Cripto(R&D) **
**
*
*
*
0
10
20
30
40
50
60
70
80
90
100
24 hr
72 hr
7 d
Fusion index (%)
Cripto (lab)
Cripto (R&D)
Ctrl
*
**
*
*
*
0
10
20
30
40
50
60
70
80
90
100
24 hr
72 hr
7 d
MyoG positive cells (%)
Cripto(3D)
Cripto(R&D)
Control
B
C B C B Figure 6. Cripto protein produced in 3D microcarriers retains the ability to induce muscle satellite
cell commitment toward a differentiative fate. Muscle satellite cells were cultured in 10% HS me-
dium containing Cripto(3D) or commercial Cripto(R&D) and compared to the control group (containing
Figure 6. Cripto protein produced in 3D microcarriers retains the ability to induce muscle satellite
cell commitment toward a differentiative fate. Muscle satellite cells were cultured in 10% HS medium
containing Cripto(3D) or commercial Cripto(R&D) and compared to the control group (containing only
10%FBS medium). (A) Cells were stained with DAPI (blue), MyHC (green), and myoG (red), and
representative images were obtained for 24 h, 72 h, and 7 days in culture. (B) Differentiation was
estimated by measuring the fusion index, which is the percentage of nuclei within MyHC-positive
cells. (C) Quantification of MyoG-positive nuclei per total myonuclei, as identified with a DAPI
counterstain. Results are shown as mean ± S.D. of at least three independent experiments. * indicates
p < 0.05, ** indicates p < 0.01. Gels 2023, 9, 243 13 of 24 13 of 24 Moving from 2D culture to 3D microporous hydrogel microcarriers is important when
large amounts of therapeutic protein are required, such as in the case of Cripto [51,55,56]. However, there are some challenges when working with 3D hydrogel microcarriers. In
particular, the composition of the microcarriers can affect cell survival and protein pro-
duction. Studies have shown that mammalian cell viability, growth potential, and pheno-
type can be altered by adjusting the physical and biological features of the encapsulating
hydrogel [43,57]. 2.4. Discussion Premised on the concepts of controlling cell phenotype using these fea-
tures, we first had to identify PF material properties that provided a good growth matrix for
cultivating Cripto-overexpressing HEK293 cells in stirred suspension bioreactors. Specifi-
cally, the PEG polymer composition of the PF was adjusted to endow the hydrogel with
sufficient mechanical strength to resist the shear forces associated with the stirred sus-
pension bioreactors for a duration of up to 21 days without impeding the proliferation or
survival of the cells. Three compositions of PF hydrogels were tested with HEK293 cells in
3D culture in a preliminary screening experiment, including a low modulus, intermediate
modulus, and a high modulus formulation. These formulations all contained 8 mg/mL PF. Additional PEG-DA crosslinker (0–2% w/v) was added to the PF to increase the hydrogel
modulus from G’ = 250 Pa to G’ = 1000 Pa and G’ = 2000 Pa (see Supplementary Figure S1). The preliminary screening experiment demonstrated that the modulus of the PF affected the
proliferation of the HEK293 cells after 7 days in culture (Figure 2H). The higher modulus
formulations appeared to reduce the proliferation of the HEK293 cells in the 3D culture. Additionally, of the three compositions that were tested, only the low modulus formulation
was not stable in the bioreactor for the full 21 days. The intermediate and high modulus
formulations were stable for 21 days; however, because the high modulus formulation
impeded cell proliferation more than the intermediate modulus formulation (Figure 2G),
we chose to continue all experiments using the intermediate modulus formulation. The composition of the biological component in the PF hydrogel provided adequate
bioactivity to allow for cell survival within the microcarrier matrix for the duration of
the 21 days in suspension culture. The quantitative viability of the cells was measured
using a trypan blue exclusion assay and a PI assay. Both techniques confirmed viability of
greater than 80% throughout the culture period. These data are consistent with previous
experiments using PF hydrogels to culture other cell types within the gels [42,43,58,59]. The UV photopolymerization in this study may have contributed to the loss of cell via-
bility immediately after gel formation. We and others have verified the cytocompatibility
of UV photopolymerization [60], but we cannot exclude the possibility that either the
Irgacure2959 and/or the 365 nm UV light adversely affected the HEK293 cells. 2.4. Discussion The cells in the 2D system approached a density threshold, which
led to cell detachment from the plate, whereas cell proliferation in the 3D system was
controlled by the mechanical properties of the PF microcarriers [21]. Although the 2D and
3D cultures can be further optimized, these results stand in agreement with previously
reported data suggesting that cell proliferation is high and uncontrolled in a 2D system
compared to the number of cells being maintained at a steady state in the 3D system [21]. More optimizations can also be performed on the 3D system, including optimization of
the properties of PF for longer culture durations, optimization of growth/harvest cycle
durations, changes in the type of bioreactor used, and control of bioreactor growth condi-
tions using continuous monitoring for optimal production [9,63]. Consequently, the matrix
modulus of G’ = 1000 Pa was chosen for the Cripto production experiments based, in part,
on limiting cell growth within the matrix. In addition to the high yields of 3D microcarrier Cripto-1 production, high-throughput
purification is an important part of bioprocessing. Cripto-1 purification can become a
bottleneck in cost-effective production of biotherapeutics. We addressed this issue using
a purification strategy that is based on the creation of a fusion Cripto-1 protein with His-
tag sequences that are biologically active [5,64] and which can be purified via affinity
chromatography. This is a widely accepted strategy for the purification of recombinantly
expressed clinically useful proteins [5,65–67]. Other techniques have been applied to
recombinantly express and purify His-tag-fused Cripto-1 protein, particularly in non-
mammalian expression systems such as E. coli. A recent study optimizing the production of
recombinant soluble human Cripto-1 protein using the T7 expression system was performed
by Senso et al. [67]. They found that a functional form of soluble Cripto-1 was difficult to
obtain because of the 12 cysteine residues in the protein, which impairs the folding process. They developed a special purification process to obtain His-tagged Cripto-1 protein from
inclusion bodies under denatured conditions [65]. The purification process included not
only a Ni-NTA column step, but also a CDR-modified cellulose column to remove cellular
debris. This step was required, in part, because the protein in E. coli is mostly confined to
the inclusion bodies. However, this was not required in the HEK293 cells cultured within
the 3D microcarriers as the protein is secreted, modified, and then collected directly from
the medium. 2.4. Discussion g
g
y
In terms of cell morphology, the HEK293 cells inside the hydrogel were initially
rounded when the hydrogel was formed and remained rounded throughout the duration
of the culture. Although anchorage-dependent, the HEK293 cells do not appear to spread
within the PF matrix upon their encapsulation. Typically, stromal cells cultured in PF
hydrogels with similar properties exhibit morphogenesis, leading to cell spreading within
the matrix. We have previously cultured fibroblasts in PF hydrogels with evidence of
cell adhesion, including the formation of focal adhesions [61]. Therefore, we assume that
cell adhesion is possible between the HEK293 cells and the PF matrix, although we did
not evaluate the formation of focal adhesions in this study. Cell morphogenesis may also
be influenced by the ability of the cells to proteolytically break down the PF matrix. In
hydrogels that are more highly crosslinked with additional PEG-DA, this proteolysis can
be hampered [62]. In this study, we cultured the HEK293 cells in PF hydrogels, with slow
proteolytic degradation owing to the additional PEG-DA that was added [61]. Hence, the
HEK293 cells growing in the PF material that supports cell adhesion may more slowly
degrade PF, which can explain why they appear to have a rounded morphology. This
PF formulation was chosen to prevent the hydrogels from degrading prematurely during
the culture period. Additionally, it is important to note that the HEK293 cells do not
necessarily exhibit mesenchymal cell properties and may therefore have a limited ability to
express a non-rounded cell morphology in 3D culture. This could be attributed to a limited Gels 2023, 9, 243 14 of 24 14 of 24 production of proteases to break down the PF matrix, thus reducing their ability to form
cellular extensions within the PF hydrogel milieu. production of proteases to break down the PF matrix, thus reducing their ability to form
cellular extensions within the PF hydrogel milieu. As a preliminary proof of concept with the 3D PF microcarriers, Cripto-1 production
yields from 3.2 × 106 HEK293 cells were measured at nearly 4.5 mg of Cripto after 21 days
in culture. Although these values are not optimized, they represent an initial assessment
of the potential yields achieved by this system. When compared to the cell-normalized
yields obtained with conventional 2D tissue culture dishes (i.e., TCP), the 3D methods
proved far superior. 2.4. Discussion In general, the purification of Critpo-1 secreted outside the membrane is easier
than the purification of proteins from cell lysates [5,68,69], underscoring the advantage of
producing Cripto-1 with a HEK293 cell expression system in 3D microcarriers. Beyond the use of affinity chromatography, we applied a couple of other well-established
purification steps to achieve the high-quality, high-throughput recombinant protein yields. The first step involved concentrating the Cripto-1 protein in the collected culture medium
via ultrafiltration to prepare the solution for chromatography. The second step involved
the elution of the His-tagged Cripto-1 protein in a Ni-NTA column. The final step was to
dialyze the purified Cripto-1 against PBS. The Ni-NTA affinity column demonstrated high
capacity for loading the target protein, and no destructive effects were observed during
the elution. Overall, the broad band at 27 kDa, which appeared in the first elution fraction,
coupled with the absence of bands at 27 kDa in other fractions, confirms the high efficiency
of the Cripto purification steps. Our study has also demonstrated that the amount of active
protein increased when compared to 2D production of the protein. This suggests that
both of the 3D production and purification processes were delicate enough to preserve the
natural biological structure, which is strongly related to bioactive function. Gels 2023, 9, 243 15 of 24 15 of 24 In terms of measuring the bioactivity of Cripto-1, previous studies have shown that
Cripto-1 plays a dual role by both increasing the proliferation rate of myoblasts and
promoting satellite cells toward myogenic differentiation [51]. Cripto-1 binds Nodal and
activates ALK4 signaling pathways under normal physiological conditions [70]. Hence,
we characterized the activity of the expressed protein using a proliferation assay with the
C2C12 myoblast line and a myogenic differentiation assay on primary myoblasts. The
highest proliferation rate was found in myoblasts treated with Cripto(3D) and Cripto(R&D). In addition, a dose-dependent pattern of proliferative activity was shown in C2C12 cells
exposed to Cripto(3D) and Cripto(R&D). These results were consistent with a previous in-
depth study that demonstrated how Cripto-1 regulates muscle regeneration by attenuating
the TGF-β ligand myostatin signaling pathway. According to this study, by antagonizing
myostatin, Cripto-1 promotes myogenic cell proliferation, and by blocking myostatin
activity, Cripto-1 increases the tendency of satellite cells to differentiate [51]. Based on these
findings, we further investigated the effect of Cripto-1 on muscle satellite cell differentiation. 2.4. Discussion The results here showed an enhanced differentiation rate for cells treated with Cripto(3D)
and Cripto(R&D), which confirms the dual role of Cripto-1 as a regulator that increases the
proliferation rate of myoblasts and promotes satellite cells toward myogenic differentiation. Not only was differentiation enhanced in the presence of Cripto-1 (both from 3D and
R&D sources), but cell confluency in the differentiation assay was greater (the initial
concentration of cells that were seeded was the same for all treatments). This result
implies that the presence of Cripto affected proliferation as well as differentiation, although
the enhanced differentiation could be also explained as a consequence of the increased
proliferation (rather than a direct effect on differentiation). In the results of the bioactivity
assays, a slight difference in bioactivity in favor of Cripto(3D) was observed; however,
this elevated bioactivity of Cripto(3D) may be attributed to the fibrinogen residues from
PF microcarriers that are not removed during purification steps (see Figure 3A). Future
improvements to the purification process would thus be required to remove all fibrinogen
fragments from the product so that Cripto(3D) could be used in a clinical setting. g
p
p
(
)
g
Storage stability is another important consideration when evaluating the commercial
potential of a specific protein in the pharmaceutical market. A critical concern associated
with therapeutic protein production is their ability to survive after the manufacturing
process for long-term storage before clinical administration. As a result of extended
storage durations, protein quality can be jeopardized by degradation and conformational
changes [71,72]. The results presented in this work confirm that Cripto-1 protein produced
using the 3D cultivation system is capable of maintaining its stability and integrity for at
least 6 years. Data on protein characteristics obtained by SDS-PAGE and ELISA assays
applied on samples of Cripto-1 batches from different time points show that protein stability
and bioactivity were not affected by the long-term storage durations. Specifically, structural
integrity was identified by the uniform bands in the SDS-PAGE results for samples from all
time points, indicating that no protein degradation was detected in samples stored for up
to 6 years. The ability of Cripto-1 to bind to the AlK4 receptor indicates that it retained its
active conformation during long-term storage at −80 ◦C. 4.1. Synthesis of PEG-Diacrylate (PEG-DA) and PEG-Fibrinogen (PF) 4.1. Synthesis of PEG-Diacrylate (PEG-DA) and PEG-Fibrinogen (PF) PEG-diacrylate was synthesized as described elsewhere [44]. Briefly, linear PEG-OH
with an average molecular weight of 10 kDa (Fluka, Buchs, Switzerland) was reacted with
acryloyl chloride (Merck, Darmstadt, Germany) at a molar ratio of 1.5:1 relative to OH
groups in dichloromethane (Aldrich, Sleaze, Germany) and triethylamine (Fluka, Buchs,
Switzerland). The final product was precipitated in ice-cold diethyl ether (Frutarom, Haifa,
Israel), followed by vacuum drying for 48 h. The degree of acrylation was quantified by
NMR (nuclear magnetic resonance spectroscopy). PEGylated fibrinogen was prepared
by conjugating PEG-DA, via Michael-type addition, with denatured, reduced fibrinogen
chains according to previously described protocols [44,73]. Briefly, a 7 mg/mL solution of
bovine fibrinogen (ID bio, Baixas, France) in 150 mM PBS containing 8 M urea was reacted
with Tris(2-carboxyethyl) phosphine hydrochloride (TCEP–HCl) (Sigma–Aldrich). The
molar ratio of TCEP–HCl to fibrinogen cysteines was 1.5:1. Once the protein was dissolved,
PEG-DA in a solution of PBS and 8 M urea (280 mg/mL) was added at a molar ratio of 4:1,
and the reaction was carried out for 3 h at room temperature in the dark. The PEGylated
fibrinogen protein was then precipitated by adding 4 volumes of acetone (Bio-lab) and
was re-dissolved in PBS-urea to the desired concentration, followed by dialysis (Spectrum
12–14 kDa MW Cutoff, USA) against 150 mM PBS for 24 h at 4 ◦C. Finally, the fibrinogen
concentration in the product was measured by a NanoDrop spectrometer (A-280 nm, PF
coefficiency-15.1) and the degree of PEG substitution was calculated according to published
protocols [73]. Rheological parameters were calculated using a strain-rate-controlled shear
rheometer (AR-G2, TA Instruments, New Castle, DE, USA) with a 20 mm parallel-plate
geometry. Each measurement was carried out using 200 µL of hydrogel precursor solution
containing 0.1% w/v Irgacure2959 photoinitiator. All rheological experiments were per-
formed in triplicate. Time sweep oscillatory tests were conducted under a constant strain
amplitude of 1% and a constant frequency of 2 Hz, which was determined to be in the
linear viscoelastic region (LVR) of the PF hydrogels (data not shown). The shear storage
and loss moduli (G’, G”) of the hydrogels was measured for each batch of PF materials
(Supplementary Figure S1A) [43]. Increasing the concentration of additional PEG-DA
was used to increase the G’, as described elsewhere (Supplementary Figure S1B,C) [33]. 4.1. Synthesis of PEG-Diacrylate (PEG-DA) and PEG-Fibrinogen (PF) Three formulations of PF hydrogels were identified for screen testing, including a low
modulus (G’ = 250 Pa), an intermediate modulus (G’ = 1000 Pa), and a high modulus
(G’ = 2000 Pa) gel. 3. Conclusions A 3D PF microcarrier-based cultivation system was designed for the production of
Cripto-1 using HEK293 cell lines in stirred suspension bioreactors. The PF microcarrier
maintained its mechanical integrity for up to 21 days in the stirred bioreactor. The mechani-
cal properties of the PF did not prevent the growth of the HEK293 cells, nor did they obstruct
the release of the constitutively expressed Cripto-1 protein from the microcarrier into the
culture medium. The bioactivity of the purified Cripto-1 protein obtained from 3D PF
microcarrier cultures was equivalent to commercially available Cripto-1, despite a near 10-
fold increase in production yields obtained from the 3D system compared to conventional
2D production. The 3D PF microcarriers can thus help streamline the biomanufacturing of Gels 2023, 9, 243 16 of 24 Cripto-1 in HEK293 cell lines and possibly improve production yields in other therapeutic
proteins that require anchorage-dependent mammalian cell expression systems. Cripto-1 in HEK293 cell lines and possibly improve production yields in other therapeutic
proteins that require anchorage-dependent mammalian cell expression systems. 4.4. Cell Viability and Imaging The viability of the cells in the PF microcarriers was assessed qualitatively by fluores-
cence imaging using a calcein/ethidium assay. The cells in the microcarriers were stained
with 4 mM calcein acetoxymethyl and 2 mM ethidium homodimer-1 (EthD). Calcein pene-
trates the cell membrane and emits a green fluorescence signal under the enzymatic activity
of esterase (emission maximum at 515 nm). This green signal indicates the cells are alive. In
contrast, EthD can only penetrate through the disrupted membranes of dead or dying cells. EthD attaches to the nucleic DNA of dying/dead cells and emits a red fluorescence signal
at 620 nm. The cells seeded in 3D (PF microcarrier) were stained for 50 min on an orbital
shaker at 37 ◦C with 5% CO2 and were washed with PBS at a ratio of 1:1. Stained constructs
were visualized using a Nikon (TS100) fluorescence microscope with a ×2 or ×10 objective
and imaged with a Nikon (DS-Fi1) camera. The quantitative viability of the encapsulated
HEK293 cells was evaluated using the trypan blue exclusion assay and propidium iodide
(PI) assay. PF microcarriers were washed with PBS and incubated at 37 ◦C with collagenase
(0.5–1 mg/mL, Sigma) for 15–60 min to dissolve the 3D gel phase. After dissolution, the
solution passed through a filter (70–100 µm) to dispose of large aggregates of cells and
clumps of PF gel phase residues. The remaining pellet of cells was suspended with PBS to
obtain the desired cell concentration of 5 × 105 to 2 × 106 cells per 1 mL PBS. p
For the trypan blue assay, we utilized the fact that the cell membrane is selective to
the entry of trypan blue; thus, penetrating and staining of the cells measures only the
dead cell population. A volume of 10 µL containing a ratio of 1:1 PBS/cells and trypan
blue (0.4% w/v) was loaded in an automated cell counter (Countess®-Invitrogen). The
obtained results show a calculation of the number of cells, the percentage of living and
dead cells, and the distribution of cell size. An example of this analysis data is provided
in Supplementary Figure S2. For the PI assay, PI penetrates only dead cells, and once
the dye is bound to nucleic acids, its fluorescence is enhanced up to 20- to 30-fold. The
cells were removed from the microcarriers as described above and suspended in 1 mL
PBS for PI staining. 4.3. Cell Seeding in 3D PF Microcarriers Cripto-overexpressing HEK293 cell lines were harvested from 40 tissue culture polystyrene
(TCP) dishes at ~80% confluence by repeated pipetting to detach them from the surface. The suspended cells were then centrifuged for 2–5 min at 300× g to obtain a cell pellet. The
pellet of cells was suspended with the PF hydrogel solution until there was no aggregation
in the solution. Droplets of PF precursor solution with cells (7.5 × 106–10 × 106 cells/mL)
were introduced on a superhydrophobic surface (fumed silica-coated glass plates prepared
as described elsewhere [20,33]) using a 23-gauge syringe needle. The droplets of cells in
hydrogel precursor were crosslinked under long-wave UV light (356 nm, 4–5 mW/cm2)
for 1.5 min in the presence of 0.1% w/v of a photoinitiator (Irgacure®2959, Ciba, Basel,
Switzerland) and then washed with growth medium into a 500 mL DURAN® GL 45 bottle. The estimated volume of each bead (radius = 1.25 mm) was approximately 0.008 mL;
therefore, there were approximately 6 × 104 to 8 × 104 cells per microcarrier. 4.2. Cell Line Maintenance and Expansion in 2D Culture Recombinant Cripto protein was produced in HEK293 cells as a Histidine-tagged
(C-terminus 6xHis) fusion protein lacking the COOH-terminal amino acid residues +156 to
+172 of Cripto (Minchiotti et al., 2011). Briefly, the Cripto-His (sequence from nucleotide
−5 to +156 of the Cripto cDNA) expression vector was obtained via PCR using the com-
plete Cripto cDNA as a template and the appropriate oligonucleotides [68]. The amplified
fragment was cloned into a pcDNA3-His expression vector containing the 6XHis tag and
the neomycin (geneticin) resistance gene for the selection of stable cell lines. HEK293
cells were transfected at 50% confluence by the calcium phosphate method using 10 µg of
plasmid DNA; twenty-four hours after transfection, the cells were incubated with geneticin
(G418)-containing medium for 3 weeks. Following the selection process, resistant cells
were tested for recombinant Cripto-1 protein production via Western blotting [74]. Cripto-
His is released to the medium as it lacks the COOH-terminal hydrophobic lipid anchor
(GPI-anchor) [5]. Cell culture was performed in humidified incubators at 37 ◦C and in a
HEPA-filtered atmosphere of air and 5% CO2. Cells were stored frozen in liquid nitrogen
until use. At the onset of each experiment, the frozen cells were thawed and 4 × 106 cells Gels 2023, 9, 243 17 of 24 were seeded on round tissue culture plates (150 mm diameter × 20 mm height) in growth
medium (ScienceCell) supplemented with 10% fetal bovine serum (FBS) (Biological Indus-
tries, Haemek, Israel) and 1% penicillin–streptomycin–ampicillin (Biological Industries,
Israel). After 24 h of incubation, growth medium was changed to selection medium con-
taining 200 µg/mL G418 (Gibco, Grand Island, NY, USA). Cells were split and expanded
for 10–12 days in selection medium for the harvesting of large amounts of cells prior to
cultivation in suspension bioreactors. 4.4. Cell Viability and Imaging The staining solution was prepared by mixing 40 µg/mL PI reagent
(Sigma) for DNA staining and 100 µg/mL RNases to exclude the staining of nucleic acids
derived from RNA. After 10 min of incubation at 37 ◦C, cells were kept on ice to reduce
the ongoing process of apoptosis. All samples were measured by flow cytometry (LSR- II,
BD Biosciences). A positive control for dead cells was prepared using PI staining with Gels 2023, 9, 243 18 of 24 18 of 24 70% ethanol (Supplementary Figure S3). Blank samples of unstained cells were used as
negative controls (Supplementary Figure S4). The gating strategy involved the use of
positive and negative controls against the live cell population. The percentage of viable
cells was calculated from the number of PI-positive cells in the entire population. The
data were analyzed using a program called FCS Express 4 Plus Research Edition [75]. An
example of these analysis data is provided in Supplementary Figures S3 and S4. For microscopic evaluation of the HEK293 cells within the PF microcarriers, the cells
were fixed in 10% formalin in PBS (Sigma) and stained for filamentous actin (f-actin) using
a TRITC-phalloidin or FITC-phalloidin stain (sigma) and a nuclear stain, DAPI (sigma) or
SYTOX-green (Thermo-Fisher), with both procedures performed according to the manufac-
turer’s recommendations. Briefly, the cells were permeabilized with 0.1% Triton X-100 in
PBS (Sigma) for 10 min. The cells were then stained with FITC- or TRITC-labeled phalloidin
(FTIC-phalloidin or TRITC-phalloidin, 1 µg/mL, Sigma) for 1 h at room temperature and
counterstained through the addition of DAPI or SYTOX-green for 30 min. The cells were
then washed three times with PBS at room temperature and then left overnight at 4 ◦C. The
stained cells were imaged via confocal microscopy (Zeiss LSM700, Oberkochen, Germany)
at a resolution of 1024 by 1024 pixels using a ×20 objective (numerical aperture = 0.45) and
a z-step size of 2.3 µm per layer up to a depth of 200 µm. 4.5. Cultivation of Cells in Spinner Flasks Cells in crosslinked PF microcarriers were cultured in suspension within GL 45 stirred
reactors (DWK Life Sciences, Millville, NJ, USA) for up to 21 days. Typically, 12–15 mL
of PF microcarrier was placed in 500 mL DURAN® GL 45 bottles containing 200–300 mL
of medium. The proportion of PF volume to culture medium volume in the bioreactor
was normally 12 mL/280 mL. The estimated number of microcarriers in 280 mL of each
bioreactor medium was approximately 1500 microcarriers, or 5 microcarriers in each
ml of culture medium. The magnetic stirrer was set to 30–40 revolutions per minute
(RPM). Two vents were used for air flow into the bioreactor. Increasing gas exchange in
the medium was achieved with air pumps while keeping the conditions sterile using a
0.2 µm in-line pre-filter (Whatman PolyVENT™). The PF microcarriers containing HEK293
cells were subjected to a prescribed growth/starvation cycle for periodic harvesting of
the secreted Cripto protein. Specifically, 3 days of growth medium was followed by
4 days of starvation/harvesting. Starvation medium included serum-free DMEM that was
phenol-free and which contained 1% penicillin–streptomycin–ampicillin. After each 4-day
starvation cycle, the medium was replaced with a fresh growth medium and incubated for
an additional growth/harvesting cycle resulting in a total of three iterations (see Figure 1). This iterative cycling was chosen based on an initial optimization study evaluating cell
viability in the microcarriers during long-term suspension culture in the bioreactors (data
not shown). During the harvesting phase, the medium was collected every 24 h and further
processed prior to protein purification. Briefly, cell debris was removed via centrifugation
(10 min at 3000 RPM) and the harvested media was frozen at −80 ◦C until the beginning of
the purification process. 4.6. Cripto Production in 2D Cultivation System 4.6. Cripto Production in 2D Cultivation System For the production of Cripto in a 2D culture system, the selection medium was re-
moved from 40 TCP dishes and replaced with a starvation medium. After incubation at
37 ◦C and 5% CO2 overnight, the medium was collected and centrifuged. The harvested
medium was stored at −80 ◦C prior to protein purification. The medium was then replaced
with a fresh starvation medium, and these steps were repeated for three more days until
the cells started to detach from the TCP surface. 4.7. Cripto Purification, Quantification, and Detection Cripto protein was purified using a three-step procedure consisting of ultrafiltration,
chromatography, and dialysis. A Centramate™tangential flow filtration cassette membrane Gels 2023, 9, 243 19 of 24 19 of 24 with a molecular weight cutoff of 10,000 Dalton was used for concentrating the Cripto from
the collected culture medium (Pall Corporation, New York, NY, USA). This was followed
by His-tag affinity chromatography with a Ni-NTA column (Qiagen, Hilden, Germany)
to purify the Cripto. Finally, dialysis against PBS (130 mM) was conducted for 24 h at
4 ◦C, with four changes of the dialysis buffer performed to remove any impurities from the
elution buffer. The purified Cripto solution was then frozen at −80 ◦C and freshly thawed
for use at the beginning of each experiment. To qualitatively monitor purification efficiency,
the Cripto protein fractions were withdrawn during the purification process and visualized
by SDS-PAGE and Coomassie blue staining. Fractions were collected from the following
steps: after concentration with ultrafiltration, flowthrough after the first and the second
binding to the resin, each wash step, and from samples eluted from the Ni-NTA resin. To
measure the concentrations of both the total purified protein and the active protein, an
assay was carried out using a commercial ELISA kit (DuoSet, R&D systems, Minneapolis,
Minnesota, United States). Serial dilutions of the concentrated protein were put into 96-well
plates coated with either mouse Cripto antibody (for total concentration) or recombinant
mouse activin receptor IB/Fc (for active protein concentration) (R&D systems AF1538 and
1477-AR, respectively). Briefly, 96–well plates were coated with 0.5 ng/mL of either activin
RIB/ALK-4 (R&D systems 1477-AR) or Cripto antibody (R&D systems AF1538) in PBS
(pH 7.5) overnight at 4 ◦C. After being washed three times, unbinding sites were blocked
with 1% PBS-BSA for 2 h at room temperature (RT). The plates were then washed three
times and Cripto samples were added (300 µg) and incubated for 2 h. The plates were
incubated with 0.5 µg/mL His-tag biotinylated antibodies (R&D systems BAM 050) in
PBS-Tween for 1 h at 37 ◦C and then for 1 h at RT. Finally, the plates were incubated for 1 h
at RT with Streptavidin-HRP complex conjugated with HRP (R&D systems DY998). The
plates were then developed with tetramethylbenzidine hydrogen peroxide substrate (R&D
systems DY999), and absorbance was read at 450 nm on a Benchmark microplate reader
(Bio-Rad Laboratories). 4.7. Cripto Purification, Quantification, and Detection Relative binding levels were determined by dividing the amount
of Cripto that was bound to the activin RIB/ALK-4 antibody by the amount of Cripto that
was bound to the Cripto antibody. 4.8. BrdU Incorporation Cell Proliferation Assay A cell proliferation assay was used to measure the bioactivity of the recombinantly
expressed Cripto, as has been more fully described elsewhere [51]. This assay was specially
used to compare quantitative cell proliferation in the presence of Cripto produced using
the PF microcarriers (Cripto(3D)) and that of commercially available Cripto purchased
from R&D systems (Cripto(R&D)). Briefly, C2C12 skeletal muscle myoblasts were seeded
on 96-well plates (104 cells/well) in growth medium for 4 h. The growth medium was
then replaced with starvation medium (DMEM, 0.5% FBS, 1% pen/strep) and incubated
overnight in order to synchronize the mitotic cycle of the C2C12 cells. At the onset of
the proliferation assay, the starvation medium was supplemented with either 500 ng/mL
Cripto(3D) or Cripto(R&D). Two additional control groups were evaluated, including cells
grown in starvation medium supplemented with basic FGF, as a positive control, and
cells grown only in starvation medium, which was used as a negative control. For the
dose–response assay, cells were treated with starvation medium containing either Cripto(3D)
or Cripto(R&D) at increasing concentrations from 5 to 500 ng/mL. Cell proliferation was
quantified using a BrdU Cell Proliferation Assay kit (Cell Signaling, 6813) according to the
manufacturer’s instructions. 4.10. Muscle Satellite Cell Differentiation Assay Muscle satellite cells were isolated from 6 muscles of adult mice according to published
protocols [76,77]. The cells were plated at 1.9 × 104 cells/well in 24-well gelatin-coated
cell culture plates in BIO-AMF-2 medium (Biological Industries Ltd.). After 72 h, the
medium was replaced with low-activation medium (DMEM/F12, 10% horse serum (HS),
1% pen/strep) and the cells were subjected to one of three different treatments: 500 ng/mL
Cripto(3D), 500 ng/mL Cripto(R&D), or the control (low-activation medium only). The cells
were incubated for 24 h, 72 h, and 7 days, fixed in 4% paraformaldehyde, and stained
with DAPI, MyoG, and MyHC. All cells were imaged using a Zeiss LSM 700 confocal
microscope (Carl Zeiss, Oberkochen, Germany). The percentage of MyoG-positive cells
and MyHC-positive cells, as well as the fusion index, was measured and analyzed using
Image-J software version 1.530. 4.9. Ki67 Immunostaining Proliferation Assay A Ki67 immunoassay was used to quantify cell proliferation in the presence of recom-
binantly expressed Cripto. Briefly, C2C12 cell viability was first quantified by staining cells
with trypan blue (Biological Industries, Haemek, Israel) and measuring viability with an
automated cell counter (Countess® Invitrogen). The C2C12 myoblasts were then seeded on
24-well plates (3 × 104 cells/well) and treated with starvation medium supplemented with Gels 2023, 9, 243 20 of 24 either 500 ng/mL Cripto(3D) or Cripto(R&D). The positive control group included C2C12
cells grown in starvation medium supplemented with basic FGF, and the negative control
group included C2C12 cells grown in starvation medium only. After 42 h in culture, the
cells were fixed with 4% paraformaldehyde and permeabilized with 1% Triton X-100 in PBS. Cells were blocked in 5% BSA in PBS and incubated with rabbit polyclonal Ki-67 antibody
(1:40, Abcam 15580) at 4 ◦C overnight. Subsequently, cells were incubated with donkey
anti-rabbit AlexaFluor 555 (1:400; Invitrogen) and DAPI (1:1000; Invitrogen) at room tem-
perature for 1 h. Finally, cells were mounted in mounting medium and visualized under a
Zeiss LSM 700 confocal microscope (Carl Zeiss, Oberkochen, Germany). Bright field images
were acquired using an inverted fluorescence microscope (Nikon Eclipse TS100, Nikon,
Tokyo, Japan), a digital camera (Digital Sight, Nikon, Japan), and Nikon Nis-Elements F3.00
software (Nikon, Japan). 4.11. Stability and Functionality of Cripto over Time The stability and bioactivity of the Cripto(3D) protein, taken from batches that were
produced at different time points, was determined using SDS-PAGE and Coomassie blue
staining, as well as ELISA assays. Briefly, samples of Cripto(3D) that were stored for up to
6 years at −80 ◦C were loaded into NuPAGE Tris-base 10% gels (Life Technologies, Aus-
tralia) at a loading concentration of 5µg protein per band, and SDS-PAGE was performed
following the manufacturer’s protocol. The effect of shelf life on Cripto functionality
was determined using an ELISA bioactivity kit (R&D systems, DuoSet) according to the
manufacturer’s protocol, as described in detail above. Author Contributions: Conceptualization, R.L., Y.L. and D.S.; methodology, R.L., O.B.-A., Y.L., O.G.,
G.M. and D.S.; software, R.L.; validation, R.L., O.B.-A. and Y.L.; formal analysis, R.L. and Y.L.;
investigation, R.L., O.B.-A., Y.L., O.G., G.M. and D.S.; resources, G.M. and D.S.; data curation, R.L. 4.12. Statistical Analysis 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. 4.12. Statistical Analysis All data were obtained from at least three independent experiments (n ≥3) and
expressed as mean ± standard deviation (S.D.). Statistical analysis was performed using the
un-paired Student’s t-test. In all experiments, significance is considered as follows: * p < 0.05,
** p < 0.01, *** p < 0.001, and **** p < 0.0001. Supplementary Materials: The following supporting information can be downloaded at: https://www. mdpi.com/article/10.3390/gels9030243/s1, Figure S1: Rheological properties of the PEG-Fibrinogen
(PF) hydrogels; Figure S2: Representative data from cell viability analysis using the Trypan blue exclu-
sion assay; Figure S3: Representative data from cell viability analysis using the Propidium Iodide (PI)
assay; Figure S4: Representative data from the Propidium Iodide (PI) assay; Figure S5: Representative
confocal images of live/dead staining of microcarriers shown at high magnification.; Figure S6: Rep-
resentative confocal image stacks of f-actin-stained colonies in the PF microcarriers shown at high
magnification; Figure S7: Stability and bioactivity of recombinant Cripto produced in 3D microcarriers
following long term storage. Author Contributions: Conceptualization, R.L., Y.L. and D.S.; methodology, R.L., O.B.-A., Y.L., O.G.,
G.M. and D.S.; software, R.L.; validation, R.L., O.B.-A. and Y.L.; formal analysis, R.L. and Y.L.;
investigation, R.L., O.B.-A., Y.L., O.G., G.M. and D.S.; resources, G.M. and D.S.; data curation, R.L. Gels 2023, 9, 243 21 of 24 21 of 24 and Y.L.; writing—original draft preparation, R.L. and D.S.; writing—review and editing, R.L., G.M. and D.S.; supervision, G.M. and D.S.; funding acquisition, D.S. All authors have read and agreed to
the published version of the manuscript. and Y.L.; writing—original draft preparation, R.L. and D.S.; writing—review and editing, R.L., G.M. and D.S.; supervision, G.M. and D.S.; funding acquisition, D.S. All authors have read and agreed to
the published version of the manuscript. Funding: This research received funding from the European Union’s Horizon 2020 research and inno-
vation program under the Marie Sklodowska-Curie Grant Agreement No. 860034, project “RENOIR”. This research was also partially support by the Israel Science Foundation grant no. 2130/19. Institutional Review Board Statement: Not applicable. Informed Consent Statement: Not applicable. Informed Consent Statement: Not applicable. Data Availability Statement: The data presented in this study are available on request from the
corresponding author. Acknowledgments: This research was partially supported by the Israel Science Foundation, grant no. 2130/19, and H2020 ITN Renoir (grant no. 210488358). We thank the MAE-MIUR-CRUI foundation
for the Rita Levi Montalcini Award for financial support. References 1. Zhu, M.M.; Mollet, M.; Hubert, R.S.; Kyung, Y.S.; Zhang, G.G. Industrial Production of Therapeutic Proteins: Cell Lines, Cell
Culture, and Purification. In Handbook of Industrial Chemistry and Biotechnology; Springer: Cham, Switzerland, 2017; pp. 1639–1669. [CrossRef] 2. Dimitrov, D.S. Therapeutic Proteins. Methods Mol. Biol. 2012, 899, 1–26. [PubMed] 3. Dingermann, T. Recombinant Therapeutic Proteins: Production Platforms and Challenges. Biotechnol. J. 2008, 3, 90–97. [CrossRef]
[PubMed] 4. Kerkar, K.; Tiwari, M.; Tiwari, D.K.; Kerkar, S. Industrial Scale Production of Important Therapeutic Proteins Using Bacterial
Expression System. In Microbial Products of Health, Environment and Agriculture; Springer: Cham, Switzerland, 2021; pp. 183–202. [CrossRef] 5. Minchiotti, G.; Manco, G.; Parisi, S.; Lago, C.T.; Rosa, F.; Persico, M.G. Structure-Function Analysis of the EGF-CFC Family
Member Cripto Identifies Residues Essential for Nodal Signalling. Development 2001, 128, 4501–4510. [CrossRef] 6. Lubiniecki, A.S. Pharmaceutical Applications of Recombinant DNA-Modified Mammalian Cells. Dev. Ind. Microbiol. 1987,
28, 133–138. 7. Bebbington, C.; Hentschel, C. The Expression of Recombinant DNA Products in Mammalian Cells. Trends Biotechnol. 1985,
3, 314–317. [CrossRef] 8. Genzel, Y. Designing Cell Lines for Viral Vaccine Production: Where do We Stand? Biotechnol. J. 2015, 10, 728–740. [CrossRef]
9. Chen, X.Y.; Chen, J.Y.; Tong, X.M.; Mei, J.G.; Chen, Y.F.; Mou, X.Z. Recent Advances in the Use of Microcarriers for Cell Cultures
and Their Ex Vivo and In Vivo Applications. Biotechnol. Lett. 2020, 42, 1–10. [CrossRef] 9. Chen, X.Y.; Chen, J.Y.; Tong, X.M.; Mei, J.G.; Chen, Y.F.; Mou, X.Z. Recent Advances in the Use of Microcarriers for Cell Cultures
and Their Ex Vivo and In Vivo Applications. Biotechnol. Lett. 2020, 42, 1–10. [CrossRef] 10. Barrett, P.N.; Terpening, S.J.; Snow, D.; Cobb, R.R.; Kistner, O. Vero Cell Technology for Rapid Development of Inactivated Whole
Virus Vaccines for Emerging Viral Diseases. Expert Rev. Vaccines 2017, 16, 883–894. [CrossRef] 11. Hu, X.; Xiao, C.; Huang, Z.; Guo, Z.; Zhang, Z.; Li, Z. Pilot Production of U-PA with Porous Microcarrier Cell Culture. Cytotechnology 2000, 33, 13–19. [CrossRef] 12. Kumar, A.; Goel, A.S.; Payne, J.K.; Evans, C.; Mikolajczyk, S.D.; Kuus-Reichel, K.; Saedi, M.S. Large-Scale Propagation of
Recombinant Adherent Cells That Secrete a Stable Form of Human Glandular Kallikrein, hK2. Protein Expr. Purif. 1999, 15, 62–68. [CrossRef] 13. Chu, L.; Blumentals, I.; Maheshwari, G. Production of Recombinant Therapeutic Proteins by Mammalian Cells in Suspension
Culture. Methods Mol. Biol. 2005, 308, 107–121. [PubMed] 14. Leong, W.; Wang, D.A. Cell-laden Polymeric Microspheres for Biomedical Applications. References Trends Biot
[CrossRef] g, D.A. Cell-laden Polymeric Microspheres for Biomedical Applications. Trends Biotechnol. 2015, 33, 653– 15. Tavassoli, H.; Alhosseini, S.N.; Tay, A.; Chan, P.P.Y.; Weng Oh, S.K.; Warkiani, M.E. Large-Scale Production of Stem Cells Utilizing
Microcarriers: A Biomaterials Engineering Perspective from Academic Research to Commercialized Products. Biomaterials 2018,
181, 333–346. [CrossRef] [PubMed] 16. YekrangSafakar, A.; Acun, A.; Choi, J.W.; Song, E.; Zorlutuna, P.; Park, K. Hollow Microcarriers for L
Anchorage-Dependent Cells in a Stirred Bioreactor. Biotechnol. Bioeng. 2018, 115, 1717–1728. [CrossRef g
g
g
p
Anchorage-Dependent Cells in a Stirred Bioreactor. Biotechnol. Bioeng. 2018, 115, 1717–1728. [CrossRef]
17. Tibbitt, M.W.; Anseth, K.S. Hydrogels as Extracellular Matrix Mimics for 3D Cell Culture. Biotechnol. Bioeng. 2009, 103, 655–663. [CrossRef] [PubMed] g
p
g
17. Tibbitt, M.W.; Anseth, K.S. Hydrogels as Extracellular Matrix Mimics for 3D Cell Culture. Biotechnol. Bioeng. 2009, 103, 655–663. [CrossRef] [PubMed] [
] [
]
18. Ruedinger, F.; Lavrentieva, A.; Blume, C.; Pepelanova, I.; Scheper, T. Hydrogels for 3D Mammalian Cell Culture: A Starting Guide
for Laboratory Practice. Appl. Microbiol. Biotechnol. 2014, 99, 623–636. [CrossRef] y
pp
19. Liu, X.; Tang, T.C.; Tham, E.; Yuk, H.; Lin, S.; Lu, T.K.; Zhao, X. Stretchable Living Materials and Devices with Hydrogel-Elastomer
Hybrids Hosting Programmed Cells. Proc. Natl. Acad. Sci. USA 2017, 114, 2200–2205. [CrossRef] 22 of 24 Gels 2023, 9, 243 20. Goldshmid, R.; Mironi-Harpaz, I.; Shachaf, Y.; Seliktar, D. A Method for Preparation of Hydrogel Microcapsules for Stem Cell
Bioprocessing and Stem Cell Therapy. Methods 2015, 84, 35–43. [CrossRef] p
g
py
21. Cohen, N.; Toister, E.; Lati, Y.; Girshengorn, M.; Levin, L.; Silberstein, L.; Seliktar, D.; Epstein, E. Cell Encapsulation Utilizing PEG-
Fibrinogen Hydrogel Supports Viability and Enhances Productivity under Stress Conditions. Cytotechnology 2018, 70, 1075–1083. [CrossRef] 22. Franco, C.L.; Price, J.; West, J.L. Development and Optimization of a Dual-Photoinitiator, Emulsion-Based Technique for Rapid
Generation of Cell-Laden Hydrogel Microspheres. Acta Biomater. 2011, 7, 3267–3276. [CrossRef] y
g
p
, ,
[
]
23. Zoratto, N.; Montanari, E.; Viola, M.; Wang, J.; Coviello, T.; Di Meo, C.; Matricardi, P. Strategies to Load Therapeutics into y
g
p
23. Zoratto, N.; Montanari, E.; Viola, M.; Wang, J.; Coviello, T.; Di Meo, C.; Matricardi, P. Strategies to Load Therapeutics into
P l
h
id
B
d N
l
ith
F
Mi
flidi
A R
i
C
b h d
P l
2021 266 118119 [C
R f] y
g
p
23. References Influence of Microenvironment on Mesenchymal Stem Cell Therapeutic Pote
ture to Microcarriers. Front. Bioeng. Biotechnol. 2020, 8, 640. [CrossRef] 30. Alves, P.M.; Moreira, J.L.; Rodrigues, J.M.; Aunins, J.G.; Carrondo, M.J.T. Two-Dimensional Versus Three-Dimensional Culture
Systems: Effects on Growth and Productivity of BHK Cells. Biotechnol. Bioeng. 1996, 52, 429–432. [CrossRef] y
y
g
31. Skardal, A.; Sarker, S.F.; Crabbé, A.; Nickerson, C.A.; Prestwich, G.D. The Generation of 3-D Tissue Models Based on Hyaluronan
Hydrogel-Coated Microcarriers within a Rotating Wall Vessel Bioreactor. Biomaterials 2010, 31, 8426–8435. [CrossRef] [PubMed] Hydrogel-Coated Microcarriers within a Rotating Wall Vessel Bioreactor. Biomaterials 2010, 31, 8426–8435. [CrossRef] [PubMed]
32. Abranches, E.; Bekman, E.; Henrique, D.; Cabral, J.M.S. Expansion of Mouse Embryonic Stem Cells on Microcarriers. Biotechnol. Bioeng. 2007, 96, 1211–1221. [CrossRef] 32. Abranches, E.; Bekman, E.; Henrique, D.; Cabral, J.M.S. Expansion of Mouse Embryonic Stem Cells on Microcarriers. Biotechnol. Bioeng. 2007, 96, 1211–1221. [CrossRef] 33. Goldshmid, R.; Seliktar, D. Hydrogel Modulus Affects Proliferation Rate and Pluripotency of Human Mesenchymal Stem Cells
Grown in Three-Dimensional Culture. ACS Biomater. Sci. Eng. 2017, 3, 3433–3446. [CrossRef] 34. Alfred, R.; Radford, J.; Fan, J.; Boon, K.; Krawetz, R.; Rancourt, D.; Kallos, M.S. Efficient Suspens 34. Alfred, R.; Radford, J.; Fan, J.; Boon, K.; Krawetz, R.; Rancourt, D.; Kallos, M.S. Efficient Suspension Bioreactor Expansion of
Murine Embryonic Stem Cells on Microcarriers in Serum-Free Medium. Biotechnol. Prog. 2011, 27, 811–823. [CrossRef] [PubMed]
35. Badenes, S.M.; Fernandes, T.G.; Rodrigues, C.A.V.; Diogo, M.M.; Cabral, J.M.S. Microcarrier-Based Platforms for In Vitro
Expansion and Differentiation of Human Pluripotent Stem Cells in Bioreactor Culture Systems. J. Biotechnol. 2016, 234, 71–82. [CrossRef] 36. Wang, J.; Yu, Y.; Guo, J.; Lu, W.; Wei, Q.; Zhao, Y. The Construction and Application of Three-Dimensional Biomaterials. Adv. Biosyst. 2020, 4, e1900238. [CrossRef] [PubMed] 37. Song, S.H.; Lee, J.H.; Yoon, J.; Park, W. Functional Microparticle R&D for IVD and Cell Therapeutic
Commercialized Products. Biochip J. 2019, 13, 95–104. .; Yoon, J.; Park, W. Functional Microparticle R&D for IVD and Cell Therapeutic Technology: Large-Scale
oducts. Biochip J. 2019, 13, 95–104. 38. Peppas, N.A.; Hilt, J.Z.; Khademhosseini, A.; Langer, R. Hydrogels in Biology and Medicine: From Molecular Principles to
Bionanotechnology. Adv. Mater. 2006, 18, 1345–1360. [CrossRef] gy
39. Annabi, N.; Tamayol, A.; Uquillas, J.A.; Akbari, M.; Bertassoni, L.E.; Cha, C.; Camci-Unal, G.; Dokmeci, M.R.; Peppas, N.A.;
Khademhosseini, A. 25th Anniversary Article: Rational Design and Applications of Hydrogels in Regenerative Medicine. Adv. Mater. 2014, 26, 85–124. References Zoratto, N.; Montanari, E.; Viola, M.; Wang, J.; Coviello, T.; Di Meo, C.; Matricardi, P. Strategies to Load Therapeutics into
Polysaccharide-Based Nanogels with a Focus on Microfluidics: A Review. Carbohydr. Polym. 2021, 266, 118119. [CrossRef] 23. Zoratto, N.; Montanari, E.; Viola, M.; Wang, J.; Coviello, T.; Di Meo, C.; Matricardi, P. Strategies to
Polysaccharide-Based Nanogels with a Focus on Microfluidics: A Review. Carbohydr. Polym. 2021, 266, Polysaccharide-Based Nanogels with a Focus on Microfluidics: A Review. Carbohydr. Polym. 2021, 266, 118119. [CrossRef]
24. Hamami, R.; Simaan-Yameen, H.; Gargioli, C.; Seliktar, D. Comparison of Four Different Preparation Methods for Making
I j
bl Mi
l f
Ti
E
i
i
d C ll Th
R
E
T
l M d 2022 8 615 629 [C
R f] y
g
y
y
24. Hamami, R.; Simaan-Yameen, H.; Gargioli, C.; Seliktar, D. Comparison of Four Different Preparation Methods for Making
Injectable Microgels for Tissue Engineering and Cell Therapy. Regen. Eng. Transl. Med. 2022, 8, 615–629. [CrossRef] g
p
p
crogels for Tissue Engineering and Cell Therapy. Regen. Eng. Transl. Med. 2022, 8, 615–629. [CrossRef] j
g
g
g
py
g
g
, ,
[
]
25. Song, W.; Lima, A.C.; Mano, J.F. Bioinspired Methodology to Fabricate Hydrogel Spheres for Multi-Applications Using Superhy-
drophobic Substrates. Soft Matter 2010, 6, 5868–5871. [CrossRef] p
f
26. Oliveira, M.B.; Kossover, O.; Mano, J.F.; Seliktar, D. Injectable PEGylated Fibrinogen Cell-Laden Microparticles Made with a
Continuous Solvent- and Oil-Free Preparation Method. Acta Biomater. 2015, 13, 78–87. [CrossRef] p
27. Wang, T.; Lacík, I.; Brissová, M.; Anilkumar, A.V.; Prokop, A.; Hunkele, D.; Green, R.; Snahrok
Encapsulation System for the Immunoisolation of Pancreatic Islets. Nat. Biotechnol. 1997, 15, 358–362. 27. Wang, T.; Lacík, I.; Brissová, M.; Anilkumar, A.V.; Prokop, A.; Hunkele, D.; Green, R.; Snahrokhi, K.; Powers, A.C. An
Encapsulation System for the Immunoisolation of Pancreatic Islets. Nat. Biotechnol. 1997, 15, 358–362. [CrossRef] [PubMed]
28. Heathman, T.R.J.; Stolzing, A.; Fabian, C.; Rafiq, Q.A.; Coopman, K.; Nienow, A.W.; Kara, B.; Hewitt, C.J. Scalability and
Process Transfer of Mesenchymal Stromal Cell Production from Monolayer to Microcarrier Culture Using Human Platelet Lysate. Cytotherapy 2016, 18, 523–535. [CrossRef] y
py
29. Tsai, A.C.; Jeske, R.; Chen, X.; Yuan, X.; Li, Y. Influence of Microenvironment on Mesenchymal Ste
From Planar Culture to Microcarriers. Front. Bioeng. Biotechnol. 2020, 8, 640. [CrossRef] R.; Chen, X.; Yuan, X.; Li, Y. References Sharma, R.; Harrison, S.T.L.; Tai, S.L. Advances in Bioreactor Systems for the Production of Biologicals in Mammalian Cells. ChemBioEng Rev. 2022, 9, 42–62. [CrossRef] g
55. Prezioso, C.; Iaconis, S.; Andolfi, G.; Zentilin, L.; Iavarone, F.; Guardiola, O.; Minchiotti, G. Conditio
Satellite Cells Promotes Myogenic Commitment and Enhances Early Regeneration. Front. Cell Dev. ezioso, C.; Iaconis, S.; Andolfi, G.; Zentilin, L.; Iavarone, F.; Guardiola, O.; Minchiotti, G. Conditional Cripto 55. Prezioso, C.; Iaconis, S.; Andolfi, G.; Zentilin, L.; Iavarone, F.; Guardiola, O.; Minchiotti, G. Conditional Cripto Overexpression in
Satellite Cells Promotes Myogenic Commitment and Enhances Early Regeneration. Front. Cell Dev. Biol. 2015, 3, 31. [CrossRef]
56. Iavarone, F.; Guardiola, O.; Scagliola, A.; Andolfi, G.; Esposito, F.; Serrano, A.; Perdiguero, E.; Brunelli, S.; Muñoz-Cánoves, P.;
Minchiotti, G. Cripto Shapes Macrophage Plasticity and Restricts EndMT in Injured and Diseased Skeletal Muscle. EMBO Rep. 2020, 21, e49075. [CrossRef] y g
y
g
, ,
[
]
56. Iavarone, F.; Guardiola, O.; Scagliola, A.; Andolfi, G.; Esposito, F.; Serrano, A.; Perdiguero, E.; Brunelli, S.; Muñoz-Cánoves, P.;
Minchiotti, G. Cripto Shapes Macrophage Plasticity and Restricts EndMT in Injured and Diseased Skeletal Muscle. EMBO Rep. 2020, 21, e49075. [CrossRef] .N.; Li, Y. Engineering Stem Cell Fate with Biochemical and Biomechanical Properties of Microcarriers
3, 29, 1354–1366. [CrossRef] [PubMed] 57. Sart, S.; Agathos, S.N.; Li, Y. Engineering Stem Cell Fate with Biochemical and Biomechanical Pro
Biotechnol. Prog. 2013, 29, 1354–1366. [CrossRef] [PubMed] 58. Yom-Tov, O.; Seliktar, D.; Bianco-Peled, H. A Modified Emulsion Gelation Technique to Improve Buoyancy of Hydrogel Tablets
for Floating Drug Delivery Systems. Mater. Sci. Eng. C 2015, 55, 335–342. [CrossRef] g
g
y y
g
59. Yom-Tov, O.; Neufeld, L.; Seliktar, D.; Bianco-Peled, H. A Novel Design of Injectable Porous Hydrogels with In Situ Pore
Formation. Acta Biomater. 2014, 10, 4236–4246. [CrossRef] 60. Bryant, S.J.; Nuttelman, C.R.; Anseth, K.S. Cytocompatibility of UV and Visible Light Photoinitiating Systems on Cultured
NIH/3T3 Fibroblasts In Vitro. J. Biomater. Sci. Polym. Ed. 2012, 11, 439–457. [CrossRef] 61. Yosef, A.; Kossover, O.; Mironi-Harpaz, I.; Mauretti, A.; Melino, S.; Mizrahi, J.; Seliktar, D. Fibrinogen-Based Hydrogel Modulus
and Ligand Density Effects on Cell Morphogenesis in Two-Dimensional and Three-Dimensional Cell Cultures. Adv. Healthc. Mater. 2019, 8, 1801436. [CrossRef] 62. Dikovsky, D.; Bianco-Peled, H.; Seliktar, D. Defining the Role of Matrix Compliance and Proteolysis in Three-Dimensional Cell
Spreading and Remodeling. Biophys. J. 2008, 94, 2914–2925. [CrossRef] 63. References [CrossRef] [
]
40. Seliktar, D. Designing Cell-Compatible Hydrogels for Biomedical Applications. Science 2012, 336, 1124–1128. [CrossRef] gning Cell-Compatible Hydrogels for Biomedical Applications. Science 2012, 336, 1124–1128. [CrossRef] 40. Seliktar, D. Designing Cell-Compatible Hydrogels for Biomedical Applications. Science 2012, 336, 1124 41. Robb, K.P.; Fitzgerald, J.C.; Barry, F.; Viswanathan, S. Mesenchymal Stromal Cell Therapy: Progress in Manufacturing and
Assessments of Potency. Cytotherapy 2019, 21, 289–306. [CrossRef] 42. Almany, L.; Seliktar, D. Biosynthetic Hydrogel Scaffolds Made from Fibrinogen and Polyethylene Glycol for 3D Cell Cultures. Biomaterials 2005, 26, 2467–2477. [CrossRef] Wang, D.Y.; Venkatraman, S.; Seliktar, D. Photopolymerization of Cell-Encapsulating Hydrogels: Crosslinking
ytotoxicity. Acta Biomater. 2012, 8, 1838–1848. [CrossRef] [PubMed] 43. Mironi-Harpaz, I.; Wang, D.Y.; Venkatraman, S.; Seliktar, D. Photopolymerization of Cell-Encapsula
Efficiency Versus Cytotoxicity. Acta Biomater. 2012, 8, 1838–1848. [CrossRef] [PubMed] 44. Dikovsky, D.; Bianco-Peled, H.; Seliktar, D. The Effect of Structural Alterations of PEG-Fibrinogen Hydrogel Scaffolds on 3-D
Cellular Morphology and Cellular Migration. Biomaterials 2006, 27, 1496–1506. [CrossRef] [PubMed] p
gy
g
45. Frisman, I.; Seliktar, D.; Bianco-Peled, H. Nanostructuring PEG-Fibrinogen Hydrogels to Control Cellular Morphogenesis. Biomaterials 2011, 32, 7839–7846. [CrossRef] 46. Zeng, Q.; Gao, Y.; Zhou, Y. Understanding the Role of Cripto-1 in Cancer Progression and Therapeutic Strategies. Clin. Transl. Oncol. 2022, 1–10. [CrossRef] 47. Strizzi, L.; Bianco, C.; Normanno, N.; Salomon, D. Cripto-1: A Multifunctional Modulator During Embryogenesis and Oncogenesis. Oncogene 2005, 24, 5731–5741. [CrossRef] 23 of 24 Gels 2023, 9, 243 48. Shen, M.M.; Schier, A.F. The EGF-CFC Gene Family in Vertebrate Development. Trends Genet. 2000, 16, 303–309. [CrossRef]
[PubMed] 49. Kemaladewi, D.U.; ‘t Hoen, P.A.; ’ten Dijke, P.; van Ommen, G.J.; Hoogaars, W.M. TGF-β Signaling in Duchenne Muscular
Dystrophy. Future Neurol. 2012, 7, 209–224. [CrossRef] y
p y
50. Bianco, C.; Salomon, D.S. Targeting the Embryonic Gene Cripto-1 in Cancer and Beyond. Expert Opin. Ther. Pat. 2010,
20, 1739–1749. [CrossRef] 51. Guardiola, O.; Lafuste, P.; Brunelli, S.; Iaconis, S.; Touvier, T.; Mourikis, P.; De Bock, K.; Lonardo, E.; Andolfi, G.; Bouché, A.; et al. Cripto Regulates Skeletal Muscle Regeneration and Modulates Satellite Cell Determination by Antagonizing Myostatin. Proc. Natl. Acad. Sci. USA 2012, 109, E3231–E3240. [CrossRef] [PubMed] 52. Wurm, F.M. Production of Recombinant Protein Therapeutics in Cultivated Mammalian Cells. Nat. Biotechnol. 2004, 22, 1393–1398. [CrossRef] 53. Ahmed, S.; Chauhan, V.M.; Ghaemmaghami, A.M.; Aylott, J.W. New Generation of Bioreactors that Advance Extracellular Matrix
Modelling and Tissue Engineering. Biotechnol. Lett. 2019, 41, 1–25. [CrossRef] [PubMed] 54. References Loubière, C.; Delafosse, A.; Guedon, E.; Toye, D.; Chevalot, I.; Olmos, E. Optimization of the Impeller Design for Mesenchymal
Stem Cell Culture on Microcarriers in Bioreactors. Chem. Eng. Technol. 2019, 42, 1702–1708. [CrossRef] 64. Cermola, F.; D’Aniello, C.; Tatè, R.; De Cesare, D.; Martinez-Arias, A.; Minchiotti, G.; Patriarca, E.J. Gastruloid Development
Competence Discriminates Different States of Pluripotency. Stem Cell Rep. 2021, 16, 354–369. [CrossRef] [PubMed] 65. Afify, S.M.; Hassan, G.; Nawara, H.M.; Zahra, M.H.; Xu, Y.; Alam, M.J.; Saitoh, K.; Mansour, H.; Abu Quora, H.A.; Sheta, M.; et al. Optimization of Production and Characterization of a Recombinant Soluble Human Cripto-1 Protein Inhibiting Self-Renewal of
Cancer Stem Cells. J. Cell. Biochem. 2022, 123, 1183–1196. [CrossRef] [PubMed] 66. Vinther, L.; Lademann, U.; Andersen, E.V.; Højrup, P.; Thaysen-Andersen, M.; Krogh, B.O.; Viuff, B.; Brünner, N.; Sten-
vang, J.; Moreira, J.M.A. Purification and Characterization of Bioactive His6-Tagged Recombinant Human Tissue Inhibitor of
Metalloproteinases-1 (TIMP-1) Protein Expressed at High Yields in Mammalian Cells. Protein Expr. Purif. 2014, 101, 157–164. [CrossRef] 67. Seno, M.; Desantis, M.; Kannan, S.; Bianco, C.; Tada, H.; Kim, N.; Kosaka, M.; Gullick, W.J.; Yamada, H.; Salomon, D.S. Purification
and Characterization of a Recombinant Human Cripto-1 Protein. Growth Factors 1998, 15, 215–229. [CrossRef]
68
Mi
hi
i G P
i i S Li
i G Si
M L
i
G Ad
E D L
C T P
i
M G M
b
A
h 67. Seno, M.; Desantis, M.; Kannan, S.; Bianco, C.; Tada, H.; Kim, N.; Kosaka, M.; Gullick, W.J.; Yamada, H
and Characterization of a Recombinant Human Cripto-1 Protein. Growth Factors 1998, 15, 215–229. 68. Minchiotti, G.; Parisi, S.; Liguori, G.; Signore, M.; Lania, G.; Adamson, E.D.; Lago, C.T.; Persico, M.G. Membrane-Anchorage
of Cripto Protein by Glycosylphosphatidylinositol and Its Distribution during Early Mouse Development. Mech. Dev. 2000,
90, 133–142. [CrossRef] vastava, A. Recent Developments in Bioprocessing of Recombinant Proteins: Expression Hosts and Process
. Bioeng. Biotechnol. 2019, 7, 420. [CrossRef] 69. Tripathi, N.K.; Shrivastava, A. Recent Developments in Bioprocessing of Recombinant Proteins: Expr
Development. Front. Bioeng. Biotechnol. 2019, 7, 420. [CrossRef] 70. Bianco, C.; Adkins, H.B.; Wechselberger, C.; Seno, M.; Normanno, N.; De Luca, A.; Sun, Y.; Khan, N.; Kenney, N.; Ebert, A.; et al. Cripto-1 Activates Nodal- and ALK4-Dependent and -Independent Signaling Pathways in Mammary Epithelial Cells. Mol. Cell. Biol. 2002, 22, 2586–2597. [CrossRef] 71. Frokjaer, S.; Otzen, D.E. Protein Drug Stability: A Formulation Challenge. Nat. Rev. Drug Discov. Disclaimer/Publisher’s Note: The statements, opinions and data contained in all publications are solely those of the individual
author(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to
people or property resulting from any ideas, methods, instructions or products referred to in the content. g
g J
g
77.
Beckerman, M.; Harel, C.; Michael, I.; Klip, A.; Bilan, P.J.; Gallagher, E.J.; LeRoith, D.; Lewis, E.C.; Karnieli, E.; Levenberg, S.
GLUT4-Overexpressing Engineered Muscle Constructs as a Therapeutic Platform to Normalize Glycemia in Diabetic Mice. Sci.
Adv. 2021, 7, eabg3947. [CrossRef] [PubMed] 74.
Casalino, L.; Comes, S.; Lambazzi, G.; De Stefano, B.; Filosa, S.; De Falco, S.; De Cesare, D.; Minchiotti, G.; Patriarca, E.J. Control
of Embryonic Stem Cell Metastability by L-Proline Catabolism. J. Mol. Cell Biol. 2011, 3, 108–122. [CrossRef] [PubMed] y
y
y
75.
Nunez, R. DNA Measurement and Cell Cycle Analysis by Flow Cytometry. Curr. Issues Mol. Biol. 2001, 3, 67–70. [PubMed] 75.
Nunez, R. DNA Measurement and Cell Cycle Analysis by Flow Cytometry. Curr. Issues Mol. Biol. 2001, 3, 67–70. [PubMed]
76.
Syverud, B.C.; Lee, J.D.; VanDusen, K.W.; Larkin, L.M. Isolation and Purification of Satellite Cells for Skeletal Muscle Tissue 75.
Nunez, R. DNA Measurement and Cell Cycle Analysis by Flow Cytometry. Curr. Issues Mol. Biol. 2001
76.
Syverud, B.C.; Lee, J.D.; VanDusen, K.W.; Larkin, L.M. Isolation and Purification of Satellite Cells fo
Engineering. J. Regen. Med. 2014, 3, 117. y
y
J
, ,
[
] [
]
Measurement and Cell Cycle Analysis by Flow Cytometry. Curr. Issues Mol. Biol. 2001, 3, 67–70. [PubMed] y
y
y
y
y
, ,
[
]
J.D.; VanDusen, K.W.; Larkin, L.M. Isolation and Purification of Satellite Cells for Skeletal Muscle Tissue
n. Med. 2014, 3, 117. References 2005, n, D.E. Protein Drug Stability: A Formulation Challenge. Nat. Rev. Drug Discov. 2005, 4, 298–306. [CrossRef 71. Frokjaer, S.; Otzen, D.E. Protein Drug Stability: A Formulation Challenge. Nat. Rev. Drug Discov. 2005, 4, 298–306. [CrossRef]
72. Vicente, T.; Roldão, A.; Peixoto, C.; Carrondo, M.J.T.; Alves, P.M. Large-Scale Production and Purification of VLP-Based Vaccines. J. Invertebr. Pathol. 2011, 107, S42–S48. [CrossRef] [PubMed] 72. Vicente, T.; Roldão, A.; Peixoto, C.; Carrondo, M.J.T.; Alves, P.M. Large-Scale Production and Purification of VLP-Based Vaccines. J. Invertebr. Pathol. 2011, 107, S42–S48. [CrossRef] [PubMed] 73. Gonen-Wadmany, M.; Oss-Ronen, L.; Seliktar, D. Protein–Polymer Conjugates for Forming Photopolymerizable Biomimetic
Hydrogels for Tissue Engineering. Biomaterials 2007, 28, 3876–3886. [CrossRef] 24 of 24 Gels 2023, 9, 243 24 of 24 Disclaimer/Publisher’s Note: The statements, opinions and data contained in all publications are solely those of the individual
author(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to
people or property resulting from any ideas, methods, instructions or products referred to in the content.
|
https://openalex.org/W3035341795
|
https://www.frontiersin.org/articles/10.3389/fpsyg.2020.01323/pdf
|
English
| null |
No Correlation Between Perception of Meaning and Positive Schizotypy in a Female College Sample
|
Frontiers in psychology
| 2,020
|
cc-by
| 7,321
|
No Correlation Between Perception
of Meaning and Positive Schizotypy
in a Female College Sample 1 Graduate School of Humanities and Sciences, Ochanomizu University, Tokyo, Japan, 2 Institute for Education and Human
Development, Ochanomizu University, Tokyo, Japan We visually perceive meaning from stimuli in the external world. There are inter-
individual variations in the perception of meaning. A candidate factor to explain this
variation is positive schizotypy, which is a personality analogous to positive symptoms of
schizophrenia (e.g., visual hallucination). The present study investigated the relationship
between positive schizotypy, and the perception of meaning derived from meaningful
and meaningless visual stimuli. Positive schizotypy in Japanese female undergraduates
(n = 35) was assessed by the Cognitive-Perceptual dimension of the Schizotypal
Personality Questionnaire. The participants were asked to report what they saw in noise-
degraded images of meaningful objects (Experiment 1) and to respond whether the
objects were meaningful (Experiment 2A) and which paired objects were meaningful
(Experiment 2B). Positive schizotypy (i.e., Cognitive-Perceptual score) did not correlate
with time to detect meaningful objects, and with false-alarm rates, sensitivity, and
response criterion in the perception of meaning from meaningful and meaningless
stimuli. These results were against our hypothesis and contradicted previous findings. The inconsistencies are discussed in terms of different methods (e.g., stimulus category)
and conditions (e.g., paranormal beliefs). Edited by:
Sjoerd J. H. Ebisch,
G. d’Annunzio University of Chieti
and Pescara, Italy Reviewed by:
Kirsten R. Panton,
The University of Western Australia,
Australia Reviewed by:
Kirsten R. Panton,
The University of Western Australia,
Australia
Phillip Grant,
Fresenius University of Applied
Sciences, Germany y
Australia
Phillip Grant,
Fresenius University of Applied
Sciences, Germany Phillip Grant,
Fresenius University of Applied
Sciences, Germany Keywords: vision, meaning, signal detection, personality, schizotypy, schizophrenia, apophenia *Correspondence:
Shu Imaizumi
imaizumi.shu@ocha.ac.jp INTRODUCTION Specialty section:
This article was submitted to
Cognitive Science,
a section of the journal
Frontiers in Psychology In everyday life, we discriminate between useful and useless information by perceiving or extracting
meaning from visual stimuli in the external world (Griffiths and Tenenbaum, 2007). The perception
of meaning relies on our visual system as well as stochastic neural activity (Wild and Busey,
2004), stored representations (Gosselin and Schyns, 2003), and psychological states (Balcetis and
Dunning, 2006). In addition to these intra-individual variations, there is also substantial inter-
individual variation in the perception of meaning. Paranormal belief refers to a predisposition
to believing paranormal phenomena which are physically impossible and difficult to explain
through current science (Tobacyk and Milford, 1983). People with stronger paranormal beliefs
are more likely to see something meaningful even in meaningless visual stimuli such as noise
(Krummenacher et al., 2010; Riekki et al., 2013; Simmonds-Moore, 2014). Received: 14 February 2020
Accepted: 19 May 2020
Published: 12 June 2020 Keywords: vision, meaning, signal detection, personality, schizotypy, schizophrenia, apophenia BRIEF RESEARCH REPORT
published: 12 June 2020
doi: 10.3389/fpsyg.2020.01323 BRIEF RESEARCH REPORT
published: 12 June 2020
doi: 10.3389/fpsyg.2020.01323 Citation: Tagami U and Imaizumi S (2020)
No Correlation Between Perception
of Meaning and Positive Schizotypy
in a Female College Sample. Front. Psychol. 11:1323. doi: 10.3389/fpsyg.2020.01323 The perception of meaning may also be associated with positive symptoms in schizophrenia
as characterized by, for example, visual and auditory hallucinations (Sass and Parnas, 2003) and
paranormal beliefs (Shiah et al., 2014). Indeed, positive symptoms might originate from the June 2020 | Volume 11 | Article 1323 1 Frontiers in Psychology | www.frontiersin.org Meaning Perception and Positive Schizotypy Tagami and Imaizumi stimuli are presented simultaneously, performance might be
confounded by differences in stimulus properties (e.g., luminance
distribution, shape) irrelevant to the difference in meaning. Therefore, Experiment 2A employed a modified version of
this task, where participants judged whether a stimulus (i.e., a
meaningful or meaningless object) was meaningful. Furthermore,
for comparison, Experiment 2B employed another task using
paired stimuli following Krummenacher et al. (2010). We
hypothesized that people with higher positive schizotypy would
detect a meaningful object faster in the noise-masked meaningful
stimuli and rate higher confidence on their perception in
Experiment 1. It was also hypothesized that they would find
meaning in meaningless stimuli more frequently (i.e., higher
false alarm rate), and show lower sensitivity in distinguishing
meaningful and meaningless stimuli in Experiments 2A and B. abnormal perception of meaning because people in a pre-
symptomatic stage of schizophrenia can feel that all events
and stimuli present special meaning and suggestion (Brugger,
2001). However, detailed mechanisms of perception of meaning
in patients with schizophrenia are yet to be fully understood,
perhaps because it may be difficult to perform extensive
experiments on patients due to reduced cognitive abilities,
confounding effects of medication, and/or recruiting reasons. Schizotypy, which is a psychological trait like positive and
negative symptoms of schizophrenia, varies in healthy individuals
and has been a candidate for analog study on perception
in schizophrenia (Ettinger et al., 2015). In fact, some studies
reported that positive schizotypy correlates with the perception
of meaning as in positive symptoms of schizophrenia. People
with higher positive schizotypy are more likely to perceive faces
and objects in random visual noise (Partos et al., 2016), detect
a meaningful word in non-words (Tsakanikos and Reed, 2005;
Tsakanikos, 2006), and find meaningful relationships between
unrelated events (Rominger et al., 2018). These studies suggest
that positive schizotypy correlates with a higher frequency
of false-positive responses in the perception of meaning. Citation: Findings from studies on schizotypy could also be beneficial for
understanding the positive symptoms of schizophrenia. Materials and Methods
Participants A priori power analysis using G∗Power 3.1.9.4 (Faul et al., 2009)
indicated that 34 participants were required on the assumption of
a large effect size of 0.50 for correlation, statistical power of 0.90,
and alpha of 0.05 (two-tailed). Forty Japanese female students
voluntarily participated in this experiment. Five were excluded
from the analysis; three did not complete the experiment, and two
did not follow instructions. Data gathered from the remaining 35
students (mean age of 19.3 years, SD = 0.9, range = 18–21) were
analyzed. All participants had normal or corrected-to-normal
vision and no history of neurological or psychiatric illness. This
study was approved by the ethics committee of the Graduate
School of Humanities and Sciences, Ochanomizu University. To better understand the perception of meaning in schizotypy,
we should examine whether positive schizotypy correlates not
only with frequency of false-positive perception of meaning but
also with sensitivity, latency, and confidence in the perception
of meaning. It is assumed that positive schizotypy is associated
with sensitivity in perception of meaning (e.g., Partos et al., 2016),
and perhaps also with latency, given that higher schizotypy leads
to slower reaction time in a visual attention task (Lenzenweger,
2001). However, confidence in perception of meaning could be
associated with positive schizotypy independently of sensitivity,
given that higher positive schizotypy can be associated with
higher confidence but not with false-alarm rate in visual detection
(Moritz et al., 2014) nor sensitivity in memory judgments (Corlett
et al., 2009). These findings suggest that positive schizotypy may
be associated with behavioral facets of the perception of meaning
in a different (at times contradictory) way. Frontiers in Psychology | www.frontiersin.org Stimuli and Apparatus According to Simmonds-Moore (2014), we chose 12 images of an
object on background scene (e.g., statue, castle) from a royalty-
free website1. Images were converted to grayscale. We cropped
the images so that the main object was at the center of the image
(400 × 600 pixels). Images were observed by participants from
a distance of 57 cm and subtended approximately 10.2 × 15.2
degree of visual angle. To manipulate the visibility of the object,
each image was degraded by applying 8 levels of noise filters
(70, 100, 150, 200, 250, 300, 350, and 400%, Figure 1A) built
into Adobe Photoshop CC 2019. Stimuli were presented on
a 17-inch LCD monitor (FlexScan S170, EIZO). Participants
responded using a QWERTY keyboard with their right hand. Stimulus presentation and response collection were controlled by
PsychoPy 1.90.3 (Peirce et al., 2019) running on macOS 10.14.3. Measure of Schizotypy FIGURE 1 | (A) A sample of noise-filtered images in Experiment 1. The value below each image denotes the degree of intensity of the added noise-filter. (B) Schematic of the task in Experiment 1. 7-point scale (1: “I have no confidence,” 4: “Neither,” 7: “I have
confidence”). Null response on the object identification (e.g.,
“I do not know”) was allowed. All participants performed one
trial with each stimulus in a randomized order. Between trials,
participants performed a counting backward by threes for 20 s to
prevent any carry-over from the previous trial. After the briefing,
participants performed a practice trial and then 12 main trials. In the practice trial, a new stimulus, which was not used in main
trials, was presented. note two items were excluded from calculation of α due to zero
variance). The Disorganized composite consisted of two subscales
(e.g., odd speech) which assess disorganized behavior (α = 0.846). 1https://pixabay.com Data Analysis If a stimulus presentation was over before a keypress response,
we recorded the reaction time in that trial as 80 s (median of 1
trial, with interquartile range of 0–1.5). Trials where participants
provided no answer or a “do-not-know” answer were excluded
from the analysis. One trial was excluded from each of 5
participants. For each participant, reaction time and confidence
rating scores were averaged. To test the correlation between positive schizotypy and
perception of meaning, we analyzed Pearson’s zero-order
correlation coefficients between the SPQ’s Cognitive-Perceptual
composite score, reaction time, and confidence rating. We also
reported Kendall’s rank correlation coefficients when either or
both variables were not normally distributed based on Shapiro-
Wilk test. To quantify evidence of an alternative hypothesis (i.e.,
either positive or negative correlation) and a null hypothesis (no
correlation), Bayesian correlation analyses were also performed
with stretched beta prior of 1. For example, a Bayes factor in favor
of a null hypothesis (BF01) of 3 indicates that the observation
is three times more likely to occur under the null hypothesis
than the alternative hypothesis. We interpreted BF01 larger than
3.00 as substantial evidence of null hypothesis, BF01 between 0.33
and 3.00 as insensitivity in distinguishing alternative and null Measure of Schizotypy A Japanese translation (Iijima et al., 2010) of the Schizotypal
Personality Questionnaire (SPQ; Raine, 1991) was completed
prior to the experiment. SPQ assesses schizotypal personality
based on the criteria for schizotypal personality disorder defined
in DSM-III-R. The present study employed the Cognitive-
Perceptual composite score of the SPQ (see below) as an index of
positive schizotypy, although a conceptual dissociation between
schizotypal personality and schizotypy is still debated (Grant
et al., 2018; Schultze-Lutter et al., 2019). The present study aimed to conceptually replicate and
extend previous findings showing a relationship between
positive schizotypy and false-positive perceptions of meaning,
by examining behavioral measures such as latency of detection
of something meaningful in noise-masked images, confidence
in the detection of a (false) meaning, and sensitivity in a
two-choice task (i.e., meaningful-or-meaningless response). We
employed two previous experimental paradigms. The first was
a speeded detection task, where paranormal believers showed
faster reaction time to detect a meaningful object in noise-masked
scenic images than did non-believers (Simmonds-Moore, 2014). According to the previous study, in Experiment 1, participants
immediately detected meaningful objects in noise-masked images
and rated their confidence in their response. The second was a
two-choice task where paranormal believers were more likely to
judge meaningless (scrambled) faces as meaningful when they
are presented in pairs of meaningful and meaningless stimuli
(Krummenacher et al., 2010). It is possible that if two different SPQ has 74-items and participants responded by using
a yes/no scale. Yes and no responses are coded as scores
of 1 and 0, respectively. Summed values served as subscale
scores. We calculated 3 composite scores from 9 subscales
of the SPQ according to Iijima et al. (2010): Cognitive-
Perceptual, Interpersonal, and Disorganized. The Cognitive-
Perceptual composite consisted of four subscales (e.g., ideas of
reference, unusual perceptual experiences) that assess behaviors
resembling positive symptoms in schizophrenia (Cronbach’s
α = 0.873). We regarded the score of the Cognitive-Perceptual
composite as an index of positive schizotypy. The Interpersonal
composite consisted of three subscales (e.g., constricted affect)
which assess behavior similar to negative symptoms (α = 0.771, June 2020 | Volume 11 | Article 1323 2 Meaning Perception and Positive Schizotypy Tagami and Imaizumi FIGURE 1 | (A) A sample of noise-filtered images in Experiment 1. The value below each image denotes the degree of intensity of the added noise-filter. (B) Schematic of the task in Experiment 1. Procedure At the beginning of each trial (Figure 1B), a fixation cross was
presented for 1 second, followed by a stimulus at the center
of the screen. The noise-filter level was initially at 400% and
reduced by one level every 10 s. Thus, stimuli were presented
maximally for 80 s. Participants were asked to press the space
key on a keyboard as soon as they saw something meaningful
in the stimulus. The time interval between stimulus onset and
keypress was recorded as the reaction time. After each keypress,
the participants wrote down what they saw in the stimulus and
rated their confidence on the accuracy of their response using a June 2020 | Volume 11 | Article 1323 Frontiers in Psychology | www.frontiersin.org 3 Meaning Perception and Positive Schizotypy Tagami and Imaizumi hypotheses, and BF01 smaller than 0.33 as substantial evidence
of alternative hypothesis (Dienes, 2014). rating (|r|s < 0.103, n.s., BF01s > 4.03; Table 2). Multiple
regression suggests that the Interpersonal and Disorganized
composites and age did not affect reaction time and confidence
rating (partial regression coefficients: ps > 0.231; coefficients
of
determination
summarized
in
Table
3). Importantly,
the
Cognitive-Perceptual
composite
score
did
not
show
significant effects (ps > 0.327) even when it was entered in
the model with these confounding predictors (for details,
see Supplementary Table S1). These results were against
our hypothesis positing that individuals with higher positive
schizotypy are more likely to perceive a meaningful object
and thus respond faster and be more confident in their
responses. Although we followed a paradigm of Simmonds-
Moore
(2014)
who
showed
exaggerated
perception
of
meaning
in
paranormal
believers,
our
findings
were
inconsistent with hers. The three composite scores in SPQ were correlated with each
other (rs > 0.393, ps < 0.020) due to the shared influence
of neuroticism (Gross et al., 2014). Therefore, to remove
influence of the Interpersonal and Disorganized composites
and age on the relationship between positive schizotypy and
behavioral measures, we performed multiple regression on each
measure with the three SPQ composites and age as predictor
variables. We forcibly entered the age in the first block and
the Interpersonal and Disorganized composites in the second
to check how much variance each predictor explained. The
Cognitive-Perceptual composite was entered in the final block. Variance inflation factors were 1.94 for Cognitive-Perceptual,
1.26 for Interpersonal, 1.91 for Disorganized, and 1.11 for age,
suggesting no substantial multicollinearity. Procedure Statistical analysis
was performed using JASP 0.11.1 (JASP Team, 2019), except
that multiple regression was performed using Jamovi 1.2.9
(Jamovi Project, 2020). Results and Discussion Descriptive
statistics
are
summarized
in
Table
1. The
distributions of the SPQ scores are shown in Figure 2. The
SPQ scores were compared with those found in a previous study
using the same Japanese SPQ in a larger undergraduate sample
(Iijima et al., 2010) (n = 558; 270 females, mean age of 19.4 years,
SD = 1.1). The mean total SPQ scores were 25.1 (SD = 12.0) in
Iijima et al. (2010) and 27.5 (SD = 11.4) in this study. Cohen’s d of
0.199 suggests that regarding overall schizotypal personality, the
present sample did not substantially deviate from a representative
Japanese student sample. Moreover, our Cognitive-Perceptual
composite score (mean of 9.9) may also be comparable with the
mean score (approximately 10.2) in Iijima et al. (2010), although
its SD was not reported. Thirty-five
volunteers,
whose
data
were
analyzed
in
Experiment 1, participated in this experiment. Procedure image categories were converted to an indices of sensitivity d′
and response criterion c, according to signal detection theory
(Macmillan and Creelman, 2004). Reaction time, false alarm rate,
d′ and c were tested for correlation with positive schizotypy (i.e.,
Cognitive-Perceptual composite score) and multiple regression as
in Experiment 1. This
experiment
was
carried
out
on
the
same
day
as
Experiment 1. At the beginning of the trial, a fixation cross
was presented for 750 ms followed by an image for 140 ms
(Figure 3A). Participants were asked to indicate whether the
image displayed meaningful or meaningless objects by pressing
the up or down arrow key on a keyboard. We informed
participants that they would either see an object conveying a
specific meaning or one with no specific meaning, but did not
inform them of the scrambled objects. Participants performed
one trial with 24 images in each of the three image categories
(72 trials in total) in a randomized order. After the briefing, they
performed 10 practice trials with images which had not been used
in main trials and performed 72 main trials. Results and Discussion Since behavioral measures in this experiment were not normally
distributed (Table 1), Kendall’s taus were reported. The
Cognitive-Perceptual composite score did not correlate with
reaction time, false alarm rate, d′ and c (|tau|s < 0.131,
n.s.; Table 2). However, null correlation between Cognitive-
Perceptual composite score and reaction time was inconclusive
as
suggested
by
BF01
of
2.54. The
results
of
multiple
regression suggest that Interpersonal, Disorganized, and age
(partial regression coefficients: ps > 0.092), in addition to the
Cognitive-Perceptual composite score (ps > 0.112), did not
predict any of the behavioral measures (see also Table 3 and
Supplementary Table S1). Stimuli and Apparatus Stimuli were grayscale images displaying one object without a
background. Each image subtended approximately 7.6 × 7.6
degrees (300 × 300 pixel). We generated 24 images for each of
the meaningful, scrambled, and meaningless image categories. Meaningful images displayed a meaningful object (e.g., horse,
frog, banana, tree, shoes, and car). Scrambled images depicted
scrambled versions of the objects in the meaningful images. Meaningless images displayed objects without explicit meaning
(e.g., ink blots, dirt on walls). The apparatus used was identical
to Experiment 1. Positive schizotypy (i.e., Cognitive-Perceptual composite
score) did not correlate with reaction time and confidence TABLE 1 | Descriptive statistics in three experiments (n = 35). Measures
Mean
SD
Min
Median
Max
Shapiro-Wilk (p)
SPQ
Total
27.46
11.71
2
28
54
0.999
Cognitive-Perceptual (positive schizotypy)
9.91
6.23
0
9
24
0.130
Interpersonal
9.69
3.98
1
9
17
0.633
Disorganized
7.86
3.96
0
9
15
0.343
Experiment 1
Reaction time (s)
45.20
9.96
26.45
47.45
66.70
0.367
Confidence rating
4.13
0.87
1.50
4.08
5.92
0.356
Experiment 2A
Reaction time (ms)
656
117
505
633
1110
< 0.001
False alarm rate
0.161
0.092
0.021
0.130
0.396
0.011
d′
2.72
0.68
0.11
2.85
4.07
0.002
c
−0.30
0.36
−0.73
−0.34
1.20
< 0.001
Experiment 2B
Reaction time (ms)
710
97
569
696
1054
0.001
False alarm rate
0.391
0.199
0.083
0.417
0.875
0.200
d′
1.93
0.71
0.38
1.94
3.15
0.504
c
−0.65
0.33
−1.36
−0.59
−0.01
0.837
SPQ, Schizotypal Personality Questionnaire. June 2020 | Volume 11 | Article 1323 4 Meaning Perception and Positive Schizotypy Tagami and Imaizumi FIGURE 2 | Distributions of the Schizotypal Personality Questionnaire (SPQ) scores (possible score ranges: total, 0–74; Cognitive-Perceptual, 0–33; Interpersonal,
0–25; Disorganized, 0–16). FIGURE 2 | Distributions of the Schizotypal Personality Questionnaire (SPQ) scores (possible score ranges: total, 0–74; Cognitive-Perceptual, 0–33; Interpersonal,
0–25; Disorganized, 0–16). Frontiers in Psychology | www.frontiersin.org Results and Discussion Descriptive statistics and correlations are summarized in
Tables 1, 2, respectively. As in Experiment 2A, positive
schizotypy
(i.e.,
Cognitive-Perceptual
composite
score)
did not correlate with reaction time (tau = 0.052, n.s.),
false alarm rate, d′, and c (|r|s < 0.136, n.s.), further
supported by BF01s larger than 3.55. None of the predictors
in the three regression models predicted any behavioral
measures (partial regression coefficients: ps > 0.487; see also
Table 3 and Supplementary Table S1). These results were
against our hypothesis. TABLE 3 | Coefficients of determination (R2) for the three models of multiple
regression on behavioral measures. Dependent
variables
Predictors
Age
Age,
Interpersonal,
Disorganized
Age,
Interpersonal,
Disorganized,
Cognitive-
Perceptual
Experiment 1
Reaction time
0.036
0.043
0.046
Confidence rating
0.005
0.037
0.068
Experiment 2A
Reaction time
<0.001
0.070
0.076
False alarm rate
0.003
0.065
0.065
d′
0.023
0.068
0.145
c
0.024
0.093
0.135
Experiment 2B
Reaction time
0.008
0.027
0.034
False alarm rate
<0.001
0.020
0.021
d′
<0.001
0.015
0.021
c
<0.001
0.019
0.019
p-values for the coefficients ranged from 0.272 to 0.991 (see Supplementary
Table S1). Predictors entered into the model forcibly. TABLE 3 | Coefficients of determination (R2) for the three models of multiple
regression on behavioral measures. Data Analysis TABLE 2 | Correlations between positive schizotypy (the Cognitive-Perceptual
composite score) and behavioral measures in three experiments (Pearson’s r and
Kendall’s tau; n = 35). of meaning in meaningful and meaningless stimuli. We further
examined our hypothesis employing a choice task with paired
stimuli in the next experiment. Materials and Methods Methods used were identical to those of Experiment 2A
except for the following. We collected 48 new images for
each of the meaningful, scrambled, and meaningless categories. In each trial, following the presentation of a fixation cross
at the center of screen for 750 ms, a pair of two images
was presented for 140 ms (Figure 3B). The center of each
image was 7.5 degree left or right of the center of screen. Twenty-four pairs of meaningful and scrambled images, 24
pairs of meaningful and meaningless images, and 24 pairs
of scrambled and meaningless images were presented in a
randomized order. The presentation side of the images was
balanced. After the presentation of paired images, participants
were asked to judge the side where a meaningful image
was presented by pressing the left or right arrow key. When participants found both meaningless, they pressed
the up arrow key. Data Analysis Reaction time was averaged for each participant. A false alarm
rate (i.e., “meaningful” response for scrambled and meaningless
images) served as an index of exaggerated perception of meaning. Hit and false alarm rates were calculated collapsing three June 2020 | Volume 11 | Article 1323 Frontiers in Psychology | www.frontiersin.org 5 Meaning Perception and Positive Schizotypy Tagami and Imaizumi Tagami and Imaizumi
TABLE 2 | Correlations between positive schizotypy (the Cognitive-Perceptual
composite score) and behavioral measures in three experiments (Pearson’s r and
Kendall’s tau; n = 35). Measures
Correlation with
positive schizotypy
P
BF01
Experiment 1
Reaction time
r
−0.103
0.558
4.03
tau
−0.089
0.459
3.48
Confidence rating
r
0.054
0.758
4.54
tau
0.122
0.317
2.73
Experiment 2A
Reaction time
r
−0.134
0.442
3.58
tau
−0.131
0.279
2.54
False alarm rate
r
−0.165
0.345
3.10
tau
0.010
0.932
4.56
d′
r
0.304
0.076
1.05
tau
0.109
0.369
3.04
c
r
−0.096
0.584
4.12
tau
−0.054
0.658
4.15
Experiment 2B
Reaction time
r
−0.069
0.695
4.42
tau
0.052
0.669
4.18
False alarm rate
r
−0.111
0.526
3.92
tau
−0.079
0.520
3.70
d′
r
0.136
0.434
3.55
tau
0.096
0.425
3.32
c
r
0.008
0.963
4.75
tau
−0.010
0.932
4.56
Some measures were non-normally distributed (bolded in the table). Parametric
and non-parametric correlations were reported for descriptive purpose. BF01,
Bayes factor in favor of null hypothesis. TABLE 3 | Coefficients of determination (R2) for the three models of multiple
regression on behavioral measures. Dependent
variables
Predictors
Age
Age,
Interpersonal,
Disorganized
Age,
Interpersonal,
Disorganized,
Cognitive-
Perceptual
Experiment 1
Reaction time
0.036
0.043
0.046
Confidence rating
0.005
0.037
0.068
Experiment 2A
Reaction time
<0.001
0.070
0.076
False alarm rate
0.003
0.065
0.065
d′
0.023
0.068
0.145
c
0.024
0.093
0.135
Experiment 2B
Reaction time
0.008
0.027
0.034
False alarm rate
<0.001
0.020
0.021
d′
<0.001
0.015
0.021
c
<0.001
0.019
0.019
p-values for the coefficients ranged from 0.272 to 0.991 (see Supplementary
Table S1). Predictors entered into the model forcibly. Similar to Experiment 1, although inconclusive, there may be
no relationship between positive schizotypy and time to detect
meaning from visual stimuli. Importantly, our results indicate
that positive schizotypy is not associated with false-positive TABLE 2 | Correlations between positive schizotypy (the Cognitive-Perceptual
composite score) and behavioral measures in three experiments (Pearson’s r and
Kendall’s tau; n = 35). Frontiers in Psychology | www.frontiersin.org Summary of Results The
present
study
investigated
the
relationship
between
the perception of meaning in visual stimuli and positive
schizotypy in a non-clinical Japanese sample. The Cognitive-
Perceptual composite score in SPQ served as an index
of positive schizotypy. We hypothesized that people with
higher positive schizotypy perceive the meaning from visual
stimuli faster and more frequently perceive meaning in
meaningless stimuli (i.e., higher false alarm rate and lower
sensitivity). However, the results of the three experiments
were
consistently
contrary
to
our
hypotheses
based
on
both frequentist and Bayesian correlation analyses (except
an
inconclusive
Bayesian
correlation
between
positive
schizotypy and reaction time in Experiment 2A). These
null correlations between positive schizotypy and behavioral
measures
were
replicated
when
the
Interpersonal
and
Disorganized composites in SPQ and chronological age, in p-values for the coefficients ranged from 0.272 to 0.991 (see Supplementary
Table S1). Predictors entered into the model forcibly. Similar to Experiment 1, although inconclusive, there may be
no relationship between positive schizotypy and time to detect
meaning from visual stimuli. Importantly, our results indicate
that positive schizotypy is not associated with false-positive
responses, sensitivity, and response criterion in the perception June 2020 | Volume 11 | Article 1323 Frontiers in Psychology | www.frontiersin.org 6 Meaning Perception and Positive Schizotypy Tagami and Imaizumi FIGURE 3 | Schematic of the task in (A) Experiment 2A and (B) 2B. FIGURE 3 | Schematic of the task in (A) Experiment 2A and (B) 2B. addition to positive schizotypy, were entered into regression
models. Thus, positive schizotypy did not correlate with
behavioral measures such as time to detect a meaningful
object (Experiments 1 and 2B), confidence in the participants’
perceptions
(Experiment
1),
or
sensitivity
and
response
criteria to perceive meaning in meaningful and meaningless
visual stimuli (Experiments 2A, B) based on signal detection
theory. These null correlations suggest that positive schizotypy
may not affect judgments of meaningful or meaningless
stimulus and metacognitive confidence in them. However,
it
could
highlight
previously
reported
associations
of
positive schizotypy with the perception of meaning from
meaningless stimuli (Tsakanikos and Reed, 2005; Partos et al.,
2016) and illusory relationships between unrelated events
(Rominger et al., 2018). size can interfere with cognitive information processing. To
speculate, if this could be the case for perception of meaning,
the larger category size in Experiment 2A,B may have affected
meaningfulness judgment and consequently nullify the potential
relationship between positive schizotypy and false-positive
perception of meaning. Frontiers in Psychology | www.frontiersin.org Summary of Results Second, we established hypotheses for all experiments
from
studies
on
paranormal
believers
(Krummenacher
et al., 2010; Simmonds-Moore, 2014) because paranormal
belief is one of the subscales of positive schizotypy assessed
by SPQ and some reported that positive schizotypy also
correlates with perception of meaning (Partos et al., 2016;
Rominger et al., 2018). However, there may be a difference
in
the
way
perception
of
meaning
is
affected
between
paranormal beliefs and positive schizotypy. This notion is
plausible because paranormal beliefs and positive schizotypy
partially overlap and are explained by different surrounding
constructs in the psychometric domain (Hergovich et al.,
2008; Darwin et al., 2011). If the null correlations we
found are the case, an exaggerated perception of meaning
could be associated more with paranormal beliefs than with
positive schizotypy. Inconsistency With Previous Studies Inconsistency With Previous Studies
The
present
findings
were
overall
inconsistent
with
the
previous studies. We propose three possible explanations
for this discrepancy. The first is the difference in methods. In Experiment 1, positive schizotypy did not correlate with
the perception of meaning, while in paranormal believers
the relationship was found (Simmonds-Moore, 2014). We
required our participants to provide one response about
what they identified in each trial in order to focus more
on the time needed to make the single reaction and the
confidence
with
which
it
was
done,
while
Simmonds-
Moore (2014) did not limit the number of responses. To
speculate, the number and/or variation of what one detects
in meaningless stimulus, rather than time to initially detect,
may reflect abnormal psychological traits. In Experiments
2A,B, positive schizotypy did not correlate with false-positive
responses in meaning perception, while this was the case for
paranormal beliefs (Krummenacher et al., 2010). We used
more categories of objects (e.g., faces, animals, foods, and
so on), while Krummenacher et al. (2010) used faces and
words. It has been known that time to classify stimuli into
given categories increases with category size (Pollack, 1963;
Landauer and Freedman, 1968), suggesting that category Third,
the
schizotypy–a
spectrum
of
personality
that
has features similar to schizophrenia–is not the same as
clinical
and
pathological
conditions. Thus,
people
with
(relatively)
high
positive
schizotypy
may
not
necessarily
exhibit
hallucinatory
experiences,
including
exaggerated
perception of meaning (e.g., Sass and Parnas, 2003). It is
possible that our sample might have fallen within a “mild”
range where individuals do not show an abnormal perception
of meaning, although the SPQ total and Cognitive-Perceptual
composite scores in our sample did not substantially deviate
from those of an earlier larger Japanese student sample
(Iijima et al., 2010). While Krummenacher et al. (2010) and
Simmonds-Moore
(2014)
employed
a
group-comparison
approach (i.e., paranormal believers vs. non-believers), the
present
study
employed
a
correlational
approach. Given
that
a
comparison
between
schizophrenic
patients
and
healthy people can be a powerful method to detect the
effects
of
psychiatric
condition
on
abnormal
perception June 2020 | Volume 11 | Article 1323 Frontiers in Psychology | www.frontiersin.org 7 Meaning Perception and Positive Schizotypy Tagami and Imaizumi (Panton et al., 2016), we expect group comparison to be suitable
for our purpose. (Panton et al., 2016), we expect group comparison to be suitable
for our purpose. FUNDING The present study employed SPQ, which is a self-report
measure of schizotypal personality disorder, as an index
of schizotypy. However, schizotypal personality might be
conceptually dissociated from schizotypy (Grant et al., 2018). It
has been argued that schizotypal personality is an observable
phenomenological entity that derives from schizotypy – a
latent construct (Lenzenweger, 2015). Therefore, the Cognitive-
Perceptual score of the SPQ might not adequately measure
positive schizotypy and thus might have had less power
to detect the relationship between positive schizotypy and
perception of meaning in the present study. Thus far, we have
only discussed trait-like schizotypy. However, as it has been
additionally argued that variations in state measures of positive
schizotypy (e.g., repeated measurement during experiments)
could better explain abnormal false-positive perception than trait This work was supported by the JSPS KAKENHI (17K12701 and
20K20144) from the Japan Society for the Promotion of Science. This work was supported by the JSPS KAKENHI (17K12701 and
20K20144) from the Japan Society for the Promotion of Science. CONCLUSION The present study of Japanese female undergraduates found
no relationship between positive schizotypy and perception
of meaning, especially in the visual detection of meaning in
noise-masked meaningful stimuli, confidence in the detection,
and discrimination between meaningful and meaningless visual
stimuli. The null correlations simultaneously highlight the
known effect of positive schizotypy on the detection of
meaningful objects from meaningless stimuli (e.g., Partos et al.,
2016) and the illusory perception of associations between events
(Rominger et al., 2018). The present study can contribute to
an accumulation of data for the elucidation of perceptions and
symptoms in schizophrenia and schizophrenic spectrum. ACKNOWLEDGMENTS We thank Akira Ishiguchi for his comments on an early version
of the manuscript. ETHICS STATEMENT Since we investigated the perception of meaning only
in
vision,
our
findings
cannot
be
generalized
to
other
sensory modalities. In patients with schizophrenia, auditory
hallucinations are more common than visual hallucinations
(Mueser et al., 1990) and decreased perceptual sensitivity
may be found in auditory and audiovisual, but not visual
modalities (Mussgay and Hertwig, 1990). Given this, one
might
speculate
that
auditory
perception
of
meaning
is
likely to reflect characteristics of heightened schizotypy and
schizophrenia. Indeed, some studies have reported that positive
schizotypy correlates with false-positive hearing such as voice
perception from white noise (Barkus et al., 2007, 2011). Future studies should investigate how positive schizotypy
relates to perception of meaning in meaningful or meaningless
auditory stimuli. The studies involving human participants were reviewed and
approved by the ethics committee of the Graduate School
of Humanities and Sciences, Ochanomizu University. The
patients/participants provided their written informed consent to
participate in this study. AUTHOR CONTRIBUTIONS UT conceived the study and performed the experiments. UT and
SI analyzed the data, wrote the manuscript, and approved the
final version of the manuscript. Inconsistency With Previous Studies measures (Grant et al., 2014) such as SPQ, our experimental
paradigm should be re-examined by assessing state and trait
positive schizotypy. Limitations Our participants were Japanese female university students. Thus,
it will be difficult to generalize our findings to other ethnicities,
genders, and age groups. Indeed, gender and age could be
confounding factors. Although some studies showed no gender
difference in schizotypy (Fossati et al., 2003), other studies
reported that schizotypy score was higher in females than in
males (Claridge and Hewitt, 1987). Females in particular, tend
to have higher positive schizotypy than males, while males
have higher negative schizotypy than females (Raine, 1992;
Venables and Bailes, 1994). On the other hand, it has also
been reported that adolescents show higher schizotypy than
adults (Venables and Bailes, 1994). Further, there could be an
interaction effect of gender and age on the structure of schizotypy
(Ito et al., 2010). These potential effects of gender and age
might influence the relationship between positive schizotypy and
the perception of meaning. Further studies employing broader
sample are needed. DATA AVAILABILITY STATEMENT Although our methods followed those of previous studies
(Krummenacher et al., 2010; Simmonds-Moore, 2014), we did
not fully control the physical characteristics of the stimuli (e.g.,
mean luminance and size). Future studies should employ more
rigorously controlled methods (e.g., Partos et al., 2016) to better
replicate and extend the present findings. All datasets generated for this study are included in the
article/Supplementary Material. REFERENCES Signal detection indices in schizophrenics on
a visual, auditory, and bimodal continuous performance test. Schizophr. Res. 3,
303–310. doi: 10.1016/0920-9964(90)90014-x Dienes, Z. (2014). Using Bayes to get the most out of non-significant results. Front. Psychol. 5:781. doi: 10.3389/fpsyg.2014.00781 Panton, K. R., Badcock, D. R., and Badcock, J. C. (2016). A metaanalysis of
perceptual organization in schizophrenia, schizotypy, and other high-risk
groups based on variants of the embedded figures task. Front. Psychol. 7:237. doi: 10.3389/fpsyg.2016.00237 Ettinger, U., Mohr, C., Gooding, D. C., Cohen, A. S., Rapp, A., Haenschel, C.,
et al. (2015). Cognition and brain function in schizotypy: a selective review. Schizophr. Bull. 41, S417–S426. doi: 10.1093/schbul/sbu190 Faul, F., Erdfelder, E., Buchner, A., and Lang, A. G. (2009). Statistical power
analyses using G∗Power 3.1: tests for correlation and regression analyses. Behav. Res. Methods 41, 1149–1160. doi: 10.3758/BRM.41.4.1149 Partos, T. R., Cropper, S. J., and Rawlings, D. (2016). You don’t see what I see:
individual differences in the perception of meaning from visual stimuli. PLoS
One 11:e0150615. doi: 10.1371/journal.pone.0150615 Fossati, A., Raine, A., Carretta, I., Leonardi, B., and Maffei, C. (2003). The three-
factor model of schizotypal personality: invariance across age and gender. Pers. Individ. Dif. 35, 1007–1019. doi: 10.1016/s0191-8869(02)00314-8 Peirce, J., Gray, J. R., Simpson, S., MacAskill, M., Hochenberger, R., Sogo, H., et al. (2019). PsychoPy2: experiments in behavior made easy. Behav. Res. Methods 51,
195–203. doi: 10.3758/s13428-018-01193-y Gosselin, F., and Schyns, P. G. (2003). Superstitious perceptions reveal properties
of internal representations. Psychol. Sci. 14, 505–509. doi: 10.1111/1467-9280. 03452 Pollack, I. (1963). Speed of classification of words into superordinate categories. J. Verbal Learning Verbal Behav. 2, 159–165. doi: 10.1016/s0022-5371(63)
80080-8 Grant, P., Balser, M., Munk, A. J., Linder, J., and Hennig, J. (2014). A false-positive
detection bias as a function of state and trait schizotypy in interaction with
intelligence. Front. Psychiatry 5:135. doi: 10.3389/fpsyt.2014.00135 Raine, A. (1991). The SPQ: a scale for the assessment of schizotypal personality
based on DSM-III-R criteria. Schizophr. Bull. 17, 555–564. doi: 10.1093/schbul/
17.4.555 Grant, P., Green, M. J., and Mason, O. J. (2018). Models of schizotypy: the
importance of conceptual clarity. Schizophr. Bull. 44, S556–S563. doi: 10.1093/
schbul/sby012 Raine, A. (1992). Sex differences in schizotypal personality in a nonclinical
population. J. Abnorm. Psychol. 101, 361–364. doi: 10.1037//0021-843x.101. 2.361 Griffiths, T. L., and Tenenbaum, J. B. (2007). From mere coincidences to
meaningful discoveries. Cognition 103, 180–226. doi: 10.1016/j.cognition.2006. REFERENCES Krummenacher, P., Mohr, C., Haker, H., and Brugger, P. (2010). Dopamine,
paranormal belief, and the detection of meaningful stimuli. J. Cogn. Neurosci. 22, 1670–1681. doi: 10.1162/jocn.2009.21313 Balcetis, E., and Dunning, D. (2006). See what you want to see: motivational
influences on visual perception. J. Pers. Soc. Psychol. 91, 612–625. doi: 10.1037/
0022-3514.91.4.612 Landauer, T. K., and Freedman, J. L. (1968). Information retrieval from long-term
memory: category size and recognition time. J. Verbal Learn. Verbal Behav. 7,
291–295. doi: 10.1016/s0022-5371(68)80003-9 Barkus, E., Smallman, R., Royle, N., Barkus, C., Lewis, S., and Rushe, T. (2011). Auditory false perceptions are mediated by psychosis risk factors. Cogn. Neuropsychiatry 16, 289–302. doi: 10.1080/13546805.2010.530472 Lenzenweger, M. F. (2001). Reaction time slowing during high-load, sustained-
attention
task
performance
in
relation
to
psychometrically
identified
schizotypy. J. Abnorm. Psychol. 110, 290–296. doi: 10.1037//0021-843x. 110.2.290 Barkus, E., Stirling, J., Hopkins, R., McKie, S., and Lewis, S. (2007). Cognitive and
neural processes in non-clinical auditory hallucinations. Br. J. Psychiatry 191,
s76–s81. doi: 10.1192/bjp.191.51.s76 Lenzenweger, M. F. (2015). Thinking clearly about schizotypy: hewing to the
schizophrenia liability core, considering interesting tangents, and avoiding
conceptual quicksand. Schizophr. Bull. 41(Suppl. 2), S483–S491. doi: 10.1093/
schbul/sbu184 Brugger, P. (2001). “From haunted brain to haunted science: a cognitive
neuroscience view of paranormal and pseudoscientific thought,” in Hauntings
and Poltergeists: Multidisciplinary Perspectives, eds J. Houran and R. Lange
(Jefferson, NC: McFarland), 195–213. Macmillan, N. A., and Creelman, C. D. (2004). Detection Theory: a User’s guide. Mahwah, NJ: Lawrence Erlbaum Associates. Claridge, G., and Hewitt, J. K. (1987). A biometrical study of schizotypy in a normal
population. Pers. Individ. Dif. 8, 303–312. doi: 10.1016/0191-8869(87)90030-4 Moritz, S., Goritz, A. S., Van Quaquebeke, N., Andreou, C., Jungclaussen, D., and
Peters, M. J. (2014). Knowledge corruption for visual perception in individuals
high on paranoia. Psychiatry Res. 215, 700–705. doi: 10.1016/j.psychres.2013. 12.044 Corlett, P. R., Simons, J. S., Pigott, J. S., Gardner, J. M., Murray, G. K., Krystal,
J. H., et al. (2009). Illusions and delusions: relating experimentally-induced false
memories to anomalous experiences and ideas. Front. Behav. Neurosci. 3:53. doi: 10.3389/neuro.08.053.2009 Mueser, K. T., Bellack, A. S., and Brady, E. U. (1990). Hallucinations in
schizophrenia. Acta Psychiatr. Scand. 82, 26–29. doi: 10.1111/j.1600-0447.1990. tb01350.x Darwin, H., Neave, N., and Holmes, J. (2011). Belief in conspiracy theories. The
role of paranormal belief, paranoid ideation and schizotypy. Pers. Individ. Dif. 50, 1289–1293. doi: 10.1016/j.paid.2011.02.027 Mussgay, L., and Hertwig, R. (1990). SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found online
at:
https://www.frontiersin.org/articles/10.3389/fpsyg.2020. 01323/full#supplementary-material June 2020 | Volume 11 | Article 1323 Frontiers in Psychology | www.frontiersin.org Frontiers in Psychology | www.frontiersin.org 8 Meaning Perception and Positive Schizotypy Tagami and Imaizumi REFERENCES 03.004 Riekki, T., Lindeman, M., Aleneff, M., Halme, A., and Nuortimo, A. (2013). Paranormal and religious believers are more prone to illusory face perception
than skeptics and non-believers. Appl. Cogn. Psychol. 27, 150–155. doi: 10.1002/
acp.2874 Gross, G. M., Mellin, J., Silvia, P. J., Barrantes-Vidal, N., and Kwapil, T. R. (2014). Comparing the factor structure of the wisconsin schizotypy scales and the
schizotypal personality questionnaire. Personal Disord 5, 397–405. doi: 10.1037/
per0000090 Rominger, C., Schulter, G., Fink, A., Weiss, E. M., and Papousek, I. (2018). Meaning in meaninglessness: the propensity to perceive meaningful patterns
in coincident events and randomly arranged stimuli is linked to enhanced
attention in early sensory processing. Psychiatry Res. 263, 225–232. doi: 10.1016/
j.psychres.2017.07.043 Hergovich, A., Schott, R., and Arendasy, M. (2008). On the relationship between
paranormal belief and schizotypy among adolescents. Pers. Individ. Dif. 45,
119–125. doi: 10.1016/j.paid.2008.03.005 Sass, L. A., and Parnas, J. (2003). Schizophrenia, consciousness, and the self. Schizophr. Bull. 29, 427–444. doi: 10.1093/oxfordjournals.schbul.a007017 Iijima, Y., Asai, T., Sasaki, J., Mouri, I., Bando, N., and Tanno, Y. (2010). Development of a Japanese version of the schizotypal personality questionnaire
and factor structure of schizotypy. Jpn. J. Behav. Ther. 36, 29–41. doi: 10.24468/
jjbt.36.1_29 Schultze-Lutter, F., Nenadic, I., and Grant, P. (2019). Psychosis and schizophrenia-
spectrum personality disorders require early detection on different symptom
dimensions. Front. Psychiatry 10:476. doi: 10.3389/fpsyt.2019.00476 Ito, S., Okumura, Y., and Sakamoto, S. (2010). Sex differences in the schizotypal
personality questionnaire brief among Japanese employees and undergraduates:
a cross-sectional study. Pers. Individ. Dif. 48, 40–43. doi: 10.1016/j.paid.2009. 08.008 Shiah, Y. J., Wu, Y. Z., Chen, Y. H., and Chiang, S. K. (2014). Schizophrenia
and the paranormal: more psi belief and superstition, and less deja vu in
medicated schizophrenic patients. Compr. Psychiatry 55, 688–692. doi: 10.1016/
j.comppsych.2013.11.003 Jamovi Project (2020). Jamovi. Version 1.2. Available: https://www.jamovi.org
(Accessed 2020 February 9). Simmonds-Moore, C. (2014). Exploring the perceptual biases associated with
believing and disbelieving in paranormal phenomena. Conscious. Cogn. 28,
30–46. doi: 10.1016/j.concog.2014.06.004 JASP Team (2019). JASP Version 0.11.1. Available: https://jasp-stats.org (Accessed
October 7, 2019). June 2020 | Volume 11 | Article 1323 Frontiers in Psychology | www.frontiersin.org 9 Tagami and Imaizumi Meaning Perception and Positive Schizotypy of ambiguous stimuli. Psychon. Bull. Rev. 11, 475–481. doi: 10.3758/bf0319
6598 Tobacyk, J., and Milford, G. (1983). Belief in paranormal phenomena: assessment
instrument development and implications for personality functioning. J. Pers. Soc. Psychol. 44, 1029–1037. Tobacyk, J., and Milford, G. (1983). Belief in paranormal phenomena: assessment
instrument development and implications for personality functioning. J. Pers.
Soc. Psychol. 44, 1029–1037. doi: 10.1037/0022-3514.44.5.1029 Frontiers in Psychology | www.frontiersin.org June 2020 | Volume 11 | Article 1323 Tobacyk, J., and Milford, G. (1983). Belief in paranormal phenomena: assessment
instrument development and implications for personality functioning. J. Pers.
Soc. Psychol. 44, 1029–1037. doi: 10.1037/0022-3514.44.5.1029
Tsakanikos, E. (2006). Perceptual biases and positive schizotypy: the role of
perceptual load. Pers. Individ. Dif. 41, 951–958. doi: 10.1016/j.paid.2006.04.004
Tsakanikos, E., and Reed, P. (2005). Seeing words that are not there: detection
biases in schizotypy. Br. J. Clin. Psychol. 44, 295–299. doi: 10.1348/
014466505X28757
Venables, P. H., and Bailes, K. (1994). The structure of schizotypy, its relation
to subdiagnoses of schizophrenia and to sex and age. Br. J. Clin. Psychol. 33,
277–294. doi: 10.1111/j.2044-8260.1994.tb01124.x
Wild, H. A., and Busey, T. A. (2004). Seeing faces in the noise: stochastic
activity in perceptual regions of the brain may influence the perception y
Tsakanikos, E. (2006). Perceptual biases and positive schizotypy: the role of
perceptual load. Pers. Individ. Dif. 41, 951–958. doi: 10.1016/j.paid.2006.04.004 REFERENCES doi: 10.1037/0022-3514.44.5.1029 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. Tsakanikos, E. (2006). Perceptual biases and positive schizotypy: the role of
perceptual load. Pers. Individ. Dif. 41, 951–958. doi: 10.1016/j.paid.2006.04.004 f
j
Tsakanikos, E., and Reed, P. (2005). Seeing words that are not there: detection
biases in schizotypy. Br. J. Clin. Psychol. 44, 295–299. doi: 10.1348/
014466505X28757 Copyright © 2020 Tagami and Imaizumi. 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. Venables, P. H., and Bailes, K. (1994). The structure of schizotypy, its relation
to subdiagnoses of schizophrenia and to sex and age. Br. J. Clin. Psychol. 33,
277–294. doi: 10.1111/j.2044-8260.1994.tb01124.x Wild, H. A., and Busey, T. A. (2004). Seeing faces in the noise: stochastic
activity in perceptual regions of the brain may influence the perception Wild, H. A., and Busey, T. A. (2004). Seeing faces in the noise: stochastic
activity in perceptual regions of the brain may influence the perception June 2020 | Volume 11 | Article 1323 Frontiers in Psychology | www.frontiersin.org 10
|
https://openalex.org/W2912944972
|
https://www.nature.com/articles/s41598-019-38590-y.pdf
|
English
| null |
Macrophage Migration Inhibitory Factor Acts as the Potential Target of a Newly Synthesized Compound, 1-(9′-methyl-3′-carbazole)-3, 4-dihydro-β-carboline
|
Scientific reports
| 2,019
|
cc-by
| 9,807
|
Macrophage Migration Inhibitory
Factor Acts as the Potential Target
of a Newly Synthesized Compound,
1-(9′-methyl-3′-carbazole)-3,
4-dihydro-β-carboline
Pin-Hao Ko1, Ya-Ching Shen2, Kaliyappan Murugan2, Chiung-Wei Huang3,
Govindan Sivakumar2, Pinki Pal2, Chia-Ching Liao2, Kai-Shin Luo4, Eric Y. Chuang5,6,
Mong-Hsun Tsai6,7 & Liang-Chuan Lai 1,6 Received: 8 June 2018
Accepted: 3 January 2019
Published: xx xx xxxx Received: 8 June 2018
Accepted: 3 January 2019
Published: xx xx xxxx For a newly synthesized compound, identifying its target protein is a slow but pivotal step toward
understand its pharmacologic mechanism. In this study, we systemically synthesized novel manzamine
derivatives and chose 1-(9′-methyl-3′-carbazole)-3, 4-dihydro-β-carboline (MCDC) as an example
to identify its target protein and function. MCDC had potent toxicity against several cancer cells. To
identify its target protein, we first used a docking screen to predict macrophage migration inhibitory
factor (MIF) as the potential target. Biochemical experiments, including mutation analysis and
hydrogen-deuterium exchange assays, validated the binding of MCDC to MIF. Furthermore, MCDC was
shown by microarrays to interfere with the cell cycle of breast cancer MCF7 cells. The activated signaling
pathways included AKT phosphorylation and S phase-related proteins. Our results showed MIF as a
potential direct target of a newly synthesized manzamine derivative, MCDC, and its pharmacologic
mechanisms. The natural world is a major source of small molecules for development as novel pharmaceuticals. Previously,
we isolated several small molecules, manzamines, from a Formosan marine sponge, Haliclona sp.1. Manzamines
are members of the β-carboline alkaloids, isolated from sponges and other marine microorganisms2,3. To
examine the pharmacologic mechanisms of these novel compounds, one of the crucial steps is to identify their
target protein(s). Since a small molecule usually has potential high-affinity protein binding partners, it often
takes tremendous effort and time to search for the direct target protein of a new compound. For example, the
adenanthin-biotin-streptavidin system was used to identify adenanthin’s direct target proteins, peroxiredoxin
I and II4. In this case, the process was slow, and it was difficult to get a comprehensive view of the function of
adenanthin in cells.h There are two main approaches to identify the pairing between small molecules and their target proteins. One
is to screen thousands of compounds in an established library against a known target protein5. The other is to
synthesize a new compound and screen cellular binding protein(s) against the small molecule of interest6,7. In this
study, we took the latter approach to search for the target protein(s) of newly synthesized manzamine-derived
compounds. Specifically, we used bioinformatics approaches to expedite the process of understanding the phar-
macologic mechanisms of the manzamine derivatives in a systematic way. 1Graduate Institute of Physiology, College of Medicine, National Taiwan University, Taipei, Taiwan. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 8 June 2018
Accepted: 3 January 2019
Published: xx xx xxxx Results
S
h Synthesis of 1-substituted carbazolyl-1, 2, 3, 4-tetrahydro-β-carboline and carbazolyl-3,
4-dihydro-β-carboline derivatives. Previous studies showed that elongation of the alkyl chain of 1-sub-
stituted carbazolyl-1, 2, 3, 4-tetrahydro-β-carboline and carbazolyl-3, 4-dihydro-β-carboline, both manzamine
A-derived compounds, resulted in decreased anticancer activity8. Thus, with the aim of studying the structure-ac-
tivity relationship to understand and optimize the biological activity of these compounds, we attempted to deri-
vatize the essential part of manzamine A (red color in Fig. 1A) and vary the length of the N-alkyl side chain on
the carbazole ring. Therefore, we synthesized six additional new compounds (1, 4, 6, 7, 10, and 12 in Fig. 1A). In total, we synthesized six derivatives of both 1-substituted carbazolyl-1, 2, 3, 4-tetrahydro-β-carboline (group
A) and carbazolyl-3, 4-dihydro-β-carboline (group B). The process of synthesis is depicted in Fig. 1B. Briefly,
N-alkylcarbazoles were prepared by N-alkylation of the carbazole with an alkyl halide. A Vilsmeier-Haak reac-
tion16 followed by Pictet-Spengler cyclization17,18 yielded compounds 1–6, and oxidation19 furnished the desired
compounds 7–12, respectively. 1-(9′-methyl-3′-carbazole)-3, 4-dihydro-β-carboline (MCDC) reduced viability in four cancer
cell lines. Previous data showed that some manzamine derivatives had cytotoxic effects against human can-
cer cells1. To examine the cytotoxic effects of our 12 newly synthesized derivatives, we performed Calcein AM
viability assays on four cancer cell lines from lung (A549, H1299), liver (HepG2), and breast (MCF7) with the
dose range of each compound from 0, 1, 10 and 100 μM (Supplementary Fig. S1). Table 1 summarizes the viability
information at the dose of 10 μM. Treatment with compounds 2, 3, 4, and 7 reduced the percentage of viable cells
to <25% in all tested cell lines (Table 1, bold font). Also, compound 7 was the most effective drug in group B. Other members in group B (compound 8–12 in Table 1), with longer N-alkyl side chain than compound 7, showed
less cytotoxic effect (Table 1). In this study, the newly synthesized compound 7, 1-(9′-methyl-3′-carbazole)-3,
4-dihydro-β-carboline (MCDC) in group B, was taken as an example to demonstrate our methodology for rapid
investigation of the structure-activity relationship. g
y
p
In order to calculate the IC50 value of MCDC accurately, the viability of A549 and MCF7 cells treated with a
narrower range of MCDC concentration (0–8 μM) was measured using MTT assays. The IC50 values of MCDC
in A549 (Supplementary Fig. S2A) and MCF7 (Supplementary Fig. www.nature.com/scientificreports/ www.nature.com/scientificreports/ Previous data showed that manzamine A-derived compounds, such as 1-substituted carbazolyl-1, 2, 3,
4-tetrahydro-β-carboline and carbazolyl-3, 4-dihydro-β-carboline, showed significant anticancer activities
against colon adenocarcinoma DLD cells, lung large cell carcinoma NCI-H661 cells, and hepatoma HepG2/
A2 cells8. Also, elongation of the alkyl chain resulted in a decrease in these activities, although the relationship
between the number of carbons in the side chain on the N atom in the carbazole and the anticancer activity of the
derivatives remained unclear8. In addition, although some studies showed that manzamine derivatives had many
potential pharmacologic functions9–13, their target proteins and underlying binding mechanism still remained
elusive. Therefore, to understand the structure-activity relationship of manzamines in this study, we synthesized
more derivatives with a modified chemical structure at the relevant position on β-carboline and examined their
cytotoxicity. We chose the manzamine-derived compound 1-(9′-methyl-3′-carbazole)-3, 4-dihydro-β-carboline
(MCDC) as an example to demonstrate the possibility of rapid identification of the target protein(s) of a newly
synthesized compound. y
p
To identify the target protein(s) for our new derivative, we took advantage of virtual screening to search all
potential targets simultaneously by calculating the free energy of docking between proteins in the protein data
bank (PDB) and manzamine derivatives14,15. This method identified macrophage migration inhibitory factor
(MIF) as the lowest energy binding partner of MCDC. The proposed MIF-MCDC interaction was assessed via
docking simulations, hydrogen-deuterium exchange experiments, and mutation of the simulated binding site. To understand the effects of manzamine derivatives on cells at the genomic level, transcriptome profiling was
examined by microarrays, and the function of differentially expressed genes was analyzed by pathway analysis. Although the direct target of MCDC may not be only one, this method rapidly identified MIF as one of the poten-
tial direct targets of MCDC and elucidated its primary pharmacologic mechanisms. Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y Macrophage Migration Inhibitory
Factor Acts as the Potential Target
of a Newly Synthesized Compound,
1-(9′-methyl-3′-carbazole)-3,
4-dihydro-β-carboline
Pin-Hao Ko1, Ya-Ching Shen2, Kaliyappan Murugan2, Chiung-Wei Huang3,
Govindan Sivakumar2, Pinki Pal2, Chia-Ching Liao2, Kai-Shin Luo4, Eric Y. Chuang5,6,
Mong-Hsun Tsai6,7 & Liang-Chuan Lai 1,6 2School of
Pharmacy, College of Medicine, National Taiwan University, Taipei, Taiwan. 3Department of Physiology, College
of Medicine, Kaohsiung Medical University, Kaohsiung, Taiwan. 4Department of Ophthalmology, Taipei Tzu Chi
Hospital, Buddhist Tzu Chi Medical Foundation, Taipei, Taiwan. 5Graduate Institute of Biomedical Electronics and
Bioinformatics, National Taiwan University, Taipei, Taiwan. 6Bioinformatics and Biostatistics Core, Center of Genomic
and Precision Medicine, National Taiwan University, Taipei, Taiwan. 7Institute of Biotechnology, National Taiwan
University, Taipei, Taiwan. Pin-Hao Ko and Ya-Ching Shen contributed equally. Correspondence and requests for
materials should be addressed to L.-C.L. (email: llai@ntu.edu.tw) Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 1 Results
S
h S2B) cells were about 5.04 ± 0.29 and
5.48 ± 0.13 μM, respectively, 48 h after treatment. Complete physical, spectroscopic, and spectrometric data for
MCDC are listed in Table 2. MIF was a potential target protein of MCDC. Since small molecules often have many target proteins,
we employed several computational methods to speed up the process of identifying potential binding partners
for MCDC. We first used a web server, idTarget20, to screen the docking free energy of MCDC with all proteins in
Protein Data Bank (PDB). However, many published protein structures in PDB did not belong to Homo sapiens. The
results of idTarget predicted 59 proteins as MCDC target with free energy (ΔG) values less than −10.5 kcal/mol. Only 15 of them are Homo sapiens’ proteins (Table 3). Among these predicted target proteins, macrophage migra-
tion inhibitory factor (MIF; PDB No. 3l5 s) had the lowest free energy when docked with MCDC, indicating stable
binding between MIF and MCDC. Therefore, we chose MIF for the following experiments. h
Next, to identify the amino acids of MIF involved in the interaction with MCDC, Discovery Studio 3.0 was
used to predict the docked site. Asn6 of MIF was predicted to be the docking site (Fig. 2A). A hydrogen bond
(dashed yellow line in Fig. 2A) formed between the asparagine and one of the nitrogen atoms in MCDC, and the
distance between them was about 3.5 Å.h The kinetic binding activities between recombinant human MIF protein and MCDC (compound 7), com-
pound 6, and compound 11 were measured by surface plasmon resonance technique. Optical biosensor sur-
faces were prepared by Biacore analysis system. As shown in Fig. 2B, the equilibrium dissociation constant (Kd) Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 2 www.nature.com/scientificreports/ Figure 1. Synthesis of 1-substituted carbazolyl-1, 2, 3, 4-tetrahydro-β-carboline and carbazolyl-3, 4-dihydro-β-
carboline derivatives. (A) Chemical structures of all 12 β-carboline derivatives. 1: 1-(9′-methyl-3′-carbazole)-1,
2, 3, 4-tetrahydro-β-carboline; 2: 1-(9′-ethyl-3′-carbazole)-1, 2, 3, 4-tetrahydro-β-carboline; 3: 1-(9′-propyl-
3′-carbazole)-1, 2, 3, 4-tetrahydro-β-carboline; 4: 1-(9′-isopropyl-3′-carbazole)-1, 2, 3, 4-tetrahydro-β-
carboline; 5: 1-(9′-[1″-methyl]propyl-3′-carbazolyl)-1, 2, 3, 4-tetrahydro-β-carboline; 6: 1-(9′-[1″-ethyl] Figure 1. Synthesis of 1-substituted carbazolyl-1, 2, 3, 4-tetrahydro-β-carboline and carbazolyl-3, 4-dihydro-β-
carboline derivatives. (A) Chemical structures of all 12 β-carboline derivatives. Results
S
h 1: 1-(9′-methyl-3′-carbazole)-1,
2, 3, 4-tetrahydro-β-carboline; 2: 1-(9′-ethyl-3′-carbazole)-1, 2, 3, 4-tetrahydro-β-carboline; 3: 1-(9′-propyl-
3′-carbazole)-1, 2, 3, 4-tetrahydro-β-carboline; 4: 1-(9′-isopropyl-3′-carbazole)-1, 2, 3, 4-tetrahydro-β-
carboline; 5: 1-(9′-[1″-methyl]propyl-3′-carbazolyl)-1, 2, 3, 4-tetrahydro-β-carboline; 6: 1-(9′-[1″-ethyl]
propyl-3′-carbazole)-1, 2, 3, 4-tetrahydro-β-carboline; 7: 1-(9′-methyl-3′-carbazole)-3, 4-dihydro-β-carboline;
8: 1-(9′-ethyl-3′-carbazole)-3, 4-dihydro-β-carboline; 9: 1-(9′-propyl-3′-carbazole)-3, 4-dihydro-β-carboline;
10: 1-(9′-isopropyl-3′-carbazole)-3, 4-dihydro-β-carboline; 11: 1-(9′[1″-methyl]propyl-3′-carbazole)-3,
4-dihydro-β-carboline; 12: 1-(9′-[1″-ethyl]propyl-3′-carbazole)-3, 4-dihydro-β-carboline. The core structure of
manzamine A is highlighted in red. (B) Preparation scheme of compounds 1–12. p
py
y
β
y p
py
-dihydro-β-carboline; 12: 1-(9′-[1″-ethyl]propyl-3′-carbazole)-3, 4-dihydro-β-carboline. The core structure of
manzamine A is highlighted in red. (B) Preparation scheme of compounds 1–12. showed fine binding activity between MCDC and MIF (7.25 × 10−7 M), but the Kds of compound 6 and 11 with
MIF could not be measured because the response fluctuated in a random manner as the dose of compound 6 or
11 increased (data not shown), indicating compound 6 and compound 11 were not the ligands for MIF. showed fine binding activity between MCDC and MIF (7.25 × 10−7 M), but the Kds of compound 6 and 11 with
MIF could not be measured because the response fluctuated in a random manner as the dose of compound 6 or
11 increased (data not shown), indicating compound 6 and compound 11 were not the ligands for MIF. g
p
p
g
To validate these simulation results, we investigated the importance of Asn6 in MIF by mutating it to alanine
(A) alone and by mutating amino acids to similar acidity and polarity but larger molecular size, i.e., Asn6 to
glutamine (Q) and Thr7 to methionine (M), and observed the changes in cellular function. The MIF mutant was
overexpressed in the human glioblastoma cell line U251, which was identified as having low endogenous MIF
expression in the online analytic platform Cellexpress21 (http://cellexpress.cgm.ntu.edu.tw/), developed by our
previous work. qRT-PCR was first used to confirm the endogenous MIF expression. As expected, the endoge-
nous expression of MIF in MCF7 cells was almost forty times higher than in U251 cells (Fig. 3A). Next, various
amounts of MIF plasmid were transfected into U251 cells (Fig. 3B) to optimize the transfection conditions. p
( g
)
p
To examine whether the expression levels of MIF were correlated with the drug sensitivity of MCDC, we
overexpressed different doses of MIF to U251 cells. As shown in Fig. 3C, at the treatment of same MCDC Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 3 www.nature.com/scientificreports/ Compound No. Results
S
h Characterization
Data summary
Physical form
Yellow solid
Melting temperature
187 °C
UV λmax
236, 287 nm
IR (KBr) νmax
3050, 2923, 1593, 1491, 1368, 1272, 744 cm−1
1H NMR (CDCl3)
δH 4.00 (2 H, t, J = 7.8 Hz, H-3), 2.98 (2 H, t, J = 7.8 Hz, H-4), 7.68 (1 H, d, J = 7.6 Hz, H-5), 7.20 (1 H, m,
overlap, H-6), 7.25 (1 H, m, overlap, H-7), 7.40 (1 H, m, overlap, H-8), 7.38 (1 H, m, overlap, H-1′), 7.88
(1 H, dd, J = 8.4, 1.4 Hz, H-2′), 8.47 (1 H, s, H-4′), 7.29 (1 H, m, overlap, H-5′), 7.50 (1 H, d, J = 7.0 Hz, H-6′),
7.23 (1 H, m, overlap, H-7′), 8.05 (1 H, d, J = 7.6 Hz, H-8′), 3.81 (3 H, s, CH3)
13C NMR (CDCl3)
δC 159.9 (s, C-1), 48.4 (t, C-3), 19.3 (t, C-4), 128.2 (s, C-4b), 120.0 (d, C-5), 120.6 (d, C-6), 126.1 (d, C-7),
112.1 (d, C-8), 136.5 (s, C-8a), 117.9 (s, C-9a), 108.7 (d, C-1′), 125.8 (d, C-2′), 141.9 (s, C-3′), 120.3 (d,
C-4′), 122.8 (s, C-4′a), 122.7 (s, C-4′b), 108.5 (d, C-5′), 124.4 (d, C-6′), 119.3 (d, C-7′), 120.2 (d, C-8′), 125.7
(s, C-8′a), 141.4 (s, C-9′a), 29.1 (q, CH3)
ESIMS m/z
350 (100, M + H+)
HREIMS m/z
350.1657 ([M + H]+, calcd. for C24H20N3, 350.1652) Table 2. Physical, spectroscopic, and spectrometric data of 1-(9′-methyl-3′-carbazole)-3, 4-dihydro-β-
carboline (MCDC). 1D NMR spectra were recorded by Bruker AV-400 spectrometer using CDCl3 as internal
standard. Chemical shifts (δ) were expressed in ppm relative to CDCl3 signals. HRESIMS was performed on a
FINNIGAN MAT 95S Mass Spectrophotometer. Hitachi U-2001 spectrophotometer was for UV spectra and
Thermo Nicolet iS5 FT-IR Spectrometer was for IR spectra by using KBr pellets. Melting point was obtained by
BÜCHI Melting Point B-540 melting point apparatus. Table 2. Physical, spectroscopic, and spectrometric data of 1-(9′-methyl-3′-carbazole)-3, 4-dihydro-β-
carboline (MCDC). 1D NMR spectra were recorded by Bruker AV-400 spectrometer using CDCl3 as internal
standard. Chemical shifts (δ) were expressed in ppm relative to CDCl3 signals. HRESIMS was performed on a
FINNIGAN MAT 95S Mass Spectrophotometer. Hitachi U-2001 spectrophotometer was for UV spectra and
Thermo Nicolet iS5 FT-IR Spectrometer was for IR spectra by using KBr pellets. Melting point was obtained by
BÜCHI Melting Point B-540 melting point apparatus. Results
S
h A549
H1299
HepG2
MCF7
1
54.9 ± 14.1†
77.9 ± 26.3
32.5 ± 8.8
43.4 ± 16.0
2
15.8 ± 8.1
12.8 ± 2.1
21.9 ± 1.6
16.4 ± 4.2
3
14.8 ± 9.7
15.0 ± 6.2
21.1 ± 2.1
14.9 ± 1.2
4
16.8 ± 7.4
12.5 ± 3.6
21.0 ± 2.9
20.3 ± 5.3
5
33.4 ± 7.4
41.2 ± 20.2
21.9 ± 2.6
29.1 ± 10.0
6
28.2 ± 4.0
17.1 ± 8.4
18.3 ± 1.5
28.0 ± 5.5
7
16.6 ± 7.7
15.3 ± 10.3
22.9 ± 3.0
20.9 ± 8.5
8
44.6 ± 7.0
51.0 ± 21.6
21.6 ± 7.2
39.9 ± 8.5
9
51.0 ± 5.3
59.8 ± 13.2
27.3 ± 5.4
60.7 ± 5.3
10
67.4 ± 21.6
71.3 ± 17.0
28.8 ± 14.2
52.3 ± 13.7
11
58.1 ± 25.2
45.1 ± 3.0
27.5 ± 9.9
65.2 ± 7.6
12
52.7 ± 4.6
54.6 ± 3.1
35.0 ± 1.7
64.9 ± 3.2
Table 1. Cytotoxicity of 12 β-carboline derivatives (10 μM) in four cancer cell lines. †Cell viability (%) was
measured using Calcein AM assays. All data are presented as the average percentage of viable cells ± SD. Table 1. Cytotoxicity of 12 β-carboline derivatives (10 μM) in four cancer cell lines. †Cell viability (%) was
measured using Calcein AM assays. All data are presented as the average percentage of viable cells ± SD. Results
S
h Human protein
ΔG† (kcal/mol)
1
3l5 s
Macrophage migration inhibitory
factor
−11.16
2
1xur
Matrix metalloproteinase-13
−11.03
3
3f16
Catalytic domain of human
MMP12
−10.91
4
3bcj
Aldose Reductase complexed with
2S4R
−10.85
5
1gkc
MMP9-inhibitor
−10.8
6
1zq9
Dimethyladenosine transferase
−10.77
7
1xuc
Matrix metalloproteinase-13
−10.74
8
2reo
Human sulfotransferase 1C3
−10.73
9
3ipq
LXR-alpha
−10.72
10
3f17
Catalytic domain of human
MMP12
−10.67
11
1pq6
LXR beta hormone receptor
−10.58
12
1i5r
Type 1 17-beta hydroxysteroid
dehydrogenase
−10.57
13
3hy7
Catalytic Domain of ADAMTS-5
−10.55
14
1s9d
ARF1[delta 1–17]-GDP-MG
−10.54
15
1hs6
Leukotriene A4 hydrolase
−10.51
Table 3. Top 15 predicted target proteins of MCDC, obtained by docking in idTarget using the Protein Data
Bank (PDB). #idTarget No. is listed in ascending order of the free energy of docking with MCDC. †ΔG is the
free-energy difference (ΔG) between MCDC and candidate protein. idTarget
No.#
PDB
No. Human protein
ΔG† (kcal/mol)
1
3l5 s
Macrophage migration inhibitory
factor
−11.16
2
1xur
Matrix metalloproteinase-13
−11.03
3
3f16
Catalytic domain of human
MMP12
−10.91
4
3bcj
Aldose Reductase complexed with
2S4R
−10.85
5
1gkc
MMP9-inhibitor
−10.8
6
1zq9
Dimethyladenosine transferase
−10.77
7
1xuc
Matrix metalloproteinase-13
−10.74
8
2reo
Human sulfotransferase 1C3
−10.73
9
3ipq
LXR-alpha
−10.72
10
3f17
Catalytic domain of human
MMP12
−10.67
11
1pq6
LXR beta hormone receptor
−10.58
12
1i5r
Type 1 17-beta hydroxysteroid
dehydrogenase
−10.57
13
3hy7
Catalytic Domain of ADAMTS-5
−10.55
14
1s9d
ARF1[delta 1–17]-GDP-MG
−10.54
15
1hs6
Leukotriene A4 hydrolase
−10.51
Table 3. Top 15 predicted target proteins of MCDC, obtained by docking in idTarget using the Protein Data
Bank (PDB). #idTarget No. is listed in ascending order of the free energy of docking with MCDC. †ΔG is the
free-energy difference (ΔG) between MCDC and candidate protein. Table 3. Top 15 predicted target proteins of MCDC, obtained by docking in idTarget using the Protein Data
Bank (PDB). #idTarget No. is listed in ascending order of the free energy of docking with MCDC. †ΔG is the
free-energy difference (ΔG) between MCDC and candidate protein. Table 3. Top 15 predicted target proteins of MCDC, obtained by docking in idTarget using the Protein Data
Bank (PDB). #idTarget No. is listed in ascending order of the free energy of docking with MCDC. †ΔG is the
free-energy difference (ΔG) between MCDC and candidate protein. Figure 2. Binding analysis between MCDC and recombinant human MIF protein. Results
S
h (A) The predicted
interaction between MIF and MCDC. MIF (PDB ID: 3L5S) is presented as a homotrimer (labeled in blue,
green, and pink and rendered as ribbons). Binding of MCDC (stick rendering) to Asn6 of one MIF subunit (the
pink one) via a predicted hydrogen bond (the yellow dashed line) is shown. The structure was computed by
Discovery Studio 3.0. (B) Representative biosensorgram between MCDC and MIF. Affinity binding of MCDC
to MIF was measured by real-time surface plasmon resonance (Biacore analysis). Figure 2. Binding analysis between MCDC and recombinant human MIF protein. (A) The predicted
i t
ti
b t
MIF
d MCDC MIF (PDB ID 3L5S) i
t d
h
t i
(l b l d i bl Figure 2. Binding analysis between MCDC and recombinant human MIF protein. (A) The predicted
interaction between MIF and MCDC. MIF (PDB ID: 3L5S) is presented as a homotrimer (labeled in blue,
green, and pink and rendered as ribbons). Binding of MCDC (stick rendering) to Asn6 of one MIF subunit (the
pink one) via a predicted hydrogen bond (the yellow dashed line) is shown. The structure was computed by
Discovery Studio 3.0. (B) Representative biosensorgram between MCDC and MIF. Affinity binding of MCDC
to MIF was measured by real-time surface plasmon resonance (Biacore analysis). Figure 2. Binding analysis between MCDC and recombinant human MIF protein. (A) The predicted
interaction between MIF and MCDC. MIF (PDB ID: 3L5S) is presented as a homotrimer (labeled in blue,
green, and pink and rendered as ribbons). Binding of MCDC (stick rendering) to Asn6 of one MIF subunit (the
pink one) via a predicted hydrogen bond (the yellow dashed line) is shown. The structure was computed by
Discovery Studio 3.0. (B) Representative biosensorgram between MCDC and MIF. Affinity binding of MCDC
to MIF was measured by real-time surface plasmon resonance (Biacore analysis). by flow cytometry. The S phase was elevated by about 10% after treatment with 6 μM MCDC for 24 h, indicating
S phase arrest in MCF7 cells (Fig. 5C). In addition, the S phase-related proteins CDK1 and CDC25C were exam-
ined in MCF7 cells after MCDC treatment. CDK1 expression levels decreased by ~35% after MCDC treatment
(Fig. 5D) and CDC25C levels by ~30% (Fig. 5E). Lastly, previous studies indicated that the AKT pathway is one of the downstream regulatory pathways of
MIF22–24. Results
S
h concentration, higher amount of MIF significantly decreased cell viability using MTT assays, indicating MIF
increased the drug sensitivity of MCDC. We then transfected MIF and its mutant into U251 cells. In the presence of MCDC, U251 cells transfected
with MIF-N6Q/T7M mutant, not MIF-N6A mutant (Supplementary Fig. S3), had higher viability as compared
to cells expressing wild-type MIF (Fig. 3D), indicating that mutation of N6Q and T7M in MIF negatively affected
the docking of MCDC and resulted in higher cell viability. g
g
y
To further validate the simulation results, hydrogen-deuterium exchange (HDX) assays were used to examine
the location of MIF’s interaction with MCDC in vitro. The compound MCDC is extremely hydrophobic but the
HDX takes place in aqueous phase. In order to dissolve MCDC in aqueous solution for HDX, a native deter-
gent (1-myristoyl-sn-glycero-3-phosphocholine [MMPC]) was used to dissolve MCDC without interfering with
pepsin digestion and LC-MS analysis. At a molar ratio of 1:100 (MIF: MCDC = 1.5 pmol: 150 pmol in 0.13% of
MMPC), MCDC blocked the exchange of hydrogen for deuterium in MIF. The protection against exchange was
observed in amino acids 1–79 of MIF (Fig. 4). To ensure the protection effect of MCDC was not an artifact of
MMPC, we also used DMSO (15%) to dissolve the MCDC. The results of HDX assays using DMSO as a solvent
in the absence of MCDC had similar effects to those of MMPC (data not shown). MCDC interfered with the cell cycle and AKT phosphorylation in MCF7 cells. Since MCDC was a
newly synthesized compound, most of its functions, except its cytotoxic effects, remained unknown. Therefore,
genome-wide profiling of MCF7 cells treated with MCDC (5 μM) was executed by using Illumina Human HT-12
v4 BeadChips. The dose of 5 μM was chosen because it was close to the IC50 value in MCF7 cells. By the selection
criteria of P < 0.05 and fold changes of at least 2.5, 452 genes responding to MCDC treatment were identified. The
expression profiles and clusters of differentially expressed genes are shown in Fig. 5A. Pathway analysis of these
MCDC-responsive genes revealed that three of the five canonical pathways were cell cycle-related pathways and
cell cycle was the first of all cellular functions (Fig. 5B). Based on these findings, we examined cell cycle phenotype Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 4 www.nature.com/scientificreports/ idTarget
No.#
PDB
No. Results
S
h All data are presented as means ± SDs of three independent experiments
*P < 0.05; **P < 0.01 by Student’s t-test. Figure 3. MIF enhanced the cytotoxic effects of MCDC in U251 cells. (A) Relative expression levels of
endogenous MIF in MCF7 and U251 cells. The expression level of MIF was measured by qRT-PCR. Internal
control: ACTB. The relative expression level of MCF7 cells was normalized to that of U251 cells. (B) Overexpression of MIF in U251 cells. MIF was overexpressed and measured by qRT-PCR 24 h after
transfection with the amounts of plasmid shown. (C) Effects of MIF on drug sensitivity of MCDC in U251
cells. Different amounts of MIF were overexpressed in U251 cells treated with different doses of MCDC. The
viability of cells was measured by MTT assays. (D) Effects of MIF N6Q/T7M mutant on viability of U251 cells
treated with MCDC. The viability of U251 cells overexpressing MIF or MIF mutants under different doses of
MCDC was measured by MTT assays. All data are presented as means ± SDs of three independent experiments. *P < 0.05; **P < 0.01 by Student’s t-test. Results
S
h AKT expression levels were similar between experimental groups and controls, but phosphorylation
levels of AKT were inhibited by MCDC treatment by ~15% (Fig. 5F). These results suggest that MCDC decreased
the cell viability of MCF7 breast cancer cells by decreasing the phosphorylation of AKT and inhibiting S phase
of the cell cycle. Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 5 www.nature.com/scientificreports/ Figure 3. MIF enhanced the cytotoxic effects of MCDC in U251 cells. (A) Relative expression levels of
endogenous MIF in MCF7 and U251 cells. The expression level of MIF was measured by qRT-PCR. Internal
control: ACTB. The relative expression level of MCF7 cells was normalized to that of U251 cells. (B) Overexpression of MIF in U251 cells. MIF was overexpressed and measured by qRT-PCR 24 h after
transfection with the amounts of plasmid shown. (C) Effects of MIF on drug sensitivity of MCDC in U251
cells. Different amounts of MIF were overexpressed in U251 cells treated with different doses of MCDC. The
viability of cells was measured by MTT assays. (D) Effects of MIF N6Q/T7M mutant on viability of U251 cells
treated with MCDC. The viability of U251 cells overexpressing MIF or MIF mutants under different doses of
MCDC was measured by MTT assays. All data are presented as means ± SDs of three independent experiments. *P < 0.05; **P < 0.01 by Student’s t-test. Figure 3. MIF enhanced the cytotoxic effects of MCDC in U251 cells. (A) Relative expression levels of h Figure 3. MIF enhanced the cytotoxic effects of MCDC in U251 cells. (A) Relative expression levels of
endogenous MIF in MCF7 and U251 cells. The expression level of MIF was measured by qRT-PCR. Internal
control: ACTB. The relative expression level of MCF7 cells was normalized to that of U251 cells. (B) Overexpression of MIF in U251 cells. MIF was overexpressed and measured by qRT-PCR 24 h after
transfection with the amounts of plasmid shown. (C) Effects of MIF on drug sensitivity of MCDC in U251
cells. Different amounts of MIF were overexpressed in U251 cells treated with different doses of MCDC. The
viability of cells was measured by MTT assays. (D) Effects of MIF N6Q/T7M mutant on viability of U251 cells
treated with MCDC. The viability of U251 cells overexpressing MIF or MIF mutants under different doses of
MCDC was measured by MTT assays. Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y Discussion Identifying the direct target protein of a newly discovered or synthesized compound is often effort-intensive
when using the typical methods of small molecule affinity chromatography4 and activity-based protein profil-
ing25. These tools are time-consuming and limited in resolution, in part because the small molecular structures
usually need to be modified, which results in changes in binding affinity with every new structure. In this study,
we reported a rapid method to identify MIF as a possible direct binding protein for a new synthesized molecule,
MCDC, by computational methods including structural and genomic screening. Firstly, the affinity binding of
MCDC to MIF was shown by surface plasmon resonance technique. Secondly, the viability of U251 cells overex-
pressing MIF-N6Q/T7M mutants increased when cells were treated with different doses of MCDC. Thirdly, the
protection against hydrogen-deuterium exchange assays showed that the fragment (1–79 amino acid) of MIF con-
taining N6 was responsible for the binding with MCDC. Lastly, functional assays showed that MCDC inhibited
the cell cycle by inhibiting the phosphorylation of AKT and the expression of S phase-related proteins.i Previously, we isolated and identified a panel of natural manzamine-related compounds, members of the
β-carboline alkaloids, from marine origins, and some of them had cytotoxic effects against cancer cells8. In this
study, chemical modification of these natural compounds was executed to simplify their structure and potentiate
their cytotoxicity. Among the twelve synthesized manzamine derivatives, MCDC was chosen to demonstrate a
time-saving workflow to identify the potential direct target proteins of a newly synthesized compound.fii gl
y
p
g
p
y y
p
In preference to the slow processes of affinity chromatography4 and activity-based protein profiling25 to iden-
tify target proteins of small molecules, we used a bioinformatics approach to expedite this process by virtual
docking. First, idTarget was used to search for potential targets of MCDC by screening all deposited proteins in Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 6 www.nature.com/scientificreports/ Figure 4. Hydrogen-deuterium exchange (HDX) assays of MIF in the presence and absence of MCDC. The
deuterium uptake curves for six representative peptides are shown. Numbers in parentheses are the amino
acid positions of each peptide. HDX profiles of MIF protein (1.5 pmol) in the absence (black dot) and presence
(white dot) of MCDC (150 pmol) show how many deuteriums were incorporated. The y-axis is the amount of
deuterium that could be incorporated to each peptide. Discussion Total RNA was extracted, and genomic profiling
was examined by Illumina Human HT-12 v4 BeadChips. Criteria for selecting MCDC-responsive genes: fold
change > 2.5X and P < 0.05. (B) Results of Ingenuity Pathway Analysis of MCDC-responsive genes. (C) Cell cycle analysis on MCF7 cells after MCDC treatment. MCF7 cells were stained with propidium iodide
and subjected to flow cytometry analysis after 24 h of treatment with 6 μM MCDC. The stacked bar chart
summarizes three independent cell cycle experiments. (D–F) Immunoblots of S phase-related proteins. The
bar charts incorporate data from three independent western blots. (D) CDK1, (E) CDC25C, and (F) MIF
downstream protein AKT and phospho-Ser473 AKT, all at 48 h after treatment. All data are presented as
means ± SDs of three independent experiments. *P < 0.05; **P < 0.01 by Student’s t-test. Figure 5. MCDC inhibits cell cycle-related protein expression and AKT phosphorylation in MCF7 cells. (A) Heatmap and hierarchical cluster analysis of differentially expressed genes in MCF7 cells treated with
MCDC. MCF7 cells were treated with MCDC (5 μM) for 24 h. Total RNA was extracted, and genomic profiling
was examined by Illumina Human HT-12 v4 BeadChips. Criteria for selecting MCDC-responsive genes: fold
change > 2.5X and P < 0.05. (B) Results of Ingenuity Pathway Analysis of MCDC-responsive genes. (C) Cell cycle analysis on MCF7 cells after MCDC treatment. MCF7 cells were stained with propidium iodide
and subjected to flow cytometry analysis after 24 h of treatment with 6 μM MCDC. The stacked bar chart
summarizes three independent cell cycle experiments. (D–F) Immunoblots of S phase-related proteins. The
bar charts incorporate data from three independent western blots. (D) CDK1, (E) CDC25C, and (F) MIF
downstream protein AKT and phospho-Ser473 AKT, all at 48 h after treatment. All data are presented as
means ± SDs of three independent experiments. *P < 0.05; **P < 0.01 by Student’s t-test. Our results showed that MCDC potentially bound at Asn6 of MIF via a hydrogen bond (Fig. 2). Yet, mutation
of Asn6 to alanine did not decrease the binding affinity between MCDC and MIF-N6A (data not shown), but
worsen the viability of U251 cells (Supplementary Fig. S3.). We speculated that the mutation from Asn (N) to
Ala (A) probably increased the interspace and lead to better binding between MIF-N6A and MCDC. Discussion A native detergent (0.13% of MMPC, 1-myristoyl-sn-
glycero-3-phosphocholine) was used to dissolve the MCDC. The molar ratio of MIF:MCDC equals 1:100 (white
dot) or 1:0 (black dot) in 0.13% of MMPC. Figure 4. Hydrogen-deuterium exchange (HDX) assays of MIF in the presence and absence of MCDC. The
deuterium uptake curves for six representative peptides are shown. Numbers in parentheses are the amino
acid positions of each peptide. HDX profiles of MIF protein (1.5 pmol) in the absence (black dot) and presence
(white dot) of MCDC (150 pmol) show how many deuteriums were incorporated. The y-axis is the amount of
deuterium that could be incorporated to each peptide. A native detergent (0.13% of MMPC, 1-myristoyl-sn-
glycero-3-phosphocholine) was used to dissolve the MCDC. The molar ratio of MIF:MCDC equals 1:100 (white
dot) or 1:0 (black dot) in 0.13% of MMPC. PDB20. The potential target proteins were predicted by calculating the free energy of docking the input compound
structure with all proteins in the PDB. This program provides the docking between one chemical and many pro-
teins, but this method is limited to only those proteins that have been crystalized, and whose structures have been
analyzed and deposited in the PDB. MIF (PDB No. 3l5 s) was the human protein with the lowest free energy when
docked with MCDC.i Furthermore, to boost our confidence regarding the selection of target proteins of MCDC, another program,
Discovery Studio, was used to predict the potential binding site of MCDC on MIF. Both Discovery Studio and
idTarget predict docked structural complexes by computing difference in free energy between two different con-
formations. Other software, such as Connectivity Map (CMAP)26, uses different computational strategies to iden-
tify target proteins by comparing the genomic profiling of a tested compound to those of compounds with known
targets in the database. We did not use CMAP in this study because the preliminary data showed that the function
of compounds with high similarity to MCDC varied substantially, which made it difficult to design experiments
to identify a direct target protein. Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 7 www.nature.com/scientificreports/ Figure 5. MCDC inhibits cell cycle-related protein expression and AKT phosphorylation in MCF7 cells. (A) Heatmap and hierarchical cluster analysis of differentially expressed genes in MCF7 cells treated with
MCDC. MCF7 cells were treated with MCDC (5 μM) for 24 h. Discussion Therefore,
we repeated the same experiments by constructing a new mutation to minimize the interspace by changing 6th
and 7th amino acids to those with similar acidity and polarity but larger molecular size, i.e., N6Q and T7M. Mutation of Asn6 to Gln and Thr7 to Met resulted in increased viability of U251 cells upon treatment with MCDC
(Fig. 3D), suggesting that the MIF-MCDC conjugate was toxic for U251 cells and showing that MIF was a valid
target protein of MCDC. Although Discovery Studio can predict the docking site in silico, biological experiments
are still needed to accurately locate the binding site. Therefore, HDX assays were used to examine the location
of MIF’s interaction with MCDC at a per-peptide resolution (Fig. 4). We observed a relative large area of amino
acids 1–79 of MIF had the protective effect against hydrogen-deuterium exchange assays. We explained that the Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 8 www.nature.com/scientificreports/ phenomenon might be due to MIF itself a small protein, and most peptides in a small protein could be affected by
binding to a small molecule in the H-D exchange rate.fi g
g
Next, in order to understand the effect of MCDC on cellular function, genomic profiling of MCF7 cells treated
with MCDC was performed by microarrays. The transcriptional levels of MIF did not significantly change upon
MCDC treatment (data not shown), suggesting MCDC only affects the amount or conformation of MIF protein
to initiate downstream signaling. Functional analyses of MCDC-responsive genes revealed that most of the dif-
ferentially expressed genes were cell cycle-related (Fig. 5B). The decrease of cell cycle-related proteins was also
observed by western blotting (Fig. 5D,E). These results suggest that the main effect of MCDC is inhibiting the cell
cycle of tumor cells.f y
Examining the cytotoxic effects of MCDC in animal models will be a crucial step for future clinical applica-
tions. Yet, there are still some unresolved issues before in vivo experiments can be performed. First, the solubility
of MCDC is too low in water because this compound is highly hydrophobic. In our studies, the organic solvent
DMSO was used to dissolve MCDC. However, DMSO was not an ideal solvent for this system because it strongly
interfered the H-D exchange. Also, DMSO is not suitable for oral and intravenous administration in humans. Materials and Methods
f Organic synthesis of 12 β-carboline derivatives. N-Alkylation. 9H-carbazole (1.0 g, 5.98 mmol) was
suspended in a mixture of toluene (8.0 mL) and 12 M aq. NaOH (8.0 mL). After stirring for 10 min, tetrabutylam-
monium iodide (220 mg, 0.60 mmol) was added to the reaction mixture. Alkyl bromide (2–3 equiv) was added
and the reaction mixture was refluxed up to consumption of all starting material. The resulting crude product was
carried into next step without purification (99% yield). Vilsmeier-Haak reaction. N-alkyl carbazole (1.0 g, 5.50 mmol) was dissolved in anhydrous DMF (6.0 mL) under
a nitrogen atmosphere. To that, phosphorus oxychloride (1.69 g, 11.04 mmol) was added. The reaction mixture
was heated at 80 °C for 2–3 h to afford 9-alkyl-9H-carbazole-3-carbaldehyde (85% yield). Pictet-Spengler cyclization. 9-alkyl-9H-carbazole-3-carbaldehyde (1.0 g, 4.77 mmol) and tryptamine (0.92 g,
5.73 mmol) were suspended in glacial acetic acid (50 mL). The reaction mixture was heated to 80 °C for 2–3 h to
afford tetrahydro-β-carboline as a brown solid (1–6, 80% yield). Oxidation. N-Substituted tetrahydro-β-carboline (1.0 g, 2.84 mmol) was dissolved in anhydrous THF under
a nitrogen atmosphere. To that, KMnO4 (0.67 g, 4.27 mmol) was added and then stirred at 0 °C for 2 h to afford
dihydro-β-carboline (imine) as a yellow solid (7–12, 78% yield). Cell culture. Cancerous lung adenocarcinoma cell lines, including A549 and H1299 cells, were cultured in
RPMI medium 1640 (GIBCO, Carlsbad, CA, USA) with 1% streptomycin/puromycin (Biological Industries,
Cromwell, CT, USA) and 10% fetal bovine serum (Biological Industries, Beit-Haemek, Israel). The cultured
plates were maintained at 37 °C in a humidified atmosphere with 5% CO2. Liver hepatocellular cell line HepG2
and breast adenocarcinoma cell line MCF7 were cultured in DMEM medium (GIBCO) in the same conditions. Glioblastoma-astrocytoma U251 cells were cultured in MEM medium (GIBCO) in the same conditions. Calcein AM viability assay. A549, H1299, HepG2, and MCF7 cells were seeded at a cell density of 3,000
cells per well in black opaque 96-well microplate. Cells were treated with 1–100 μM of the 12 new synthesized
compounds 24 h after seeding. The Calcein AM cell viability assay, including concentration and reading wave-
length, was conducted on each cell type according to the manufacturer’s instructions (Biotium, Fremont, CA,
USA). The fluorescence intensity (Ex/Em: 494/517 nm) was measured 48 h after addition of the small molecules
using a SpectraMax Paradigm Multi-Mode Microplate Reader (Molecular Devices, Sunnyvale, CA, USA). MTT proliferation assay. Discussion Therefore, in the HDX experiments, MMPC served as vehicle for MCDC, but for use with animal models or in
clinical applications, the solubility of MCDC needs to increase. One possible solution is to add a hydroxyl group
on a non-interacting site of MCDC. g
Secondly, in addition to MIF, MCDC may have other target proteins. For example, matrix metalloproteinases
MMP13 and MMP12 were also predicted as possible target proteins by idTarget (Table 3). MMP13 and MMP12
are involved in carcinomas and inflammatory conditions27,28. Also, the MIF downstream protein, AKT, was only
partially blocked by MCDC, but MCDC had very potent cytotoxic effects against many cell lines (Supplementary
Fig. S2 and Fig. 5F). Previous studies showed many MIF inhibitors had been developed and some of these inhibi-
tors, such as ISO-1, had IC50 values similar to MCDC29–32. Therefore, we probably need to identify other possible
target proteins, such as MMP13 and MMP12, and their pathways for MCDC in cell lines before performing in
vivo experiments. p
In summary, our work has highlighted a possible new MIF inhibitor, MCDC, by a rapid method of identify-
ing potential target proteins for a newly synthesized compound. Based on the outcomes of this method, MCDC
exerts cytotoxic effects against many cancer cell lines by inhibiting the downstream pathways of MIF. Materials and Methods
f Cells were seeded at a density of 3,000 cells per well in 96-well microplate and
treated with 2–8 μM 1-(9′-methyl-3′-carbazole)-3, 4-dihydro-β-carboline (MCDC) 24 h after seeding. The testing
concentration of 3-(4, 5-dimethylthiazol-2-yl)-2, 5-diphenyltetrazolium bromide (MTT; BioTek, Winooski, VT,
USA) was 0.456 mg/mL. Cells were kept at this concentration of MTT at 37 °C, 5% CO2 for 1.5 h, then dissolved
in 100 μL DMSO per well. The absorbance values were measured 48 h after MCDC treatment using a microtiter
plate reader (BioTek) at 570 nm. Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 9 www.nature.com/scientificreports/ In silico screening for potential target proteins. The idTarget website (http://idtarget.rcas.sinica.edu. tw/) was used to screen all potential proteins in the Protein Data Bank (PDB) for potential interaction with
MCDC. We drew MCDC’s molecular structure online using idTarget’s built-in program. Other docking and
subsequent scoring parameters were kept at the default settings. Binding site analysis. The docking tool Discovery Studio 3.0 (Accelrys/Biovia, San Diego, CA, USA) was
used to calculate and edit the docking conformation between macrophage migration inhibitory factor (MIF) and
MCDC. The standard default settings were used in the calculations, but the minimum site size was set to 500. Conformations of the docked complex were visualized and color-coded by PyMOL 2.0 (pymol.org). Surface plasmon resonance analysis. The real-time binding interaction of MIF with MCDC was meas-
ured by surface plasmon resonance using a Biacore T200 sensor (Biacore GE, Uppsala, Sweden). Series S sensor
chip CM7 (GE, Buckinghamshire, UK) was served as the detector chip. The recombinant human MIF protein
(PeproTech, NJ, USA) was immobilized on the detector chip according to the manufacturer’s instructions by
an amine coupling kit (GE, Buckinghamshire, UK) at the pH 5.5. The derived sensor chips were washed by the
Biacore running buffer, PBS-P (GE, Uppsala, Sweden). Binding was measured at 25 °C and flow rate 30 μl/min. One minute of sensor chip regeneration was performed with PBS-P. The whole process was repeated three times. Sensorgram response data were analyzed by the Biacore evaluation kinetics package to calculate the equilibrium
dissociation constants. Hydrogen-deuterium exchange/mass spectroscopic analysis. The hydrogen-deuterium exchange
(HDX) of MIF recombinant human protein (GenScript, NJ, USA) was measured in the presence and absence of
MCDC. The stock of MCDC was dissolved in 10% 1-myristoyl-sn-glycero-3-phosphocholine (MMPC), or in 15%
dimethyl sulfoxide (DMSO) for a control. Materials and Methods
f The MIF protein (15 pmol) and MIF-MCDC complex (15 pmol MIF
per 150 or 1,500 pmol MCDC) samples were diluted in exchange buffer (99.9% D2O in phosphate-buffered saline
[PBS], pH 7.4) at a 1:10 ratio to initiate HDX at room temperature. At 5 time points (15, 45, 135, 405, and 1,215 s),
an aliquot (1.5 pmol of target protein) was aspirated and mixed with pre-chilled quenching buffer (final concen-
tration of 1.5 M guanidine hydrochloride, 150 mM tris(2- carboxyethyl)phosphine, 0.8% formic acid, and 0.013%
MMPC or 0.15% DMSO). The mixture was immediately loaded onto homemade pepsin column for digestion of
MIF. The digested peptide mixtures were then loaded onto a reverse-phase HPLC column (Zorbax 300SB-C18,
0.35 mm; Agilent Technologies, Wilmington, DE, USA). The desalted peptides were separated on a homemade
column (HydroRP 2.5 μm, 75 μm I.D. 5.5 cm) using a linear gradient (8–95%) of HPLC buffer (99.9% acetoni-
trile/0.1% formic acid/0.025% trifluoroacetic acid) for 10 min with a flow rate of 0.5 μL/min. This chromatography
apparatus was coupled with a 2D linear ion trap mass spectrometer (Orbitrap Classic; Thermo Fisher, San Jose,
CA, USA) operated by Xcalibur 2.0.5 software (Thermo Fisher). The full-scan MS was performed in the Orbitrap
over a range of 350 to 1,600 Da and a resolution of 60,000 at m/z 400. Internal calibration was performed using
the ion signal of [Si(CH3)2O]6H+ at m/z 536.165365 as lock mass. The electrospray voltage was set at 2.2 kV and
the temperature of the capillary was set at 200 °C. MS and MS/MS automatic gain controls were set at 1,000 ms
(full scan) and 120 ms (MS/MS), or 2 × 106 ions (full scan) and 3 × 103 ions (MS/MS) for maximum accumulation
time or ions, respectively. Peptide identification and hydrogen-deuterium exchange data analysis. The peptide identifi-
cation was carried out using Proteome Discoverer software (version 1.4, Thermo Fisher). The MS/MS spectra
were searched against the single protein database using the SEQUEST search engine. For peptide identification,
a 10 ppm mass tolerance was permitted for intact peptide masses and 0.5 Da for collision-induced dissociation
into fragment ions. Peptide-spectrum matches were then filtered based on confidence level and search engine
rankings of 1 for peptide identification to ensure an overall false discovery rate below 0.01. For HDX analysis,
the peptide identification template was made from the LC-MS/MS results of the unexchanged target protein. Materials and Methods
f The
template was then preloaded in the ExMS module of MATLAB. The MS spectrum after HDX was loaded and
analyzed to calculate the number of incorporated deuteriums for each peptide, which was then presented as the
average deuterium incorporation of two independent experiments. Endogenous MIF expression in multiple cell lines. Previously, our research team developed a gene
expression analysis system, Cellexpress This system is available online (http://cellexpress.cgm.ntu.edu.tw/). We
searched MIF expression levels in cell lines in the Sanger Cell Line Project dataset, normalized against β-actin
expression. MIF overexpression system and site mutation. Full-length MIF cDNA (348 bp) tagged with a Flag
epitope was inserted into a pcDNA3.1 + C-DYK expression vector. All sequences were verified by Sanger
sequencing (First Core Laboratory, College of Medicine, National Taiwan University). This plasmid was tran-
siently transfected into U251 cells at the same time as seeding. The transfection amount was in accordance
with the following conditions: 250 ng plasmid DNA, 12.5 µL jetPRIME buffer, and 0.25 µL jetPRIME solution
(Polyplus, NY, USA) for 1 mL medium with cells.h The seventh and eighth amino acid of MIF was changed from asparagine and threonine to glutamine and methionine
respectively using the following primers: Forward, 5′- TGCCGATGTTCATCGTACAAATGAACGTGCCCCG-3′;
Reverse, 5′-CGGGGCACGTTCATTTGTACGATGAACATCGGCA-3′. Site-directed mutagenesis was carried out
with restriction enzyme Dpn I (NEB, MA, USA) and High-Fidelity PCR Master Mix (Thermo Fisher) according to the
manufacturers’ instructions. Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 10 www.nature.com/scientificreports/ RNA extraction and quantitative RT-PCR. Total RNA was extracted by TRIpure reagent (Roche Diagnostics,
Branchburg, NJ, USA) according to the manufacturer’s protocol. One μg of total RNA was reverse-transcribed to
cDNA using a High-Capacity cDNA Reverse Transcription kit (Applied Biosystems, Carlsbad, CA). Ten percent
of each cDNA was used as the template. mRNA levels were quantified by qRT-PCR using MIF-specific primers
(Forward: 5′-CTCTGCAGCCTGCACAGCAT-3′ and Reverse: 5′-GGTGGAGTTGTTCCAGCCCAC-3′). The SYBR
Green intensity was measured by StepOnePlus Real-Time PCR Systems (Thermo Fisher) and OmicsGreen qPCR 5X
Master Mix (OmicsBio, Taipei, Taiwan) according to the manufacturer’s instructions. Human genome microarray analysis and Ingenuity Pathway Analysis. The total RNA was primed
with T7 Oligo(dT) primer and amplified using a Illumina TotalPre RNA Amplification kit (Ambion Inc., Austin,
TX, USA) to synthesize the cDNA containing a T7 promoter sequence. Thereafter, in vitro transcription was
conducted using the double-stranded cDNA as a template and T7 RNA polymerase to synthesize multiple
copies of biotinylated cRNA. References 1. Shen, Y. C., Tai, H. R. & Duh, C. Y. Bioactive constituents from Haliclona sp., a Formosan marine sponge. The Chinese
Pharmaceautical Journal 48, 1–10 (1996).f 2. Crews, P. et al. 1, 2, 3, 4-tetrahydro-8-hydroxymanzamines, alkaloids from two different haplosclerid sponges. Tetrahedron 50
13567–13574 (1994).f 3. Sakai, R., Kohmoto, S., Higa, T., Jefford, C. W. & Bernardinelli, G. Manzamine B and C, two novel alkaloids from the sponge
haliclona sp. Tetrahedron Letters 28, 5493–5496 (1987).f 4. Liu, C. X. et al. Adenanthin targets peroxiredoxin I and II to induce differentiation of leukemic cells. Nat Chem Biol 8, 486–493
(2012). 5. Zimmer, M. et al. Small-molecule inhibitors of HIF-2a translation link its 5’UTR iron-responsive element to oxygen sensing. Mo
Cell 32, 838–848 (2008). 6. Wang, Y. et al. Eg5 inhibitor YL001 induces mitotic arrest and inhibits tumor proliferation. Oncotarget 8, 42510–42524 (2017) 6. Wang, Y. et al. Eg5 inhibitor YL001 induces mitotic arrest and inhibits tumor proliferation. Oncotarget 8, 42510–42524 (2017). 7. Rathinavelu, A., Alhazzani, K., Dhandayuthapani, S. & Kanagasabai, T. Anti-cancer effects of F16: A novel vascular endothelial 6. Wang, Y. et al. Eg5 inhibitor YL001 induces mitotic arrest and inhibits tumor proliferation. Oncotarget 8, 42510 42524 (2017). 7. Rathinavelu, A., Alhazzani, K., Dhandayuthapani, S. & Kanagasabai, T. Anti-cancer effects of F16: A novel vascular endothelial
th f
t
t
ifi i hibit
T
Bi l 39 1010428317726841 (2017) 7. Rathinavelu, A., Alhazzani, K., Dhandayuthapani, S. & Kanagasabai, T. Anti-cancer effects of F16: A novel vascular endothelia
growth factor receptor-specific inhibitor. Tumour Biol 39, 1010428317726841 (2017). gi
8. Shen, Y. C. et al. Synthesis of 1-substituted carbazolyl-1, 2, 3, 4-tetrahydro- and carbazolyl-3, 4-dihydro-beta-carboline analogs a
potential antitumor agents. Mar Drugs 9, 256–277 (2011).hf potential antitumor agents. Mar Drugs 9, 256–277 (2011).h p
g
g
9. Still, P. C., Johnson, T. A., Theodore, C. M., Loveridge, S. T. & Crews, P. Scrutinizing the scaffolds of marine biosynthetics from
different source organisms: Gram-negative cultured bacterial products enter center stage. J Nat Prod 77, 690–702 (2014). f
g
g
p
g
0. Ang, K. K., Holmes, M. J., Higa, T., Hamann, M. T. & Kara, U. A. In vivo antimalarial activity of the beta-carboline alkaloid
manzamine A. Antimicrob Agents Chemother 44, 1645–1649 (2000). g
1. Ashok, P., Ganguly, S. & Murugesan, S. Manzamine alkaloids: isolation, cytotoxicity, antimalarial activity and SAR studies. Drug
Discov Today 19, 1781–1791 (2014). y
2. Materials and Methods
f After amplification, the cRNA was mixed with an equal volume of hybridization
buffer and hybridized to Illumina Human HT-12 v4 BeadChips (Illumina) at 58 °C for 16 h. After hybridization,
the BeadChip was washed and stained with streptavidin-Cy3 dye. The intensity of the bead’s fluorescence was
detected by the Illumina BeadArray Reader, and the results were analyzed using BeadStudio v3.1 software. After
scanning, the intensity data of Illumina Human HT-12 v4 BeadChips were analyzed using the commercial soft-
ware Partek (Partek, St. Charles, MO, USA) for mRNA analysis. Background-adjusted signals were normalized
by a quantile normalization algorithm, which normalized the probe intensities based on the intensity distribution
among all slides. Furthermore, Ingenuity Pathway Analysis (Ingenuity Systems Inc., Redwood City, CA, USA)
was applied to comprehend gene-gene interaction networks, biological functions, and pathways of the differen-
tially expressed genes. Cell cycle analysis. Cells were harvested by trypsinization, washed with PBS (GIBCO), and fixed with cold
100% ethanol at −20 °C overnight. After removing the ethanol, cell pellets were resuspended in PBS containing
20 µg/mL propidium iodide (Life Technologies, Eugene, Oregon, USA), 0.1% Triton-X-100 (Sigma, Saint Louis,
MO, USA) and 100 µg/mL RNase A (Sigma) for 15 min. The suspension was passed through a nylon mesh filter
and analyzed using Beckman Coulter FC500 (Beckman, Brea, CA, USA) and ModFit LT analysis software. Protein extraction and western blotting. Cells were lysed in RIPA lysis buffer (Sigma) and protein con-
centration was determined using protein assay reagent (Bio-Rad Laboratories, Hercules, CA, USA). Protein lysate
was separated by 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE) and transferred to
a polyvinylidene difluoride (PVDF) membrane (Bio-Rad Laboratories). Membranes were blocked in T-Pro Fast
Blocking Buffer (T-Pro Biotechnology, Taiwan) for 10 min and hybridized to a primary antibody.tf f
After immunoblotting, the membranes were washed with tris-buffered saline (OmicsBio, Taipei, Taiwan)
containing 0.1% Tween 20 and reacted with horseradish peroxidase-conjugated goat anti-rabbit IgG (GeneTex,
Irvine, CA, USA). The protein bands were visualized using an enhanced chemiluminescence system (Millipore,
Billerica, MA, USA). Western blot images were analyzed by Gel-Pro Analyzer software (Meyer Instruments,
Houston, TX, USA). The primary antibodies we used were as follows: rabbit anti-human CDK1, CDC25C, AKT,
and AKT (phospho-Ser473) polyclonal antibodies (GeneTex, Irvine, CA, USA). References idTarget: a web server for identifying protein targets of small chemical molecules with
robust scoring functions and a divide-and-conquer docking approach. Nucleic Acids Res 40, W393–399 (2012). g J
J
g
y g p
g
robust scoring functions and a divide-and-conquer docking approach. Nucleic Acids Res 40, W393–399 (2012). 1. Lee, Y. F. et al. CellExpress: a comprehensive microarray-based cancer cell line and clinical sample gene expression analysis online
system. Database, https://doi.org/10.1093/database/bax1101 (2017). 21. Lee, Y. F. et al. CellExpress: a comprehensive microarray-based cancer cell line an
system. Database, https://doi.org/10.1093/database/bax1101 (2017). 22. Zhang, W. et al. Macrophage migration inhibitory factor mediates viability and apoptosis of PVM/Ms through PI3K/Akt pathway. Neuroscience 360, 220–229 (2017). 23. Guo, X. et al. Macrophage migration inhibitory factor promotes vasculogenic mimicry formation induced by hypoxia via CX
AKT/EMT pathway in human glioblastoma cells. Oncotarget 8, 80358–80372 (2017). p
y
g
g
,
(
)
4. Bozzi, F. et al. MIF/CD74 axis is a target for novel therapies in colon carcinomatosis. J Exp Clin Cancer Res 36, 16 (2017).i F. et al. MIF/CD74 axis is a target for novel therapies in colon carcin 25. Battenberg, O. A., Yang, Y., Verhelst, S. H. & Sieber, S. A. Target profiling of 4-hydroxyderricin in S. aureus reveals sery
synthetase binding and inhibition by covalent modification. Mol Biosyst 9, 343–351 (2013).i i
26. Subramanian, A. et al. A Next Generation Connectivity Map: L1000 Platform and the First 1,000,000 Profiles. Cell 171, 1437–
e1417 (2017). (
)
27. Johansson, N., Ahonen, M. & Kahari, V. M. Matrix metalloproteinases in tumor invasion. Cell Mol Life Sci 57, 5–15 (2000).l son, N., Ahonen, M. & Kahari, V. M. Matrix metalloproteinases in t 27. Johansson, N., Ahonen, M. & Kahari, V. M. Matrix metalloprot 28. Nenan, S., Boichot, E., Lagente, V. & Bertrand, C. P. Macrophage elastase (MMP-12): a pro-inflammatory mediator? Mem
Oswaldo Cruz 100(1), 167–172 (2005).if 29. Cheng, K. F. & Al-Abed, Y. Critical modifications of the ISO-1 scaffold improve its potent inhibition of macrophage migration
inhibitory factor (MIF) tautomerase activity. Bioorg Med Chem Lett 16, 3376–3379 (2006). y
y
g
30. Cournia, Z. et al. Discovery of human macrophage migration inhibitory factor (MIF)-CD74 antagonists via virtual screening. J Med
Chem 52, 416–424 (2009). 1. Xu, L. et al. Current developments of macrophage migration inhibitory factor (MIF) inhibitors. Drug Discov Today 18, 592–600
(2013). 32. Bloom, J., Sun, S. & Al-Abed, Y. References MIF, a controversial cytokine: a review of structural features, challenges, and opportunities for drug
development. Expert Opin Ther Targets 20, 1463–1475 (2016). Author Contributions P.H.K., Y.C.S. and L.C.L. conceived and designed the experiments. P.H.K., K.M., G.S., P.P., C.C.L. and K.S.L. performed the experiments. P.H.K. and C.W.H. analyzed the data. M.H.T., E.Y.C. and L.C.L. contributed reagents,
materials, and/or analysis tools. P.H.K., Y.C.S. and L.C.L. wrote the paper. All authors reviewed the manuscript. Acknowledgementsf g
We thank Melissa Stauffer for editorial assistance. This research was supported by a grant from the Ministry o
cience and Technology Taiwan R O C (MOST 103-2320-B-002-065-MY3) We thank the staff of the Biomedica We thank Melissa Stauffer for editorial assistance. This research was supported by a grant from the Ministry of
Science and Technology, Taiwan, R.O.C. (MOST 103-2320-B-002-065-MY3). We thank the staff of the Biomedical
Resource Core at the First Core Labs, National Taiwan University College of Medicine, for technical assistance. fh
Science and Technology, Taiwan, R.O.C. (MOST 103-2320-B-002-065-MY3). We thank the staff of the Biomedical
Resource Core at the First Core Labs, National Taiwan University College of Medicine, for technical assistance. Sc e ce a d ec
o ogy, a wa ,
.O.C. (
OS
03
3 0
00
065
3). e t a
t e staf o t e
o ed ca
Resource Core at the First Core Labs, National Taiwan University College of Medicine, for technical assistance. f
Resource Core at the First Core Labs, National Taiwan University College of Medicine, for technical assistance. References Ichiba, T., Sakai, R., Kohmoto, S., Saucy, G. & Higa, T. New manzamine alkaloids from a sponge of the genus xestospongia
Tetrahedron Letters 29, 3083–3086 (1988).ii 13. Yousaf, M. et al. New manzamine alkaloids from an Indo-Pacific sponge. Pharmacokinetics, oral availability, and the significant
activity of several manzamines against HIV-I, AIDS opportunistic infections, and inflammatory diseases. J Med Chem 47,
3512–3517 (2004). (
)
14. Shoichet, B. K. Virtual screening of chemical libraries. Nature 432, 862–865 (2004).t 14. Shoichet, B. K. Virtual screening of chemical libraries. Nature 432, 862–865 (2004).t Shoichet, B. K. Virtual screening of chemical libraries. Nature 432, 8 K. Virtual screening of chemical libraries. Nature 432, 862–865 (2t g
15. Pagadala, N. S., Syed, K. & Tuszynski, J. Software for molecular docking: a review. Biophys Rev 9, 91–102 (2017). 15. Pagadala, N. S., Syed, K. & Tuszynski, J. Software for molecular docking: a review. Bio g
y
yt
g
p y
16. Jiao, L. et al. Beta-formyl-BODIPYs from the Vilsmeier-Haack reaction. J Org Chem 74, 7525–7528 (2009). 17. Valentine, D. Jr. & Scott, J. W. Asymmetric Synthesis. Synthesis 1978, 329–356 (1978). 17. Valentine, D. Jr. & Scott, J. W. Asymmetric Synthesis. Synthesis 1978, 329–356 (1978) Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 11 www.nature.com/scientificreports/ 8. Kawashima, Y. et al. Synthesis and pharmacological evaluation of 1, 2, 3, 4-tetrahydro-beta-carboline derivatives. Chem Pharm Bul
(Tokyo) 43, 783–787 (1995). 18. Kawashima, Y. et al. Synthesis and pharmacological evaluation of 1, 2, 3, 4-tetrahydro-beta-carboline derivatives. Chem Pharm Bull
(Tokyo) 43, 783–787 (1995). 19 Kondo K et al Ircinals A and B from the Okinawan marine sponge Ircinia sp plausible biogenetic precursors of manzamine y
9. Kondo, K. et al. Ircinals A and B from the Okinawan marine sponge Ircinia sp.: plausible biogenetic precursors of manzamine
alkaloids. The Journal of Organic Chemistry 57, 2480–2483 (1992). h
f
g
y
(
)
0. Wang, J. C., Chu, P. Y., Chen, C. M. & Lin, J. H. idTarget: a web server for identifying protein targets of small chemical molecules with
robust scoring functions and a divide-and-conquer docking approach. Nucleic Acids Res 40, W393–399 (2012). h
f
g
y
(
)
20. Wang, J. C., Chu, P. Y., Chen, C. M. & Lin, J. H. idTarget: a web server for identifying protein targets of small chemical molecules 20. Wang, J. C., Chu, P. Y., Chen, C. M. & Lin, J. H. © The Author(s) 2019 Additional Information Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-019-38590-y. Competing Interests: The authors declare no competing interests. Competing Interests: The authors declare no competing interests. ublisher’s note: Springer Nature remains neutral with regard to jurisdictional claims in published maps and
nstitutional affiliations. Open Access This article is licensed under a Creative Commons Attribution 4.0 International
License, which permits use, sharing, adaptation, distribution and reproduction in any medium or
format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Cre-
ative Commons license, and indicate if changes were made. The images or other third party material in this
article are included in the article’s Creative Commons license, unless indicated otherwise in a credit line to the
material. If material is not included in the article’s Creative Commons license and your intended use is not per-
mitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the
copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/. Scientific Reports | (2019) 9:2147 | https://doi.org/10.1038/s41598-019-38590-y 12
|
https://openalex.org/W2902977545
|
https://europepmc.org/articles/pmc6287149?pdf=render
|
English
| null |
Green Tea Seed Isolated Saponins Exerts Antibacterial Effects against Various Strains of Gram Positive and Gram Negative Bacteria, a Comprehensive Study<i> In Vitro</i> and<i> In Vivo</i>
|
Evidence-based complementary and alternative medicine
| 2,018
|
cc-by
| 8,324
|
Hindawi
Evidence-Based Complementary and Alternative Medicine
Volume 2018, Article ID 3486106, 12 pages
https://doi.org/10.1155/2018/3486106 Hindawi
Evidence-Based Complementary and Alternative Medicine
Volume 2018, Article ID 3486106, 12 pages
https://doi.org/10.1155/2018/3486106 Hindawi
Evidence-Based Complementary and Alternative Medicine
Volume 2018, Article ID 3486106, 12 pages
https://doi.org/10.1155/2018/3486106 Correspondence should be addressed to Jong Deog Kim; pasteur@jnu.ac.kr The qRT- PCR analysis of the blood and feces samples of the different
groups’ animals shows the presence of bacteria only in infected group while reduced expression levels of the bacterial pathogens
were found in the samples of treatment group. Our results demonstrated that the green tea seed saponins used in this study possess
strong antibacterial activities. Correspondence should be addressed to Jong Deog Kim; pasteur@jnu.ac.kr Correspondence should be addressed to Jong Deog Kim; pasteur@jnu.ac.kr Received 9 October 2018; Revised 4 November 2018; Accepted 8 November 2018; Published 26 November 2018 Academic Editor: Armando Zarrelli Academic Editor: Armando Zarrelli Copyright © 2018 Muhammad Imran Khan et al. Thisis an open accessarticle distributed under the Creative Commons Attribution
License,whichpermitsunrestricteduse,distribution,andreproductioninanymedium,provided the original work isproperly cited. Bacteria are one of the major causes of severe infections and diseases of plants and animals. Salmonella are crucially important
due to infection in poultry leading to huge economical loses. Due to high cost and microbial resistance to the currently available
chemical antibiotics, demand of screening natural products with antibiotics effects is increased. Plants are rich sources of natural
bioactive compounds with antibiotic effects. Saponins are natural compounds of plant sources having a diverse range of applications. gf
bioactive compounds with antibiotic effects. Saponins are natural compounds of plant sources having a diverse range of applications. In present study we investigated the in vitro and in vivo antibacterial activities of green tea seed extracted saponins. Green tea seeds
crude extract was prepared in 70% ethanol by continuous reflux in heating mantel for 5 hours. Crude saponins were extracted
from the crude ethanolic extract of green tea seed by column chromatography using macroporous resin (D101). Saponin mixture
in fraction 1 (Fr1) was obtained from crude saponins extract via column chromatography. Fr2 and Fr3 were isolated from saponins
mixture by preparative HPLC. Antibacterial activities of the isolated saponins fractions were investigated against Escherichia coli
(ATCC 25922), Streptococcus aureus (ATCC 12600), and six serovars of Salmonella. In vitro antibacterial activities were determined
by disc-diffusion method and growth inhibition in liquid culture using 96-well plate. Results showed that the green tea isolated
saponins fractions possess antibacterial effects in the following order Fr1>Fr2>Fr3. Antibacterial mechanism of saponins was
elucidated by cell wall and membrane damaging potential of saponins determined by measuring AKP and soluble proteins levels. Fr1 was further used for in vivo antibacterial activities. Five-week grown chickens were selected for in vivo work, divided into
three groups as control, infected, and treatment groups. Infected and treatment groups chickens were infected with bacteria and
only treatment group chickens were treated with saponins. Muhammad Imran Khan
,1 Abdulatef Ahhmed,2 Jin Hyuk Shin,1 Jun Soo Baek,1
Min Yong Kim,3,4 and Jong Deog Kim
1,4 Muhammad Imran Khan
,1 Abdulatef Ahhmed,2 Jin Hyuk Shin,1 Jun Soo Baek,1
Min Yong Kim,3,4 and Jong Deog Kim
1,4
1Department of Biotechnology, Chonnam National University, San 96-1, Dun-Duk Dong, Yeosu, Chonnam, 550-749, Republic of
2Department of Food Engineering, Davutpasa Campus, Esenler, Istanbul 34210, Turkey
3Department of Refrigeration Engineering, Chonnam National University, San 96-1, Dun- Duk Dong, Yeosu,
Chonnam 550-749, Republic of Korea
4Research Center on Anti-Obesity and Health Care, Chonnam National University, San 96-1, Dun-Duk Dong, Yeosu,
Chonnam, 550-749, Republic of Korea 1Department of Biotechnology, Chonnam National University, San 96-1, Dun-Duk Dong, Yeosu, Chonnam, 550-749, Republic of Korea
2Department of Food Engineering, Davutpasa Campus, Esenler, Istanbul 34210, Turkey
3
f
f
Ch
l
S
k Department of Refrigeration Engineering, Chonnam National University, San 96-1, Dun- Duk Dong, Yeosu,
Chonnam 550-749, Republic of Korea 4Research Center on Anti-Obesity and Health Care, Chonnam National University, San 96-1, Dun-Duk Dong, Yeosu,
Chonnam, 550-749, Republic of Korea 1. Introduction Plants have an amazing ability to produce a wide variety
of secondary metabolites, like alkaloids, glycosides, ter-
penoids, saponins, steroids, flavonoids, tannins, quinones,
and coumarins [9]. These biomolecules are the source of
plant-derived antimicrobial substances (PDAms) [10]. Some
natural products are highly efficient in the treatment of
bacterial infections [11]. Camellia seeds are rich source
of bioactive compounds including polysaccharides, pro-
teins, saponins, flavonoids, and unsaturated fatty acids and
have been reported to possess bioactivities such as anti-
inflammatory, anticancer, antioxidant, antiobesity, antiangio-
genic, foamable, hepatoprotective, insecticidal, etc. [12–25] 2.2. Tin-Layer Chromatography. Thin-layer chromatogra-
phy (TLC) was performed to analyze the saponins fractions. 10 mg/mL of the all the samples was dissolved in 80% ethanol. 10 mL of each sample was applied to a normal-phase TLC
plate (TLC Silica gel 60, glass plates 10 × 20 cm, Merck,
Germany), and n-butanol, water, and acetic (84:14:17) were
used as development solution. The developed plates were
visualized by dipping in 10% H2SO4 and heated in an oven
at 115∘C for 13 min to visualize the saponin bands. Saponins are natural compounds of a diverse group gen-
erally consists of sugar (glycon) and nonsugar part (aglycon)
connected by a glyosidic linkage. The aglycone part is also
called sapoginins which may be either steroidal (C27) or a
triterpenoid (C30) [26] and attached to one or more glycone
moieties which may be hexoses and pentoses. The bio-
logical properties such as antibacterial, anti-inflammatory,
antifungal, and antiviral activities of various saponins are
based on their chemical structures [27–29]. Saponins bind
with cholesterol inside cell making the saponin-cholesterol
complex which results finally in lysing of the cells [30]. Saponins disturbed the permeability of bacterial cells by
binding to the outer membrane [31, 32].h 2.3. In Vitro Antibacterial Activities. The in vitro antibacterial
activities of saponin fractions were investigated against var-
ious Salmonella serotypes, Escherichia coli (Gram-negative),
and Staphylococcus aureus (Gram-positive). All the strains
were bought from American Type Culture Collection
(ATCC). The strains used were Escherichia coli (ATCC
25922), Salmonella typhimurium (ATCC 14028), Salmonella
enteritidis (ATCC 13076), Salmonella gallinarum (ATCC
9184), Salmonella choleraesuis (ATCC 7001), Salmonella pul-
lorum (ATCC 19945), Salmonella dublin (ATCC 15480), and
Staphylococcus aureus (ATCC 12600). Disc-diffusion method
was used as a preliminary test and then the antibacterial activ-
ities were also determined by bacteria viability and lethality in
the pressence of verious concentrations of saponin fractions
[21]. 1. Introduction in different hosts. The rod-shaped Gram-negative bacteria
Salmonella is responsible for salmonellosis and zoonosis. Various Salmonella species cause infection in poultry and
resulted in huge economic losses [1]. Salmonella serotypes
are the cause of Salmonella infections, a worldwide major
public health concern. Avian infection in poultry occurred by Bacteria are one of the major causes of various severe
infectious diseases in plants and animal including human
being. There are a huge number of pathogenic bacteria
belonging to different genera causing infection and disease Evidence-Based Complementary and Alternative Medicine Evidence-Based Complementary and Alternative Medicine 2 extract was again subjected to extraction with butanol and
water mixture and concentrated with rotary rotatory evapo-
rator. Saponins extraction from the crude extract was carried
out by nonpolar macropours resins (D101). Resins were
thoroughly washed 2 times with ethanol and then distilled
water. 10 g of the extract was dissolved in 30 ml double
distilled water and mixed with the washed resin and kept
overnight at room temperature. The mixture of the extract
and resin was the loaded to a column of 500 ml and eluted
with 0.3 N NaOH resulted in a dark radish brown fraction. The resins and the fraction were then neutralized, mixed, and
incubated overnight in the column again and then eluted with
100% ethanol resulting again in brownish color containing
crude saponins. The crude saponins were then subjected
to column chromatography using C-18 Luna column. The
obtained saponins fraction was termed as Fr1 contained
different types of saponins. Fr1 was further fractioned into
Fr2 and Fr3 by HPLC. Analysis of the saponins fractions was
done by HPLC-MS for detection of the presence of various
saponins. different species of Genus Salmonella [2]. Salmonella make
frequent infection by salmonellosis and zoonosis in poultry
populations [3, 4]. The presence of Salmonella in poultry
animals is a major risk, making the transmission of bacteria
to eggs and meat which can be forward to human infection
[5]. Antibacterial agents are necessary for the treatment of
bacterial disease and infection; however the synthetic nature,
adverse side effects, and the emerged issue of microbial
resistance due to increased use have led to the need of
screening novel antibacterial products with new targets and
natural origins [6]. Majority of the antibiotics from microbial
natural products have limited efficacy as not well annotated
[7, 8]. 1. Introduction The inoculum of bacteria was prepared in Luria–Bertani
broth (Difco, USA) and nurturant broth (Difco) (2 different
growth media were tested individually for best growth and
inoculum preparation) and then 500 𝜇L active culture of
each strain was spread on the respective Muller-Hinton agar
(BD biosciences) plates. Then, filter paper discs (Advantech,
Japan) impregnated with saponin fractions (1mg/ml) were
placed on the surfaces of the plates. Ampicillin (MP Biomed-
ical, France) was used as positive control. All plates were
incubated at 37 ± 1∘C for 24 h and after that the inhibition
zones (IZ) were measured of each strain.h The elimination of pathogenic Gram-positive and Gram-
negative bacterial strains is an important medical problem
and can be achieved by bacteria lysis, inhibition of bacterial
adhesion, and increasing the permeability of bacterial cell
walls [33–35]. Present study was conducted to investigate the antibacte-
rial effects of green tea seed extracted saponins in vitro and in
vivo with confirmation of the lysis potential and detection of
the pathogens by qRT-PCR analysis. 2. Materials and Methods Plates were kept
in an incubator for 37 ± 1∘C for 24 h. After that the growth
of each organism was measured by checking the optical
density (OD) at a wavelength of 660 nm using a microplate
reader. Bacteria without treatment with saponins were used
as reference. 2.3.1. Minimum Inhibitory Concentrations (MIC). The min-
imum inhibitory concentrations (MIC) of saponins frac-
tions were determined as previously described [21]. In brief
bacteria were grown in their respective liquid culture and
20 𝜇L of active cultures of each organism was inoculated
into 100 𝜇L nutrient broth (Difco) per well of the 96-well
plate. Then various concentrations of the saponin mixture
and fractions were added to the respective plate wells and
total volume per well were adjusted up to 200 𝜇L. Plates were
kept in an incubator for 37 ± 1∘C for 24 h. After that 20 𝜇L
of 0.2 mg/mL INT {2-(4-Iodophenyl)-3-(4-nitrophenyl)-5-
phenyl-2H-tetrazolium chloride} was added to each well,
then the plates were incubated for four more h at 37 ± 1∘C. Absorbance was measured at a wavelength of 600 nm using a
microplate reader. i
Bacteria were administered orally (100𝜇L active cul-
ture) to the chicken of respective group. Saponins (Fr1)
1 mg/chicken in distilled water were orally injected to the
chicken of treatment group after every 24 hours continuously
for 2 two weeks. 2.4. Bacterial Cell Wall Damaging Potential of Saponins. For determination the lysis of bacterial cell by saponins
we measured the AKP (Alkaline phosphatase) contents of
each strain after exposing to saponins. AKP contents were
measured according to the method of He et al., with slight
modifications [36]. AKP is found between the cell wall and
cell membrane of bacteria cell. The AKP leakage occurs only
when cell wall of the bacteria is damage. Hence the amount
of AKP is directly proportion to the cell lysis. 2.6.1. Gene Expression Analysis of Animal Infection and Treat-
ment by qRT-PCR. Blood and feces samples were collected
from each chicken and bacterial DNA was isolated from
blood and feces of all the three groups of each bacteria
using DNeasy Blood & Tissue Kit (QIAGEN, Waltham,
Massachusetts, USA). DNA extraction from samples was
done according to the manufacturer instruction of QI Aamp
DNA stool minikit (QIAGEN). 2. Materials and Methods 2.1. Extraction and Purification. Green tea (Camellia sinensis)
seeds were collected from the Myungin Shin Gwang Su tea
garden (Suncheon, Korea). The seeds were dried, dehulled,
and ground into powder. The powder (3 kg) was defatted with
n-hexane (4 L) under sonication at 30∘C for 5 h and then
dried. The defatted seed powder was further extracted by
refluxing with 70% ethanol at 60∘C for 5 hr. The resulting
extract was filtered, concentrated using a rotatory vacuum
evaporator (SB-100, Eyela), freeze dried, and weighed. The The antibacterial activities of the saponin isolated frac-
tions were also determined by using bacteria viability in 96-
well plates. Bacteria were grown in their respective liquid 3 Evidence-Based Complementary and Alternative Medicine Evidence-Based Complementary and Alternative Medicine fraction Fr1 (crude saponins) was used due to its relatively
high in vitro antimicrobial activities. Chickens were used as
model animals. Animals used were treated according to the
guide for the care and use of National Institutes of Health
Laboratory and the experimental protocol was approved
by the Chonnam National University Ethical Community
for Animal studies (Approval No. CNU IACUC–YS–2018-
1). First safe doses of saponins were determined by MTT
assay using different eukaryotic cell lines. The saponins
concentration used for in vivo antibacterial experiments was
less than that of the highest safe concentration determined
by cell viabilities assays in vitro and in vivo. 5-week grown
chickens were divided into three groups for each bacteria
type (n=5), i.e., control group (chicken was not infected
with the respective bacteria given saponins), infection group
(chicken was infected with the respective bacteria but not
treated with saponins), and infection and treatment group
(chicken was infected with the respective bacteria and treated
with saponins). Chickens of each group were kept in separate
places in control conditions. All animals of the control group
were kept in one area while that of infected and treatment
group was separated for each bacteria strain. The area was
completely fenced, and the animals of each group had no
access to other groups. Also, all the chickens were labeled for
identification. culture and 20 𝜇L of active cultures of each organism was
inoculated into 100 𝜇L nutrient broth (Difco) per well of the
96-well plate. Then various concentrations of the saponin
fractions were added to the respective plate wells and total
volume per well were adjusted up to 200 𝜇L. 2. Materials and Methods The isolated bacterial DNA
was used as template and amplified by real time quantitative
polymerase chain reaction (RT-PCR) using gen specific
primers and the following conditionsh y
y
Fresh bacterial cultures were prepared for each strain. Saponins (Fr1) at the concentration of 100 ug/ml and MIC
were mixed with 5 × 106 CFU of each strain and incubated
in a shaking incubator at 37∘C strain. Bacterial suspension
without treatment with saponins was used as negative control
group. Samples were taken at zero time and after every
1 hour. Samples were centrifuged at 3000 rpm for 20 min. Supernatant was used for measuring ALP contents using AKP
kit. 15 𝜇L QuantiFast SYBR green master mix (Thermo Fisher
Scientific), 1 𝜇L (10 𝜇M) primers each forward and reverse,
2 𝜇L template DNA, and DEPC treated water to make the final
volume of 25 𝜇L. Cycles were set as initial denaturation 5 min
at 95∘C, 40 cycles of denaturation at 95∘C for 30s, annealing
at 60∘C for 30s and followed by 30 extensions at 72∘C. The
product of PCR was visualized on agarose gel in the form of
DNA bands. 2.5. Determination of Soluble Protein Contents/Membrane
Integrity Assay. To determine the bacteria lysing potential
of saponins, concentration of soluble protein in bacterial
suspension was measured after treatment with saponins
at the concentration of MIC. Bacterial suspension without
treatment was taken as negative control. After addition
of saponins to the bacterial suspension (5 × 106 CFU of
each strain) the samples were incubated for 15 minutes and
then absorbance of each group was check at 595nm using
spectrophotometer. 2.7. Determination of Lysozyme Activity. The serum was
obtained from chicken spleen following the method of Dai
et al. 2014 [37]; lysozyme activity was measured by Lysozyme
Activity Assay Kit (Fluorometric)-BioVision according to the
manufacturer’s protocol. 2.6. In Vivo Antibacterial Assay. For in vivo investigation
of antibacterial potential of the green tea seed saponins 2.8. Statistical Analysis. Data are represented as means of
experiment in triplicate ± SEM. 2. Materials and Methods SPSS 2l were used for Evidence-Based Complementary and Alternative Medicine min
mAU
100
110
90
80
70
60
50
40
30
20
10
0
150
125
100
75
50
25
0
(a)
min
100
110
90
80
70
60
50
40
30
20
10
0
mAU
150
125
100
75
50
25
0
(b)
min
100
110
90
80
70
60
50
40
30
20
10
0
mAU
150
125
100
75
50
25
0
(c)
Figure 1: HPLC analysis of green tea seed isolated saponins fractions. Various saponins were detected in the saponins isolated fraction. (a) HPLC chromatogram of the saponin Fr1 of green tea seeds. (b) HPLC chromatogram of the saponin Fr2 of green tea seeds. (c) HPLC
chromatogram of the saponin Fr3 of green tea seeds. min
mAU
100
110
90
80
70
60
50
40
30
20
10
0
150
125
100
75
50
25
0
(a) min
100
110
90
80
70
60
50
40
30
20
10
0
150
125
100
75
50
25
0
(a)
min
100
110
90
80
70
60
50
40
30
20
10
0
mAU
150
125
100
75
50
25
0
(b) (a)
min
100
110
90
80
70
60
50
40
30
20
10
0
mAU
150
125
100
75
50
25
0
(b) ( )
min
100
110
90
80
70
60
50
40
30
20
10
0
mAU
150
125
100
75
50
25
0
(c)
re 1: HPLC analysis of green tea seed isolated saponins fractions Various saponins were detected in the saponins isolated fraction Figure 1: HPLC analysis of green tea seed isolated saponins fractions. Various saponins were detected in the saponins isolated fraction. (a) HPLC chromatogram of the saponin Fr1 of green tea seeds. (b) HPLC chromatogram of the saponin Fr2 of green tea seeds. (c) HPLC
chromatogram of the saponin Fr3 of green tea seeds. 3.1. In Vitro Antibacterial Assay. The isolated saponins frac-
tions from green tea seed were screened for their antibac-
terial potential. The preliminary antibacterial activities of
saponin mixture and fractions against various bacteria were
determined by disc-diffusion method. Agar plate was used
for determination of the growth inhibition and clear zone
formation against each bacterium. Each plate contained 4
paper disks impregnated in Fr1, Fr2, and Fr3 and the positive
standard antibiotics ampicillins for comparison. 2. Materials and Methods The results
indicated that the saponin fractions, i.e., inhibited visible
growth of bacteria in different potential and range as shown
in Figure 4. Fr1 is found to be more active against bacteria
than Fr2 and Fr3. The clear zones on agar plates by the
samples were measured as inhibition zones (IZ). The results
indicated that the inhibition zones of the saponin fractions
were diverse against different bacteria strains. However, the
highest growth inhibition was made by Fr1 followed by Fr2 as
compared to standard. Minimum inhibition concentrations
were determined using 96-well plate against each bacterium
(Table 1). The growth inhibitory effect and antibacterial activ-
ities of the saponins against S. aureus, E. coli, and different
serotypes of the zoonosis causing salmonella were also mea-
sured by determining bacteria viability and lethality under statistical analyses. Analysis of data was made by one-way
ANOVA followed by the Tukey-Kramer test as post hoc
analysis. The level of significance was kept p < 0.05 for all
statistical tests. Evidence-Based Complementary and Alternative Medicine Evidence-Based Complementary and Alternative Medicine 5 p
y
RT: 0.00 - 40.00
Relative Abundance
20.75
21.27
21.41
21.59
22.15
23.27
25.32
24.30 25.57 27.06
27.29
29.03
Time (min)
100
80
60
40
20
38
36
34
32
30
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0
(a)
20.75
21.27
22.15
24.30
27.06
Time (min)
RT: 0.00 - 40.00
Relative Abundance
100
80
60
40
20
38
36
34
32
30
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0
(b)
21.41
23.27
25.32
Time (min)
RT: 0.00 - 40.00
Relative Abundance
100
80
60
40
20
38
36
34
32
30
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0
(c)
2: LC-MS analysis of green tea seed isolated saponins fractions. Various saponins were detected in the saponins isolated fraction. The
aponins identified are Theasaponin E1, Theasaponin C, Assamsaponin A (C57H88O25), Theasaponin E3 (C57H88O26), Theasaponin
7H90O26), Assamsaponin B (C61H92O28), and Theasaponin A3 (C61H94O28). (a) LC-MS spectra of the saponin Fr1 of green tea
b) LC-MS spectra of the saponin Fr2 of green tea seeds. (c) LC-MS spectra of the saponin Fr3 of green tea seeds. RT: 0.00 - 40.00
Relative Abundance
20.75
21.27
21.41
21.59
22.15
23.27
25.32
24.30 25.57 27.06
27.29
29.03
Time (min)
100
80
60
40
20
38
36
34
32
30
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0 (a) (a)
20.75
21.27
22.15
24.30
27.06
Time (min)
RT: 0.00 - 40.00
Relative Abundance
100
80
60
40
20
38
36
34
32
30
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0
(b) Relative Abundance (b) 21.41
23.27
25.32
Time (min)
RT: 0.00 - 40.00
Relative Abundance
100
80
60
40
20
38
36
34
32
30
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0
(c) (c) Figure 2: LC-MS analysis of green tea seed isolated saponins fractions. Various saponins were detected in the saponins isolated fraction. The
major saponins identified are Theasaponin E1, Theasaponin C, Assamsaponin A (C57H88O25), Theasaponin E3 (C57H88O26), Theasaponin
A1 (C57H90O26), Assamsaponin B (C61H92O28), and Theasaponin A3 (C61H94O28). (a) LC-MS spectra of the saponin Fr1 of green tea
seeds. (b) LC-MS spectra of the saponin Fr2 of green tea seeds. 3. Results The saponin fractions obtained were analyzed by LC-MS
and NMR to identify and characterize the present saponins
(Figures 1 and 2). The major saponins detected in Fr1 were
Theasaponin E1(C59H90O27), Theasaponin C, Assamsaponin
A (C57H88O25), Theasaponin E3 (C57H88O26), Theasaponin
A1 (C57H90O26), Assamsaponin B (C61H92O28), and Theas-
aponin A3, (C61H94O28). Fr2 and Fr3 are obtained from Fr1 by preparative HPLC
(Develosil ODS-HG-5, MeCN-0.05% aqueous TFA 55:45,
4 mL/min); Fr2 contained Theasaponin E1, Theasaponin A,
and Theasaponin E3; and Fr3 contained Assamsaponin A,
Theasaponin E3, and Assamsaponin B; the saponins were
also analyzed by thin-layer chromatography (TLC). And
the results were compared with commercial grade standard
Theasaponin E1. Results show presence of Theasaponin E1 in
the isolated fractions Fr1 and Fr2 (Figure 3) Evidence-Based Complementary and Alternative Medicine The results suggested lysis of
bacterial cell by saponins and leakage of the AKP contents. Commercial
standard saponin
(Thae E1)
Fr1
Fr2
Fr3
Figure 3: Thin-layer chromatography (TLC) of the isolated
saponins fractions. Results were compared with the commercial
grade Theasaponin E1. Same color arrows represent same type of
saponins in different fraction. 3.3. Effects on the Contents of Soluble Proteins of Bacteria. The
contents of soluble proteins were found to be increased with
the increasing concentration of the saponins (Figure 9). The
concentrations of soluble proteins were maximum for strain
S. aureus and minimum for strain E. coli at 2 h. For all groups
proteins contents were higher as compared to the control
group. The results demonstrated that saponins may cause
bacterial lysis or damage to the cell wall and member and
lead to liberation of internal proteins contents to the external
media. The higher amount of proteins contents represents
higher lysis and damage of bacteria cells by saponins. Proteins
contents were found to be decreased with time as used by
bacteria. 3.4. In Vivo Antibacterial Assay. The blood and fecal samples
taken from the chicken of all groups were analyzed for the
presence of bacteria in the chickens. The DNA was extracted
from the samples we amplified by real time quantitative PCR
using gene specific primers for each salmonella (Table 2). The
results demonstrated the presence of bacteria in the samples
from infected groups with higher expressions levels of the
genes. While the expressions levels of bacterial sequencing
in samples of treatment groups were lower indicating the
lower number of bacteria as treated with saponins (Figure 10),
no bacteria were detected in the blood and feces samples of
control group. Commercial
standard saponin
(Thae E1)
Fr3 Fr1 Fr2 Figure 3: Thin-layer chromatography (TLC) of the isolated
saponins fractions. Results were compared with the commercial
grade Theasaponin E1. Same color arrows represent same type of
saponins in different fraction. saponins using 96-well microtiter plate. The results obtained
show the effectiveness of the saponins against bacteria. The
results show that the antibacterial activities of each sample
were different against different bacteria; however highest
antibacterial effects were observed in case of saponins Fr1 as
compared to negative control (without saponins treatment). Highest growth inhibition was observed against S. aureus and
lowest against S. Evidence-Based Complementary and Alternative Medicine enteritidis; also the antibacterial activities
were found dose dependent, i.e., increasing with higher
constrictions of the samples (Figures 5–7). 3.5. Lysozyme Activities. Effect of saponins on immunity of
the animals was determined by lysozyme activity. Lysozyme
or muramidase is the antimicrobial enzyme produced by
animals as a part of innate immune system. The results
show that the green tea seed extracted saponins are potent
in increasing the lysozyme activities of animals in different
range against different bacteria. Highest lysozyme activities
were detected against S. chloresus while lowest were found
against S. gallinarum as shown in Figure 11 3.2. Antibacterial Mechanisms of Saponin/Bacterial Cell Lysis
Potential of Saponins. Saponins caused lysis of bacterial wall
as AKP contents were increased rapidly after the addition
of saponins to the bacteria culture. The APK contents were
found to be increased with increasing concentration of the Evidence-Based Complementary and Alternative Medicine (c) LC-MS spectra of the saponin Fr3 of green tea seeds. Table 1: Inhibition zones (IZ) and minimum inhibition concentration(MIC) values of saponins mixture, Fr1 and Fr2 against S. aureus (gram-
positive), E. coli (gram-negative), and serovars of salmonella (gram-negative). Bacteria strains
Saponins mixt. Fr1
Fr2
Standard
IZ
MIC
IZ
MIC
IZ
MIC
IZ
MIC
S. aureus
12 ± 0.09a
0.15
11.3 ± 0.10a
0.20
10.3 ± 0.17b
0.25
15 ± 0.12a
0.10
E. coli
10.5 ± 0.22a
0.2
10 ± 1.33b
0.20
9 ± 0.13c
0.25
12.5 ± 0.17b
0.15
S. typhimurium
11.4 ± 0.31c
0.20
9.2 ± 0.20c
0.20
10.2 ± 0.20c
0.25
14.6 ± 0.13c
0.15
S. enteritidis
9.8 ± 0.42b
0.25
7.8 ± 0.067a
0.25
8.9 ± 0.21a
0.25
12.4 ± 0.08b
0.20
S. gallinarum
10.0 ± 0.45a
0.25
9.4 ± 0.32c
0.25
9.6 ± 0.20a
0.30
13 ± 0.14a
0.20
S. choleraesuis
11.3 ± 0.32c
0.30
10.3 ± 0.23a
0.30
11.4 ± 0.19b
0.35
13 ± 0.29c
0.20
S. pullorum
10.8 ± 0.31b
0.35
11.0 ± 0.12b
0.35
10.0 ± 0.23c
0.35
12 ± 0.20a
0.25
S. dublin
9 ± 0.41b
0.35
7.0 ± 0.26c
0.35
7.8 ± 0.21b
0.35
11 ± 0.13c
0.25
Inhibition zones (IZ)= mm. Minimum inhibition concentration (MIC)= mg/ml. a= p< 0.005, b= p<0.01, and c= p<0.05. Table 1: Inhibition zones (IZ) and minimum inhibition concentration(MIC) values of saponins mixture, Fr1 and Fr2 against S. aureus (gram-
positive), E. coli (gram-negative), and serovars of salmonella (gram-negative). Evidence-Based Complementary and Alternative Medicine 6 Table 2: Primers sequences of E. coli and various serotypes of salmonella used for in vivo antibacterialinvestigat
saponins. Table 2: Primers sequences of E. coli and various serotypes of salmonella used for in vivo antibacterialinvestigation of green tea seed extracted
saponins. Genes
Strains
Primers
Forward
Reverse
uspA
E. coli
CCGATACGCTGCCAATCAGT
ACGCAGACCGTAGGCCAGAT
sefA
Salmonella enteritidis
GCAGCGGTTACTATTGCAGC
CTGTGACAGGGACATTTAGCG
Serotype-d
Salmonella typhimurium
CCTTTCTCCATCGTCCTGAA
TGGTGTTATCTGCCTGACCA
rfbSP
Salmonella pullorum
GATCGAAAAAATAGTAGAATT
GCATCAAGTGATGAGATAATC
rfbSG
Salmonella gallinarum
GTATGGTTATTAGACGTTGTT
TATTCACGAATTGATATACTC
fliC
Salmonella choleraesuis
AAGGAAAAGATCATGGCACAA
GAACCCACCATCAATAACTTTG saponins and it was higher in all cases as compared to control
(Figure 8). AKP contents were highest at MIC after 3 hrs
treatment in case of S. aureus. The results suggested lysis of
bacterial cell by saponins and leakage of the AKP contents. saponins and it was higher in all cases as compared to control
(Figure 8). AKP contents were highest at MIC after 3 hrs
treatment in case of S. aureus. 4. Discussion Antibiotics are substances that inhibit or kill the microor-
ganisms. Antibiotics are quite important and very necessary 7 Evidence-Based Complementary and Alternative Medicine S. aureus
S. dublin
S. cholera
S. typhimurium
S. enteritidis
S. pullorum
E. coli
S. gallinarum
Antibiotic
Saponin
mixt. Fr1
Fr2
Figure 4: Growth inhibition of various bacteria strains by saponins fractions determined by disc-diffusion methods. Each plate contained 4
paper disks impregnated in 1 mg/ml solutions of each sample. Clear zone was measured for each samples against each strain. Ampicillin was
used as standard. Experiments were performed in triplicate. S. dublin S. aureus S. cholera E. coli Figure 4: Growth inhibition of various bacteria strains by saponins fractions determined by disc-diffusion methods. Each plate contained 4
paper disks impregnated in 1 mg/ml solutions of each sample. Clear zone was measured for each samples against each strain. Ampicillin was
used as standard. Experiments were performed in triplicate. OD at 660 nm
0
0.4
0.8
1.2
1.6
2
2.4
2.8
3.2
3.6
4
Control
10
20
40
60
100
MIC
Concentrations (ug/ml)
S. aureus
S. dublin
S. pullorum
S. choleraesuis
S. gallinarum
S. typhimurium
S. enteritidis
E. coli
Figure 5: Antibacterial activities of Fr1 of green tea seed saponins against Escherichia coli, Salmonella typhimurium, Salmonella enteritidis,
Salmonella gallinarum, Salmonella choleraesuis, Salmonella pullorum, Salmonella dublin, and Staphylococcus aureus. The antibacterial activities
were determined by allowing the bacteria to grow in the presence of various concentrations of saponins using 96-well microtiter plate and
then checking the viability of bacteria by measuring OD660 with spectrophotometer. Data are expressed as means of experiments in triplicate
± SEM. Data are statistically significant at P < 0.05. OD at 660 nm
0
0.4
0.8
1.2
1.6
2
2.4
2.8
3.2
3.6
4
Control
10
20
40
60
100
MIC
Concentrations (ug/ml)
S. aureus
S. dublin
S. pullorum
S. choleraesuis
S. gallinarum
S. typhimurium
S. enteritidis
E. coli Control
10
20
40
60
100
MIC
Concentrations (ug/ml) Figure 5: Antibacterial activities of Fr1 of green tea seed saponins against Escherichia coli, Salmonella typhimurium, Salmonella enteritidis,
Salmonella gallinarum, Salmonella choleraesuis, Salmonella pullorum, Salmonella dublin, and Staphylococcus aureus. The antibacterial activities
were determined by allowing the bacteria to grow in the presence of various concentrations of saponins using 96-well microtiter plate and
then checking the viability of bacteria by measuring OD660 with spectrophotometer. Data are expressed as means of experiments in triplicate
± SEM. 4. Discussion Data are statistically significant at P < 0.05. Evidence-Based Complementary and Alternative Medicine 8 OD at 660 nm
0
0.5
1
1.5
2
2.5
3
3.5
4
Control
10
20
40
60
100
MIC
Concentrations (ug/ml)
S. aureus
S. dublin
S. pullorum
S. choleraesuis
S. gallinarum
S. typhimurium
S. enteritidis
E. coli
Figure 6: Antibacterial activities of Fr2 of green tea seed saponins against Escherichia coli, Salmonella typhimurium, Salmonella enteritidis,
Salmonella gallinarum, Salmonella choleraesuis, Salmonella pullorum, Salmonella dublin, and Staphylococcus aureus. The antibacterial activities
were determined by allowing the bacteria to grow in the presence of various concentrations of saponins using 96-well microtiter plate and
then checking the viability of bacteria by measuring OD660 with spectrophotometer. Data are expressed as means of experiments in triplicate
± SEM. Data are statistically significant at P < 0.05. Control
10
20
40
60
100
MIC
Concentrations (ug/ml) Figure 6: Antibacterial activities of Fr2 of green tea seed saponins against Escherichia coli, Salmonella typhimurium, Salmonella enteritidis,
Salmonella gallinarum, Salmonella choleraesuis, Salmonella pullorum, Salmonella dublin, and Staphylococcus aureus. The antibacterial activities
were determined by allowing the bacteria to grow in the presence of various concentrations of saponins using 96-well microtiter plate and
then checking the viability of bacteria by measuring OD660 with spectrophotometer. Data are expressed as means of experiments in triplicate
± SEM. Data are statistically significant at P < 0.05. 0
0.5
1
1.5
2
2.5
3
3.5
4
OD at 660 nm
Control
10
20
40
60
100
MIC
Concentrations (ug/ml)
S. aureus
S. dublin
S. pullorum
S. choleraesuis
S. gallinarum
S. typhimurium
S. enteritidis
E. coli
Figure 7: Antibacterial activities of saponin fraction Fr3 against E. coli, Staphylococcus aureus, and five serotypes of Salmonella enterica. T
antibacterial activities were determined by allowing the bacteria to grow in the presence of various concentrations of saponin mixture usin
96-well microtiter plate and then checking OD660 with spectrophotometer. Data are expressed as means of experiments in triplicate ± SEM
Data are statistically significant at P < 0.05. Control
10
20
40
60
100
MIC
Concentrations (ug/ml) Figure 7: Antibacterial activities of saponin fraction Fr3 against E. coli, Staphylococcus aureus, and five serotypes of Salmonella enterica. The
antibacterial activities were determined by allowing the bacteria to grow in the presence of various concentrations of saponin mixture using
96-well microtiter plate and then checking OD660 with spectrophotometer. 4. Discussion Figure 9: Effects of saponins on bacteria membrane determined
by the leaked proteins contents at different time intervals after
exposition of bacteria to saponins. Data are expressed as means of
experiments in triplicate ± SEM. 4. Discussion Data are expressed as means of experiments in triplicate ± SEM. Data are statistically significant at P < 0.05. green tea (Camellia sinensis) derived saponins against Gram-
positive and Gram-negative bacteria. The in vivo and in
vitro antimicrobial activities of saponins from camellia seeds
have not been described in detail, although we previously
described antimicrobial activities of C. sinensis seeds derived
crude saponins [21]. Our results confirmed that green tea
isolated saponins possess strong antimicrobial activities. The
isolated fractions Fr1 showed highest antibacterial activities
as compared to Fr2 and Fr3. Antibacterial activity of saponins
from some plant sources has been already reported [40, 41]. The green tea saponins were diverse in antibacterial effects
against various bacterial strains. Different MIC values and
IZ were calculated against different strains. MIC values were
lower for Fr1as compared to Fr2 and Fr3. The inhibition in order to provide a feasible solution to control or inhibit
the pathogenic bacteria. Bacteria resistivity and adverse side
effects of synthetic antibiotics chemicals and search of novel
antibiotics from natural sources are highly recommended. Natural products are comparatively safe, effective, and crucial
materials for maltipurpose use and applications. Saponins are
one of the diverse groups of plant sources compounds with
valuable medial values and bioactivates. Saponins possess
detergent-like properties and might increase the permeability
of bacterial cell membranes; this activity might facilitate
antibiotic influx through the bacterial cell wall membrane
[38]. Saponins extracts from Quillaja saponaria are in use as
foaming agents in beverages or emulsifiers in foods [39]. In
present study we investigated the antibacterial activities of Evidence-Based Complementary and Alternative Medicine 9 0
1
2
3
4
5
6
7
8
AKP Contents (g/L)
Time (hrs)
Control
S. aureus
S. dublin
S. pullorum
S. gallinarum
S. typhimurium
S. enteritidis
E. coli
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
(a)
AKP Contents (g/L)
0
1
2
3
4
5
6
7
8
0
1
2
3
4
5
6
7
8
Time(hrs)
Control
S. aureus
S. dublin
S. pullorum
S. gallinarum
S. typhimurium
S. enteritidis
E. coli
(b)
Figure 8: AKP (Alkaline phosphatase) contents after exposition of bacteria to saponins. Saponin caused damage to the bacterial cell wall and
leakage of AKP to outside from the cell. (a) AKP contents of the group 100 ug/ml saponins treatment of bacteria. (b) AKP contents of the
group treatment of bacteria with saponins at MIC. 4. Discussion 0
1
2
3
4
5
6
7
8
AKP Contents (g/L)
Time (hrs)
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5 (b) Figure 8: AKP (Alkaline phosphatase) contents after exposition of bacteria to saponins. Saponin caused damage to the bacterial cell wall and
leakage of AKP to outside from the cell. (a) AKP contents of the group 100 ug/ml saponins treatment of bacteria. (b) AKP contents of the
group treatment of bacteria with saponins at MIC. Time (hrs)
0
2
4
6
8
10
Soluble proteins (g/L)
Control
S. aureus
S. dublin
S. pullorum
S. gallinarum
S. typhimurium
S. enteritidis
E. coli
0.0
0.5
1.0
1.5
2.0
2.5
Figure 9: Effects of saponins on bacteria membrane determined
by the leaked proteins contents at different time intervals after
exposition of bacteria to saponins. Data are expressed as means of
experiments in triplicate ± SEM. Time (hrs)
0
2
4
6
8
10
Soluble proteins (g/L)
0.0
0.5
1.0
1.5
2.0
2.5 Similarly, the Fr1 showed comparatively higher activities in
the bacteria lethality and viability assay. The antibacterial
effects of the saponins were higher against S. aureus (Gram-
positive bacteria) and comparatively lower in case of S. entritidis and E. coli (Gram-negative bacteria). Hence Fr1
showed comparatively higher antibacterial activities in vitro
that is why this fraction was used further for investigating the
lysis potential and in vivo antibacterial activities. Fr1 saponins
were found effective in damaging cell wall of bacteria in dose-
dependent manner determined by measuring the liberated
soluble proteins and APK contents. Saponin damaged the
bacteria wall with different potential for each bacteria strain. Lysozyme is an integral part of normal and nonspecific
immunity. The molecules functions are protection against
bacteria attack and considered to be a potent innate immunity
molecule found in microorganisms, animals, and plants [42]. In the present study, the effects of green tea isolated saponins
mixture on lysozyme activity in serum were evaluated
compared with the normal control group, the activities of
lysozyme in the saponins feed are significantly enhanced (p
< 0.05). The results suggested that saponins could reinforce
the immune function by raising the activity of lysozyme. Figure 9: Effects of saponins on bacteria membrane determined
by the leaked proteins contents at different time intervals after
exposition of bacteria to saponins. Data are expressed as means of
experiments in triplicate ± SEM. Supplementary Materials HPLC-Ms (Excel Files) and NMR data (PDF File) of the green
tea seed saponins used in this study. 1: toxicity determination
of saponins. Cells viability under various concentrations of
green tea seed extracted saponins mixture using various
cell lines and chickens. 2: NMR data of the green tea
seed isolated saponins. 3: HPLC-MS full scan data of the
green tea seed extracted saponins mixture compared to
standard. 4: detection of various saponins in the green
tea seed extracted saponins mixture by HPLC-MS analysis. (Supplementary Materials) Figure 11: The immunity enhancing effect of the green tea seed
extracted saponins mixture determined by lysozyme activity of the
spleen isolated samples against the poultry infecting salmonella
serotypes. Data are expressed as means of experiments in triplicate
± SEM. Data are statistically significant at P < 0.05. (a= P < 0.05, b=
P < 0.01). Data Availability [4] D. E. Cosby, N. A. Cox, M. A. Harrison, J. L. Wilson, R. Jeff Buhr,
and P. J. Fedorka-Cray, “Salmonella and antimicrobial resistance
in broilers: A review,” Journal of Applied Poultry Research, vol. 24, no. 3, pp. 408–426, 2015. All of the data are in the manuscript and suporting matterials. References [1] M. Haider, M. Hossain, M. Hossain, E. Chowdhury, P. Das,
and M. Hossain, “Isolation and Characterization of Enterobac-
teria Associated with Health and Disease in Sonali Chickens,”
Bangladesh Journal of Veterinary Medicine, vol. 2, pp. 15–21,
2004. activities of lysozyme. Green tea seed contained different
types of saponins which exerts antibacterial activities against
various strains of bacteria and specifically the zoonosis caus-
ing and infections spreading salmonella. The antibacterial
activities are diverse depending on the types of saponin and
the bacteria strains. Hence green tea saponins are best candi-
date for novel, effective, and natural antibiotic formulation. [2] M. S. Hofstad, B. H. John, B. W. Calnek et al., Diseases of Poultry,
Panima Education Book Agency, New Delhi, India, 8th edition,
1992. [3] P. A. Barrow, M. A. Jones, A. L. Smith, and P. Wigley, “The long
view: Salmonella—the last forty years,” Avian Pathology, vol. 41,
no. 5, pp. 413–420, 2012.f 5. Conclusion In conclusion, we demonstrated that saponins from green
tea seed exhibit significant antibacterial activities in vitro and
in vivo and increase the immune function by enhancing the zone (IZ) values were comparatively higher in case of Fr1
due to the presence of various types of major saponins. 10 Evidence-Based Complementary and Alternative Medicine Blood samples
Infected
Treated
Infected
Treated
Faces samples
S. pullorum
S. cholera
S. gallinarum
S. typhimurium
S. enteritidis
E. coli
Figure 10: Detection of bacteria in the blood and feces samples of the infected group chickens and infected and treated group chickens
by qRT-PCR analysis. Expression levels of the gens of different bacterial strains in the blood and feces samples. Results are confirmed by
performing the experiments three times. Faces samples Blood samples Infected Treated Treated E. coli Figure 10: Detection of bacteria in the blood and feces samples of the infected group chickens and infected and treated group chickens
by qRT-PCR analysis. Expression levels of the gens of different bacterial strains in the blood and feces samples. Results are confirmed by
performing the experiments three times. Lysozyme activity (U/mL)
a
b
b
b
a
a
a
b
S. gallinarum Control
S. gallinarum Treatment
S. typhimurium Control
S. typhimurium Treatment
S. enteritidis Control
S. enteritidis Treatment
S. choleraesuis Treatment
S. choleraesuis Control
Control
0
20
40
60
80
100
120
140
160
Figure 11: The immunity enhancing effect of the green tea seed
extracted saponins mixture determined by lysozyme activity of the
spleen isolated samples against the poultry infecting salmonella
serotypes. Data are expressed as means of experiments in triplicate
± SEM. Data are statistically significant at P < 0.05. (a= P < 0.05, b=
P < 0.01). Acknowledgments This research work was funded by Small and Medium
Business Administration (SMBA) under research grant 2017-
2328. Conflicts of Interest Fernebro, “Fighting bacterial infections - Future treatment
options,” Drug Resistance Updates, vol. 14, no. 2, pp. 125–139,
2011. [27] S. Sen, H. P. S. Makkar, S. Muetzel, and K. Becker, “Effect of
Quillaja saponaria saponins and Yucca schidigera plant extract
on growth of Escherichia coli,” Letters in Applied Microbiology,
vol. 27, no. 1, pp. 35–38, 1998. [12] Z. Xu, X. Li, S. Feng et al., “Characteristics and bioactivities of
different molecular weight polysaccharides from camellia seed
cake,” International Journal of Biological Macromolecules, vol. 91,
pp. 1025–1032, 2016. [28] C. Bachran, M. Sutherland, I. Heisler, P. Hebestreit, M. F. Melzig, and H. Fuchs, “The saponin-mediated enhanced uptake
of targeted saporin-based drugs is strongly dependent on the
saponin structure,”Experimental Biology and Medicine, vol. 231,
no. 4, pp. 412–420, 2006. [13] X. Liu, L. Jia, Y. Gao, B. Li, and Y. Tu, “Anti-inflammatory
activity of total flavonoids from seeds of Camellia oleifera Abel,”
Acta Biochimica et Biophysica Sinica, vol. 46, no. 10, pp. 920–922,
2014. [29] M. Chwalek, N. Lalun, H. Bobichon,K. Pl´e, and L. Voutquenne-
Nazabadioko, “Structure-activity relationships of some hed-
eragenin diglycosides: Haemolysis, cytotoxicity and apoptosis
induction,” Biochimica et Biophysica Acta (BBA) - General
Subjects, vol. 1760, no. 9, pp. 1418–1427, 2006. [14] Y. F. Chen, C. H. Yang, M. S. Chang, Y. P. Ciou, and Y. C. Huang,
“Foam properties and detergent abilities of the saponins from
Camellia oleifera,” International Journal of Molecular Sciences,
vol. 11, no. 11, pp. 4417–4425, 2010. [15] M. N. Uddin, G. Sharma, J.-L. Yang et al., “Oleanane triterpenes
as protein tyrosine phosphatase 1B (PTP1B) inhibitors from
Camellia japonica,” Phytochemistry, vol. 103, pp. 99–106, 2014. [30] R. Segal, P. Shatkovsky, and I. Milo-Goldzweig, “On the mecha-
nism of saponin hemolysis-I. Hydrolysis of the glycosidic bond,”
Biochemical Pharmacology, vol. 23, no. 5, pp. 973–981, 1974. [16] X. Yang, X. Wang, K. Wang et al., “The Nematicidal Effect
of Camellia Seed Cake on Root-Knot Nematode Meloidogyne
javanica of Banana,” PLoS ONE, vol. 10, no. 4, p. e0119700, 2015. [31] W. P. Winter, “Mechanism of saponin induced red cell hemoly-
sis: evidence for the involvement of aquaporin CHIP28,” Blood,
vol. 84, no. Suppl. 1–10, abstract 445, 1994. [17] S. Kijprayoon, V. Tolieng, A. Petsom, and C. Chaicharoenpong,
“Molluscicidal activity of Camellia oleifera seed meal,” ScienceA-
sia, vol. 40, no. 6, pp. Conflicts of Interest [5] P. Butaye, G. B. Michael, S. Schwarz, T. J. Barrett, A. Brisabois,
and D. G. White, “The clonal spread of multidrug-resistant non-
typhi Salmonella serotypes,” Microbes and Infection, vol. 8, no. 7,
pp. 1891–1897, 2006. The authors of this paper declare that there are no conflicts of
interest. Evidence-Based Complementary and Alternative Medicine Evidence-Based Complementary and Alternative Medicine 11 [6] S. Hemaiswarya, A. K. Kruthiventi, and M. Doble, “Synergism
between natural products and antibiotics against infectious
diseases,” Phytomedicine, vol. 15, no. 8, pp. 639–652, 2008. of Camellia oleifera Abel seeds by ultra-high-pressure liquid
chromatography combined with electrospray ionization linear
ion trap-orbitrap mass spectrometry,” Analytical Methods, vol. 7, no. 14, pp. 5942–5953, 2015. [7] C. W. Johnston, M. A. Skinnider, C. A. Dejong et al., “Assembly
and clustering of natural antibiotics guides target identifica-
tion,” Nature Chemical Biology, vol. 12, no. 4, pp. 233–239, 2016. [23] [23] C.-Y. Lin and C.-L. Fan, “Fuel properties of biodiesel produced
from Camellia oleifera Abel oil through supercritical-methanol
transesterification,” Fuel, vol. 90, no. 6, pp. 2240–2244, 2011. [8] A. L. Harvey, R. Edrada-Ebel, and R. J. Quinn, “The re-
emergence of natural products for drug discovery in the
genomics era,” Nature Reviews Drug Discovery, vol. 14, no. 2, pp. 111–129, 2015. [24] X. Li, J. Deng, S. Shen et al., “Antioxidant activities and
functional properties of enzymatic protein hydrolysates from
defatted Camellia oleifera seed cake,” Journal of Food Science
and Technology, vol. 52, no. 9, pp. 5681–5690, 2015. [9] K. Das, R. K. S. Tiwari, and D. K. Shrivastava, “Techniques for
evaluation of medicinal plant products as antimicrobial agent:
current methods and future trends,” Journal of Medicinal Plants
Research, vol. 4, no. 2, pp. 104–111, 2010. [25] H. Chen, C. Yang, and T. Ke, “Antimicrobial activity of sec-
ondary metabolites from Streptomyces sp. K15, an endophyte in
HouttuyniacordataThunb,”Natural ProductResearch(Formerly
Natural Product Letters), vol. 29, no. 23, pp. 2223–2225, 2015. [10] J. Srivastava, H. Chandra, A. R. Nautiyal, and S. J. S. Kalra,
“Antimicrobial resistance (AMR) and plant-derived antimicro-
bials (PDAms) as an alternative drug line to control infections,”
Biotechnolgy, vol. 4, no. 5, pp. 451–460, 2014. [26] Y. Leung, Y. Ou, C. Kwan, and T. Loh, “Specific interaction
between tetrandrine and Quillaja saponins in promoting per-
meabilization of plasma membrane in human leukemic HL-60
cells,” Biochimica et Biophysica Acta (BBA) - Biomembranes, vol. 1325, no. 2, pp. 318–328, 1997. [11] J. Conflicts of Interest 393–399, 2014.if [32] M.Arabski,S.Wasik,K.Dworecki,andW.Kaca,“Laser interfer-
ometric and cultivation methods for measurement of colistin/
ampicilin and saponin interactions with smooth and rough
of Proteus mirabilis lipopolysaccharides and cells,” Journal of
Microbiological Methods, vol. 77, no. 2, pp. 178–183, 2009. [18] Y.-T. Cheng, C.-C. Lu, and G.-C. Yen, “Beneficial effects of
Camellia oil (Camellia oleifera Abel.) on hepatoprotective and
gastroprotective activities,” Journal of Nutritional Science and
Vitaminology, vol. 61, pp. S100–S102, 2015. [33] B. Montdargent and D. Letourneur, “Toward new biomaterials,”
Infection Control and Hospital Epidemiology, vol. 21, no. 6, pp. 404–410, 2000. [19] W. Zhao, N. Li, X. Zhang, W. Wang, J. Li, and Y. Si, “Cancer
chemopreventive theasaponin derivatives from the total tea
seed saponin of Camellia sinensis,” Journal of Functional Foods,
vol. 12, pp. 192–198, 2015. [34] L. Mamelli, S. Petit, J. Chevalier et al., “New antibiotic molecu-
les: Bypassing the membrane barrier of gram negative bacteria
increases the activity of peptide deformylase inhibitors,” PLoS
ONE, vol. 4, no. 7, p. e6443, 2009. [20] X. Fe´as, L. M. Estevinho, C. Salinero et al., “Triacylglyc-
eride, antioxidant and antimicrobial features of virgin camellia
oleifera, C. reticulata and C. sasanqua oils,” Molecules, vol. 18,
no. 4, pp. 4573–4587, 2013. [35] I. Majsterek, M. Arabski, A. Czechowska et al., “Imatinib
(STI571) inhibits DNA repair in human leukemia oncogenic
tyrosine kinase-expressing cells,” Zeitschrif fur Naturforschung
- Section C Journal of Biosciences, vol. 61, no. 11-12, pp. 896–902,
2006. [21] J. D. Kim, M. I. Khan, J. H. Shin et al., “HPLC fractionation
and pharmacological assessment of green tea seed saponins
for antimicrobial, anti-angiogenic and hemolytic activities,”
Biotechnology and Bioprocess Engineering, vol. 20, no. 6, pp. 1035–1043, 2015. [36] N. He, P. Wang, P. Wang, C. Ma, and W. Kang, “Antibacterial
mechanism of chelerythrine isolated from root of Toddalia
asiatica (Linn) Lam,” BMC Complementary and Alternative
Medicine, vol. 18, no. 1, p. 261, 2018. [22] M. Feng, Z. Zhu, L. Zuo et al., “A strategy for rapid structural
characterization of saponins and flavonoids from the testa Evidence-Based Complementary and Alternative Medicine Evidence-Based Complementary and Alternative Medicine Evidence-Based Complementary and Alternative Medicine 12 [37] Z. Dai, D. Su, Y. Zhang et al., “Immunomodulatory activity in
vitro and in vivo of verbascose from mung beans (Phaseolus
aureus),” Journal of Agricultural and Food Chemistry, vol. 62, no. 44, pp. 10727–10735, 2014. [38] M. C. Jacob, M. Favre, and J. Conflicts of Interest Bensa, “Membrane cell perme-
abilisation with saponin and multiparametric analysis by flow
cytometry,” Cytometry, vol. 12, no. 6, pp. 550–558, 1991. [39] D. Pelah, Z. Abramovich, A. Markus, and Z. Wiesman, “The
use of commercial saponin from Quillaja saponaria bark as
a natural larvicidal agent against Aedes aegypti and Culex
pipiens,” Journal of Ethnopharmacology, vol. 81, no. 3, pp. 407–
409, 2002. [40] W. Oleszek, Saponins. In Natural Food Antimicrobial Systems, A. S. Naidu, Ed., CRC Press, London, UK, 2000. [41] K. Hostettmann and A. Marston, Saponins, Cambridge Univer-
sity Press, Cambridge, UK, 1995. [42] M. Riera Romo, D. P´erez-Mart´ınez, and C. Castillo Ferrer,
“Innate immunity in vertebrates: An overview,” Te Journal of
Immunology, vol. 148, no. 2, pp. 125–139, 2016.
|
https://openalex.org/W4393993196
|
https://clinicalproteomicsjournal.biomedcentral.com/counter/pdf/10.1186/s12014-024-09454-z
|
English
| null |
Plasma proteomic characterization of colorectal cancer patients with FOLFOX chemotherapy by integrated proteomics technology
|
Clinical proteomics
| 2,024
|
cc-by
| 8,398
|
Open Access Open Access Plasma proteomic characterization
of colorectal cancer patients with FOLFOX
chemotherapy by integrated proteomics
technology Xi Wang1,2,3†, Keren Zhang3†, Wan He1,2†, Luobin Zhang3, Biwei Gao1, Ruijun Tian3* and Ruili Abstract Background Colorectal Cancer (CRC) is a prevalent form of cancer, and the effectiveness of the main postoperative
chemotherapy treatment, FOLFOX, varies among patients. In this study, we aimed to identify potential biomarkers
for predicting the prognosis of CRC patients treated with FOLFOX through plasma proteomic characterization. Methods Using a fully integrated sample preparation technology SISPROT-based proteomics workflow, we achieved
deep proteome coverage and trained a machine learning model from a discovery cohort of 90 CRC patients to dif-
ferentiate FOLFOX-sensitive and FOLFOX-resistant patients. The model was then validated by targeted proteomics
on an independent test cohort of 26 patients. Results We achieved deep proteome coverage of 831 protein groups in total and 536 protein groups in average
for non-depleted plasma from CRC patients by using a Orbitrap Exploris 240 with moderate sensitivity. Our results
revealed distinct molecular changes in FOLFOX-sensitive and FOLFOX-resistant patients. We confidently identi-
fied known prognostic biomarkers for colorectal cancer, such as S100A4, LGALS1, and FABP5. The classifier based
on the biomarker panel demonstrated a promised AUC value of 0.908 with 93% accuracy. Additionally, we established
a protein panel to predict FOLFOX effectiveness, and several proteins within the panel were validated using targeted
proteomic methods. Conclusions Our study sheds light on the pathways affected in CRC patients treated with FOLFOX chemotherapy
and identifies potential biomarkers that could be valuable for prognosis prediction. Our findings showed the potential
of mass spectrometry-based proteomics and machine learning as an unbiased and systematic approach for discover-
ing biomarkers in CRC. words Colorectal cancer, Plasma proteome, MS-based proteomics, Machine learning, PRM validation †Xi Wang, Keren Zhang and Wan He are contributed equally to this work and
should be considered co-first authors. *Correspondence:
Ruijun Tian
tianrj@sustech.edu.cn
Ruilian Xu
xuruilian@126.com
Full list of author information is available at the end of the article Wang et al. Clinical Proteomics (2024) 21:27
https://doi.org/10.1186/s12014-024-09454-z Wang et al. Clinical Proteomics (2024) 21:27
https://doi.org/10.1186/s12014-024-09454-z Clinical Proteomics Introduction utilized the data-independent acquisition (DIA) method
to quantify plasma proteins, exploring their diagnostic
and prognostic potential [15]. Our group has developed
the simple and integrated spintip-based technology (SIS-
PROT) for proteomics sample preparation [16]. Our
recent SISPROT workflow allows the streamlined quanti-
fication of several hundreds of proteins from a small vol-
ume of plasma within 3 h in a multiplex manner [17]. To
further enhance plasma proteome coverage, we extended
the pipeline with the DIA strategy termed SISPROT-DIA
[18]. DIA was adopted for its robustness against contami-
nation, offering promise for clinical proteome studies
[19]. Additionally, machine learning has shown potential
for biomarker discovery and risk stratification of patients
[20, 21]. Colorectal cancer (CRC) continues to be a significant
global health burden, ranking as the third most preva-
lent cancer type even in 2022 [1]. Postoperative chemo-
therapy for Stage II/III CRC patients typically involves
the FOLFOX regimen, which is a chemotherapy com-
bination of folinic acid, 5-fluorouracil and oxaliplatin
[2]. Despite its standard use, only a small percentage of
stage II and III CRC patients achieve successful outcomes
[3]. The lack of specific guidelines to identify patients
who will benefit from FOLFOX treatment leads to a
large proportion of CRC patients undergoing potentially
unnecessary chemotherapy. Therefore, the development
of a reliable method for predicting the efficacy of FOL-
FOX perioperative chemotherapy in colorectal cancer
becomes paramount. Accurate prognostic biomarkers
play a vital role in cancer diagnosis, with examples such
as carbohydrate antigen 125 (CA125) and carcinoem-
bryonic antigen (CEA) linked to poor prognosis and an
increased risk of cancer metastasis [4, 5]. Carbohydrate
antigen 19–9 (CA19-9) has also been considered for pre-
dicting postoperative prognosis in stage III colon cancer
[6]. However, current detection methods such as preop-
erative imaging, tumor grading, and mutation burden
have proven inadequate in predicting the response to
FOLFOX chemotherapy effectively. To address this chal-
lenge, researchers have explored complementary assays,
including lymphocyte counts [7] and neutropenia [8], but
these may only provide averaged measurements or lack
the sensitivity and specificity needed for the complex bio-
logical changes in FOLFOX-treated patients. Thus, there
is a pressing need for more sensitive and specific diag-
nostic approaches to guide personalized treatment plans
and optimize cancer therapy for CRC patients receiving
FOLFOX treatment. Introduction In this study, we employed the SISPROT-DIA work-
flow for deep proteome profiling of plasma samples,
combining it with machine learning and targeted paral-
lel reaction monitoring (PRM) validation. Our goal is to
explore the possibility of using plasma protein panels to
predict the outcome of FOLFOX treatment in stage II/
III CRC patients. The findings from this study hold the
potential to provide valuable insights into personalized
treatment strategies for CRC patients receiving FOLFOX
chemotherapy. © The Author(s) 2024. 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. Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics (2024) 21:27 Page 2 of 13 Human plasma sample collection Blood samples were prospectively collected from CRC
patients undergoing FOLFOX treatment at The People’s
Hospital of Shenzhen. Ethical approval was obtained
from the relevant institutional review board, and writ-
ten informed consent was obtained from all participants. To prevent coagulation, venous blood was drawn using
(Ethylenediaminetetraacetic Acid) EDTA collecting ves-
sels. Subsequently, the blood samples were centrifuged at
4 °C and 1500 ×g for 30 min to separate the plasma from
cellular components. The extracted plasma samples were
promptly stored at − 80 °C to maintain sample integrity
until further analysis. Throughout the research process,
strict adherence to ethical guidelines and data protection
measures ensured patient privacy and confidentiality. The plasma proteome of CRC patients with distinct
responses to FOLFOX treatment is likely to be different
due to the shedding of circulating tumor fragments in the
blood [9]. Among the promising non-invasive plasma-
based approaches, measuring circulating tumor DNA
and circulating tumor cells (CTCs) has shown potential
in predicting the response to adjuvant chemotherapy in
stage II CRC patients [8, 10]. However, both methods
suffer from low detection rates and the requirement for
relatively large blood samples. Therefore, a more accu-
rate prediction approach requiring less blood volume
is urgently needed. Mass spectrometry-based shotgun
plasma proteomics has emerged as a systematic approach
enabling the identification of dynamic protein changes
in the progression of diseases on a proteome scale [11,
12]. Persistent innovations in sample preparation, instru-
mentation, and data analysis have contributed to CRC
plasma biomarker discovery [13, 14]. Notably, Niu et al. Proteome sample preparationi For plasma proteome profiling, 1 μL of each plasma
sample was diluted and prepared using the SISPROT kit
(BayOmics, China) following the manufacturer’s proto-
col [16]. The SISPROT tip was activated and equilibrated,
and then the plasma samples were loaded onto the ion-
exchange layer of the SISPROT tip. Afterward, the sam-
ples underwent the processes of reduction, alkylation,
digestion, and desalting. The resulting peptides were
reconstituted in 0.1% formic acid in water mixed with Wang et al. Clinical Proteomics (2024) 21:27 Page 3 of 13 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics identify statistically significant protein alterations. With
the significant changed features, we carried out pathway
analysis employing Metascape analysis and the KEGG
enrichment by R packages org.Hs.eg.db and clusterPro-
filer. To identify essential plasma proteome features and
establish a robust protein panel for predicting treatment
efficacy, we employed a machine learning method called
Random Forest. The model establishment and evalua-
tion were carried out using the R packages caret, lattice
and randomForest. The R packages pROC [22] were uti-
lized for model establishment and evaluation. To assess
the predictive power of the model, an outer resampling
method with cross-validation (threefold cross-validation
repeated 5 times) was implemented, with receiver oper-
ating characteristic (ROC) analysis used for performance
evaluation. Data were visualized by R package ggplot2. 0.1 × indexed retention time (iRT) reagent (Biognosys,
Switzerland), where the iRT peptides served as internal
standards to accurately align retention times. The pre-
pared plasma samples were then injected into the LC–
MS/MS system, enabling high-precision and sensitive
analysis of the plasma proteome. Data analysis and statistics Raw data obtained from the LC–MS/MS analysis were
processed using Spectronaut software (v16.0, Biognosys,
Switzerland) with the library-free directDIA mode. The
MS raw files were searched against the reviewed human
UniProt FASTA database (20,601entries) with Biognosys
(BGS) factory settings. Proteins exhibited more than a
30% missing value rate across all samples were removed. The missing values was imputed with the median value
of the respective samples. Following this, we normal-
ized the data using the median protein intensities across
each sample to correct technical variations. To ensure
reliable comparisons, the original expression intensi-
ties of proteins were normalized using the median value
of each sample. Statistical analysis involved the use of
MetaboAnalyst web server (https://www.metaboanal
yst.ca/home.xhtml), which encompassed the imputation
of missing values and subsequent data normalization. PLS-DA and heatmap clustering for pattern recognition,
and differential analysis with volcano plot analysis to Liquid chromatography‑tandem mass spectrometry (LC–
MS/MS) data acquisition LC–MS/MS data acquisition was performed using a
data-independent acquisition (DIA) method on an
Orbitrap Exploris 240 mass spectrometer, coupled with
an Ultimate 3000 liquid chromatography system (Ther-
moFisher, USA). Peptide samples were separated using a
self-packed analytical column (100 μm × 20 cm, 1.9 μm
C18) at a flow rate of 500 nL/min. The mobile phase A
and mobile phase B were 0.1% formic acid in water and
in acetonitrile, respectively. A 65-min gradient was
employed as follows: 0–2 min, 4–10% B; 2–52 min,
10–28% B; 52–62 min, 28–45% B; 62–64 min, 45–99% B,
and the final 1 min held at 99% B.h Biomarker combination validation by PRM quantification
Validation of the identified biomarker combination
was performed on a new cohort of plasma samples col-
lected and prepared using the same methodology as
described for the discovery cohort. The validation data
were acquired using parallel reaction monitoring (PRM),
a targeted quantification method employing Orbitrap MS
technology. The Orbitrap Exploris 240 mass spectrom-
eter with the same LC settings as the previous proteome
profiling study was used. During PRM MS data acquisi-
tion, the full scan resolution was set at 120,000 with a
scan range of 400–1200 m/z and a maximum injection
time of 100 ms. For targeted MS2, an isolation window
of m/z 0.7 was applied at a resolution of 45,000, coupled
with a maximum injection time of 150 ms and an AGC
target of 1E5. Subsequent data analysis, including peak
filtration and area calculation, was conducted using Sky-
line software (v21.2). i
The mass spectrometry (MS) instrument settings were
as follows: the mass range of MS1 was 400–1200 m/z,
operating at a resolution of 6000. The automatic gain
control (AGC) was set to 300%, and the auto maximum
injection time mode was enabled. For the DIA setting,
the mass range of 400–1200 m/z was divided into 32 con-
tinuous windows for MS2 scans, each acquired at a reso-
lution of 30,000. The maximum injection time for MS2
scans was set to 54 ms, with an AGC target of 1E6. The
Stepped normalized collision energy for MS2 scans was
distributed to 28, 32, and 36, respectively. Study design and quality evaluation of the plasma
proteome analysisl In this study, we present a streamlined workflow to inves-
tigate the impact of FOLFOX treatment on the plasma
proteome of colorectal cancer (CRC) patients. In the dis-
covery phase, we collected plasma samples from 90 CRC
patients (Fig. 1). These patients were categorized into two
groups, the sensitive group (SENS) consisting of 60 indi-
viduals who showed stable recovery and no relapse after
surgery and the no-impact group (NONE) comprising
30 patients whose tumors metastasized. Table 1 provides
the basic clinical characteristics of the patients, including
age at diagnosis, gender, height, and weight for calculat-
ing the body mass index (BMI). We employed appropri-
ate statistical methods to analyze normally distributed
values. Additionally, we collected the information of Wang et al. Clinical Proteomics (2024) 21:27 Page 4 of 13 Wang et al. Clinical Proteomics di i
l li i
l
k
l CEA CA19 9
id
if i
k
k
i
d
i h
Fig. 1 The cohort design and the SISPROT-DIA workflow
Table 1 Baseline characteristics of CRC-FOLFOX plasma proteome profiling cohort
Characteristics
Total
SENS
NONE
P-value
Number of samples (n)
90
60
30
–
Age (years, mean ± SD)
57 ± 22
56 ± 20
56 ± 21
0.14
Gender (male, %)
57(63%)
38(63%)
19(63%)
–
BMI (kg/m2, mean ± SD)
23.34 ± 2.48
23.34 ± 2.5
23.62 ± 1.5
0.300
CA125 (U/mL)
13.54 (10.01–17.92)
13.10 (10.08–17.84)
13.72 (9.77–21.36)
0.494
CEA (ng/mL)
3.11 (2.14–5.09)
2.61 (1.88–3.93)
3.74 (2.80–16.45)
0.499
CA19-9 (U/mL)
11.19 (7.76–17.81)
10.62 (7.68–13.74)
12.83 (7.62–26.15)
0.500 Fig. 1 The cohort design and the SISPROT-DIA workflow Fig. 1 The cohort design and the SISPROT-DIA workflow Fig. 1 The cohort design and the SISPROT-DIA workflow Table 1 Baseline characteristics of CRC-FOLFOX plasma proteome profiling cohort
Characteristics
Total
SENS
NONE
P-value
Number of samples (n)
90
60
30
–
Age (years, mean ± SD)
57 ± 22
56 ± 20
56 ± 21
0.14
Gender (male, %)
57(63%)
38(63%)
19(63%)
–
BMI (kg/m2, mean ± SD)
23.34 ± 2.48
23.34 ± 2.5
23.62 ± 1.5
0.300
CA125 (U/mL)
13.54 (10.01–17.92)
13.10 (10.08–17.84)
13.72 (9.77–21.36)
0.494
CEA (ng/mL)
3.11 (2.14–5.09)
2.61 (1.88–3.93)
3.74 (2.80–16.45)
0.499
CA19-9 (U/mL)
11.19 (7.76–17.81)
10.62 (7.68–13.74)
12.83 (7.62–26.15)
0.500 Table 1 Baseline characteristics of CRC-FOLFOX plasma proteome profiling cohort traditional clinical tumor markers, namely CEA, CA19-9,
and CA125, which are commonly associated with colo-
rectal cancer (Table 1). Study design and quality evaluation of the plasma
proteome analysisl The CA125 levels in all patients
ranged from 1.6 to 89.68, with a median value of 13.54. NONE group exhibited a higher concentration range
of CA125, CEA and CA19-9 as expected, while no sig-
nificant difference was observed between the two groups
(Table 1). This suggests the need for complementary
markers to increase prediction accuracy. identifying key markers associated with treatment
response and patient outcomes. To validate the potential
biomarkers identified through the discovery phase, we
utilized the parallel reaction monitoring (PRM) method
of targeted proteomics. This validation step allowed us to
confirm the presence and abundance of specific proteins
of interest, providing additional evidence for the reliabil-
ity and relevance of our findings (Fig. 1). i
To ensure reliable biomarker screening, rigorous qual-
ity controls were implemented for LC–MS/MS detection
over an extended data acquisition period. Indexed reten-
tion time (iRT) perturbation demonstrated the stability
of our LC system, with minimal deviations observed at
adjusted retention times 40 and 100 (Fig. 2A). Consist-
ent results were confirmed through manual peak com-
parison, total ion chromatogram, and base peak overlay
analyses. MS analysis exhibited related consistency in
the original response of total intensity in each group,
subsequently normalized by the median (Fig. 2B). Our
single-run shotgun proteomic workflow identified 831
protein groups in total from 1 μL plasma samples of
90 CRC patients, covering a broad dynamic range of 8
orders of magnitude (Fig. 2C). After data filtering and We employed MS-based proteomics for plasma pro-
teome profiling and subsequent screening of diagnos-
tic markers (Fig. 1). To achieve this, we processed the
plasma samples from the discovery cohort using a highly
reproducible 3-h proteomics sample preparation method
known as SISPROT [16]. The resulting MS-ready pep-
tides were then subjected to LC–MS analysis using data-
independent acquisition mode, allowing us to achieve
deep quantitative plasma proteome profiling (Fig. 1). The expression matrix of the proteome obtained from
the LC–MS analysis was further subjected to functional
analysis and utilized to train machine learning mod-
els. This approach enabled us to generate protein panels
that could be used for prognostic prediction, potentially Page 5 of 13 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics Fig. 2 Technical aspect of plasma proteomic profiling of CRC patients. A Internal standard retention time LC stability. Each color represents
a peptide with its retention time index number. Study design and quality evaluation of the plasma
proteome analysisl B Original response boxplots of MS intensities across all 90 samples. The Red line dots represent
the mean value of each sample. C Dynamic range of plasma proteome profiling. D Protein identification across all 90 samples Fig. 2 Technical aspect of plasma proteomic profiling of CRC patients. A Internal standard retention time LC stability. Each color represents
a peptide with its retention time index number. B Original response boxplots of MS intensities across all 90 samples. The Red line dots represent
the mean value of each sample. C Dynamic range of plasma proteome profiling. D Protein identification across all 90 samples normalization, 536 protein groups were quantified on
average per sample, showcasing the high quality of our
data set (Fig. 2D). patient outcomes. We utilized MS-based proteomics to
comprehensively analyze protein expression profiles in
CRC patients undergoing FOLFOX treatment. Partial
least square-discriminant analysis (PLS-DA), a super-
vised clustering method, demonstrated a clear separation
between the sensitive (SENS) and no-impact (NONE)
groups based on their plasma protein expression pro-
files (Fig. 3A), consistent with sample types. The major-
ity of the variance (PC1) accounted for 28.8% of the data,
indicating strong discriminatory power. Volcano plots Plasma proteome profiling of CRC patients undergoing
FOLFOX chemotherapyh The aim of this study was to investigate the impact of
FOLFOX chemotherapy on the plasma proteome of
colorectal cancer (CRC) patients and identify poten-
tial biomarkers associated with treatment response and Page 6 of 13 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics revealed 257 significant proteins with FDR-corrected
in the comparison between the SENS and NONE groups
Fig. 3 Characterization of the plasma proteome of CRC patients with FOLFOX chemotherapy. A Scores plot for Partial least square-discriminant
analysis (PLS-DA). The scores plot showed separation between the two groups based on their expression. SENS group showed in red and NONE
group in blue circles. B Volcano plot representing the difference in plasma expression levels of 115 proteins between the two groups. Red and blue
dots indicate proteins with increased and decreased expression levels, respectively. p < 0.01, fold change [SENS/NONE] > 2 (log2FC > 1). C Bar
chart showing significant canonical pathways (B–H p-value < 0.05) enriched by Gene Ontology Biological Processes (GOBP). D Dots plot showing
the Kyoto Encyclopedia of Genes and Genomes (KEGG) enrichment. E Molecular Complex Detection (MCODE) networks. Each color represents
a cluster of protein–protein interaction Fig. 3 Characterization of the plasma proteome of CRC patients with FOLFOX chemotherapy. A Scores plot for Partial least square-discriminant
analysis (PLS-DA). The scores plot showed separation between the two groups based on their expression. SENS group showed in red and NONE
group in blue circles. B Volcano plot representing the difference in plasma expression levels of 115 proteins between the two groups. Red and blue
dots indicate proteins with increased and decreased expression levels, respectively. p < 0.01, fold change [SENS/NONE] > 2 (log2FC > 1). C Bar
chart showing significant canonical pathways (B–H p-value < 0.05) enriched by Gene Ontology Biological Processes (GOBP). D Dots plot showing
the Kyoto Encyclopedia of Genes and Genomes (KEGG) enrichment. E Molecular Complex Detection (MCODE) networks. Each color represents
a cluster of protein–protein interaction Fig. 3 Characterization of the plasma proteome of CRC patients with FOLFOX chemotherapy. A Scores plot for Partial least square-discriminant
analysis (PLS-DA). The scores plot showed separation between the two groups based on their expression. SENS group showed in red and NONE
group in blue circles. B Volcano plot representing the difference in plasma expression levels of 115 proteins between the two groups. Plasma proteome profiling of CRC patients undergoing
FOLFOX chemotherapyh Red and blue
dots indicate proteins with increased and decreased expression levels, respectively. p < 0.01, fold change [SENS/NONE] > 2 (log2FC > 1). C Bar
chart showing significant canonical pathways (B–H p-value < 0.05) enriched by Gene Ontology Biological Processes (GOBP). D Dots plot showing
the Kyoto Encyclopedia of Genes and Genomes (KEGG) enrichment. E Molecular Complex Detection (MCODE) networks. Each color represents
a cluster of protein–protein interaction in the comparison between the SENS and NONE groups. The list of these proteins can be found in Additional
file 3: Table S2. revealed 257 significant proteins with FDR-corrected
p-values < 0.01 and 115 dysregulated proteins with at least
a twofold change (log2FC = 1) (Fig. 3B). Among these, 95
proteins were up-regulated, and 20 were down-regulated Wang et al. Clinical Proteomics (2024) 21:27 Page 7 of 13 Page 7 of 13 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics (2024) 21:27 We further examined the correlations between these
clustered proteins and patient group classification by pat-
tern search. Cluster 1 exhibited a diverse range of both
positive and negative correlations with group classifi-
cation. For instance, proteins like type I cytoskeletal 10
(KRT10) and type II cytoskeletal 2 epidermal (KRT2)
displayed positive correlations, while fatty acid-binding
protein (FABP5), cornifin-B (SPRR1B), and desmoglein-1
(DSG1) exhibited negative correlations with patient
group classification. Similarly, cluster 2 revealed a vari-
ety of expression patterns within the proteins, indicating
considerable heterogeneity within these groups. These
findings underscore the complexity of the CRC-FOLFOX
plasma proteome and emphasize the need for a com-
prehensive analysis of protein markers to distinguish
patients with distinct clinical outcomes. We further examined the correlations between these
clustered proteins and patient group classification by pat-
tern search. Cluster 1 exhibited a diverse range of both
positive and negative correlations with group classifi-
cation. For instance, proteins like type I cytoskeletal 10
(KRT10) and type II cytoskeletal 2 epidermal (KRT2)
displayed positive correlations, while fatty acid-binding
protein (FABP5), cornifin-B (SPRR1B), and desmoglein-1
(DSG1) exhibited negative correlations with patient
group classification. Similarly, cluster 2 revealed a vari-
ety of expression patterns within the proteins, indicating
considerable heterogeneity within these groups. Plasma proteome profiling of CRC patients undergoing
FOLFOX chemotherapyh These
findings underscore the complexity of the CRC-FOLFOX
plasma proteome and emphasize the need for a com-
prehensive analysis of protein markers to distinguish
patients with distinct clinical outcomes.if Gene ontology (GO) enrichment analysis on the 257
significant proteins highlighted the immune system pro-
cess (Fig. 3C), as the most significantly enriched biologi-
cal process, including complement-related proteins such
as complement component C1r (C1R), complement
factor D (CFD), complement factor B (CFB), comple-
ment factor I (CFI), complement C1s subcomponent
(C1S), and complement component C6 (C6). Addition-
ally, the response to stimulus, involving proteins known
to be involved in cancer development such as immuno-
globulin heavy variable chain, serotransferrin, and CD44
antigen [23], was the second most enriched process. Notably, a significant enrichment in metabolic processes
was observed, particularly pyruvate metabolic pro-
cesses, which have been associated with CRC initiation
and cancer progression. Additionally, several enzymes
were identified in this category. Notably, a significant
enrichment in metabolic processes was observed when
inspecting the child’s terms of the gene ontology bio-
logical process (GOBP). For instance, proteins involved
in pyruvate metabolic processes, including fructose-bis-
phosphate aldolase A (ALDOA), alpha-enolase (ENO1),
glyceraldehyde-3-phosphate dehydrogenase (GAPDH),
l-lactate dehydrogenase A (LDHA), l-lactate dehydroge-
nase B (LDHB), phosphoglycerate mutase 1 (PGAM1),
phosphoglycerate kinase 1 (PGK1), pyruvate kinase PKM
(PKM), and triosephosphate isomerase (TPI1), were
found to be dysregulated. This metabolic process, also
known as glycolytic process [24], has been reported to
have a strong relationship with CRC initiation and can-
cer progression [24]. Kyoto encyclopedia of genes and
genomes (KEGG) enrichment analysis (Fig. 3D) revealed
pathways impacted by the significant proteins, including
systemic lupus erythematosus and neutrophil extracellu-
lar trap formation, both have been reported to promote
colon cancer metastasis [25]. The molecular complex
detection (MCODE) networks [26] showed protein–pro-
tein interactions gathered into 11 networks (Fig. 3E). The
most complex network, MCODE1, represents platelet
activation, signaling, aggregation, and degranulation. The
second network is related to the initial triggering of com-
plement activation and cascade. Another significant net-
work, MCODE3, is composed of apolipoproteins and is
associated with lipid-related processes. Furthermore, we observed significant differences in
the expression levels of specific up- and down-regulated
proteins between the SENS and NONE groups, spanning
a wide range of intensities. These highly dysregulated
proteins were found to be involved in various biological
processes. For example, galectin-1 (LGALS1) was down-
regulated in the NONE group (Fig. Plasma proteome profiling of CRC patients undergoing
FOLFOX chemotherapyh 4C) and is known to
play a role in regulating apoptosis, cell proliferation, and
cell differentiation in carbohydrate metabolism. Previous
studies have associated LGALS1 downregulation with
poor prognosis in CRC [25]. On the other hand, apolipo-
protein C-III and apolipoprotein A-II were significantly
upregulated in the study (Fig. 4C), and are involved in
maintaining blood function, potentially contributing
to chemotherapy resistance. We further examined the
correlation patterns of these highly regulated proteins. LGALS1 and complement C1q subcomponent subunit
A (C1QA), both up-regulated proteins, exhibited a high
correlation in the NONE group (R = 0.95) but a weaker
correlation in the SENS group (R = 0.27) (Fig. 4D). Addi-
tionally, another up-regulated protein, protein disulfide-
isomerase (P4HB), demonstrated a strong correlation
with LGALS1 in both groups, with Pearson correlation
coefficients of 0.91 and 0.83, respectively. In the case of
downregulated proteins, apolipoprotein C-III (APOC3)
and desmoglein-1 (DSG1) displayed a positive correla-
tion in the NONE group (R = 0.38) but a negative correla-
tion in the SENS group (R = -0.21). Both apolipoprotein
A-II (APOA2) and apolipoprotein C-II (APOC2) were
downregulated in both groups and exhibited similar cor-
relations (Fig. 4D). These correlation patterns suggest
that no single protein consistently changes in response
to FOLFOX treatment in CRC patients. However, due
to the lack of healthy individuals’ samples and limited
follow-up data, we were unable to directly assess the
survival impact of these corresponding genes. To gain
insights into the potential survival impact, we examined To explore patterns of protein expression across the
patient cohorts, we performed hierarchical clustering of
804 quantified proteins filtered out from 831 proteins,
in which proteins exhibited more than a 30% missing
value rate across all samples were removed, visualized
as a heatmap in Fig. 4A. Interestingly, this unsupervised
analysis identified two significant clusters (circled and
labeled), demonstrating distinct expression profiles in
part of the NONE group and SENS group, respectively. Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics Page 8 of 13 A Comparison Group SENS and group NONE with Benjamin-Hochberg FDR corrected t-test p value (< 0.05) passing proteins. The
ntal axis is all 90 samples analyzed in the study and vertical axis listed all quantified 804 proteins. Dendrogram for samples is shown on
heatmap, and the NONE group in green squares and the SENS group in red squares. Plasma proteome profiling of CRC patients undergoing
FOLFOX chemotherapyh The dark blue to dark red color gradient denotes l
er expression. B Protein correlation of two selected cluster from heatmap significant enrichment. Co-regulated proteins labeled the sa
Red and blue colored proteins present positive and negative correlated with group separation, respectively.C Boxplot of highly regulat
n expression, C1QA and LGALS1 for up-regulated; APOC3 and DSG1 for down-regulated. SENS group colored in red, and NONE group c
. D Scatter plot between up regulated proteins C1QA and LGALS1, and Down regulated proteins APOC3 and DSG1, respectively. Dots
of protein expression with a shadow of 95% confident interval Fig. 4 A Comparison Group SENS and group NONE with Benjamin-Hochberg FDR corrected t-test p value (< 0.05) passing proteins. The
horizontal axis is all 90 samples analyzed in the study and vertical axis listed all quantified 804 proteins. Dendrogram for samples is shown on top
of the heatmap, and the NONE group in green squares and the SENS group in red squares. The dark blue to dark red color gradient denotes lower
to higher expression. B Protein correlation of two selected cluster from heatmap significant enrichment. Co-regulated proteins labeled the same
color. Red and blue colored proteins present positive and negative correlated with group separation, respectively.C Boxplot of highly regulated
protein expression, C1QA and LGALS1 for up-regulated; APOC3 and DSG1 for down-regulated. SENS group colored in red, and NONE group colored
in blue. D Scatter plot between up regulated proteins C1QA and LGALS1, and Down regulated proteins APOC3 and DSG1, respectively. Dots are
values of protein expression with a shadow of 95% confident interval Fig. 4 A Comparison Group SENS and group NONE with Benjamin-Hochberg FDR corrected t-test p value (< 0.05) passing proteins. The
horizontal axis is all 90 samples analyzed in the study and vertical axis listed all quantified 804 proteins. Dendrogram for samples is shown on top
of the heatmap, and the NONE group in green squares and the SENS group in red squares. The dark blue to dark red color gradient denotes lower
to higher expression. B Protein correlation of two selected cluster from heatmap significant enrichment. Co-regulated proteins labeled the same
color. Red and blue colored proteins present positive and negative correlated with group separation, respectively.C Boxplot of highly regulated
protein expression, C1QA and LGALS1 for up-regulated; APOC3 and DSG1 for down-regulated. SENS group colored in red, and NONE group colored
in blue. Plasma proteome profiling of CRC patients undergoing
FOLFOX chemotherapyh The results, shown in Additional file 1: Fig. S1, indicated
that low expression of C1QA and LGALS1 was associ-
ated with better patient survival, whereas high expression
of P4HB was related to longer survival. It is important
to note that individual gene expression patterns may not
precisely align with the plasma protein expression pro-
files observed in our study. This discrepancy could be
attributed to differences between tissue leakage proteins
in plasma and solid tumors themselves. Additionally, pro-
teins may be subject to multiple regulations in response
to FOLFOX treatment, and individual gene expression
alone may not solely impact DFS. Further investigations
and validations are warranted to understand the potential
survival impact and clinical significance of these proteins
in CRC patients undergoing FOLFOX chemotherapy
(Additional files 2, 4). Plasma proteome profiling of CRC patients undergoing
FOLFOX chemotherapyh D Scatter plot between up regulated proteins C1QA and LGALS1, and Down regulated proteins APOC3 and DSG1, respectively. Dots are
values of protein expression with a shadow of 95% confident interval Page 9 of 13 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics the disease-free survival (DFS) curve of these genes on
gene expression profiling interactive analysis (GEPIA). The results, shown in Additional file 1: Fig. S1, indicated
that low expression of C1QA and LGALS1 was associ-
ated with better patient survival, whereas high expression
of P4HB was related to longer survival. It is important
to note that individual gene expression patterns may not
precisely align with the plasma protein expression pro-
files observed in our study. This discrepancy could be
attributed to differences between tissue leakage proteins
in plasma and solid tumors themselves. Additionally, pro-
teins may be subject to multiple regulations in response
to FOLFOX treatment, and individual gene expression
alone may not solely impact DFS. Further investigations
and validations are warranted to understand the potential
survival impact and clinical significance of these proteins
in CRC patients undergoing FOLFOX chemotherapy
(Additional files 2, 4). possibility of predicting the curative effect of FOLFOX
treatment on Stage II/III CRC patients. For this analysis,
we utilized the 115 dysregulated proteins as signatures. The samples were randomly divided into two sets, with
40 SENS group and 20 NONE group samples used as
the training set, and the remaining samples as the vali-
dation set. We generated multiple models with varying
numbers of features (1 to 115) based on fivefold cross-
validation (Fig. 5A). The generated models exhibited
excellent performance, as evaluated using the receiver
operating characteristic (ROC) curve. After thorough
evaluation, we selected the model consisting of 25 pref-
erential variables, which achieved an area under the ROC
curve (AUC) of 0.908, with a 95% confidence interval of
0.742–0.997. This selected model demonstrated high
accuracy, correctly classifying most of the patients into
their respective groups. Only 4 SENS group and 2 NONE
group patients were misclassified, resulting in over 93%
accuracy (Fig. 5B). The top 20 protein signatures of this
selected model are shown in Fig. 5C. Among these sig-
natures, protein S100 calcium-binding protein A4
(S100A4) emerged as the most important variable, and it
has been previously reported as a prognostic biomarker the disease-free survival (DFS) curve of these genes on
gene expression profiling interactive analysis (GEPIA). Prognostic prediction of FOLFOX‑treated CRC patients
by machine learning In our study, we employed a hypothesis-free machine
learning method called Random Forest to explore the Fig. 5 Machine Learning model. A ROC curve based on fivefold cross validation repeated 3 times. Each string represents a model
with corresponding variables. B Classifier of predicted class probabilities for each sample. C Significant Features selected by Mean Decrease Gini
index after 5-cross validation. 15 selected proteins are shown Fig. 5 Machine Learning model. A ROC curve based on fivefold cross validation repeated 3 times. Each string represents a model
with corresponding variables. B Classifier of predicted class probabilities for each sample. C Significant Features selected by Mean Decrease Gini
index after 5-cross validation. 15 selected proteins are shown Wang et al. Clinical Proteomics (2024) 21:27 Page 10 of 13 Page 10 of 13 Wang et al. Clinical Proteomics (2024) 21:27 for colorectal cancer [27]. Another important signature,
LGALS1, is known to undergo significant changes dur-
ing colorectal cancer development and metastasis, and it
has been implicated in various normal and pathological
processes [25, 28]. Fatty acid-binding protein 5 (FABP5),
a fatty acid-binding protein, was also identified as a cru-
cial signature in the model and has been recognized as a
novel target for its regulatory role in lipid metabolism in
colorectal cancer [29]. Furthermore, a panel of 9 proteins
was selected based on their high Gini index (higher than
1.3). This panel included highly up-regulated proteins
such as LGALS1, S100A4, large ribosomal subunit pro-
tein uL11 (RPL12), and heat shock protein HSP 90-beta
(HSP90AB1), highly down-regulated proteins like FABP5
and type I cytoskeletal 16 (KRT16), and slightly down-
regulated proteins APOA2, APOC3, and junction pla-
koglobin (JUP). This combination of biomarker panels
holds significant potential as a powerful prediction model
for assessing the curative effect of FOLFOX treatment in
CRC patients. Overall, our machine learning approach
using the plasma proteome data has demonstrated prom-
ising results for predicting treatment outcomes in CRC
patients undergoing FOLFOX chemotherapy. However,
further validation studies with larger patient cohorts are
essential to establish the clinical utility and robustness of
this prediction model. validation provides additional evidence for the reliability
and accuracy of our prediction model. In conclusion, the
use of PRM validation in our study further supports the
potential clinical utility of the identified protein panel as
a powerful tool for assessing treatment outcomes in CRC
patients undergoing FOLFOX chemotherapy. Prognostic prediction of FOLFOX‑treated CRC patients
by machine learning However,
further validation in larger patient cohorts and additional
functional studies will be essential to fully establish the
clinical value of these protein markers. Discussion In this study, we utilized a plasma proteomics approach
using the SISPROT-DIA workflow and LC–MS/MS tech-
nology to investigate post-diagnosis II/III stage CRC
patients treated with FOLFOX chemotherapy. Profiling
the plasma proteome allowed us to explore disease pro-
gression and identify potential diagnostic methods for
new biomarkers to evaluate long-term treatment and
predict treatment efficacy. By analyzing protein regula-
tion in the SENS and NONE groups, we developed a
protein panel that effectively classified and predicted the
outcomes of FOLFOX treatment. While some proteins in
the panel were validated, further validation using addi-
tional methods, such as isotopic labeling peptides for
absolute quantification or ELISA with a larger cohort of
patients, is needed to enhance the robustness and reli-
ability of the panel. Considering the longitudinal changes
in the protein panel as patients undergo long-term FOL-
FOX chemotherapy is essential. Monitoring the dynamic
changes in the panel over time could provide valuable
insights into treatment effectiveness and guide potential
treatment adjustments. Collecting samples at different
time points during treatment would offer a more com-
prehensive understanding of treatment responses. More-
over, to improve the clinical relevance of our findings,
collecting more clinical information beyond traditional
tumor markers (CEA, CA19-9, and CA125) is important. For example, incorporating the neutrophil-albumin ratio
(NAR) as a prognostic signature for CRC patients after
surgery could provide additional valuable data. Including
more detailed clinical information and patient classifica-
tion would contribute to a more comprehensive analysis. For instance, location of CRC tumor could induce bias
in plasma proteome [30]. Integration of genomics and
metabolomics data with proteomics through multi-omics
approaches [31, 32] could provide more accurate insights. The use of advanced artificial intelligence and machine
learning algorithms with these multidimensional data-
sets could enhance biomarker discovery and predictive
modeling. Increasing the sample size, applying appropri-
ate statistical analyses, and validating findings through
multiple independent approaches are crucial to ensuring
robust and reliable conclusions. Despite its limitations, Supplementary Information our MS-based proteomics workflow demonstrates its
feasibility for biomarker discovery. Our study emphasizes
the essential role of proteomics in identifying poten-
tial biomarkers for predicting the response to FOLFOX
treatment in CRC patients. The integration of sophisti-
cated LC–MS/MS and machine learning methodologies
has the potential for developing a robust protein panel. Our ultimate goal is to translate these proteomic insights
into a practical and reliable predictive tool. Such a tool
could significantly empower oncologists to accurately
prognosticate the efficacy of FOLFOX treatment on an
individualized basis, thereby enhancing treatment deci-
sion-making and optimizing therapeutic outcomes for
CRC patients. Supplementary Information
The online version contains supplementary material available at https://doi.
org/10.1186/s12014-024-09454-z. Additional file 1: Figure S1. Disease free survival of C1QA, LGALS1 and
P4HB. Additional file 2: Table S1. Characteristics of recruited patients. Additional file 3: Table S2. Original quantitative data matrix. Additional file 4: Table S3. Pathway enrichment. Parallel reaction monitoring (PRM) validation Parallel reaction monitoring (PRM) validation
Parallel reaction monitoring (PRM) is a targeted mass
spectrometry-based method that allows for precise and
sensitive quantification of specific peptides or proteins
in complex biological samples. In our study on predict-
ing the curative effect of FOLFOX treatment on CRC
patients, PRM validation is a crucial step in confirming
the significance and reliability of the identified protein
panel. To validate the findings from the discovery cohort,
we collected a new cohort of 26 CRC patients, includ-
ing 13 patients in the SENS group and 13 in the NONE
group. We selected targeted peptides for the panel of 9
proteins identified in the discovery cohort. An example
of the APOC3 peptide transition peak and quantification
analysis is illustrated in Fig. 6A, B. By comparing the pro-
tein abundance in the two groups across these 9 proteins
(Fig. 6C), we observed significant changes in 6 proteins. Notably, a panel of 5 proteins, namely S100A4, RL12,
KRT16, HSP90AB1 and APOC3, exhibited expression
changes consistent with the results obtained from the
machine learning analysis, with 3 of these proteins show-
ing statistical significance. The PRM validation results
strengthen the robustness of our identified protein panel
as potential biomarkers for predicting the curative effect
of FOLFOX treatment in CRC patients. The concord-
ance between the machine learning analysis and the PRM Page 11 of 13 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics Fig. 6 PRM validation. A Transitions of peptide GWVTDGFSSLK selected for quantification. B Quantification of peptide GWVTDGFSSLK. Each color
presents a transition ion and corresponding bar graph presents peak area values. C Protein Abundance comparison across 26 validated samples
including 13 SENS and 13 NONE group samples respectively Fig. 6 PRM validation. A Transitions of peptide GWVTDGFSSLK selected for quantification. B Quantification of peptide GWVTDGFSSLK. Each color
presents a transition ion and corresponding bar graph presents peak area values. C Protein Abundance comparison across 26 validated samples
including 13 SENS and 13 NONE group samples respectively Supplementary Information Funding 10. Rothé F, Maetens M, Rouas G, Paesmans M, Van den Eynde M, Van Lae-
them JL, Vergauwe P, Deboever G, Bareche Y, Vandeputte C, et al. CTCs
as a prognostic and predictive biomarker for stage II/III Colon Cancer: a
companion study to the PePiTA trial. BMC Cancer. 2019;19(1):304. This work was supported by grants from the National Natural Science Founda-
tion of China (32171433, 22125403, 22074060, 22150610470, and 92253304),
the China Postdoctoral Science Foundation (2021M701410), the China State
Key Basic Research Program Grants (2021YFA1301601, 2021YFA1302603,
2021YFA1301602, 2020YFE0202200, and 2022YFC3401104), and the Shenzhen
Innovation of Science and Technology Commission (JCYJ20200109140814408,
JCYJ20210324120210029 and JCYJ20200109141212325). companion study to the PePiTA trial. BMC Cancer. 2019;19(1):304. 11. Geyer PE, Kulak NA, Pichler G, Holdt LM, Teupser D, Mann M. Plasma
proteome profiling to assess human health and disease. Cell Syst. 2016;2(3):185–95. 12. Geyer PE, Holdt LM, Teupser D, Mann M. Revisiting biomarker discovery
by plasma proteomics. Mol Syst Biol. 2017;13(9):942. Declarations 15. Niu L, Thiele M, Geyer PE, Rasmussen DN, Webel HE, Santos A, Gupta R,
Meier F, Strauss M, Kjaergaard M, et al. Noninvasive proteomic biomark-
ers for alcohol-related liver disease. Nat Med. 2022;28(6):1277–87. Acknowledgements This work was supported by grants from the National Natural Science Founda-
tion of China (32171433, 22125403, 22074060, 22150610470, and 92253304),
the China Postdoctoral Science Foundation (2021M701410), the China State
Key Basic Research Program Grants (2021YFA1301601, 2021YFA1302603, Page 12 of 13 Page 12 of 13 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics 2021YFA1301602, 2020YFE0202200, and 2022YFC3401104), and the Shenzhen
Innovation of Science and Technology Commission (JCYJ20200109140814408,
JCYJ20210324120210029 and JCYJ20200109141212325). 7. Noh OK, Oh SY, Kim YB, Suh KW. Prognostic significance of lymphocyte
counts in colon cancer patients treated with FOLFOX chemotherapy. World J Surg. 2017;41(11):2898–905. 8. Kim S, Kang SI, Kim S, Kim JH. Prognostic implications of chemother-
apy-induced neutropenia in stage III colorectal cancer. J Surg Res. 2021;267:391–6. Availability of data and materials 13. Choi JW, Liu H, Shin DH, Yu GI, Hwang JS, Kim ES, Yun JW. Proteomic
and cytokine plasma biomarkers for predicting progression from
colorectal adenoma to carcinoma in human patients. Proteomics. 2013;13(15):2361–74. The mass spectrometry proteomics data have been deposited to the
ProteomeXchange Consortium via the PRIDE partner repository with the
dataset identifier PXD044201. Reviewer account details: Username: reviewer_
pxd044201@ebi.ac.uk Password: 3qlmcN0G. 14. Bedin C, Crotti S, Ragazzi E, Pucciarelli S, Agatea L, Tasciotti E, Ferrari
M, Traldi P, Rizzolio F, Giordano A, et al. Alterations of the plasma
peptidome profiling in colorectal cancer progression. J Cell Physiol. 2016;231(4):915–25. Ethics approval and consent to participate All procedures performed in studies involving animals were in accordance
with the ethical standards of the institution or practice at which the studies
were conducted, and with the 1964 Helsinki declaration and its later amend-
ments or comparable ethical standards. 16. Chen W, Wang S, Adhikari S, Deng Z, Wang L, Chen L, Ke M, Yang P, Tian
R. Simple and integrated spintip-based technology applied for deep
proteome profiling. Anal Chem. 2016;88(9):4864–71. 17. Xue L, Lin L, Zhou W, Chen W, Tang J, Sun X, Huang P, Tian R. Mixed-mode ion exchange-based integrated proteomics technol-
ogy for fast and deep plasma proteome profiling. J Chromatogr A. 2018;1564:76–84. Author details
1 18. Lin L, Zheng J, Yu Q, Chen W, Xing J, Chen C, Tian R. High throughput
and accurate serum proteome profiling by integrated sample prepara-
tion technology and single-run data independent mass spectrometry
analysis. J Proteomics. 2018;174:9–16. 1 The Second Clinical Medical College of Jinan University, the First Affiliated
Hospital of Southern University of Science and Technology, Shenzhen People’s
Hospital, Shenzhen 518020, China. 2 The First Affiliated Hospital, Jinan Uni-
versity, Guangzhou 510632, China. 3 Department of Chemistry and Research
Center for Chemical Biology and Omics Analysis, School of Science, Southern
University of Science and Technology, Shenzhen 518055, China. y
19. Su T, Zhong Y, Zeng W, Zhang Y, Wang S, Cheng J, Yang H, Wei Y, Gong
M. A comparative study of data-dependent acquisition and data-
independent acquisition in proteomics analysis of clinical lung cancer
tissues constrained by blood contamination. Proteomics Clin Appl. 2022;16(3): e2000099. Received: 3 August 2023 Accepted: 24 January 2024 20. Mann M, Kumar C, Zeng WF, Strauss MT. Artificial intelligence for prot-
eomics and biomarker discovery. Cell Syst. 2021;12(8):759–70. 21. Sun Y, Selvarajan S, Zang Z, Liu W, Zhu Y, Zhang H, Chen W, Chen H, Li L,
Cai X, et al. Artificial intelligence defines protein-based classification of
thyroid nodules. Cell Discov. 2022;8(1):85. Author contributions XW and KZ: conceptualization, methodology, investigation, and writing—orig-
inal draft. LZ: sample collection. HW and BG: resources. RX and RT: supervision. RX and RT: conceptualization, writing—review and editing, and supervision. 9. Malla M, Loree JM, Kasi PM, Parikh AR. Using circulating tumor DNA
in colorectal cancer: current and evolving practices. J Clin Oncol. 2022;40(24):2846–57. Competing interests RT is the founder of BayOmics. 6.
Zhou W, Yang F, Peng J, Wang F, Lin Y, Jiang W, Yang X, Li L, Lu Z, Wan D,
et al. High pretreatment serum CA19-9 level predicts a poor prognosis
for patients with stage III colon cancer after curative resection and
adjuvant chemotherapy. J Cancer. 2019;10(16):3810–8. References 22. Robin X, Turck N, Hainard A, Tiberti N, Lisacek F, Sanchez JC, Müller M. pROC: an open-source package for R and S+ to analyze and compare
ROC curves. BMC Bioinform. 2011;12:77. 1. Siegel RL, Miller KD, Wagle NS, Jemal A. Cancer statistics, 2023. CA
Cancer J Clin. 2023;73(1):17–48. 1. Siegel RL, Miller KD, Wagle NS, Jemal A. Cancer statistics, 2023. CA
Cancer J Clin. 2023;73(1):17–48. 2. Grávalos C, García-Escobar I, García-Alfonso P, Cassinello J, Malón D,
Carrato A. Adjuvant chemotherapy for stages II, III and IV of colon
cancer. Clin Transl Oncol. 2009;11(8):526–33. 2. Grávalos C, García-Escobar I, García-Alfonso P, Cassinello J, Malón D,
Carrato A. Adjuvant chemotherapy for stages II, III and IV of colon
cancer. Clin Transl Oncol. 2009;11(8):526–33. 23. Hassn Mesrati M, Syafruddin SE, Mohtar MA, Syahir A. CD44: a
multifunctional mediator of cancer progression. Biomolecules. 2021;11(12):1850. 3. Shibutani M, Maeda K, Kashiwagi S, Hirakawa K, Ohira M. Effect of
adjuvant chemotherapy on survival of elderly patients with stage III
colorectal cancer. Anticancer Res. 2021;41(7):3615. 24. Bensard CL, Wisidagama DR, Olson KA, Berg JA, Krah NM, Schell JC,
Nowinski SM, Fogarty S, Bott AJ, Wei P, et al. Regulation of tumor initia-
tion by the mitochondrial pyruvate carrier. Cell Metab. 2020;31(2):284-
300.e287. 4. Huang JH, Liu HS, Hu T, Zhang ZJ, He XW, Mo TW, Wen XF, Lan P, Lian L,
Wu XR. Elevated preoperative CA125 is associated with poor survival in
patients with metastatic colorectal cancer undergoing primary tumor
resection: a retrospective cohort study. Gastroenterol Rep. 2022;10:20. 4. Huang JH, Liu HS, Hu T, Zhang ZJ, He XW, Mo TW, Wen XF, Lan P, Lian L,
Wu XR. Elevated preoperative CA125 is associated with poor survival in
patients with metastatic colorectal cancer undergoing primary tumor
resection: a retrospective cohort study. Gastroenterol Rep. 2022;10:20. 25. Cagnoni AJ, Giribaldi ML, Blidner AG, Cutine AM, Gatto SG, Morales
RM, Salatino M, Abba MC, Croci DO, Mariño KV, et al. Galectin-1 fosters
an immunosuppressive microenvironment in colorectal cancer by
reprogramming CD8(+) regulatory T cells. Proc Natl Acad Sci USA. 2021;118(21): e2102950118. 5. Konishi T, Shimada Y, Hsu M, Tufts L, Jimenez-Rodriguez R, Cercek A,
Yaeger R, Saltz L, Smith JJ, Nash GM, et al. Association of preoperative
and postoperative serum carcinoembryonic antigen and colon cancer
outcome. JAMA Oncol. 2018;4(3):309–15. 26. Bader GD, Hogue CW. An automated method for finding molecular
complexes in large protein interaction networks. BMC Bioinform. 2003;4:2. References 6. Zhou W, Yang F, Peng J, Wang F, Lin Y, Jiang W, Yang X, Li L, Lu Z, Wan D,
et al. High pretreatment serum CA19-9 level predicts a poor prognosis
for patients with stage III colon cancer after curative resection and
adjuvant chemotherapy. J Cancer. 2019;10(16):3810–8. 6. Zhou W, Yang F, Peng J, Wang F, Lin Y, Jiang W, Yang X, Li L, Lu Z, Wan D,
et al. High pretreatment serum CA19-9 level predicts a poor prognosis
for patients with stage III colon cancer after curative resection and
adjuvant chemotherapy. J Cancer. 2019;10(16):3810–8. 27. Destek S, Gul VO. S100A4 may be a good prognostic marker and a
therapeutic target for colon cancer. J Oncol. 2018;2018:1828791. Page 13 of 13 Wang et al. Clinical Proteomics (2024) 21:27 Wang et al. Clinical Proteomics (2024) 21:27 28. Barrow H, Rhodes JM, Yu LG. The role of galectins in colorectal cancer
progression. Int J Cancer. 2011;129(1):1–8. 29. Ye M, Hu C, Chen T, Yu P, Chen J, Lu F, Xu L, Zhong Y, Yan L, Kan J,
et al. FABP5 suppresses colorectal cancer progression via mTOR-
mediated autophagy by decreasing FASN expression. Int J Biol Sci. 2023;19(10):3115–27. 30. Holm M, Joenväärä S, Saraswat M, Tohmola T, Ristimäki A, Renkonen
R, Haglund C. Plasma protein expression differs between colorectal
cancer patients depending on primary tumor location. Cancer Med. 2020;9(14):5221–34. 31. Rappoport N, Shamir R. Multi-omic and multi-view clustering
algorithms: review and cancer benchmark. Nucleic Acids Res. 2018;46(20):10546–62. 32. Nicora G, Vitali F, Dagliati A, Geifman N, Bellazzi R. Integrated multi-omics
analyses in oncology: a review of machine learning methods and tools. Front Oncol. 2020;10:1030. Wang et al. Clinical Proteomics (2024) 21:27 Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in pub-
lished maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in pub-
lished maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in pub-
lished maps and institutional affiliations.
|
https://openalex.org/W4319293899
|
https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0268607&type=printable
|
English
| null |
Nitrogen palaeo-isoscapes: Changing spatial gradients of faunal δ15N in late Pleistocene and early Holocene Europe
|
PloS one
| 2,023
|
cc-by
| 11,964
|
PLOS ONE RESEARCH ARTICLE Abstract Nitrogen isotope ratio analysis (δ15N) of animal tissue is widely used in archaeology and
palaeoecology to investigate diet and ecological niche. Data interpretations require an
understanding of nitrogen isotope compositions at the base of the food web (baseline δ15N). Significant variation in animal δ15N has been recognised at various spatiotemporal scales
and related to changes both in baseline δ15N, linked to environmental and climatic influence
on the terrestrial nitrogen cycle, and animal ecology. Isoscapes (models of isotope spatial
variation) have proved a useful tool for investigating spatial variability in biogeochemical
cycles in present-day marine and terrestrial ecosystems, but so far, their application to
palaeo-data has been more limited. Here, we present time-sliced nitrogen isoscapes for late
Pleistocene and early Holocene Europe (c. 50,000 to 10,000 years BP) using herbivore col-
lagen δ15N data. This period covers the Last Glacial-Interglacial Transition, during which
significant variation in the terrestrial nitrogen cycle occurred. We use generalized linear
mixed modelling approaches for interpolation and test models which both include and
exclude climate covariate data. Our results show clear changes in spatial gradients of δ15N
through time. Prediction of the lowest faunal δ15N values in northern latitudes after, rather
than during, the Last Glacial Maximum is consistent with the Late Glacial Nitrogen Excursion
(LGNE). We find that including climatic covariate data does not significantly improve model
performance. These findings have implications for investigating the drivers of the LGNE,
which has been linked to increased landscape moisture and permafrost thaw, and for under-
standing changing isotopic baselines, which are fundamental for studies investigating diets,
niche partitioning, and migration of higher trophic level animals. Editor: Luca Bondioli, University of Padova:
Universita degli Studi di Padova, ITALY Editor: Luca Bondioli, University of Padova:
Universita degli Studi di Padova, ITALY
Received: May 3, 2022
Accepted: January 22, 2023
Published: February 6, 2023 Editor: Luca Bondioli, University of Padova:
Universita degli Studi di Padova, ITALY Received: May 3, 2022
Accepted: January 22, 2023
Published: February 6, 2023 Copyright: © 2023 Reade 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. Data will also be available on the open access
IsoArch repository after acceptance: https://
isoarch.eu/. OPEN ACCESS Citation: Reade H, Tripp JA, Fre´mondeau D, Sayle
KL, Higham TFG, Street M, et al. (2023) Nitrogen
palaeo-isoscapes: Changing spatial gradients of
faunal δ15N in late Pleistocene and early Holocene
Europe. PLoS ONE 18(2): e0268607. https://doi. org/10.1371/journal.pone.0268607 Hazel ReadeID1*, Jennifer A. Tripp1¤a, Delphine Fre´mondeau1, Kerry L. SayleID2, Thomas
F. G. Higham3¤b¤c, Martin Street4, Rhiannon E. Stevens1 1 UCL Institute of Archaeology, University College London, London, United Kingdom, 2 Scottish Universities
Environmental Research Centre, Glasgow, United Kingdom, 3 Research Laboratory for Archaeology and the
History of Art, University of Oxford, Oxford, United Kingdom, 4 Ro¨misch-Germanisches Zentralmuseum,
Forschungsinstitut fu¨r Archa¨ologie Kompetenzbereich Pleistoza¨ne und Fru¨hholoza¨ne Archa¨ologie, Neuwied,
Germany a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 ¤a Current address: Department of Chemistry, University of San Francisco, San Francisco, California, United
States of America. States of America. ¤b Current address: Department of Evolutionary Anthropology, Faculty of Life Sciences, University of
Vienna, Vienna, Austria. ¤c Current address: Human Evolution and Archaeological Sciences (HEAS), University of Vienna, Vienna,
A
i ¤b Current address: Department of Evolutionary Anthropology, Faculty of Life Sciences, University of
Vienna, Vienna, Austria. ¤c Current address: Human Evolution and Archaeological Sciences (HEAS), University of Vienna, Vienna,
Austria. * h.reade@ucl.ac.uk Nitrogen palaeo-isoscapes: Changing spatial
gradients of faunal δ15N in late Pleistocene
and early Holocene Europe Hazel ReadeID1*, Jennifer A. Tripp1¤a, Delphine Fre´mondeau1, Kerry L. SayleID2, Thomas
F. G. Higham3¤b¤c, Martin Street4, Rhiannon E. Stevens1 PLOS ONE PLOS ONE 1. Introduction Nitrogen isotope ratio analysis (expressed as δ15N) of biological tissue is frequently used in
archaeology and palaeoecology to investigate dietary behaviours, ecological niche, and past
food webs [1–3]. Specifically, δ15N is used to infer information about trophic structures. Obtaining reliable estimations of faunal trophic position requires understanding of the isotope
compositions at the base of the food web. In other words, knowledge of the plant and soil δ15N
values upon which the fauna lived and fed (hereafter termed baseline δ15N). However, this
information is not usually readily obtainable from archaeological or palaeontological contexts,
where the preservation of plant and/or soil material suitable for analysis can be limited. More-
over, plant and soil δ15N is highly heterogeneous and is not static in space or time, complicat-
ing inferences of baseline δ15N available to fauna. g
Many interconnected factors exert influence on plant and soil δ15N and nitrogen cycling in
the terrestrial environment [4]. These relate to climate, plant functional type, mycorrhizal
associations, soil characteristics, and the availability of different forms of nitrogen [5–8]. On
global and continental scales strong, albeit indirect, relationships exist between plant δ15N and
temperature and precipitation [6, 7]. These relationships are also expressed over smaller spatial
scales with strong altitudinal gradients [9, 10]. Likewise, such spatial relationships are also rep-
resented in faunal δ15N values [9, 11, 12]. However, differences in dietary and mobility behav-
iours between different species, populations, and individuals introduce additional variations
into the faunal δ15N signal [1, 3]. Indeed, while δ15N analysis of biological tissues is frequently
used in archaeology and palaeoecology to investigate dietary behaviours and ecological niche,
our ability to decipher environmental influence from feeding behaviour remains an ongoing
challenge. On long timescales (103 to 105 years) significant temporal variation has been identified in
herbivore δ15N [13–25]. This variation has been interpreted as representing changes to base-
line δ15N in response to climatic and environmental drivers. Most notably, a large decrease
and then rapid increase in herbivore δ15N occurred during the Late Glacial, between approxi-
mately 17,000- and 12,000-years before present (BP) [15–17, 20–23, 25, 26]. This trend occurs
in multiple species, across a wide range of mid and high latitude environments and in recent
years has been termed the Late Glacial Nitrogen Excursion (LGNE) [25]. As the body of late
Pleistocene herbivore δ15N data has grown, spatial and temporal asynchronicities in the LGNE
are becoming increasingly apparent [3, 25]. Abstract Funding: This research was funded by an
European Research Council (https://erc.europa.eu/)
Consolidator Grant awarded to RS (Grant No. 617777). The funder had no role in study design,
data collection and analysis, decision to publish, or
preparation of the manuscript. 1 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes 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. PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 2.1 Data compilation Newly generated and previously published ungulate herbivore collagen δ15N from late Pleisto-
cene and early Holocene European contexts were compiled for latitudes between 35˚N and
60˚N and longitudes between 10˚W and 30˚E. Temporal scope was restricted to before the 8.2
ka BP climatic event [32], to avoid capturing human-influence on baseline δ15N that occurred
through agricultural developments with the onset of the Neolithic [33, 34], and after 50 ka BP,
which is nearing the current limit of radiocarbon dating and calibration [35]. Data come from
both archaeological and palaeontological assemblages. Latitude and longitude were established
for each sample based on published information. For most samples, a latitude and longitude
was either directly given for that sample in the publication of the δ15N data, or for the site from
which the sample came. In some instances, latitude and longitude were estimated based on a
publication’s description of the site location/map given in that publication. We believe the
resultant compilation (n = 3,733) captures the majority of available ungulate δ15N data from
the time period and geographical region of focus, enabling major spatial and temporal trends
in δ15N to be evaluated. In screening the data we exclude δ15N with an associated C/N atomic ratio <2.9 or >3.6,
where a C/N atomic ratio was not published, or where the data publication indicated the result
was unreliable (n = 91). We exclude data where taxonomic identification was uncertain
(n = 43) or where samples came from juvenile animals (n = 14). All antler (n = 110) and tooth
(n = 46) samples from Cervid species (Alces alces, Capreolus capreolus, Cervus elaphus, Megalo-
ceros giganticus, Rangifer tarandus, and Rupicapra rupicapra) were excluded to limit seasonal
biasing in the data [36–39]. Finally, any data which were identified as duplicate analyses on the
same sample/individual animal were omitted (n = 336). Compiled data were divided into 7 temporal bins (Table 1); to minimise the potential of
averaging data across different climatic states/environmental conditions, whilst not overly lim-
iting the number of data included in each time bin, we base our time bins on known major cli-
matic events [40, 41]. tps://doi.org/10.1371/journal.pone.0268607.t001 1. Introduction Similarly, significant differences in species-specific
δ15N variation are also recognised [1, 3]. Through this increasing body of data, significant new opportunities to investigate spatio-
temporal patterns in herbivore δ15N and the underlying controls of this variation are emerg-
ing. Isoscape approaches (modelling of isotope spatial variation) have proved useful tools for
investigating isotopic spatial variability in present-day marine and terrestrial ecosystems but
are yet to be widely and routinely applied to palaeo-focused research [27–30]. Here, we create
time-sliced isoscape prediction maps of herbivore collagen δ15N through the late Pleistocene
and early Holocene periods in Europe. Time-sliced spatial interpolation offers the potential to
assess changing spatial gradients of δ15N through time. Combining this analysis with high res-
olution climate model data [31] opens up a significant new avenue of research through which
the potential drivers of the LGNE can be investigated. Improved characterisation of spatiotem-
poral trends in herbivore δ15N may also ultimately contribute to more robust trophic structure
analysis of archaeological and palaeontological materials. This is particularly important as
many palaeo-focused studies use herbivore δ15N, in the absence of suitable plant samples, to
infer baseline δ15N values for terrestrial food web analysis and in the interpretation of data
from higher trophic level animals in relation to mobility, migration, and dietary research. PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 2 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 2.1 Data compilation We recognise that further climate events occurred within our selected
bins, and that their expression is asynchronous across the region of study, but without a
greater sample size and/or improvements in the accuracy to which sample age can be esti-
mated, analysis at greater temporal resolution is not possible. In particular, the earliest of our
two bins (early Oxygen Isotope Stage 3 (EOIS3) and late Oxygen Isotope Stage 3 (LOIS3)) cap-
ture data from multiple different climate states. For directly radiocarbon dated samples, cali-
bration was performed using OxCal (version 4.4) [42] and the IntCal20 calibration curve [35]. Dates were binned based on the median of the 95.4% probability calibrated age range. For Table 1. Time bins and climate model time steps used in this study. Time bin (abbreviation)
Upper limit (year cal
BP)
Lower limit (year cal
BP)
Climate model time
step
Early Holocene (EH)
11,650
8,190
11,000
Younger Dryas (YD)
12,850
11,650
12,000
Late Glacial Interstadial (LGI)
14,650
12,850
14,000
Last Glacial Termination (LGT)
19,500
14,650
15,000
Last Glacial Maximum (LGM)
27,500
19,500
24,000
Late Oxygen Isotope Stage 3
(LOIS3)
39,850
27,500
36,000
Early Oxygen Isotope Stage 3
(EOIS3)
50,000
39,850
42,000
https://doi.org/10.1371/journal.pone.0268607.t001 Table 1. Time bins and climate model time steps used in this study. ble 1. Time bins and climate model time steps used in this study. 3 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes samples where age is based on stratigraphic provenance (context dated samples), time bin
assignment was based on the age of the assemblage given in the original publication of the
data, or most recent age model for the site in cases where the chronological position of an
assemblage had been subsequently revised. For data where a secure age assignment could not
be made, or when an age assignment spanned the boundary between two temporal bins, the
data were excluded (n = 375). The resultant screened dataset contained 2,718 δ15N values, as
reported in the Supporting Information (S1 Dataset). In total the data include 717 previously
unpublished δ15N values (n = 470 in the screened data set) and 206 previously unpublished
radiocarbon dates (n = 197 in the screened data set). Methods of sample preparation and anal-
ysis for the newly generated isotope data and radiocarbon determinations are provided in the
Supporting Information (Section 1 in S1 File). 2.1 Data compilation Elevation and bioclimatic covariate data were assembled for each δ15N sample, based on its
geographic origin and time bin assignment. Elevation data was extracted from the Global
Multi-Resolution Terrain Elevation Data 2010 (GMTED2010) model [43]. As this elevation
data is relative to present day sea level, it does not account for temporal changes in sea level or
isostatic changes related to the growth and melting of ice sheets. Bioclimatic data was extracted
from 0.5˚ resolution, biased-corrected combined HadCM3 and HadAM3H time series climate
simulations [31]. Data for these variables is available at a temporal resolution of 1,000-years for
21,000 years BP to present and at 2,000-year intervals prior 21,000 years BP. The distribution
of samples within each time bin was evaluated using 1000-year bins and the modelled time
step most closely corresponding to the greatest prevalence of data within the upper and lower
limit of the event boundary was selected (Table 1). 3.1 Data summary and spatial structure Within the assembled data (n = 2,718) mean δ15N is 4.1 ± 2.0‰, ranging from -0.9‰ to
11.9‰ (S3.1 Table, S3.1 Fig in S1 File). Cluster and outlier analysis (Anselin’s Local Moran)
highlight underlying spatial trends in the data (Fig 1, S3.2 Table in S1 File), with the pattern of
spatial clustering varying by time bin. Specifically, the analysis shows a north-south divide in
clustering of low and high δ15N values respectively, for the LGM, LGT, and LGI time bins. The
approximate latitude of the boundary between low δ15N and high δ15N clusters is at its most
southerly extent during the LGM (Fig 1). The number of spatial outliers also varies by time bin
(S3.2 Table in S1 File). These spatial outliers could indicate incorrect time bin assignment
based on uncertainties in age estimation or could represent true local variability in the faunal
δ15N data produced by localised environmental variation and/or differences in animal ecology. The outliers may also be an artifact of our data aggregation procedure, particularly for the
EOIS3 and LOIS3 time bins which span long periods; it is entirely possible that some samples
in close geographical proximity to one another are temporally disparate, and thus combine
data representing differing climatic/environmental states (Section 3 in S1 File for more
detailed discussion). As our interest is in investigating generalised continental-scale spatial pat-
terns, the decision was taken to omit these outliers (n = 186) from further analysis. All time
bins displayed significant spatial autocorrelation (Global Moran I), indicating systematic spa-
tial variation in the data (S3.2 Table in S1 File). The strength of this spatial relationship varied
in time, being strongest for the Last Glacial Maximum (LGM), Last Glacial Termination
(LGT), Late Glacial Interstadial (LGI) and Younger Dryas (YD) time bins, and weaker for
EOIS3, LOIS3, and early Holocene (EH) time bins. 2.2 Data exploration and analysis Model performance was evaluated using the conditional Akaike Infor-
mation Criterion (cAIC) [49], and the best performing models were then used to predict δ15N
across our study area and visualise these results as time binned δ15N isoscapes (interpolated
prediction and variance surfaces). A workflow for our methodology is reported in Section 5 of
S1 File (S5.1 Fig in S1 File) and full details of the modelling approach is available in Courtiol
and Rousset [47]. 2.2 Data exploration and analysis Using the fit of the
residual dispersion model (fitted using the fitme function in SpaMM [49]) we then predicted a
residual error for each sample location model (using the predict function in SpaMM [49]). This residual error was included in our linear mixed-effects (LMM) mean model, which also
incorporated fixed and random effects [47]. Various mean models fitted to site mean δ15N
were tested (S5.1 Table in S1 File), with different bioclimatic covariate data included as fixed
effects, and the Mate´rn correlation function and sample location as random effects. Combina-
tions of fixed effects were selected for inclusion in the models based on known empirical rela-
tionships between δ15N and environmental variables, and on interrogation of correlations
between faunal δ15N and modelled climatic data, tested with Pearson’s correlation analysis
(Section 4 in S1 File). Model performance was evaluated using the conditional Akaike Infor-
mation Criterion (cAIC) [49], and the best performing models were then used to predict δ15N
across our study area and visualise these results as time binned δ15N isoscapes (interpolated
prediction and variance surfaces). A workflow for our methodology is reported in Section 5 of
S1 File (S5.1 Fig in S1 File) and full details of the modelling approach is available in Courtiol
and Rousset [47]. calculated variance using the restricted maximum likelihood method [47]. We included a
Mate´rn correlation function as a spatially-structured random effect to account for spatial auto-
correlation, and sample location (Site) as an uncorrelated random effect. Using the fit of the
residual dispersion model (fitted using the fitme function in SpaMM [49]) we then predicted a
residual error for each sample location model (using the predict function in SpaMM [49]). This residual error was included in our linear mixed-effects (LMM) mean model, which also
incorporated fixed and random effects [47]. Various mean models fitted to site mean δ15N
were tested (S5.1 Table in S1 File), with different bioclimatic covariate data included as fixed
effects, and the Mate´rn correlation function and sample location as random effects. Combina-
tions of fixed effects were selected for inclusion in the models based on known empirical rela-
tionships between δ15N and environmental variables, and on interrogation of correlations
between faunal δ15N and modelled climatic data, tested with Pearson’s correlation analysis
(Section 4 in S1 File). 2.2 Data exploration and analysis All statistical analyses were performed using the R programming language (version 4.0.4) [44];
the R script is provided in the Supporting Information (S2 Dataset). The compiled data were
first evaluated for potential species-based effects on δ15N related to diet, habitat preference,
and ecology. While differences were identified between species, these were unsystematic, vary-
ing by location and time period (full analysis is reported in Section 2 in S1 File). As such, no
species-based data normalisation procedures were applied prior to geostatistical analysis,
although we also consider scope for species-specific analysis where sample size permits in Dis-
cussion Section 4.2. Spatial structures in the data were evaluated by time bin using Anselin’s Local Moran’s I
and Global Moran’s I tests [45, 46]. Coincident sample points were spatially jittered around
0.1˚ latitude and longitude. Spatial relationships were defined using inverse Euclidean dis-
tance. Row standardization was applied to the spatial weights to account for unequal sample
distribution and corrections based on the False Discovery Rate were applied to cluster and out-
lier p-values to account for spatial dependency. The calculated local Moran’s I index (Ii), z-
score, and adjusted p-value we used to determine clusters and outliers, where a positive Ii
value indicated a sample is surrounded by other samples with similar values, and a negative Ii
value indicated a sample is surround by other samples with dissimilar values. Clusters were
defined as those where positive Ii values occur above a significance threshold of 0.95, and outli-
ers as those where negative Ii values occur above a significance threshold of 0.95. Geostatistical analysis followed a generalised linear mixed-effects model approach
(GLMM), as described by [47, 48] using the R package SpaMM [49]. We first aggregated our
data by sample location, calculating the mean, variance, and number of δ15N observations per
site and time bin. We then fitted the isocape model in a two-step process utilising a residual
dispersion and mean model. Our residual dispersion model is a Gamma GLMM fitted to the PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 4 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes calculated variance using the restricted maximum likelihood method [47]. We included a
Mate´rn correlation function as a spatially-structured random effect to account for spatial auto-
correlation, and sample location (Site) as an uncorrelated random effect. PLOS ONE PLOS ONE Faunal nitrogen palaeo-isoscapes Table 2. Model fit results (cAIC) for faunal nitrogen isoscape prediction models. Model parameters
cAIC
EH
YD
LGI
LGT
LGM
LOIS3
EOIS3
No fixed effects + spatial + site
213.3
77.9
110.5
132.6
54.1
170.2
181.2
MAT + spatial + site
212.7
78.0
110.8
131.8
54.2
170.8
181.0
MAP + spatial + site
210.9
77.9
110.9
132.9
54.3
169.3
181.9
MAT + MAP + spatial + site
210.3
78.1
111.2
132.4
54.3
169.3
181.1
MAT + MAP + MAT:MAP + spatial + site
210.9
78.3
111.6
132.5
54.8
169.7
182.0
temp.warm + spatial + site
211.9
77.7
110.7
131.9
56.6
170.4
181.8
precip.warm + spatial + site
211.4
77.9
110.8
133.1
54.0
169.4
181.6
precip.cold + spatial + site
211.9
78.0
111.1
132.9
53.7
169.9
182.2
temp.warm + precip.warm + spatial + site
210.8
77.8
111.1
132.2
56.4
169.8
182.2
temp.warm + precip.cold + spatial + site
211.2
78.0
111.2
132.1
55.6
170.0
182.7
Precip.cold + precip.warm + spatial + site
211.4
78.1
111.3
133.3
52.9
169.5
182.5
temp.warm + precip.cold + precip.warm + spatial + site
211.2
78.0
111.4
132.4
54.9
169.8
183.0 Table 2. Model fit results (cAIC) for faunal nitrogen isoscape prediction models. Fixed effects tested include mean annual temperature (MAT), mean annual precipitation (MAP), temperature of the warmest quarter (temp.warm), precipitation of the
warmest quarter (precip.warm) and precipitation of the coldest quarter (precip.cold). A spatially-structured random effect following a Mate´rn correlation structure
using latitude and longitude to compute distances between observations (spatial), and an uncorrelated random effect identical for all observations from the same
location (site) were also included. Further fit results are given in Section 5 of S1 File. The best performing model, based on cAIC, is indicated in bold and italics. https://doi.org/10.1371/journal.pone.0268607.t002 quarter (precip.cold) (S4.2–S4.6 Figs in S1 File). Different combinations of these variables
were considered, and model performance was evaluated using the cAIC (Table 2 and Section
5 in S1 File). Given that the strength of correlation with covariate data differed by time bin,
it was unsurprising to find that the best fit model also differed by time bin. For all time bins,
models including bioclimatic fixed effects performed better than the model where no fixed
effects were included, with the exception of the LGI. Fixed effects tested include mean annual temperature (MAT), mean annual precipitation (MAP), temperature of the warmest quarter (temp.warm), precipitation of the
warmest quarter (precip.warm) and precipitation of the coldest quarter (precip.cold). A spatially-structured random effect following a Mate´rn correlation structure
using latitude and longitude to compute distances between observations (spatial), and an uncorrelated random effect identical for all observations from the same
location (site) were also included. Further fit results are given in Section 5 of S1 File. The best performing model, based on cAIC, is indicated in bold and italics. 3.2 Geostatistical analyses: Isoscapes Spatial interpolation was investigated both with and without the inclusion of climate data as
fixed effects (Table 2). In selecting which variables and combinations of variables to test as
fixed effects in the isoscape models, we considered known empirical relationships between
δ15N and climate in the modern environment, the strength of correlations between 5 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes Fig 1. Visualisation of cluster (circles) and outlier (stars) analysis. High δ15N values are indicated in red, low δ15N
values are indicated in blue. Coastline map from [50]. https://doi.org/10.1371/journal.pone.0268607.g001 Fig 1. Visualisation of cluster (circles) and outlier (stars) analysis. High δ15N values are indicated in red, low δ15N
values are indicated in blue. Coastline map from [50]. Fig 1. Visualisation of cluster (circles) and outlier (stars) analysis. High δ15N values are indicated in red, low δ15N
values are indicated in blue. Coastline map from [50]. https://doi.org/10.1371/journal.pone.0268607.g001 https://doi.org/10.1371/journal.pone.0268607.g001 site-mean faunal δ15N and modelled terrestrial climatic variables, and issues of collinearity
between available climatic variables (full analysis reported in Section 4 in S1 File). From this
analysis the variables selected as fixed effects for model testing were mean annual tempera-
ture (MAT), mean annual precipitation (MAP), temperature of the warmest quarter (temp. warm), precipitation of the warmest quarter (precip.warm) and precipitation of the coldest PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 6 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 https://doi.org/10.1371/journal.pone.0268607.t002 PLOS ONE However, for all time bins the changes
in the cAIC criterion between different models were for the most part extremely small
(Table 2), suggesting most models performed similarly well, and the inclusion of bioclimatic
variables did not significantly improve model performance for any time bin. The resultant
isoscape prediction surfaces, both without and with the inclusion of climatic data (Figs 2
and 3), show similar continental-scale spatial patterns of δ15N for most time bins, although
with some notable differences. Importantly, the strength of expression of the north-south
gradients in δ15N is more muted when climatic variables are incorporated, particularly for
LOIS3, the LGT, and the LGI. Greater localised variation in δ15N is also apparent when cli-
matic variables are incorporated, related to localised spatial climatic gradients, such as those
that exist across areas of varying topography (e.g. the Alps mountain range). Prediction vari-
ance surfaces for the two outputs are similar (S5.2 and S5.3 Figs in S1 File), showing variance
ranging from >1.5‰ across much of the prediction area for LOIS3 to <0.5‰ across much
of the prediction area for LGI. Variance is lowest closest to sample locations, but otherwise
does not appear to be spatially structured. Comparison of predicted δ15N values to observed
δ15N values at sample locations also shows for the two outputs that the inclusion bioclimatic
variables did not significantly improve model performance for any time bin (S5.4 and S5.5
in S1 File). Notably the comparison of predicted versus observed δ15N values appears to
show a tendency for some models to systematically under predict high δ15N values and over-
predict low δ15N values. quarter (precip.cold) (S4.2–S4.6 Figs in S1 File). Different combinations of these variables
were considered, and model performance was evaluated using the cAIC (Table 2 and Section
5 in S1 File). Given that the strength of correlation with covariate data differed by time bin,
it was unsurprising to find that the best fit model also differed by time bin. For all time bins,
models including bioclimatic fixed effects performed better than the model where no fixed
effects were included, with the exception of the LGI. However, for all time bins the changes
in the cAIC criterion between different models were for the most part extremely small
(Table 2), suggesting most models performed similarly well, and the inclusion of bioclimatic
variables did not significantly improve model performance for any time bin. PLOS ONE The resultant
isoscape prediction surfaces, both without and with the inclusion of climatic data (Figs 2
and 3), show similar continental-scale spatial patterns of δ15N for most time bins, although
with some notable differences. Importantly, the strength of expression of the north-south
gradients in δ15N is more muted when climatic variables are incorporated, particularly for
LOIS3, the LGT, and the LGI. Greater localised variation in δ15N is also apparent when cli-
matic variables are incorporated, related to localised spatial climatic gradients, such as those
that exist across areas of varying topography (e.g. the Alps mountain range). Prediction vari-
ance surfaces for the two outputs are similar (S5.2 and S5.3 Figs in S1 File), showing variance
ranging from >1.5‰ across much of the prediction area for LOIS3 to <0.5‰ across much
of the prediction area for LGI. Variance is lowest closest to sample locations, but otherwise
does not appear to be spatially structured. Comparison of predicted δ15N values to observed
δ15N values at sample locations also shows for the two outputs that the inclusion bioclimatic
variables did not significantly improve model performance for any time bin (S5.4 and S5.5
in S1 File). Notably the comparison of predicted versus observed δ15N values appears to
show a tendency for some models to systematically under predict high δ15N values and over-
predict low δ15N values. 7 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes Fig 2. δ15N isoscape prediction surfaces, modelled using random effects only. Palaeocoastline data from [65], ice
sheet extent from [66] and modern coastline from [50]. https://doi.org/10.1371/journal.pone.0268607.g002 Fig 2. δ15N isoscape prediction surfaces, modelled using random effects only. Palaeocoastline data from [65], ice
sheet extent from [66] and modern coastline from [50]. Fig 2. δ15N isoscape prediction surfaces, modelled using random effects only. Palaeocoastline data from [65], ice
sheet extent from [66] and modern coastline from [50]. https://doi.org/10.1371/journal.pone.0268607.g002 https://doi.org/10.1371/journal.pone.0268607.g002 https://doi.org/10.1371/journal.pone.0268607.g002 4.1 Evaluating spatial gradients and drivers of δ15N variability in the past The results presented here provide the means to visualise the spatiotemporal character of
changing faunal δ15N, and, when combined with the recent publication of high-resolution cli-
mate model data [31], interrogate potential links between faunal δ15N and climatic variables at
a resolution not previously achievable. 8 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes Fig 3. δ15N isoscape prediction surfaces, best performing model incorporating climatic fixed effect(s) for each
time bin. Palaeocoastline data from [51], ice sheet extent from [52] and modern coastline from [50]. https://doi.org/10.1371/journal.pone.0268607.g003 Fig 3. δ15N isoscape prediction surfaces, best performing model incorporating climatic fixed effect(s) for each
time bin. Palaeocoastline data from [51], ice sheet extent from [52] and modern coastline from [50]. https://doi.org/10.1371/journal.pone.0268607.g003 The derived isoscapes (Fig 2) show the development of a north-south spatial gradient in
faunal δ15N during LOIS3, which becomes gradually more pronounced through the LGM,
LGT and LGI. This contrasts to EOIS3, YD, and EH where strong spatial gradients in δ15N are
absent. The amplification of the latitudinal gradient reaches its maximum during the LGT and
LGI, and notably appears to primarily be driven by a decrease in δ15N in northerly locations,
rather than by an increase in δ15N in southerly locations. The fact that the lowest δ15N values
occur during the LGI, a relatively warm climatic period, and not during the LGM, the coldest PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 9 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes part of the last glacial cycle, show that temperature is not the primary driver of variation. We
particularly draw attention to the location of the lowest predicted δ15N values, in regions that
were either glaciated or were immediately proximal to the British, Scandinavian, and Alpine
ice sheets during the LGM (Figs 2 and 3). It is noteworthy that δ15N values of <2‰ only occur
within the zone of continuous permafrost that existed across Europe at the height of the last
glacial [53], and their occurrence within this zone is only after the onset of deglaciation and
thaw. The role of increased landscape moisture driven by increased precipitation and
increased input of meltwater from icesheets and thawing permafrost has long been suggested
as a driver of the LGNE [17, 18, 22, 23, 25], and the results presented here add further weight
to this interpretation. 4.1 Evaluating spatial gradients and drivers of δ15N variability in the past This environmental change would have both altered the floral commu-
nity in such landscapes and altered the form and source of nitrogen available to vegetation,
with microbially-mediated changes in N cycling between pools of NO3
- (nitrate), NH4
+
(ammonium), and N2 (elemental nitrogen) resulting in changing plant δ15N [54–56]. Biogeo-
chemical cycles and microbial activity in cold environments may be particularly sensitive to
changes in soil moisture content, O2 status, and temperature [54, 57, 58]. In this regard, the
use of geostatistical interpolation to reconstruct changing δ15N spatiotemporal gradients may
provide the means to further interrogate sub-continental scale processes of permafrost thaw
and changing landscape moisture during the terminal Pleistocene in Europe. If increased data
availability in coming years were to enable faunal isoscape mapping at an increased temporal
resolution for the late glacial, it would certainly be of interest to compare these to contempora-
neous maps of changes in the distribution of European permafrost. g
That said, the relationship between the strength of spatial gradients in δ15N and the correla-
tion between δ15N and climatic variables requires some consideration. Time bins with the
strongest spatial gradients/spatial autocorrelation (LGM, LGT, LGI) also show the strongest
correlation with climatic variables such as mean annual temperature, and temperature and
precipitation of the warmest quarter (S4.2, S4.4, S4.5 Figs in S1 File). Conversely, time bins
with absent (EOIS3, YD, EH) or weaker (LOIS3) spatial gradients show less correlation
between δ15N and climatic variables. Taking mean annual temperature (S4.2 Fig in S1 File) as
an example and considering the range of temperatures covered by the data for each time bin,
there is no obvious relationship between this and the strength of the predicted spatial gradi-
ents. For example, the sample locations for the EH and LGI time bins cover a similar range in
temperatures (c. 5 to 15˚C), as do those for the LGM and EOIS3 (c. 0 to 10˚C), but each display
quite different spatial patterns. Likewise, the distribution of samples across our sampling area
cannot explain all the derived patterns. While for EH and YD sample distribution and number
is relatively poor compared to other time bins, this is not the case for EOIS3, which has a simi-
lar number and geographical distribution of samples as the LGT and LGI time bins. PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 4.1 Evaluating spatial gradients and drivers of δ15N variability in the past Indeed,
for EOIS3 we suspect the most plausible explanation for the lack of a recognised spatial gradi-
ent is the previously mentioned effect of data aggregation across multiple climatic events. This
may also go some way to explaining why there are a wide range of δ15N observed for very simi-
lar temperatures. However, this explanation is unsatisfactory for the early Holocene and Youn-
ger Dryas. A more plausible explanation for these time bins is that the reduced spatial gradient
in δ15N is the result of less pronounced climatic gradients across the area of Europe our data
covers, as is evidenced in both proxy-based data and model simulations [59, 60]. Additionally
for the Younger Dryas, the expression of the rapid cooling event in European proxy archives is
asynchronous [61, 62]; this, coupled with the brevity of the event (c. 1200 years), potential lag
in environmental response, and uncertainty in assigning faunal samples to such a narrow age
bracket may go some way to explaining difficulties in understanding the resultant isoscape
model. 10 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes With these discussion points in mind, and despite our finding that the inclusion of climatic
covariate data did not improve isoscape model performance (Table 2), our analysis nonetheless
shows that for some time bins palaeo-fauna δ15N is correlated with modelled temperature and
precipitation (S4.2-S4.6 Figs in S1 File). What is most striking about the investigated palaeo-
fauna δ15N–climate correlations, is the strength of the relationship between site mean faunal
δ15N and MAT (as well as temperature and precipitation of the warmest quarter) during the
Last Glacial Maximum, Last Glacial Termination and Late Glacial Interstadial (S4.2; S4.4 and
S4.5 Figs in S1 File). Such relationships are stronger than those observed for modern soil/plant
δ15N –MAT relationships [6, 7]. Interestingly, while the relationship between foliar and soil
δ15N and MAT has been shown not to hold true in modern low temperature environments
(<-0.5˚C for foliar δ15N and <9.8˚C for soil δ15N [6, 7]), we do not observe such inflection
points in our data, although it should be noted that few samples come from environments
where MAT is predicted to be <0˚C. Also notable is the stronger correlation between site mean faunal δ15N and precipitation of
the warmest month, compared to the relationship with MAP (S4.3 and S4.5 Figs in S1 File). 4.1 Evaluating spatial gradients and drivers of δ15N variability in the past The relatively weak correlation between faunal δ15N and MAP for most time bins does not
mirror those seen in the modern environment. In part, this may relate to the comparatively
more complex nature of reconstructing palaeo-precipitation, and the poorer performance of
precipitation models when compared to proxy data-based reconstructions, than for recon-
structing temperature [31]. However, this result may also represent the importance of the com-
plex interplay of temperature and precipitation in determining δ15N. Further, the seasonal
cycle of plant growth and N requirements/availability may be responsible for seasonally dis-
tinct relationships between δ15N and climate. Keeping in mind the caveats of our analysis, that; 1) faunal δ15N is only indirectly related to
climate, being mediated also by the interplay of species-specific characteristics and inter-spe-
cies interactions, and by N-cycle dynamics; that 2) the climate data we are using is modelled
output, not empirical measurements; and 3) the assembled data aggregates δ15N across multi-
ple species and potentially disparate time periods, the presented results nonetheless offer an
intriguing insight into the spatial and temporal variability of δ15N in the past. PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 4.2 Species-specific spatial gradients of δ15N variability 15 From this analysis horse can be seen to display the strongest spatial gradients in δ15N in
both the LGT and LGI, with lowest values in the north and northwest of the interpolation area,
and highest values in the south. North-south gradients in δ15N are also seen in the reindeer
and red deer data but are more muted. While these differences likely stem from differences in
dietary ecology and mobility (see Section 2 of S1 File for more detailed discussion), the impli-
cations for this in our objective of understanding large-scale changing spatial gradients in δ15N
requires consideration. Deciphering the relative contributions of dietary behaviour and envi-
ronmental influence on the δ15N signal is extremely challenging, and it may never be possible
to fully disentangle the two by measuring bulk collagen δ15N alone; as localised environmental
conditions exert strong influence on feeding behaviours and diet, the two are inextricably
linked. In the context of late Pleistocene northern Europe, tooth meso- and microwear analysis
confirm horse most likely had a graze-dominated diet, red deer a browse-dominated diet, and
reindeer a mixed diet [66]. However, the extent to which these different plant types in the diet
can be equated to isotopically distinct diets is debateable. As Schwartz-Narbonne et al. [3] dis-
cuss, while at the most generalised scale patterns of δ15N in tundra ecosystems can be summa-
rised as shrub < lichen < herb < fungi, there are examples where this does not hold true in
either space or time [67–70]. If this generalised plant type δ15N pattern was taken at face value
and applied to the late Pleistocene European herbivores, a pattern of red deer < reindeer <
horse would be expected; in fact, the opposite pattern is identified. Part of the difficulty in relating faunal δ15N to plant δ15N is the issue of scale. Plant δ15N is
highly heterogenous and is related to N availability and a plant’s ability to utilise and acquire
different forms of N, which are influenced by root depth and mycorrhizal association, as well
as environmental factors which can vary on a sub-annual scale [4]. In comparison, one colla-
gen δ15N analysis represents a homogenised data point, averaging a multitude of plant δ15N
values at a spatial scale equivalent to the animal’s home range (which can vary considerably
between species) and a temporal scale of several years. 4.2 Species-specific spatial gradients of δ15N variability One of the primary challenges in understanding the variability present in fossil δ15N data is to
distinguish between environmental effects and the effects of dietary and ecological differences
between species, and the variability that can occur in both effects across space and time. Some
previous studies of environmental change that utilise faunal δ15N restricted analyses to single
species to limit variability introduced by dietary ecology (e.g. [17, 23]). Others take data from
more than one species with similar dietary characteristics and apply data normalisation/trans-
formation procedures (e.g. [25]). The former severely limits the size of the data set available for
analysis, while the latter, when used to infer environmental change, relies on the assumption
that species’ dietary behaviour and isotope niche relative to one another have remained stable
through time. Empirical evidence suggests this assumption is problematic [1, 3, 63, 64]. Indeed, species most capable of dietary flexibility are often most successful at adapting to
changes in local environmental conditions [65, 66], and thus it is these species that are most
abundant in the fossil record and remain present across major climate transitions. In this
study we applied no correction or data transformation procedure to account for species-based
differences, and instead considered only site mean δ15N values in the models thus far pre-
sented. Our primary reasoning for this is that while species-based differences are present in
the data, neither the option of restricting analysis to a single species or applying species-based PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 11 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes corrections to a multiple-species analysis were appropriate in this instance (Section 2 in
S1 File). Nonetheless, it is important to consider the implications of our approach compared to
model outputs when different species are considered independently. While the data is not of
sufficient quantity to enable species-specific isoscapes to be constructed for all time bins and
species, they can be considered in some contexts. Our data is dominated by 3 species: horse
(25%), reindeer (24%) and red deer (30%), and while their geographical distribution varies
considerably in time (S6.1 Fig in S1 File), data is of sufficient quantity and comparable geo-
graphic distribution to consider simple isoscape models for each of these species for the LGT
and LGI time bins (Fig 4). PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 4.2 Species-specific spatial gradients of δ15N variability A further consideration in interpreting
the faunal signal, particularly that of reindeer, is the inclusion of lichen in the diet. Lichens fix
nitrogen from the atmosphere, and therefore species consuming a significant proportion of
lichen may display δ15N signatures decoupled from environmental-mediated changes in vege-
tation δ15N. However, the amount of lichen consumed, and its contribution to the reindeer
bone collagen δ15N signal cannot be easily discerned. For example, significant differences in
the amount of lichen incorporated into reindeer diets between the LGI and YD in northern
Europe, based on tooth meso- and micro-wear analysis, did not translate to differences in
bone collagen δ15N [71]. As such, we decided that the exclusion of reindeer from the data,
which would have significantly reduced the sample size, was not justified in this instance. In the future, with an ever-increasing amount of faunal isotope data and radiocarbon dates
being published, it is hoped that species-specific geostatistical analyses can be further explored. Such investigations would undoubtedly be of great benefit to furthering our understanding the PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 12 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes Fig 4. δ15N isoscape prediction and variance surfaces for Equus sp., Rangifer tarandus, and Cervus elaphus for the
Last Glacial Termination and Late Glacial Interstadial time bins. Linear mixed models were run without the
addition of environmental covariate data. Palaeocoastline data from [51], ice sheet extent from [52] and modern
coastline from [50]. htt
//d i
/10 1371/j
l
0268607 004 Fig 4. δ15N isoscape prediction and variance surfaces for Equus sp., Rangifer tarandus, and Cervus elaphus for the
Last Glacial Termination and Late Glacial Interstadial time bins. Linear mixed models were run without the
addition of environmental covariate data. Palaeocoastline data from [51], ice sheet extent from [52] and modern
coastline from [50]. https://doi.org/10.1371/journal.pone.0268607.g004 isotope ecology and niche overlap/partitioning of key herbivore species, and of the complex
and competing influences of environment and ecology on faunal δ15N. isotope ecology and niche overlap/partitioning of key herbivore species, and of the complex
and competing influences of environment and ecology on faunal δ15N. 4.3 Isoscape mapping using faunal isotope data This study represents the first (to our knowledge) study to create temporally-layered isoscapes
using palaeo-data. While the application of isoscape approaches in modern terrestrial PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 13 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes environmental and ecological research are now relatively widespread [27], the use of isoscape
modelling in palaeo-focused research has so far been more limited [72–76]. In part, this can be
attributed to the additional complexities that palaeo-isoscapes must contend with; while plant,
soil or animal δ15N is a spatially and temporally continuous variable, our means of sampling
such data is inescapably discretized (i.e. each sample represents a discrete temporal and spatial
interval). The discretization is many orders of magnitude larger in fossil than in modern data
ensembles, owing to the uncertainties in establishing calendar age estimates for fossil samples,
the need to consider samples of different ages together as a single temporal unit, and the
assumptions that must be made about the spatial resolution and provenance of the sample. As
such, isoscapes constructed using palaeo-data will always have a certain level of unavoidable
uncertainty inbuilt. Likewise, probably owing to the complex nature of the terrestrial nitrogen cycle and relative
data paucity compared to other environmental systems (e.g. oxygen and hydrogen in the
hydrological cycle), the application of geostatistical approaches specifically toward terrestrial
nitrogen isotope data have so far also been comparatively limited [5, 77–79]. Part of the diffi-
culty in assessing regional/global scale gradients in δ15N is that the nitrogen isotope composi-
tion of soils and plants may be highly heterogeneous at very localised spatial and/or temporal
scales [80]. In this regard, relying on bone collagen data may actually be advantageous; herbi-
vores act as natural integrators, providing a measure of ecosystem nitrogen that is spatially
averaged over the extent of the animal’s home range, and temporally averaged over a number
of years (temporal resolution depends on bone collagen turnover rate, but is typically in the
order of several years). Therefore, while the use of faunal δ15N to trace changes in underlying
environmental δ15N introduces noise from dietary and behavioural differences, it also offers a
unique means to assess ecosystem-scale variation in δ15N, particularly in past environments,
where other sampling opportunities are lacking or inadequate. A recent study by Barrientos et al. [73] illustrated the potential of using archaeological bone
collagen δ15N data in palaeo-isoscape mapping. PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 4.3 Isoscape mapping using faunal isotope data The resultant Inverse Distance Weighted
(IDW) isoscapes demonstrated how geostatistical approaches, rooted in community and tro-
phic ecology, could be applicable to addressing archaeological questions [73]. In this study we
have progressed these ideas, demonstrating the possibility of applying a more complex geosta-
tistical method, which also allows for errors and uncertainties to be quantified and covariate
data to be incorporated. The approach followed here demonstrates one such method that
allows consideration of variations in spatial gradients in δ15N through time. We chose to use a
mixed model approach as mixed models are widely used in ecological studies, and it enabled
spatially explicit variance surfaces to be calculated and spatial and environmental components
to be fitted jointly [47, 81]. Alternative approaches could be used, for example a Bayesian hier-
archical approach, such as integrated nested Laplace approximation, or machine learning
approaches, such as random forest, cubist and stochastic gradient boosting [77, 82, 83]. 15 Indeed, these approaches may allow us to further refine the δ15N palaeo-isoscapes and better
account for uncertainty in the predictions. Of particular interest for future research will be to
test the effect of incorporating additional random effects, such as species, time/age uncertainty,
tissue type/skeletal element into the models. Regardless of the modelling approach followed, the quality, quantity, and spatial/temporal
distribution of the underlining data is key. While the prediction models presented here pro-
vide an estimate of site-averaged herbivore δ15N in the past, at locations where empirical data
is absent, such isoscape approaches should not replace efforts to establish local and time-spe-
cific baseline data through empirical sampling. The two approaches need to work hand-in-
hand, as continued efforts to generate empirical data will ultimately lead to improvements in
the predictive power of isoscape models. Largescale data syntheses must contend with PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 14 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes potential issues and uncertainties introduced by inconsistent reporting of data and associated
metadata, for example, missing or incomplete information regarding analytical and laboratory
protocols, sampling methods, data standardisation procedures, and basic sample metadata. Through recent efforts to create robust and standardized reporting guidelines and open access
data repositories many of these issues are beginning to be addressed [84–86]. This will ulti-
mately lead to improved data quality which will benefit all types of data analysis, including iso-
scape approaches. 5. Conclusion Here we have presented time-sliced maps of terrestrial δ15N gradients based on archaeological
and palaeontological animal isotope data. In addition to compiling and critically evaluating
previously published data, our analysis includes the publication of several hundred new faunal
δ15N data and radiocarbon dates. The analysis serves two main purposes; to investigate
changes in spatial gradients of δ15N in late Pleistocene Europe, with a view to investigating the
Late Glacial Nitrogen Excursion, and to demonstrate more broadly the application of isoscape
approaches to palaeo-data with implications for how baseline data is understood and used in
archaeological and palaeoecological research. Our results have shown clear changes in spatial gradients of δ15N through time, that are
most likely related to changes in landscape moisture (particularly from increased input of
meltwater from icesheets and thawing permafrost) that occurred after the Last Glacial Maxi-
mum. Our analysis found that the inclusion of climatic covariate data in the models did not
significantly improve model performance, suggesting that the combination of the variables
considered did not fully capture the drivers producing the observed spatial variation in the
δ15N faunal data. The results highlight the significant opportunities and challenges of applying isoscape
approaches to faunal data. With the continued publication of faunal isotope data from archae-
ological and palaeontological assemblages, it is likely that in the coming years the accuracy and
the temporal and spatial resolutions of such models can be much improved upon. While the
nature of fossil sample material dictates that there will always be limitations in the accuracy of
such models, the value of such predictive maps for investigating long term continental-scale
changes in the terrestrial nitrogen cycle, and natural- and anthropogenically-driven impacts
on said cycle, should not be understated. Such models can make an important contribution to
understanding baseline δ15N values for terrestrial food web analysis and in the interpretation
of data from higher trophic level animals in relation to mobility, migration, and dietary
research. Moreover, improved understanding of baseline δ15N in late Pleistocene and early
Holocene contexts provides a background reference against which subsequent human impact
on the nitrogen cycle and overall landscape health, such as through farming practices and
deforestation, can be assessed. Acknowledgments This work was made possible by the support of a great many colleagues and institutes, who
facilitated access to, and permitted sampling of, numerous archaeological and palaeontological
collections. We would like to thank Roger Jacobi, Chris Stringer and the Ancient Human
Occupation of Britain project, Adrian Lister, Sonja Grimm, Sophy Charlton, Ian Barnes,
Melissa Marr, Tom Lord, Terry O’Connor, Linda Wilson, Graham Mullan and the University
of Bristol Spelaeological Society Museum, Barry Chandler and Torquay Museum, Jan Freed-
man and Plymouth City Museum & Art Gallery, Brian Lewarne and the Devon Kart Society,
the Museum of Archaeology and Anthropology, Cambridge, Catherine Kneale, the Potteries
Museum & Art Gallery, Stoke-on-Trent, Buxton Museum & Art Gallery, Elizabeth Walker and
the National Museum Cardiff, Rebecca Miller, the University of Liege, Mietje Germonpre´,
Annelise Folie and the Royal Belgian Institute of Natural Sciences, Petr Neruda, Zdenka Neru-
dova, Martina Robličkova´ and the Moravian Museum, Alex Pryor, Jiri Svoboda, Nick Conard,
Susanne Mu¨nzel, Wells & Mendips Museum, Somerset, Spyridoula Pappa, Pip Brewer and the
Natural History Museum London, Lucy Astill and Creswell Crags Museum and Prehistoric
Gorge, Sheffield Museums, Thomas Terberger, Piotr Wotjal, Marta Poltowicz-Bobak, Dariusz
Bobak, and the Institute of Systematic and Evolution of Animals, Polish Academy of Sciences. S1 Dataset.
(XLSX) S1 Dataset. (XLSX)
S2 Dataset. (R)
S1 File. (DOCX) S1 Dataset. (XLSX)
S2 Dataset. (R)
S1 File. (DOCX) 15 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes S2 File. Base maps for figures. (ZIP) Author Contributions Conceptualization: Hazel Reade, Rhiannon E. Stevens. Data curation: Hazel Reade, Jennifer A. Tripp, Delphine Fre´mondeau, Rhiannon E. Stevens. Formal analysis: Hazel Reade, Jennifer A. Tripp, Delphine Fre´mondeau, Kerry L. Sayle. Funding acquisition: Rhiannon E. Stevens. Formal analysis: Hazel Reade, Jennifer A. Tripp, Delphine Fre´mondeau, Kerry L. Sayle. Funding acquisition: Rhiannon E Stevens Formal analysis: Hazel Reade, Jennifer A. Tripp, Delphine Fre´mondeau, Kerry L. Sayle. Formal analysis: Hazel Reade, Jennifer A. Tripp, Delphine Fre´mondeau, Kerry L. Sayle. Methodology: Hazel Reade, Jennifer A. Tripp, Delphine Fre´mondeau, Kerry L. Sayle. Resources: Thomas F. G. Higham, Martin Street, Rhiannon E. Stevens. Supervision: Rhiannon E. Stevens. Visualization: Hazel Reade. Writing – original draft: Hazel Reade, Rhiannon E. Stevens. Writing – review & editing: Hazel Reade, Jennifer A. Tripp, Delphine Fre´mondeau, Kerry L. Sayle, Thomas F. G. Higham, Martin Street, Rhiannon E. Stevens. PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 3.
Schwartz-Narbonne R, Longstaffe FJ, Kardynal KJ, Druckenmiller P, Hobson KA, Jass CN, et al.
Reframing the mammoth steppe: Insights from analysis of isotopic niches. Quat Sci Rev. 2019; 215:1–
21. https://doi.org/10.1016/j.quascirev.2019.04.025 References 1. Drucker DG. The Isotopic Ecology of the Mammoth Steppe. Annu Rev Earth Planet Sci. 2022 May 30;
50(1):395–418. https://doi.org/10.1146/annurev-earth-100821-081832 2. Wißing C, Rougier H, Crevecoeur I, Germonpre´ M, Naito YI, Semal P, et al. Isotopic evidence for dietary
ecology of late Neandertals in North-Western Europe. Quat Int. 2016 Aug 8; 411:327–45. https://doi. org/10.1016/j.quaint.2015.09.091 3. Schwartz-Narbonne R, Longstaffe FJ, Kardynal KJ, Druckenmiller P, Hobson KA, Jass CN, et al. Reframing the mammoth steppe: Insights from analysis of isotopic niches. Quat Sci Rev. 2019; 215:1–
21. https://doi.org/10.1016/j.quascirev.2019.04.025 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 16 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes 4. Szpak P. Complexities of nitrogen isotope biogeochemistry in plant-soil systems: implications for the
study of ancient agricultural and animal management practices. Front Plant Sci. 2014 Jun 23; 5
(JUN):288. https://doi.org/10.3389/fpls.2014.00288 PMID: 25002865 5. Amundson R, Austin AT, Schuur EAG, Yoo K, Matzek V, Kendall C, et al. Global patterns of the isotopic
composition of soil and plant nitrogen. Global Biogeochem Cycles. 2003; 17(1):1031. https://doi.org/10. 1029/2002GB001903 6. Craine JM, Brookshire ENJ, Cramer MD, Hasselquist NJ, Koba K, Marin-Spiotta E, et al. Ecological
interpretations of nitrogen isotope ratios of terrestrial plants and soils. Plant Soil. 2015; 396:1–26. https://doi.org/10.1007/s11104-015-2542-1 7. Craine JM, Elmore AJ, Aidar MPM, Bustamante M, Dawson TE, Hobbie EA, et al. Global patterns of
foliar nitrogen isotopes and their relationships with climate, mycorrhizal fungi, foliar nutrient concentra-
tions, and nitrogen availability. New Phytol. 2009; 183:980–92. https://doi.org/10.1111/j.1469-8137. 2009.02917.x PMID: 19563444 8. Craine JM, Elmore AJ, Wang L, Augusto L, Baisden WT, Brookshire ENJ, et al. Convergence of soil
nitrogen isotopes across global climate gradients. Sci Rep. 2015 Feb 6; 5. https://doi.org/10.1038/
srep08280 PMID: 25655192 9. Ma¨nnel TT, Auerswald K, Schnyder H. Altitudinal gradients of grassland carbon and nitrogen isotope
composition are recorded in the hair of grazers. Glob Ecol Biogeogr. 2007 Sep; 16(5):583–92. https://
doi.org/10.1111/j.1466-8238.2007.00322.x 10. Liu X, Wang G, Li J, Wang Q. Nitrogen isotope composition characteristics of modern plants and their
variations along an altitudinal gradient in Dongling Mountain in Beijing. Sci China Ser D Earth Sci. 2010
Jan 3; 53(1):128–40. https://doi.org/10.1007/s11430-009-0175-z 11. Smiley TM, Cotton JM, Badgley C, Cerling TE. Small-mammal isotope ecology tracks climate and vege-
tation gradients across western North America. Oikos. 2016 Aug 9; 125(8):1100–9. https://doi.org/10. 1111/oik.02722 12. Hartman G. Are elevated δ 15 N values in herbivores in hot and arid environments caused by diet or ani-
mal physiology? Funct Ecol. References Carbon and nitrogen stable isotope analysis of northwest European horse
bone and tooth collagen, 40,000 BP-present: Palaeoclimatic interpretations. Quat Sci Rev. 2004. p. 977–91. https://doi.org/10.1016/j.quascirev.2003.06.024 24. Hedges REM, Stevens RE, Richards MP. Bone as a stable isotope archive for local climatic information. Quat Sci Rev. 2004. p. 959–65. https://doi.org/10.1016/j.quascirev.2003.06.022 25. Rabanus-Wallace MT, Wooller MJ, Zazula GD, Shute E, Jahren AH, Kosintsev P, et al. Megafaunal iso-
topes reveal role of increased moisture on rangeland during late Pleistocene extinctions. Nat Ecol Evol. 2017 Apr 18; 1(5). https://doi.org/10.1038/s41559-017-0125 PMID: 28812683 26. Drucker DG, Bridault A, Cupillard C, Hujic A, Bocherens H. Evolution of habitat and environment of red
deer (Cervus elaphus) during the Late-glacial and early Holocene in eastern France (French Jura and
the western Alps) using multi-isotope analysis (δ13C, δ15N, δ18O, δ34S) of archaeological remains. Quat Int. 2011 Dec 6; 245(2):268–78. https://doi.org/10.1016/j.quaint.2011.07.019 27. Bowen GJ, West JB. Isoscapes for Terrestrial Migration Research. In: Tracking Animal Migration with
Stable Isotopes. Elsevier; 2019. p. 53–84. https://doi.org/10.1016/B9780128147238000039 28. Bataille CP, Crowley BE, Wooller MJ, Bowen GJ. Advances in global bioavailable strontium isoscapes. Palaeogeogr Palaeoclimatol Palaeoecol. 2020 Oct; 555:109849. https://doi.org/10.1016/j.palaeo.2020. 109849 29. Bataille CP, Bowen GJ. Mapping 87Sr/ 86Sr variations in bedrock and water for large scale provenance
studies. Chem Geol. 2012 Apr 18;304–305:39–52. https://doi.org/10.1016/j.chemgeo.2012.01.028 30. Graham BS, Koch PL, Newsome SD, McMahon KW, Aurioles D. Using isoscapes to trace the move-
ments and foraging behavior of top predators in oceanic ecosystems. In: Isoscapes: Understanding
movement, pattern, and process on Earth through isotope mapping. Springer Netherlands; 2010. p. 299–318. https://doi.org/10.1007/978-90-481-3354-3_14 31. Beyer RM, Krapp M, Manica A. High-resolution terrestrial climate, bioclimate and vegetation for the last
120,000 years. Sci Data. 2020 Dec 1; 7(1). https://doi.org/10.1038/s41597-020-0552-1 PMID:
32665576 32. Thomas ER, Wolff EW, Mulvaney R, Steffensen JP, Johnsen SJ, Arrowsmith C, et al. The 8.2ka event
from Greenland ice cores. Quat Sci Rev. 2007 Jan; 26(1–2):70–81. https://doi.org/10.1016/j.quascirev. 2006.07.017 33. Guiry E, Beglane F, Szpak P, Schulting R, McCormick F, Richards MP. Anthropogenic changes to the
Holocene nitrogen cycle in Ireland. Sci Adv. 2018 Jun; 4(6). https://doi.org/10.1126/sciadv.aas9383
PMID: 29928695 34. Gkiasta M, Russell T, Shennan S, Steele J. Neolithic transition in Europe: the radiocarbon record revis-
ited. Antiquity. 2003 Mar 2; 77(295):45–62. https://doi.org/10.1017/S0003598X00061330 35. Reimer PJ, Austin WEN, Bard E, Bayliss A, Blackwell PG, Bronk Ramsey C, et al. The IntCal20 North-
ern Hemisphere Radiocarbon Age Calibration Curve (0–55 cal kBP). Radiocarbon. 2020 Aug 12; 62
(4):725–57. References 2011 Feb 28; 25(1):122–31. https://doi.org/10.1111/j.1365-2435.2010. 01782.x 13. Stevens RE, Germonpre´ M, Petrie CA, O’Connell TC. Palaeoenvironmental and chronological investi-
gations of the Magdalenian sites of Goyet Cave and Trou de Chaleux (Belgium), via stable isotope and
radiocarbon analyses of horse skeletal remains. J Archaeol Sci. 2009; 36(3):653–62. https://doi.org/10. 1016/j.jas.2008.10.008 14. Stevens RE, O’Connell TC, Hedges REM, Street M. Radiocarbon and stable isotope investigations at
the Central Rhineland sites of Go¨nnersdorf and Andernach-Martinsberg, Germany. J Hum Evol. 2009;
57(2):131–48. https://doi.org/10.1016/j.jhevol.2009.01.011 PMID: 19589558 15. Richards MP, Hedges REM. Variations in bone collagen δ13C and δ15N values of fauna from North-
west Europe over the last 40 000 years. Palaeogeogr Palaeoclimatol Palaeoecol. 2003 Apr 15; 193
(2):261–7. https://doi.org/10.1016/S0031-0182(03)00229-3 16. Drucker DG, Bocherens H, Billiou D. Evidence for shifting environmental conditions in Southwestern
France from 33 000 to 15 000 years ago derived from carbon-13 and nitrogen-15 natural abundances in
collagen of large herbivores. Earth Planet Sci Lett. 2003 Nov 15; 216(1–2):163–73. https://doi.org/10. 1016/S0012-821X(03)00514-4 17. Stevens RE, Jacobi R, Street M, Germonpre´ M, Conard NJ, Mu¨nzel SC, et al. Nitrogen isotope analy-
ses of reindeer (Rangifer tarandus), 45,000 BP to 9,000 BP: Palaeoenvironmental reconstructions. Palaeogeogr Palaeoclimatol Palaeoecol. 2008 May 27; 262(1–2):32–45. https://doi.org/10.1016/j. palaeo.2008.01.019 18. Fox-Dobbs K, Leonard JA, Koch PL. Pleistocene megafauna from eastern Beringia: Paleoecological
and paleoenvironmental interpretations of stable carbon and nitrogen isotope and radiocarbon records. Palaeogeogr Palaeoclimatol Palaeoecol. 2008 Apr 24; 261(1–2):30–46. https://doi.org/10.1016/j. palaeo.2007.12.011 19. Bocherens H, Drucker DG, Madelaine S. Evidence for a 15N positive excursion in terrestrial foodwebs
at the Middle to Upper Palaeolithic transition in south-western France: Implications for early modern
human palaeodiet and palaeoenvironment. J Hum Evol. 2014; 69(1):31–43. https://doi.org/10.1016/j. jhevol.2013.12.015 PMID: 24630359 20. Reade H, Grimm SB, Tripp JA, Neruda P, Nerudova´ Z, Roblı´čkova´ M, et al. Magdalenian and Epimag-
dalenian chronology and palaeoenvironments at Kůlna Cave, Moravia, Czech Republic. Archaeol
Anthropol Sci. 2021 Jan 17; 13(1):4. https://doi.org/10.1007/s12520-020-01254-4 PMID: 33365102 21. Reade H, Tripp JA, Charlton S, Grimm SB, Leesch D, Mu¨ller W, et al. Deglacial landscapes and the
Late Upper Palaeolithic of Switzerland. Quat Sci Rev. 2020 Jul 1; 239. https://doi.org/10.1016/j. quascirev.2020.106372 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 17 / 21 PLOS ONE Faunal nitrogen palaeo-isoscapes 22. Mann DH, Groves P, Kunz ML, Reanier RE, Gaglioti BV. Ice-age megafauna in Arctic Alaska: Extinc-
tion, invasion, survival. Quat Sci Rev. 2013; 70:91–108. https://doi.org/10.1016/j.quascirev.2013.03. 015 23. Stevens RE, Hedges REM. References https://
www.naturalearthdata.com/ 51. Zickel M, Becker D, Verheul J, Yener Y, Willmes C. Paleocoastlines GIS dataset. CRC806-Database. 2016. https://crc806db.uni-koeln.de/dataset/show/paleocoastlines-gis-dataset1462293239/ 10.5880/
SFB806.20 (CC BY 4.0 license) 52. Hughes ALC, Gyllencreutz R, Lohne OS, Mangerud J, Svendsen JI. DATED-1: compilation of dates
and time-slice reconstruction of the build-up and retreat of the last Eurasian (British-Irish, Scandinavian,
Svalbard-Barents-Kara Seas) Ice Sheets 40–10 ka. 2015. Department of Earth Science, University of
Bergen and Bjerknes Centre for Climate Research, PANGAEA. https://doi.org/10.1594/PANGAEA. 848117 (CC BY 3.0 license) 53. Lindgren A, Hugelius G, Kuhry P, Christensen TR, Vandenberghe J. GIS-based Maps and Area Esti-
mates of Northern Hemisphere Permafrost Extent during the Last Glacial Maximum. Permafr Periglac
Process. 2016 Jan; 27(1):6–16. https://doi.org/10.1002/ppp.1851 54. Atkin OK. Reassessing the nitrogen relations of Arctic plants: a mini-review. Plant Cell Environ. 1996
Jun; 19(6):695–704. https://doi.org/10.1111/j.1365-3040.1996.tb00404.x 55. Liu XY, Koba K, Koyama LA, Hobbie SE, Weiss MS, Inagaki Y, et al. Nitrate is an important nitrogen
source for Arctic tundra plants. Proc Natl Acad Sci U S A. 2018 Mar 27; 115(13):3398–403. https://doi. org/10.1073/pnas.1715382115 PMID: 29540568 56. Denk TRA, Mohn J, Decock C, Lewicka-Szczebak D, Harris E, Butterbach-Bahl K, et al. The nitrogen
cycle: A review of isotope effects and isotope modeling approaches. Soil Biol Biochem. 2017 Feb 1;
105:121–37. https://doi.org/10.1016/j.soilbio.2016.11.015 57. Jin XY, Jin HJ, Iwahana G, Marchenko SS, Luo DL, Li XY, et al. Impacts of climate-induced permafrost
degradation on vegetation: A review. Adv. Clim. Chang. Res. 2021; 20:29–47. https://doi.org/10.1016/j. accre.2020.07.002 58. Gebauer RLE, Tenhunen JD, Reynolds JF. Soil aeration in relation to soil physical properties, nitrogen
availability, and root characteristics within an arctic watershed. Plant Soil. 1996 Jan; 178(1):37–48. https://doi.org/10.1007/BF00011161 59. Renssen H, Isarin RFB, & Vandenberghe J. Thermal gradients in Europe during the last glacial-intergla-
cial transition. Neth J Geosci. 2002; 81(1):113–22. https://doi.org/10.1017/S0016774600020618 60. Heiri O, Brooks SJ, Renssen H, Bedford A, Hazekamp M, Ilyashuk B, et al. Validation of climate model-
inferred regional temperature change for late-glacial Europe. Nat Commun. 2014 Dec 11; 5(1):4914. https://doi.org/10.1038/ncomms5914 PMID: 25208610 61. Abrook AM, Matthews IP, Candy I, Palmer AP, Francis CP, Turner L, et al. Complexity and asynchrony
of climatic drivers and environmental responses during the Last Glacial-Interglacial Transition (LGIT) in
north-west Europe. Quat Sci Rev. 2020 Dec 15; 250: 106634. https://doi.org/10.1016/j.quascirev.2020. 106634 62. Muschitiello F, Wohlfarth B. Time-transgressive environmental shifts across Northern Europe at the
onset of the Younger Dryas. Quat Sci Rev. 2015 Feb 1; 109:49–56. https://doi.org/10.1016/j.quascirev. References https://doi.org/10.1017/RDC.2020.41 36. Brown WAB, Chapman NG. Age assessment of fallow deer (Dama dama): from a scoring scheme
based on radiographs of developing permanent molariform teeth. J Zool. 1991 Jul 24; 224(3):367–79. https://doi.org/10.1111/j.1469-7998.1991.tb06031.x 37. Brown WAB, Chapman NG. Age assessment of red deer (Cervus elaphus): from a scoring scheme
based on radiographs of developing permanent molariform teeth. J Zool. 1991 Sep 23; 225(1):85–97. https://doi.org/10.1111/j.1469-7998.1991.tb03803.x 38. Stevens RE, O’Connell TC. Red deer bone and antler collagen are not isotopically equivalent in carbon
and nitrogen. Rapid Commun Mass Spectrom. 2016 Sep 15; 30(17):1969–84. https://doi.org/10.1002/
rcm.7670 PMID: 27501431 39. Goss RJ. Deer Anlters. Regeneration, function and evolution. New York: Academic Press; 1983. 40. Rasmussen SO, Bigler M, Blockley SP, Blunier T, Buchardt SL, Clausen HB, et al. A stratigraphic
framework for abrupt climatic changes during the Last Glacial period based on three synchronized
Greenland ice-core records: Refining and extending the INTIMATE event stratigraphy. Quat Sci Rev. 2014 Dec 15; 106:14–28. https://doi.org/10.1016/j.quascirev.2014.09.007 41. Hughes PD, Gibbard PL. A stratigraphical basis for the Last Glacial Maximum (LGM). Quat Int. 2015
Oct 5; 383:174–85. https://doi.org/10.1016/j.quaint.2014.06.006 42. Bronk Ramsey C. Bayesian Analysis of Radiocarbon Dates. Radiocarbon. 2009 Jul 18; 51(1):337–60. https://doi.org/10.1017/S0033822200033865 18 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes 43. Danielson JJ, Gesch DB. Global multi-resolution terrain elevation data 2010 (GMTED2010). 2011. 10.3133/ofr20111073. 44. R Core Team. R: A language and environment for statistical computing. Vienna, Austria: R Foundation
for Statistical Computing; 2017. https://www.R-project.org/ 45. Anselin L. Local Indicators of Spatial Association—LISA. Geogr Anal. 1995; 27(2):93–115. https://doi. org/10.1111/j.1538-4632.1995.tb00338.x 46. Mendez C. Spatial autocorrelation analysis in R. R Studio/RPubs. https://rpubs.com/quarcs-lab/spatial-
autocorrelation. 2020. 47. Courtiol A, Rousset F. Modelling isoscapes using mixed models. bioRxiv 207662 [Preprint]. 2017 [cited
01 April 2022]. https://www.biorxiv.org/content/10.1101/207662v1 10.1101/207662 48. Courtiol A, Rousset F, Rohwa¨der MS, Soto DX, Lehnert LS, Voigt CC, et al. Isoscape Computation and
Inference of Spatial Origins With Mixed Models Using the R package IsoriX. In: Hobson KA, Wassenaar
LI, editors. Tracking Animal Migration with Stable Isotopes. Academic Press 2019. p. 207–36. https://
doi.org/10.1016/B978-0-12-814723-8.00009-X 49. Rousset F, Ferdy JB. Testing environmental and genetic effects in the presence of spatial autocorrela-
tion. Ecography. 2014 Aug; 37(8):781–90. https://doi.org/10.1111/ecog.00566 49. Rousset F, Ferdy JB. Testing environmental and genetic effects in the presence of spatial autocorrela-
tion. Ecography. 2014 Aug; 37(8):781–90. https://doi.org/10.1111/ecog.00566 50. Natural Earth. 1:10m Coastline [Internet]. Free vector and raster map data. [cited 2022 Nov 4]. References 2014.11.015 63. Drucker DG, Stevens RE, Germonpre´ M, Sablin M v., Pe´an S, Bocherens H. Collagen stable isotopes
provide insights into the end of the mammoth steppe in the central East European plains during the Epi-
gravettian. Quat Res. 2018 Nov 11; 90(3):457–69. https://doi.org/10.1017/qua.2018.40 19 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes 64. Drucker DG, Rosendahl W, van Neer W, Weber MJ, Go¨rner I, Bocherens H. Environment and subsis-
tence in north-western Europe during the Younger Dryas: An isotopic study of the human of Rhu¨nda
(Germany). J Archaeol Sci: Reports. 2016 Apr 1; 6:690–9. https://doi.org/10.1016/j.jasrep.2015.08.002 65. Hofman-Kamińska E, Bocherens H, Drucker DG, Fyfe RM, Gumiński W, Makowiecki D, et al. Adapt or
die—Response of large herbivores to environmental changes in Europe during the Holocene. Glob
Chang Biol. 2019 Sep 12; 25(9):2915–30. https://doi.org/10.1111/gcb.14733 PMID: 31298814 66. Rivals F, Mihlbachler MC, Solounias N, Mol D, Semprebon GM, de Vos J, et al. Palaeoecology of the
Mammoth Steppe fauna from the late Pleistocene of the North Sea and Alaska: Separating species
preferences from geographic influence in paleoecological dental wear analysis. Palaeogeogr Palaeocli-
matol Palaeoecol. 2010 Feb 1; 286(1–2):42–54. https://doi.org/10.1016/j.palaeo.2009.12.002 67. Tahmasebi F, Longstaffe FJ, Zazula G, Bennett B. Nitrogen and carbon isotopic dynamics of subarctic
soils and plants in southern Yukon Territory and its implications for paleoecological and paleodietary
studies. PLOS ONE. 2017 Aug 16; 12(8):e0183016. https://doi.org/10.1371/journal.pone.0183016
PMID: 28813532 68. Metcalfe JZ. C 3 plant isotopic variability in a boreal mixed woodland: implications for bison and other
herbivores. PeerJ. 2021 Sep 23; 9:e12167. https://doi.org/10.7717/peerj.12167 PMID: 34631314 69. Tahmasebi F, Longstaffe FJ, Zazula G. Nitrogen isotopes suggest a change in nitrogen dynamics
between the Late Pleistocene and modern time in Yukon, Canada. PLOS ONE. 2018 Feb 15; 13(2):
e0192713. https://doi.org/10.1371/journal.pone.0192713 PMID: 29447202 70. Zhou Y, Cheng X, Fan J, Harris W. Patterns and controls of foliar nitrogen isotope composition on the
Qinghai-Tibet Plateau, China. Plant Soil. 2016 Sep 7; 406(1–2):265–76. https://doi.org/10.1007/
s11104-016-2882-5 71. Rivals F, Drucker DG, Weber MJ, Audouze F, Enloe JG. Dietary traits and habitats of the reindeer (Ran-
gifer tarandus) during the Late Glacial of Northern Europe. Archaeol Anthropol Sci. 2020 May 6;
12(5):98. https://doi.org/10.1007/s12520-020-01052-y 72. Gil AF, Villalba R, Franchetti FR, Otaola C, Abbona CC, Peralta EA, et al. Between Foragers and Farm-
ers: Climate Change and Human Strategies in Northwestern Patagonia. Quaternary. 2020 Jun 17;
3(2):17. https://doi.org/10.3390/quat3020017 73. References Barrientos G, Catella L, Morales NS. A journey into the landscape of past feeding habits: Mapping geo-
graphic variations in the isotope (δ15N) -inferred trophic position of prehistoric human populations. Quat Int. 2020 May 20; 548:13–26. https://doi.org/10.1016/j.quaint.2020.01.023 74. Pellegrini M, Pouncett J, Jay M, Pearson MP, Richards MP. Tooth enamel oxygen “isoscapes” show a
high degree of human mobility in prehistoric Britain. Sci Rep. 2016 Dec 7; 6(1):34986. https://doi.org/10. 1038/srep34986 PMID: 27713538 75. Bataille CP, Jaouen K, Milano S, Trost M, Steinbrenner S, Crube´zy E´ , et al. Triple sulfur-oxygen-stron-
tium isotopes probabilistic geographic assignment of archaeological remains using a novel sulfur iso-
scape of western Europe. Bondioli L, editor. PLOS ONE. 2021 May 5; 16(5):e0250383. https://doi.org/
10.1371/journal.pone.0250383 PMID: 33951062 76. Scaffidi BK, Knudson KJ. An archaeological strontium isoscape for the prehistoric Andes: Understand-
ing population mobility through a geostatistical meta-analysis of archaeological 87Sr/86Sr values from
humans, animals, and artifacts. J Archaeol Sci. 2020 May 1; 117:105121. https://doi.org/10.1016/j.jas. 2020.105121 77. Sena-Souza JP, Houlton BZ, Martinelli LA, Bielefeld Nardoto G. Reconstructing continental-scale varia-
tion in soil δ15N: a machine learning approach in South America. Ecosphere. 2020 Aug 31; 11(8). https://doi.org/10.1002/ecs2.3223 78. Rascher KG, Hellmann C, Ma´guas C, Werner C. Community scale 15N isoscapes: Tracing the spatial
impact of an exotic N2-fixing invader. Ecol Lett. 2012 May; 15(5):484–91. https://doi.org/10.1111/j. 1461-0248.2012.01761.x PMID: 22409424 79. Fox-Dobbs K, Doak DF, Brody AK, Palmer TM. Termites create spatial structure and govern ecosystem
function by affecting N 2 fixation in an East African savanna. Ecology. 2010 May; 91(5):1296–307. https://doi.org/10.1890/09-0653.1 80. Pardo LH, Nadelhoffer KJ. Using Nitrogen Isotope Ratios to Assess Terrestrial Ecosystems at Regional
and Global Scales. In: West JB, Bowen GJ, Dawson TE, Tu KP. Isoscapes: Understanding Movemen,
Pattern, and Process on Earth Through Isotope Mapping. Dordrecht: Springer Netherlands; 2010. p. 221–49. https://doi.org/10.1007/978-90-481-3354-3_11 81. Bolker BM, Brooks ME, Clark CJ, Geange SW, Poulsen JR, Stevens MHH, et al. Generalized linear
mixed models: a practical guide for ecology and evolution. Vol. 24, Trends in Ecology and Evolution. 2009. p. 127–35. https://doi.org/10.1016/j.tree.2008.10.008 PMID: 19185386 20 / 21 PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 PLOS ONE Faunal nitrogen palaeo-isoscapes 82. St. John Glew K, Graham LJ, McGill RAR, Trueman CN. Spatial models of carbon, nitrogen and sulphur
stable isotope distributions (isoscapes) across a shelf sea: An INLA approach. Methods Ecol Evol. 2019 Apr 1; 10(4):518–31. https://doi.org/10.1111/2041-210X.13138 83. PLOS ONE | https://doi.org/10.1371/journal.pone.0268607
February 6, 2023 References Bataille CP, von Holstein ICC, Laffoon JE, Willmes M, Liu XM, Davies GR. A bioavailable strontium iso-
scape for Western Europe: A machine learning approach. PLoS One. 2018 May 1; 13(5). https://doi. org/10.1371/journal.pone.0197386 PMID: 29847595 84. Plomp E, Stantis C, James HF, Cheung C, Snoeck C, Kootker L, et al. The IsoArcH initiative: Working
towards an open and collaborative isotope data culture in bioarchaeology. Data Brief. 2022 Dec;
45:108595. https://doi.org/10.1016/j.dib.2022.108595 PMID: 36188136 85. Roberts P, Fernandes R, Craig OE, Larsen T, Lucquin A, Swift J, et al. Calling all archaeologists: guide-
lines for terminology, methodology, data handling, and reporting when undertaking and reviewing stable
isotope applications in archaeology. Rapid Communications in Mass Spectrometry. 2018 Mar 15; 32
(5):361–72. https://doi.org/10.1002/rcm.8044 PMID: 29235694 86. Pauli JN, Newsome SD, Cook JA, Harrod C, Steffan SA, Baker CJO, et al. Why we need a centralized
repository for isotopic data. Vol. 114, Proceedings of the National Academy of Sciences of the United
States of America. National Academy of Sciences; 2017. p. 2997–3001. https://doi.org/10.1073/pnas. 1701742114 PMID: 28325883 21 / 21
|
https://openalex.org/W4281562825
|
https://www.researchsquare.com/article/rs-1691030/latest.pdf
|
English
| null |
Measurement-device-independent Quantum Key Agreement against Collective Noisy Channel
|
Research Square (Research Square)
| 2,022
|
cc-by
| 8,789
|
Measurement-device-independent Quantum Key
Agreement against Collective Noisy Channel Yi-Hua Zhou
Beijing University of Technology
Yang Xu ( 18810526506@163.com )
Beijing University of Technology
Yu-Guang Yang
Beijing University of Technology
Wei-Min Shi
Beijing University of Technology
Ze-Song Chen
Beijing University of Technology Research Article Keywords: Quantum cryptography, Quantum key agreement, Collective noise, Measurement-device-
independent Posted Date: May 26th, 2022 DOI: https://doi.org/10.21203/rs.3.rs-1691030/v1 * Corresponding author. Email:18810526506@163.com;
Contributing authors: zhouyh@bjut.edu.cn; yangyang7357@bjut.edu.cn;
shiweimin@bjut.edu.cn; zesongchen4ever@gmail.com 1 Introduction Quantum cryptography combines classical cryptography and quantum mechanics to ensure
unconditional security based on quantum laws. Quantum cryptography includes many important
branches such as quantum key distribution [1–5], quantum key agreement (QKA) [6,7], quantum
secret sharing [8,9], quantum secure direct communication (QSDC) [10,11], quantum dialogue(QD)
[12], quantum signature [13–16], and so on. Quantum key agreement (QKA) is an important branch
of quantum cryptography. Compared with quantum key distribution (QKD) [1], QKA has great
research significance because each participant in QKA contributes equally to the final shared key. In 2004, Zhou et al. [6] proposed the first quantum key agreement protocol, which uses quantum
teleportation to generate share keys. Later, more QKA protocols were proposed [17-25]. However,
most of above QKA protocols were presented in the ideal environment. that is, it is assumed that
there is no noise in the channel. Actually, particles are usually affected by noise during transmission
in the quantum channel and an eavesdropper can attack the protocol under the cover of noise. Thus,
it is important to consider channel noise in the design of QKA protocols. Decoherence-free subspace
(DFS) has been proven to help photons resist collective noise [26]. In 2014, Huang et al. [27] first
proposed a QKA protocol to resist collective decoherence. In the same year, Huang et al. [28]
designed a QKA protocol and brought in two corresponding variations over collective noise. In 2016,
He et al. [29] designed two QKA protocols immune to collective noise based on the logical χ states
and logical Bell states, which uses measurement correlation and delay measurement techniques. In Quantum cryptography combines classical cryptography and quantum mechanics to ensure
unconditional security based on quantum laws. Quantum cryptography includes many important
branches such as quantum key distribution [1–5], quantum key agreement (QKA) [6,7], quantum
secret sharing [8,9], quantum secure direct communication (QSDC) [10,11], quantum dialogue(QD)
[12], quantum signature [13–16], and so on. Quantum key agreement (QKA) is an important branch
of quantum cryptography. Compared with quantum key distribution (QKD) [1], QKA has great
research significance because each participant in QKA contributes equally to the final shared key. In 2004, Zhou et al. [6] proposed the first quantum key agreement protocol, which uses quantum
teleportation to generate share keys. Later, more QKA protocols were proposed [17-25]. However,
most of above QKA protocols were presented in the ideal environment. Abstract Quantum key agreement (QKA) permits participants to constitute a shared key on a quantum
channel, while no participants can independently determine the shared key. However, existing
Measurement-device-independent (MDI) protocols cannot resist channel noise, and noise-resistant
QKA protocols cannot resist side-channel attacks caused by equipment defects. In this paper, we
design a MDI-QKA protocol against collective-dephasing noise based on GHZ states. First, in our
protocol, Alice and Bob prepare a certain number of GHZ states respectively, and then send two
particles of each GHZ state to Charlie for bell measurement. Results are that Alice and Bob can
obtain Bell states through entanglement exchange with the help of dishonest Charlie. Meanwhile
ensures the transmission process noise-resisted. Then, Alice and Bob encode their key components
to the particle in their hands and construct logical quantum states against collective noise through
additional particles and CNOT operation to implement MDI-QKA. Compared with existing MDI-
QKA protocols, our protocol uses logical quantum states during particle transfers, which makes the
protocol immune to collective‑dephasing noise, and therefore improving the final key rate. Security protocol immune to collective‑dephasing noise, and therefore improving the final key rate. Security nalysis shows that our protocol can resist common insider and outsider attacks. Keywords Quantum cryptography; Quantum key agreement; Collective noise; Measurement-
device-independent; DOI: https://doi.org/10.21203/rs.3.rs-1691030/v1 DOI: https://doi.org/10.21203/rs.3.rs-1691030/v1 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 Measurement-device-independent Quantum Key Agreement against Collective
Noisy Channel
Yi-Hua Zhou1,2, Yang Xu1,2,*,Yu-Guang Yang1,2 , Wei-Min Shi1,2, Ze-Song Chen1,2
1 Faculty of Information Technology, Beijing University of Technology, Beijing 100124, China
2 Beijing Key Laboratory of Trusted Computing, Beijing, 100124, China. Measurement-device-independent Quantum Key Agreement against Collective
Noisy Channel Noisy Channel
Yi-Hua Zhou1,2, Yang Xu1,2,*,Yu-Guang Yang1,2 , Wei-Min Shi1,2, Ze-Song Chen1,2
1 Faculty of Information Technology, Beijing University of Technology, Beijing 100124, China
2 Beijing Key Laboratory of Trusted Computing, Beijing, 100124, China. Ab 1 Introduction Alice and Bob decrypt each other's keys based on the
measurements, but Charlie doesn't know anything about final key. Compared with other protocols,
our protocol uses logical quantum states during both particle transfers, greatly improving the key
rate. The analysis shows that our proposed protocol can resist various attacks and has high efficiency. establish entanglement correlation just by using two Bell measurements. Once the encoding is
complete, Alice and Bob attach a series of special photons to the particles in their hands, and then
convert the two particles into a logical quantum state through the CNOT operation. Then all particles
are sent to Charlie for measurement. Alice and Bob decrypt each other's keys based on the
measurements, but Charlie doesn't know anything about final key. Compared with other protocols,
our protocol uses logical quantum states during both particle transfers, greatly improving the key
rate. The analysis shows that our proposed protocol can resist various attacks and has high efficiency. The rest of the paper is organized as follows: In Section 2, we introduce some relevant theoretical
knowledge. In Section 3, we describe the concrete steps of our protocol. Analysis is described in
Section 4. Efficiency and comparison is given in Section 5. This paper is finally concluded in
Section 6. A decoherence-free subspace (DFS) is a subspace of a system’s Hilbert space that is invariant to 1 Introduction that is, it is assumed that
there is no noise in the channel. Actually, particles are usually affected by noise during transmission
in the quantum channel and an eavesdropper can attack the protocol under the cover of noise. Thus,
it is important to consider channel noise in the design of QKA protocols. Decoherence-free subspace
(DFS) has been proven to help photons resist collective noise [26]. In 2014, Huang et al. [27] first
proposed a QKA protocol to resist collective decoherence. In the same year, Huang et al. [28]
designed a QKA protocol and brought in two corresponding variations over collective noise. In 2016,
He et al. [29] designed two QKA protocols immune to collective noise based on the logical χ states
and logical Bell states, which uses measurement correlation and delay measurement techniques. In 2018, based on four-particle logical GHZ states, Gao et al. [30] presented an improved two-party
QKA protocol to resist collective noise. In 2019, Yang et al. [31] put forward a two-party QKA
protocol based on logical Bell states to resist collective noise, which reduces the difficulty of
preparing quantum resources. In 2020, Wang et al. [32] designed two QKA protocols based on
Logical GHZ states and logical Bell states. In 2022, Bai et al. [33] designed two QKA protocols based
on logical GHZ states, which further improves the efficiency of the protocols. In existing schemes against collective noise, we found that these protocols still provide potential
opportunities for some eavesdropping behaviors due to the imperfections of various devices in
practical application. Among these imperfections, the defect of measurement equipment is
particularly prominent. The solution to this problem is to build a nearly perfect device, which is
obviously impractical. Another solution is to design a measurement-device-independent protocol. In 2012, Lo et al. [34] proposed a measurement-device-independent QKD (MID-QKD) protocol,
which is independent of measurement devices and all the photons are measured by an untrusted
third party. For side-channel attacks, based on GHZ states, we put forward one two-party MDI-QKA protocol
against collective‑dephasing noise. Alice and Bob's unrelated three-particle GHZ states are able to
establish entanglement correlation just by using two Bell measurements. Once the encoding is
complete, Alice and Bob attach a series of special photons to the particles in their hands, and then
convert the two particles into a logical quantum state through the CNOT operation. Then all particles
are sent to Charlie for measurement. 2.1 Collective noise and Decoherence-free subspaces Noise has become an important factor affecting the security and accuracy of quantum dialogue. Most practical quantum channels are optical fibers, and optical fibers have birefringence
fluctuations. Since the time gap for photons to travel is shorter than that of the noise source. Therefore, when photons transmitting in a quantum channel, it is often affected by noise. These
effects can be approximated as a unitary operation U(t) (t represents the quantum-state transmission
time) which is the joint unitary noise channel model [35]. Collective noise can be mainly divided
into two types: the collective-dephasing noise and the collective-rotation noise [29,36]. In this
article, the collective-dephasing noise can be depicted as follows: ϖ𝜃:|0⟩→|0⟩, ϖ𝜃:|1⟩→𝑒𝑖𝜃|1⟩ (1) (1) Where θ is the fluctuation factor of the noise with time. When θ=0, the phase is unchanged, and
he modulus is also unchanged. Then, the collective-rotation noise can be described as follows: Where θ is the fluctuation factor of the noise with time. When θ=0, the phase is unchanged, and
the modulus is also unchanged. Then, the collective-rotation noise can be described as follows:
𝜎| ⟩
| ⟩
| ⟩
𝜎| ⟩
| ⟩
| ⟩ Where θ is the fluctuation factor of the noise with time. When θ=0, the phase is unchanged, and
the modulus is also unchanged. Then, the collective-rotation noise can be described as follows:
ϖ𝜎: |0⟩→cos 𝜎|0⟩+ sin 𝜎|1⟩, ϖ𝜎: |1⟩→−sin 𝜎|0⟩+ cos 𝜎|1⟩ (2) (2) ϖ : |0⟩→cos 𝜎|0⟩+ sin 𝜎|1⟩, ϖ : |1⟩→−sin 𝜎|0⟩+ cos 𝜎|1⟩ (2)
Where σ is also the fluctuation factor of the noise with time. Where σ is also the fluctuation factor of the noise with time. Where σ is also the fluctuation factor of the noise with time. Where σ is also the fluctuation factor of the noise with time. A decoherence-free subspace (DFS) is a subspace of a system’s Hilbert space that is invariant to decoherence-free subspace (DFS) is a subspace of a system’s Hilbert space that is invariant to non-unitary dynamics. Alternatively stated, they are a small section of the system Hilbert space
where the system is decoupled from the environment and thus its evolution is completely unitary. Due to this character, DFS is utilized against the collective noise [30]. 2.1 Collective noise and Decoherence-free subspaces According
to
the
characteristics
of
the
collective-dephasing
noise
[26],
the
subspaces{||0𝑑𝑝⟩,|1𝑑𝑝⟩} and {||+𝑑𝑝⟩, |−𝑑𝑝⟩} can form a DFS against the collective-dephasing
noise, where |0𝑑𝑝⟩= |01⟩, |1𝑑𝑝⟩= |10⟩, |+𝑑𝑝⟩=
1
√2 (|0𝑑𝑝⟩+ |1𝑑𝑝⟩), |−𝑑𝑝⟩=
1
√2 (|0𝑑𝑝⟩−|1𝑑𝑝⟩) . 2.2 Unitary operations and entanglement swapping Alice
and Bob are able to deduce the post-measurement states of each other from the measurement results
announced by Charlie. 2.2 Unitary operations and entanglement swapping We present four unitary operations which are defined as: 𝐼= |0⟩⟨0| + |1⟩⟨1|, 𝑋= |1⟩⟨0| + |0⟩⟨1|,𝑍= |0⟩⟨0| −|1⟩⟨1|, 𝑖𝑌= |0⟩⟨1| −|1⟩⟨0| (3)
We define 𝑈00 ≡𝐼, 𝑈01 ≡𝑋, 𝑈10 ≡𝑍, 𝑈11 ≡𝑖𝑌 .There are four Bell states, which can be
constructed as: 𝐼= |0⟩⟨0| + |1⟩⟨1|, 𝑋= |1⟩⟨0| + |0⟩⟨1|,𝑍= |0⟩⟨0| −|1⟩⟨1|, 𝑖𝑌= |0⟩⟨1| −|1⟩⟨0| (3)
We define 𝑈00 ≡𝐼, 𝑈01 ≡𝑋, 𝑈10 ≡𝑍, 𝑈11 ≡𝑖𝑌 .There are four Bell states, which can be
constructed as: |𝜙±⟩=
1
√2 (|00⟩± |11⟩),|𝜓±⟩=
1
√2 (|01⟩± |10⟩) (4) (4) Through the unitary operation𝑈𝑖1𝑖2(𝑖1, 𝑖2 = 0,1), the Bell state can be transformed into another Bell
state. Table 1 shows the transformations of the four Bell states |𝜙±⟩,|𝜓±⟩ under
𝑈00, 𝑈01, 𝑈10, 𝑈11, respectively. |𝜙+⟩
|𝜙−⟩
|𝜓+⟩
|𝜓−⟩
𝑈00
|𝜙+⟩
|𝜙−⟩
|𝜓+⟩
|𝜓−⟩
𝑈01
|𝜓+⟩
|𝜓−⟩
|𝜙+⟩
|𝜙−⟩
𝑈10
|𝜙−⟩
|𝜙+⟩
|𝜓−⟩
|𝜓+⟩
𝑈11
|𝜓−⟩
|𝜓+⟩
|𝜙−⟩
|𝜙+⟩
Table1 Relationship between
the unitary operations and the
transformed Bell states In this protocol, the three-particle GHZ state we used to resist collective‑dephasing noise is
|𝐺𝐻𝑍⟩=
1
√2 (|010⟩+ |101⟩) . It is obvious that GHZ state |𝐺𝐻𝑍⟩123 =
1
√2 (|0⟩1|10⟩23 +
|1⟩1|01⟩23) =
1
√2 (|0⟩1|1𝑑𝑝⟩23 + |1⟩1|0𝑑𝑝⟩23) is constant when the second and the third qubits are 𝐺𝐻𝑍⟩=
1
√2 (|010⟩+ |101⟩) . It is obvious that GHZ state |𝐺𝐻𝑍⟩123 =
1
√2 (|0⟩1|10⟩23 + |1⟩1|01⟩23) =
1
√2 (|0⟩1|1𝑑𝑝⟩23 + |1⟩1|0𝑑𝑝⟩23) is constant when the second and the third qubits are transmitted through the collective-dephasing noise channel. In this protocol, Alice and Bob prepare
a certain amount of GHZ states respectively, |𝐺𝐻𝑍⟩123 and|𝐺𝐻𝑍⟩456. The joint state of each pair
of GHZ states is represented as follows: |𝐺𝐻𝑍⟩123⨂|𝐺𝐻𝑍⟩456 = 1
√2
(|010⟩+ |101⟩)123⨂1
√2
(|010⟩+ |101⟩)456
=
1
2√2
(|𝜙+⟩14(|10⟩23|10⟩56 + |01⟩23|01⟩56)
+|𝜙−⟩14(|10⟩23|10⟩56 −|01⟩23|01⟩56)
+|𝜓+⟩14(|10⟩23|01⟩56 + |01⟩23|10⟩56)
+|𝜓−⟩14(|10⟩23|01⟩56 −|01⟩23|10⟩56)) (5)
=
1
2√2
(|𝜙+⟩14(|𝜙+⟩25|𝜙+⟩36 −|𝜙−⟩25|𝜙−⟩36)
+|𝜙−⟩14(|𝜙+⟩25|𝜙−⟩36 −|𝜙−⟩25|𝜙+⟩36)
+|𝜓+⟩14(|𝜓+⟩25|𝜓+⟩36 −|𝜓−⟩25|𝜓−⟩36) +|𝜙−⟩14(|10⟩23|10⟩56 −|01⟩23|01⟩56)
+|𝜓+⟩14(|10⟩23|01⟩56 + |01⟩23|10⟩56)
+|𝜓−⟩14(|10⟩23|01⟩56 −|01⟩23|10⟩56)) (5) (5) +|𝜓−⟩14(|𝜓+⟩25|𝜓−⟩36 −|𝜓−⟩25|𝜓+⟩36)) If Charlie performs the Bell measurement on the second and the fifth qubits, and the third and the
sixth qubits, according to Eq. (5), the state |𝐺𝐻𝑍⟩123⨂|𝐺𝐻𝑍⟩456 will collapse into one of the eight
states: {|𝜙+⟩14|𝜙+⟩25|𝜙+⟩36, |𝜙+⟩14|𝜙−⟩25|𝜙−⟩36, |𝜙−⟩14|𝜙+⟩25|𝜙−⟩36,|𝜙−⟩14|𝜙−⟩25|𝜙+⟩36, |𝜓+⟩14|𝜓+⟩25|𝜓+⟩36, |𝜓+⟩14|𝜓−⟩25|𝜓−⟩36, |𝜓−⟩14|𝜓+⟩25|𝜓−⟩36, |𝜓−⟩14|𝜓−⟩25|𝜓+⟩36,}. Alice
and Bob are able to deduce the post-measurement states of each other from the measurement results
announced by Charlie. |𝜓+⟩14|𝜓+⟩25|𝜓+⟩36, |𝜓+⟩14|𝜓−⟩25|𝜓−⟩36, |𝜓−⟩14|𝜓+⟩25|𝜓−⟩36, |𝜓−⟩14|𝜓−⟩25|𝜓+⟩36,}. Figure 1 MDI-QKA protocol process. Step 1 Alice and Bob randomly generate their own 2n-bit secret keys: 𝐾𝐴= {𝐾𝐴
1, 𝐾𝐴
2, … , 𝐾𝐴
𝑛}, 𝐾𝐵= {𝐾𝐵
1, 𝐾𝐵
2, … , 𝐾𝐵
𝑛} 𝐾𝐴= {𝐾𝐴
1, 𝐾𝐴
2, … , 𝐾𝐴
𝑛}, 𝐾𝐵= {𝐾𝐵
1, 𝐾𝐵
2, … , 𝐾𝐵
𝑛} Where 𝐾𝐴
𝑖, 𝐾𝐵
𝑖∈{00,01,10,11} and i = 1,2,… , n. Where 𝐾𝐴
𝑖, 𝐾𝐵
𝑖∈{00,01,10,11} and i = 1,2,… , n. Step 2 Alice prepares 2n + δ |𝐺𝐻𝑍⟩𝐴1𝐴2𝐴3 states as described in Section 2, which is expressed
as:{[P1(1), P1(2), P1(3)], [P2(1), P2(2), P2(3)], . . . [P2𝑛+δ(1), P2𝑛+δ(2), P2𝑛+δ(3)], } . (δ is a very small
number that can be ignored, and δ particles are used for security check.)Then, Alice divides the GHZ
particles into two sequences, which are as follows: S𝐴1: [P1(1), P2(1), … , P2𝑛+δ(1), ] S𝐴1: [P1(1), P2(1), … , P2𝑛+δ(1), ] 1
S𝐴2: [P1(2)P1(3), P2(2)P2(3), … , P2𝑛+δ(2)P2𝑛+δ(3), ] S𝐴2: [P1(2)P1(3), P2(2)P2(3), … , P2𝑛+δ(2)P2𝑛+δ(3), ] In the sequence S𝐴2 , each element consists of two particles. Alice randomly selects m decoy
particles from set {|0𝑑𝑝⟩, |1𝑑𝑝⟩, |+𝑑𝑝⟩,|−𝑑𝑝⟩} and inserts them into sequences S𝐴2 to obtain new
sequences 𝑆𝐴2
∗. Alice sends 𝑆𝐴2
∗ to Charlie and retains sequences S𝐴1. In the sequence S𝐴2 , each element consists of two particles. Alice randomly selects m decoy
particles from set {|0𝑑𝑝⟩, |1𝑑𝑝⟩, |+𝑑𝑝⟩,|−𝑑𝑝⟩} and inserts them into sequences S𝐴2 to obtain new
sequences 𝑆𝐴2
∗. Alice sends 𝑆𝐴2
∗ to Charlie and retains sequences S𝐴1. Step 3 In the same way, Bob prepares 2n + δ |𝐺𝐻𝑍⟩𝐵1𝐵2𝐵3 states and obtain sequences
S𝐵1and S𝐵2. Similarly, Bob randomly inserts m logical decoy particles into sequences S𝐵2 to obtain
new sequences 𝑆𝐵2
∗. Bob sends 𝑆𝐵2
∗ to Charlie and retains sequences S𝐵1. Step 3 In the same way, Bob prepares 2n + δ |𝐺𝐻𝑍⟩𝐵1𝐵2𝐵3 states and obtain sequences
S𝐵1and S𝐵2. Similarly, Bob randomly inserts m logical decoy particles into sequences S𝐵2 to obtain
new sequences 𝑆𝐵2
∗. Bob sends 𝑆𝐵2
∗ to Charlie and retains sequences S𝐵1. Step 4 After Charlie receives the sequence 𝑆𝐴2
∗ and 𝑆𝐵2
∗, He makes Bell measurements of the
first particle of each element in sequence 𝑆𝐴2
∗ and the first particle of the corresponding element in
sequence 𝑆𝐵2
∗.Also, Charlie makes joint Bell measurements for the second particle of each element
of the sequence 𝑆𝐴2
∗ and 𝑆𝐵2
∗. 3 Description of the MDI-QKA protocol against collective‑dephasing noise The MDI-QKA protocol is illustrated in Fig. 1. The detailed steps are given below. The MDI-QKA protocol is illustrated in Fig. 1. The detailed steps are given below. detailed steps are given below. Figure 1 MDI-QKA protocol process. Figure 1 MDI-QKA protocol process. After measuring all the particles, Charlie announces the results in
order. Step 4 After Charlie receives the sequence 𝑆𝐴2
∗ and 𝑆𝐵2
∗, He makes Bell measurements of the
first particle of each element in sequence 𝑆𝐴2
∗ and the first particle of the corresponding element in
sequence 𝑆𝐵2
∗.Also, Charlie makes joint Bell measurements for the second particle of each element
of the sequence 𝑆𝐴2
∗ and 𝑆𝐵2
∗. After measuring all the particles, Charlie announces the results in
order. Step 5 Security Checking. After Charlie announces the Bell measurement outcomes, Alice and
Bob announce the specific locations of the logical decoy particles in their sequences through
classical communication. The source of the photon pairs in Charlie’s hand can be divided into three
situations, as shown in Table 2. Table 2. The source of sequence (𝑆𝐴2
∗, 𝑆𝐵2
∗) and the use of Bell measurements in every situation. Every situation
Source of 𝑆𝐴2
∗
Source of 𝑆𝐵2
∗
Functions
(1)
entanglement
entanglement
Entanglement
swapping Table 2. The source of sequence (𝑆𝐴2
∗, 𝑆𝐵2
∗) and the use of Bell measurements in every situation. Every situation
Source of 𝑆𝐴2
∗
Source of 𝑆𝐵2
∗
Functions
(1)
entanglement
entanglement
Entanglement
swapping (1) (2)
decoy photon
decoy photon
security check
(3)
entanglement
decoy photon
discard
decoy photon
entanglement
discard
In Table 2, two pairs of photons in case (1) are both from the entangled pair of Alice and Bob, and (2)
decoy photon
decoy photon
security check
(3)
entanglement
decoy photon
discard
decoy photon
entanglement
discard
In Table 2, two pairs of photons in case (1) are both from the entangled pair of Alice and Bob, and y p
g
In Table 2, two pairs of photons in case (1) are both from the entangled pair of Alice and Bob, and able 2, two pairs of photons in case (1) are both from the entangled pair of Alice and Bob, and ,
p
p
( )
g
p
,
Charlie’s Bell measurement is equivalent to allowing the photons in different entangled pairs to
achieve entanglement swapping. Such photon pairs are most cases, and will be used to realize
quantum key agreement. This situation is as described as Eq. (5), and most of the particles of
sequence S𝐴1 and S𝐵1 can be entangled. The photon pairs in case (3) will be discarded because
only a small number of single photons are inserted. Figure 1 MDI-QKA protocol process. In order to make the security test effective, Alice
and Bob only use the photons in case (2) to analyze the security of the step 2-4. The details are as
follows: |0𝑑𝑝⟩12|0𝑑𝑝⟩34 = |0101⟩1234 = |0011⟩1324 = 1
4 (|𝜙+⟩+ |𝜙−⟩)13⨂(|𝜙+⟩−|𝜙−⟩)24
=
1
4 (|𝜙+⟩|𝜙+⟩−|𝜙+⟩|𝜙−⟩+|𝜙−⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩)1324 (6)
1 =
1
4 (|𝜙+⟩|𝜙+⟩−|𝜙+⟩|𝜙−⟩+|𝜙−⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩)1324
|1𝑑𝑝⟩12|1𝑑𝑝⟩34 = |1010⟩1234 = |1100⟩1324 = 1
4 (|𝜙+⟩−|𝜙−⟩)13⨂(|𝜙+⟩+ |𝜙−⟩)24 (6) 4 (|𝜙⟩|𝜙⟩
|𝜙⟩|𝜙⟩+|𝜙⟩|𝜙⟩
|𝜙⟩|𝜙⟩)1324
|1𝑑𝑝⟩12|1𝑑𝑝⟩34 = |1010⟩1234 = |1100⟩1324 = 1
4 (|𝜙+⟩−|𝜙−⟩)13⨂(|𝜙+⟩+ |𝜙−⟩)24 |1𝑑𝑝⟩12|1𝑑𝑝⟩34 = |1010⟩1234 = |1100⟩1324 = 1
4 (|𝜙+⟩−|𝜙−⟩)13⨂(|𝜙+⟩+ |𝜙−⟩)24 =
1
4 (|𝜙+⟩|𝜙+⟩+ |𝜙+⟩|𝜙−⟩−|𝜙−⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩)1324 (7)
|0110⟩1234 = |0110⟩1324 = 1
4 (|𝜓+⟩+ |𝜓−⟩)13⨂(|𝜓+⟩−|𝜓−⟩)24 =
1
4 (|𝜙+⟩|𝜙+⟩+ |𝜙+⟩|𝜙−⟩−|𝜙−⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩)1324 (7) (7) = 4 (|𝜙+⟩|𝜙+⟩+ |𝜙+⟩|𝜙⟩−|𝜙⟩|𝜙+⟩−|𝜙⟩|𝜙⟩)1324 (7
|0𝑑𝑝⟩12|1𝑑𝑝⟩34 = |0110⟩1234 = |0110⟩1324 = 1
4 (|𝜓+⟩+ |𝜓−⟩)13⨂(|𝜓+⟩−|𝜓−⟩)24 |0𝑑𝑝⟩12|1𝑑𝑝⟩34 = |0110⟩1234 = |0110⟩1324 = 1
4 (|𝜓+⟩+ |𝜓−⟩)13⨂(|𝜓+⟩−|𝜓−⟩)24 =
1
4 (|𝜓+⟩|𝜓+⟩−|𝜓+⟩|𝜓−⟩+|𝜓−⟩|𝜓+⟩−|𝜓−⟩|𝜓−⟩)1324 (8) (8) 4 (|𝜓⟩|𝜓⟩
|𝜓⟩|𝜓⟩|𝜓⟩|𝜓⟩
|𝜓⟩|𝜓⟩)1324
( )
|+𝑑𝑝⟩12|+𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩+ |1𝑑𝑝⟩)12⨂
1
√2
(|0𝑑𝑝⟩+ |1𝑑𝑝⟩)34
= 1
2 ((|01⟩+ |10⟩)12⨂(|01⟩+ |10⟩)34) = 1
2 ((|01⟩+ |10⟩)12⨂(|01⟩+ |10⟩)34) = 1
2 ((|01⟩+ |10⟩)12⨂(|01⟩+ |10⟩)34) = 1
2 (|0101⟩+ |0110⟩+ |1001⟩+ |1010⟩)1234 = 1
2 (|0101⟩+ |0110⟩+ |1001⟩+ |1010⟩)1234
= 1
2 (|0011⟩+ |0110⟩+ |1001⟩+ |1100⟩)1324 = 1
2 (|0011⟩+ |0110⟩+ |1001⟩+ |1100⟩)1324 = 1
2 (|0011⟩+ |0110⟩+ |1001⟩+ |1100⟩)1324 =
1
4√2 (|𝜙+⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩+ |𝜓+⟩|𝜓+⟩−|𝜓−⟩|𝜓−⟩)1324 (9)
|−𝑑𝑝⟩12|−𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)12⨂
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)34
=
1
4√2 (|𝜙+⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩−|𝜓+⟩|𝜓+⟩+ |𝜓−⟩|𝜓−⟩)1324 (10)
|+𝑑𝑝⟩12|−𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩+ |1𝑑𝑝⟩)12⨂
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)34
=
1
4√2 (|𝜙−⟩|𝜙+⟩−|𝜙+⟩|𝜙−⟩−|𝜓−⟩|𝜓+⟩−|𝜓+⟩|𝜓−⟩)1324 (11)
|+𝑑𝑝⟩12|0𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩+ |1𝑑𝑝⟩)12⨂|01⟩34 =
1
√2
(|0101⟩+ |1001⟩)1234 =
1
4√2 (|𝜙+⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩+ |𝜓+⟩|𝜓+⟩−|𝜓−⟩|𝜓−⟩)1324 (9) (9) |−𝑑𝑝⟩12|−𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)12⨂
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)34 √
√
=
1
4√2 (|𝜙+⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩−|𝜓+⟩|𝜓+⟩+ |𝜓−⟩|𝜓−⟩)1324 (10)
|+𝑑𝑝⟩12|−𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩+ |1𝑑𝑝⟩)12⨂
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)34
=
1
4√2 (|𝜙−⟩|𝜙+⟩−|𝜙+⟩|𝜙−⟩−|𝜓−⟩|𝜓+⟩−|𝜓+⟩|𝜓−⟩)1324 (11)
|+𝑑𝑝⟩12|0𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩+ |1𝑑𝑝⟩)12⨂|01⟩34 =
1
√2
(|0101⟩+ |1001⟩)1234 (10) =
1
4√2 (|𝜙−⟩|𝜙+⟩−|𝜙+⟩|𝜙−⟩−|𝜓−⟩|𝜓+⟩−|𝜓+⟩|𝜓−⟩)1324 (11)
|+𝑑𝑝⟩12|0𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩+ |1𝑑𝑝⟩)12⨂|01⟩34 =
1
√2
(|0101⟩+ |1001⟩)1234 (11) = 1
√2
(|0011⟩+ |1001⟩)1324 =
1
4√2 ( |𝜙+⟩|𝜙+⟩−|𝜙+⟩|𝜙−⟩+|𝜙−⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩
+|𝜓+⟩|𝜓+⟩+ |𝜓+⟩|𝜓−⟩−|𝜓−⟩|𝜓+⟩−|𝜓−⟩|𝜓−⟩)
1324
(12) (12) |−𝑑𝑝⟩12|1𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)12⨂|10⟩34 |−𝑑𝑝⟩12|1𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)12⨂|10⟩34 |−𝑑𝑝⟩12|1𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)12⨂|10⟩34 |−𝑑𝑝⟩12|1𝑑𝑝⟩34 =
1
√2
(|0𝑑𝑝⟩−|1𝑑𝑝⟩)12⨂|10⟩34 =
1
4√2 ( |𝜓+⟩|𝜓+⟩−|𝜓+⟩|𝜓−⟩+|𝜓−⟩|𝜓+⟩−|𝜓−⟩|𝜓−⟩
−|𝜙+⟩|𝜙+⟩−|𝜙+⟩|𝜙−⟩+|𝜙−⟩|𝜙+⟩+ |𝜙−⟩|𝜙−⟩)
1324
(13) (13) Alice and Bob have a total of 16 combinations of decoy photons. Take the above 8 equations as an
example. Figure 1 MDI-QKA protocol process. For those logical decoy photons with different preparation basis, Bell measurement will
lead to any one of all possible Bell measurements for logical photons, as shown in Eqs. (12) and
(13), it is not useful for security check and analysis. There are six cases similar to the above, namely
|+𝑑𝑝⟩12|1𝑑𝑝⟩34 , |−𝑑𝑝⟩12|0𝑑𝑝⟩34 , |0𝑑𝑝⟩12|+𝑑𝑝⟩34 , |0𝑑𝑝⟩12|−𝑑𝑝⟩34 , |1𝑑𝑝⟩12|+𝑑𝑝⟩34 and
|1𝑑𝑝⟩12|−𝑑𝑝⟩34.The decomposition of two pairs of logical photons with identical basis in terms of
Bell state are shown as Eqs. (6), (7), (8), (9), (10) and (11). From Eqs. (6) and (7), we see that the
decoy photon states |0𝑑𝑝⟩12|0𝑑𝑝⟩34 and |1𝑑𝑝⟩12|1𝑑𝑝⟩34 are indistinguishable under the bell
measurement. Similar indistinguishable cases are quantum states (|0𝑑𝑝⟩12|1𝑑𝑝⟩34, |1𝑑𝑝⟩12|0𝑑𝑝⟩34),
(|+𝑑𝑝⟩12|+𝑑𝑝⟩34 , |−𝑑𝑝⟩12|−𝑑𝑝⟩34 ) and (|+𝑑𝑝⟩12|−𝑑𝑝⟩34 , |−𝑑𝑝⟩12|+𝑑𝑝⟩34 ). To sum up, we
choose Equations (6), (8), (9) and (11) for security checks, which can be completely distinguished. There are only some specific combinations of Bell measurements. According to the decoy photon
states and positions and states published by Alice and Bob and the above equations, Alice and Bob
can check the channel's security and Charlie's honesty. This method is similar to the detection
method of the general MDI-QKD protocol. The behavior of the eavesdropper Eve or dishonest
Charlie would cause some errors when he chooses the wrong measurement basis. Alice and Bob
analyze and compare the measurements announced by Charlie based on the initial positions and
states of the decoy photons. Then they calculate the error rate, if the error rate is less than the given
threshold value, they will continue to perform the next step. If not, they will give up this protocol
and restart it. 𝑖
𝑖
𝑖
𝑖
𝑖
𝑖 Alice and Bob have a total of 16 combinations of decoy photons. Take the above 8 equations as an
example. For those logical decoy photons with different preparation basis, Bell measurement will
lead to any one of all possible Bell measurements for logical photons, as shown in Eqs. (12) and
(13), it is not useful for security check and analysis. There are six cases similar to the above, namely
|+𝑑𝑝⟩12|1𝑑𝑝⟩34 , |−𝑑𝑝⟩12|0𝑑𝑝⟩34 , |0𝑑𝑝⟩12|+𝑑𝑝⟩34 , |0𝑑𝑝⟩12|−𝑑𝑝⟩34 , |1𝑑𝑝⟩12|+𝑑𝑝⟩34 and Alice and Bob have a total of 16 combinations of decoy photons. Take the above 8 equations as an
example. Figure 1 MDI-QKA protocol process. For those logical decoy photons with different preparation basis, Bell measurement will
lead to any one of all possible Bell measurements for logical photons, as shown in Eqs. (12) and
(13), it is not useful for security check and analysis. There are six cases similar to the above, namely
|+𝑑𝑝⟩12|1𝑑𝑝⟩34 , |−𝑑𝑝⟩12|0𝑑𝑝⟩34 , |0𝑑𝑝⟩12|+𝑑𝑝⟩34 , |0𝑑𝑝⟩12|−𝑑𝑝⟩34 , |1𝑑𝑝⟩12|+𝑑𝑝⟩34 and
|1𝑑𝑝⟩12|−𝑑𝑝⟩34.The decomposition of two pairs of logical photons with identical basis in terms of
Bell state are shown as Eqs. (6), (7), (8), (9), (10) and (11). From Eqs. (6) and (7), we see that the
decoy photon states |0𝑑𝑝⟩12|0𝑑𝑝⟩34 and |1𝑑𝑝⟩12|1𝑑𝑝⟩34 are indistinguishable under the bell
measurement. Similar indistinguishable cases are quantum states (|0𝑑𝑝⟩12|1𝑑𝑝⟩34, |1𝑑𝑝⟩12|0𝑑𝑝⟩34),
(|+𝑑𝑝⟩12|+𝑑𝑝⟩34 , |−𝑑𝑝⟩12|−𝑑𝑝⟩34 ) and (|+𝑑𝑝⟩12|−𝑑𝑝⟩34 , |−𝑑𝑝⟩12|+𝑑𝑝⟩34 ). To sum up, we
choose Equations (6), (8), (9) and (11) for security checks, which can be completely distinguished. There are only some specific combinations of Bell measurements. According to the decoy photon
states and positions and states published by Alice and Bob and the above equations, Alice and Bob
can check the channel's security and Charlie's honesty. This method is similar to the detection
method of the general MDI-QKD protocol. The behavior of the eavesdropper Eve or dishonest
Charlie would cause some errors when he chooses the wrong measurement basis. Alice and Bob
analyze and compare the measurements announced by Charlie based on the initial positions and
states of the decoy photons. Then they calculate the error rate, if the error rate is less than the given
threshold value, they will continue to perform the next step. If not, they will give up this protocol
and restart it. (|+𝑑𝑝⟩12|+𝑑𝑝⟩34 , |−𝑑𝑝⟩12|−𝑑𝑝⟩34 ) and (|+𝑑𝑝⟩12|−𝑑𝑝⟩34 , |−𝑑𝑝⟩12|+𝑑𝑝⟩34 ). To sum up, we
choose Equations (6), (8), (9) and (11) for security checks, which can be completely distinguished. There are only some specific combinations of Bell measurements. According to the decoy photon
states and positions and states published by Alice and Bob and the above equations, Alice and Bob
can check the channel's security and Charlie's honesty. This method is similar to the detection
method of the general MDI-QKD protocol. The behavior of the eavesdropper Eve or dishonest
Charlie would cause some errors when he chooses the wrong measurement basis. Alice and Bob
analyze and compare the measurements announced by Charlie based on the initial positions and
states of the decoy photons. Figure 1 MDI-QKA protocol process. Then they calculate the error rate, if the error rate is less than the given
threshold value, they will continue to perform the next step. If not, they will give up this protocol
and restart it. Step 6 Let 𝐾𝐴1
𝑖𝐾𝐴2
𝑖= 𝐾𝐴
𝑖, 𝐾𝐵1
𝑖𝐾𝐵2
𝑖= 𝐾𝐵
𝑖. After security check, Alice and Bob will discard the
photons in S𝐴1 and S𝐵1 that are not entangled, which are these photons in case (3) and (4) in the
Table 2. There are about 2n photons remaining in the sequence S𝐴1 and S𝐵1. Alice selects the first
half of the n particles in the sequence S𝐴1 and encodes her key 𝐾𝐴 through four unitary operations
𝑈𝐾𝐴1
𝑖𝐾𝐴2
𝑖, where i=1,2,…,n. At the same time, Bob also performs random unitary operations on his
half of the corresponding particles for preventing Eve to perform the intercept and resend attack. Similarly, Bob encodes the key 𝐾𝐵 by performing the unitary operation 𝑈𝐾𝐵1
𝑖𝐾𝐵2
𝑖 on the remaining n particles and Alice performs random unitary operations on the corresponding particles. n particles and Alice performs random unitary operations on the corresponding particles. Step 7 After the encoding operation is completed, Alice and Bob respectively prepare 2n single
photons whose initial state is |1⟩, namely sequence S𝐴3 and S𝐵3. Then, Alice performs the CNOT
operations on the sequences S𝐴1 and S𝐴3. Specifically, the particles in the sequence S𝐴1 are used
as the control qubits and the particles in the sequence S𝐴3 are used as the target qubits, respectively. After these CNOT operations, Alice obtains a new sequence 𝑆𝐴1
∗, which is composed of particles of
sequence S𝐴1 and S𝐴3. At the same time, Bob performs the same operation on the sequences S𝐵1
and S𝐵3 and obtains a new sequence 𝑆𝐵1
∗ . At this time, the sequences 𝑆𝐴1
∗ and 𝑆𝐵1
∗ can resist
collective‑dephasing noise. Specifically, suppose that an entangled state of the sequence S𝐴1 and
S𝐵1 is |𝜙+⟩. The whole process is as follows: ollective‑dephasing noise. Specifically, suppose that an entangled state of the sequence S𝐴1 and 𝐵1 is |𝜙+⟩. The whole process is as follows: CNOT(𝐴1,𝐴3)CNOT(𝐵1, 𝐵3)|𝜙+⟩𝐴1𝐵1⨂|11⟩𝐴3𝐵3
= CNOT(𝐴1, 𝐴3)CNOT(𝐵1,𝐵3) 1
√2
(|0011⟩+ |1111⟩)𝐴1𝐵1𝐴3𝐵3 = 1
√2
(|0011⟩+ |1100⟩)𝐴1𝐵1𝐴3𝐵3
= 1
√2
(|01⟩|01⟩+ |10⟩|10⟩)𝐴1𝐴3𝐵1𝐵3
=
1
√2 (|𝜙+⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩)𝐴1𝐵1𝐴3𝐵3 (14) =
1
√2 (|𝜙+⟩|𝜙+⟩−|𝜙−⟩|𝜙−⟩)𝐴1𝐵1𝐴3𝐵3 (14) (14) From Eq. (14), the particles of A1 and A3 form a logical state against collective‑dephasing noise. From Eq. 4.2 Security In the above QKA protocol, the transmitted particles are logical particles that immune to noise
interference. Therefore, our QKA protocols can resist collective dephasing noise. In this section,
we will discuss the security of our protocol. The common attack methods are Trojan-horse attack,
intercept–resend, measure–resend and fake bell measurement attack. The analysis of various attack
methods is as follows. Figure 1 MDI-QKA protocol process. (14), the particles of A1 and A3 form a logical state against collective‑dephasing noise. Also, the particles of B1 and B3 can resist collective‑dephasing noise, too. The other three cases are
as follows: CNOT(𝐴1,𝐴3)CNOT(𝐵1, 𝐵3)|𝜙−⟩𝐴1𝐵1⨂|11⟩𝐴3𝐵3
= 1
√2
(|01⟩|01⟩−|10⟩|10⟩)𝐴1𝐴3𝐵1𝐵3
=
1
√2 (|𝜙−⟩|𝜙+⟩−|𝜙+⟩|𝜙−⟩)𝐴1𝐵1𝐴3𝐵3 (15)
CNOT(𝐴1, 𝐴3)CNOT(𝐵1, 𝐵3)|𝜓+⟩𝐴1𝐵1⨂|11⟩𝐴3𝐵3
= 1
√2
(|01⟩|10⟩+ |10⟩|01⟩)𝐴1𝐴3𝐵1𝐵3
=
1
√2 (|𝜓+⟩|𝜓+⟩−|𝜓−⟩|𝜓−⟩)𝐴1𝐵1𝐴3𝐵3 (16) (15) (16) CNOT(𝐴1, 𝐴3)CNOT(𝐵1, 𝐵3)|𝜓−⟩𝐴1𝐵1⨂|11⟩𝐴3𝐵3
= 1
√2
(|01⟩|10⟩−|10⟩|01⟩)𝐴1𝐴3𝐵1𝐵3
=
1
√2 (|𝜓−⟩|𝜓+⟩−|𝜓+⟩|𝜓−⟩)𝐴1𝐵1𝐴3𝐵3 (17) (17) Finally, Alice and Bob send the sequences 𝑆𝐴1
∗ and 𝑆𝐵1
∗ to Charlie. Finally, Alice and Bob send the sequences 𝑆𝐴1
∗ and 𝑆𝐵1
∗ to Charlie. Step 8 After Charlie receives the sequences 𝑆𝐴1
∗ and 𝑆𝐵1
∗ , he performs two joint Bell measurements on the sequences S𝐴1 , S𝐵1 and the sequences S𝐴3 , S𝐵3. Then Charlie announces
the measurement results. According to the results published by Charlie and Eqs. (14), (15), (16) and
(17), Alice and Bob can deduce each other's keys. Finally, Alice and Bob calculate the share key
𝐾𝐴𝐵= 𝐾𝐴⨁𝐾𝐵. Step 9 The Second Security Checking. After Alice and Bob get the share key 𝐾𝐴𝐵, Alice and
Bob choose random m-bit keys to compare to check the key integrity. (m is a very small number
that can be ignored.) Ensure that the negotiation process is not destroyed through the second round
of security checks. 4 Analysis According to [37], a secure quantum key agreement protocol should meet the following four conditions. should meet the following four conditions. should meet the following four conditions. (C1) Correctness. At the end of the protocol, each participant gets the correct agreement key. (C2) Security. No external eavesdropper can obtain any information about the agreement key
without being detected. C2) Security. No external eavesdropper can obtain any information about the agreement key
without being detected. (C3) Fairness. All participants equally influence the agreement key, that is, any nontrivial subset of
the participants cannot determine the agreement key alone. (C3) Fairness. All participants equally influence the agreement key, that is, any nontrivial subset of
the participants cannot determine the agreement key alone. (C4) Privacy. The inputs of the participants can be kept secret. (C4) Privacy. The inputs of the participants can be kept secret. In this protocols, the inputs of participants are random bits and do not contain any private
information. Therefore, when analyzing the securities of our protocol, we ignore the privacy
requirement and focus on the first three conditions C1–C3. In this protocols, the inputs of participants are random bits and do not contain any private
information. Therefore, when analyzing the securities of our protocol, we ignore the privacy
requirement and focus on the first three conditions C1–C3. 4.1 Correctness Let's take our protocol as an example. In step 4, the two Bell measurements published by Charlie
are |𝜓+⟩25|𝜓+⟩36. According to Eq. (5), the corresponding particles of sequence S𝐴1 and sequence
S𝐵1 collapse to |𝜓+⟩14. Suppose this particle is in the first half of the sequence S𝐴1 and The key
of Alice at the corresponding position is 𝐾𝐴
𝑖= 01 . Suppose that the random unitary operation
chosen by Bob is 𝑈10. According to Table 1, The joint state |𝜓+⟩ will collapse into |𝜙−⟩. Finally,
after Charlie publishes the measurement results |𝜙−⟩ |𝜙+⟩, according to Eq. (15), everyone knows
the joint state is |𝜙−⟩. Since Charlie doesn't know what unitary operation Bob has done, he can't
deduce the key 𝐾𝐴
𝑖. However, Bob can deduce Alice's encoding operation 𝑈01 based on the unitary
operation he did. In the same way, Alice can also deduce Bob's key. At the end of the protocol, Alice
and Bob can get each other's correct key. Therefore, our proposed protocol is correct. 4.2 Security 4.2.2 Intercept–resend attack 4.2.2 Intercept resend attack
If outsider eavesdropper Eve executes the intercept-resend attack, he intercepts the sequences 𝑆𝐴2
∗
and 𝑆𝐵2
∗ in the first photon transmission process, and then sends the prepared sequence to Charlie. However, Eve does not know the position of the decoy particles in sequences 𝑆𝐴2
∗ and 𝑆𝐵2
∗ and the
measurement basis used, so the sequences forged by Eve cannot pass the first security detection. The probability of Eve attack being found is 1 −(
1
16)
𝑚
. (m refers to the number of decoy particles.)
If intercepts the sequences 𝑆𝐴1
∗ and 𝑆𝐵1
∗ in the second photon transmission process, Eve cannot
obtain any information because he does not know the unitary operation performed by Bob. If he
sends the prepared sequence to Charlie, He can only destroy the progress of the protocol without
obtaining any keys. To avoid the interruption from Eve or Charlie, Alice and Bob perform the
second
round of security checking. Therefore, intercept–resend attack will be naturally resisted in this
protocol. If outsider eavesdropper Eve executes the intercept-resend attack, he intercepts the sequences 𝑆𝐴2
∗
and 𝑆𝐵2
∗ in the first photon transmission process, and then sends the prepared sequence to Charlie. However, Eve does not know the position of the decoy particles in sequences 𝑆𝐴2
∗ and 𝑆𝐵2
∗ and the
measurement basis used, so the sequences forged by Eve cannot pass the first security detection. The probability of Eve attack being found is 1 −(
1
16)
𝑚
. (m refers to the number of decoy particles.) If intercepts the sequences 𝑆𝐴1
∗ and 𝑆𝐵1
∗ in the second photon transmission process, Eve cannot
obtain any information because he does not know the unitary operation performed by Bob. If he
sends the prepared sequence to Charlie, He can only destroy the progress of the protocol without
obtaining any keys. To avoid the interruption from Eve or Charlie, Alice and Bob perform the
second
round of security checking. Therefore, intercept–resend attack will be naturally resisted in this
protocol. 4.2.1 Trojan-horse attack Trojan Horse attack is a physical attack that uses the physical characteristics and special devices of
photons to obtain photon states. This attack mainly exists in two-way communication protocols. In our
scheme, the four quantum information flows are: Alice →Charlie ; Bob →Charlie ; Alice →
Charlie ; Bob →Charlie . One-way quantum communication protocol refers to only one party
transfers the quantum information flow to the other, and no returned information. Therefore, our
protocol is a one-way quantum communication protocol and Trojan horse attack will be naturally resisted in this protocol. in this protocol. 4.2.2 Intercept–resend attack 4.2.3 Measure–resend attack Similar to intercept–resend, if Eve intercepts and measures the sequences 𝑆𝐴2
∗ and 𝑆𝐵2
∗ in the first
photon transmission process, because eve does not know the specific position and initial state of the
decoy photons in the sequences, when eve chooses the wrong measurement basis, his measurement
will change the state of the decoy photon, causing certain errors. Eve's attack will definitely be
discovered in the first round of security checks. The probability of Eve attack being found is 1 −
(
1
16)
𝑚
. (m refers to the number of decoy particles.) If intercepts the sequences 𝑆𝐴1
∗ and 𝑆𝐵1
∗ in the
second photon transmission process, Eve cannot obtain any information because he does not know
the unitary operation performed by Bob. At this time, Eve has the same function as Charlie, but is
only responsible for measuring the sequence, but cannot obtain any key. 4 2 4 Fake Bell Measurement attack In our agreement, Charlie is an untrusted third party. Compared with Eve, the internal eavesdropper
Charlie has more advantage in acquiring information about entangled particles. In Step 4, Charlie
does not perform Bell measurement on the corresponding sequences (𝑆𝐴2
∗ , 𝑆𝐵2
∗) and (𝑆𝐴1
∗ ,𝑆𝐵1
∗), but
announces fake Bell measurement results. However, he does not know the specific position and
initial state of the decoy photons in the sequences 𝑆𝐴2
∗ and 𝑆𝐵2
∗, such an attack will also be detected
in the security check process of Step 5. If Charlie announces fake Bell measurement results in Step
8, his dishonesty behavior must be detected because Alice and Bob will perform the second security
check. The probability of Charlie attack being found is 1 −(
1
16)
𝑚
. (m refers to the number of decoy
particles and number of keys published in the second round of security check.) In summary, our protocol can resist various types of attacks and ensure the security of the protocol. 4.3 Fairness 4.3 Fairness The key encoding phase is at step 6, Alice and Bob simultaneously encode their own keys in their
halves of the particle. The final measurement publication is at step 8. At this point both Alice and
Bob have no particles in their hands. Taking Alice as an example, she has encoded her own key into
sequence S𝐴1 in step 6, and in step 8, she can only decode to obtain Bob's key. Alice can't know
Bob's key before step 8, so she can't decide the key by herself before the encoding operation. Similarly, Bob cannot decide the shared key by himself. Therefore, our protocol can achieve fairness. 5 Efficiency Analysis 5 Efficiency Analysis Now let's discuss the efficiency of our protocol. According to [38], the reference index of efficiency
can be defined as follows: η =
𝑐
𝑞+𝑏 (18) (18) η =
𝑐
𝑞+𝑏 In the formula, c represents the shared key bits generated by the protocol, q represents the total
quantum bits utilized in the protocol, and b represents the classical bits used for decoding (excluding
the classical bits used for eavesdropping detection). In the proposed MDI-QKA protocol, the
number of classical bits negotiated is c = 2n, the total number of qubits used in the protocol is
q = 6n + 6n + 4n . Because m is much smaller than n, compared to n, the proportion is
significantly smaller of number of decoy photons which are used for entanglement detection and it
can be neglected theoretically. Because Alice and Bob deduce each other's key through the bell
measurement published by Charlie, the number of classical bits exchanged for decoding the message s 4n. Therefore, the qubit efficiency of this protocol is as follows η =
2𝑛
6𝑛+6𝑛+4𝑛+4𝑛= 10% . Because there is no MDI-QKA protocol against collective noise of the same type for comparison,
we select several other two-party protocols against collective noise and MDI protocols that are not
immune to noise to compare with ours. The comparison is shown in Table 3. Because there is no MDI-QKA protocol against collective noise of the same type for comparison,
we select several other two-party protocols against collective noise and MDI protocols that are not
immune to noise to compare with ours. The comparison is shown in Table 3. 6 Conclusion Based on GHZ states and single photons, we propose one QKA protocol against the collective-
dephasing noise. Alice and Bob conduct key agreement through entanglement exchange in the GHZ
state with the help of dishonest Charlie. After encoding is complete, Alice and Bob will attach a
series of special photons to the particles in their hands and perform CNOT operations to resist noise. In comparison with the existing MDI-QKA protocols of two parties, our protocol uses logical
quantum states during both particle transfers, which makes the protocol immune to collective‑
dephasing noise, greatly improving the final key rate. Also, our proposed protocol only uses Bell
measurements and common quantum gate operations, which can be easily implemented in the
existing technology. Through the security analysis, it can be seen that the proposed protocol has
sufficient security to effectively defend against common internal and external attacks. Besides, the
proposed protocols are better in terms of quantum resource cost and actual experiment. Based on GHZ states and single photons, we propose one QKA protocol against the collective-
dephasing noise. Alice and Bob conduct key agreement through entanglement exchange in the GHZ
state with the help of dishonest Charlie. After encoding is complete, Alice and Bob will attach a
series of special photons to the particles in their hands and perform CNOT operations to resist noise. In comparison with the existing MDI-QKA protocols of two parties, our protocol uses logical
quantum states during both particle transfers, which makes the protocol immune to collective‑ dephasing noise, greatly improving the final key rate. Also, our proposed protocol only uses Bell
measurements and common quantum gate operations, which can be easily implemented in the
existing technology. Through the security analysis, it can be seen that the proposed protocol has
sufficient security to effectively defend against common internal and external attacks. Besides, the
proposed protocols are better in terms of quantum resource cost and actual experiment. For future work, I have two thoughts: Firstly, the advantages of our proposed protocol in terms
of efficiency are not obvious, so in the next step we will refer to other protocols and improve our
protocol to improve the overall quantum efficiency. 5 Efficiency Analysis Table 3 Comparisons among several kinds of QKA protocols against collective noise
Protocols
Quantum
resource
Measurement-
device-
independent
Immune
to
noise
Qubit
efficiency(%)
Huang et al.[28]
Logical Bell
states
No
Yes
16.67%
Yang et al.[31]
Logical Bell
states
No
Yes
21.05
Wang et al.[32]
Logical GHZ
states and
logical Bell
states
No
Yes
13.3
Shi.[39]
Bell states
Yes
No
10
ours
Logical GHZ
states and single
photons
Yes
Yes
10 Table 3 Comparisons among several kinds of QKA protocols against collective noise
Protocols
Quantum
resource
Measurement-
device-
independent
Immune
to
noise
Qubit
efficiency(%)
Huang et al.[28]
Logical Bell
states
No
Yes
16.67%
Yang et al.[31]
Logical Bell
states
No
Yes
21.05
Wang et al.[32]
Logical GHZ
states and
logical Bell
states
No
Yes
13.3
Shi.[39]
Bell states
Yes
No
10
ours
Logical GHZ
states and single
photons
Yes
Yes
10
As is shown in Table 3, although existing two-party QKA protocols against collective noise have
higher quantum efficiency, these protocols cannot resist side-channel attacks caused by equipment
defects. similarly, existing two-party MDI protocols are not suitable for noisy channels. In the MDI
protocols, many errors will be introduced due to the influence of collective noise, which will cause
the participants to think that the protocol is under attack, and affect the final key rate. However, our
protocol is not only resistant to side-channel attacks, but also immune to collective‑dephasing noise,
which has good qubit efficiency. able 3 Comparisons among several kinds of QKA protocols against collective noise As is shown in Table 3, although existing two-party QKA protocols against collective noise have
higher quantum efficiency, these protocols cannot resist side-channel attacks caused by equipment
defects. similarly, existing two-party MDI protocols are not suitable for noisy channels. In the MDI
protocols, many errors will be introduced due to the influence of collective noise, which will cause
the participants to think that the protocol is under attack, and affect the final key rate. However, our 6 Conclusion Secondly, because the existing protocols
against collective noise do not have much work on measurement-device-independent aspect, we
next try to improve our protocol and apply it to other related fields, such as quantum secret sharing,
quantum secure direct communication (QSDC) and quantum dialogue, etc. Therefore, this is the
direction of our future research. Acknowledgments g
This work was supported by the National Natural Science Foundation of China under grant No. 62071015. References
1. Bennett, C. H. and Brassard, G.: Quantum cryptography: public key distribution and coin tossing. In: Proceedings of the IEEE International Conference on Computers, Systems, and Signal
Processing, Bangalore, India, 175–179 (1984) https://doi.org/10.1016/j.tcs.2014.05.025
2. Ekert, A.K. : Quantum cryptography based on Bell's theorem. Phys. Rev. Lett.67, 6 6 1–663 (1991)
https://doi.org/10.1103/PhysRevLett.67.661
3. Bennett, C.H.: Quantum cryptography using any two nonorthogonal states. Phys. Rev. Lett.68, 3 1
2 1–3124 (1992) https://doi.org/10.1103/PhysRevLett.68.3121
4. Grosshans, F., V an Assche, G., Wenger, J., Brouri, R., Cerf, N.J., Grangier, P .: Quantum key
distribution using gaussian-modulated coherent states. Nature.421, 2 3 8–241 (2003)
https://doi.org/10.1038/nature01289
5. Wang, T.Y ., Wen, Q.Y ., Chen, X.B.: Cryptanalysis and improvement of a multi-user quantum key
distribution
protocol. Opt. Commun.283(24),
5261–5263
(2010)
https://doi.org/10.1016/j.optcom.2010.07.022
6. Zhou, N., Zeng, G., Xiong, J.: Quantum key agreement protocol. Electron. Lett.40(18), 1149–1150
(2004) https://doi.org/10.1049/el:20045183
7. Chong, S.K., Hwang, T.: Quantum key agreement protocol based on BB84. Opt. Commun.283(6),
1192–1195 (2010) https://doi.org/10.1016/j.optcom.2009.11.007
8. Hillery, M., Bužek, V., Berthiaume, A.: Quantum secret sharing. Phys. Rev. A 59, 1829–1834 (1999)
https://doi.org/10.1103/PhysRevA.59.1829
9. Karlsson, A., Koashi, M., Imoto, N.: Quantum entanglement for secret sharing and secret splitting. This work was supported by the National Natural Science Foundation of China under grant No. 62071015. References This work was supported by the National Natural Science Foundation of China under grant No. 62071015
References This work was supported by the National Natural Science Foundation of China under grant No. 62071015. References References Boström, K., Felbinger, T.: Deterministic secure direct communication using entanglement. Phys. Rev Lett 89 187902 (2002) https://doi org/10 1103/PhysRevLett 89 187902 11. Long, G.L., Liu, X.S.: Theoretically efficient high-capacity quantum-key-distribution scheme. Phys. Rev. A 65, 032302 (2002) https://doi.org/10.1103/PhysRevA.65.032302 12. Nguyen,
B.A.:
Quantum
dialogue. Phys. Lett. A
328(1),
6–10
(2004)https://doi.org/10.1016/j.physleta.2004.06.009 13. Yang, Y.-G., Liu, Z.-C., Li, J., Chen, X.-B., Zuo, H.-J., Zhou, Y.-H., Shi, W.-M.: Theoretically
extensible quantum digital signature with starlike cluster states. Quantum Inf. Process. 16(1), 1–15
(2017)https://doi.org/10.1007/s11128-016-1458-x 14. Yang, Y.-G., Lei, H., Liu, Z.-C., Zhou, Y.-H., Shi, W.-M.: Arbitrated quantum signature scheme
based
on
cluster
states. Quantum
Inf. Process. 15(6),
2487–2497
(2016)https://doi.org/10.1007/s11128-016-1293-0 15. Wang, T.-Y., Wei, Z.L.: One-time proxy signature based on quantum cryptography. Quantum Inf. Process. 11, 455–463 (2012)https://doi.org/10.1007/s11128-011-0258-6 16. Wang, T.-Y., Cai, X.Q., Ren, Y.L., Zhang, R.L.: Security of quantum digital signatures for classical
messages. Sci. Rep. 5, 9231 (2015)https://doi.org/10.1038/srep09231 17. Liu, S.L., Zheng, D., Chen, K.F.: Analysis of information leakage in quantum key agreement. J. Shanghai Jiaotong Univ. (Sci.).E-11(2), 219–223 (2006) https://doi.org/10.1007/s002540100348 18. Shi, R.H., Zhong, H.: Multi-party quantum key agreement with bell states and bell measurements. Quantum Inf. Process12, 921–932 (2013) https://doi.org/10.1007/s11128-012-0443-2 19. Liu, B., Gao, F., Huang, W., Wen, Q.-Y .: Multiparty quantum key agreement with single particles. Quantum Inf. Process12, 1797–1805 (2013) https://doi.org/10.1007/s11128-012-0492-6 19. Liu, B., Gao, F., Huang, W., Wen, Q.-Y .: Multiparty quantum key agreement with single particles. Quantum Inf Process12 1797 1805 (2013) https://doi org/10 1007/s11128 012 0492 6 20. Xu, G.-B., Wen, Q.-Y., Gao, F., Qin, S.-J.: Novel multiparty quantum key agreement protocol with
GHZ states[J]. Quantum Inf. Process.13(12), 2587–2594 (2014) https://doi.org/10.1007/s11128-
014-0816-9 21. Shen, D.S., Ma, W.P ., Wang, L.L.: Two-party quantum key agreement with four-qubit cluster states. Quantum Inf. Process13, 2313–2324 (2014) https://doi.org/10.1007/s11128-014-0785-z 21. Shen, D.S., Ma, W.P ., Wang, L.L.: Two-party quantum key agreement with four-qubit cluster states. Quantum Inf. Process13, 2313–2324 (2014) https://doi.org/10.1007/s11128-014-0785-z 22. Sun, Z.W., Y u, J.P ., Wang, P .: Efficient multi-party quantum key agreement by cluster states. Quantum Inf. Process15, 373–384 (2016) https://doi.org/10.1007/s11128-015-1155-1 22. Sun, Z.W., Y u, J.P ., Wang, P .: Efficient multi-party quantum key agreement by cluster states. Quantum Inf. Process15, 373–384 (2016) https://doi.org/10.1007/s11128-015-1155-1 23. He, Y .F., Ma, W.P .: Two-party quantum key agreement based on four-particle GHZ states. Int. J. Theor.Phys.14, 1650007 (2016) https://doi.org/10.1142/S0219749916500076 23. He, Y .F., Ma, W.P .: Two-party quantum key agreement based on four-particle GHZ states. Int. J. References 1. Bennett, C. H. and Brassard, G.: Quantum cryptography: public key distribution and coin tossing. In: Proceedings of the IEEE International Conference on Computers, Systems, and Signal
Processing, Bangalore, India, 175–179 (1984) https://doi.org/10.1016/j.tcs.2014.05.025 1. Bennett, C. H. and Brassard, G.: Quantum cryptography: public key distribution and coin tossing. In: Proceedings of the IEEE International Conference on Computers, Systems, and Signal
Processing, Bangalore, India, 175–179 (1984) https://doi.org/10.1016/j.tcs.2014.05.025 2. Ekert, A.K. : Quantum cryptography based on Bell's theorem. Phys. Rev. Lett.67, 6 6 1–663 (1991)
https://doi.org/10.1103/PhysRevLett.67.661 2. Ekert, A.K. : Quantum cryptography based on Bell's theorem. Phys. Rev. Lett.67, 6 6 1–663 (1991)
https://doi.org/10.1103/PhysRevLett.67.661 3. Bennett, C.H.: Quantum cryptography using any two nonorthogonal states. Phys. Rev. Lett.68, 3 1
2 1–3124 (1992) https://doi.org/10.1103/PhysRevLett.68.3121 3. Bennett, C.H.: Quantum cryptography using any two nonorthogonal states. Phys. Rev. Lett.68, 3 1
2 1–3124 (1992) https://doi.org/10.1103/PhysRevLett.68.3121 4. Grosshans, F., V an Assche, G., Wenger, J., Brouri, R., Cerf, N.J., Grangier, P .: Quantum key
distribution using gaussian-modulated coherent states. Nature.421, 2 3 8–241 (2003)
https://doi.org/10.1038/nature01289 4. Grosshans, F., V an Assche, G., Wenger, J., Brouri, R., Cerf, N.J., Grangier, P .: Quantum key
distribution using gaussian-modulated coherent states. Nature.421, 2 3 8–241 (2003)
https://doi.org/10.1038/nature01289 5. Wang, T.Y ., Wen, Q.Y ., Chen, X.B.: Cryptanalysis and improvement of a multi-user quantum key
distribution
protocol. Opt. Commun.283(24),
5261–5263
(2010)
https://doi.org/10.1016/j.optcom.2010.07.022 5. Wang, T.Y ., Wen, Q.Y ., Chen, X.B.: Cryptanalysis and improvement of a multi-user quantum key
distribution
protocol. Opt. Commun.283(24),
5261–5263
(2010)
https://doi.org/10.1016/j.optcom.2010.07.022 6. Zhou, N., Zeng, G., Xiong, J.: Quantum key agreement protocol. Electron. Lett.40(18), 1149–1150
(2004) https://doi.org/10.1049/el:20045183 6. Zhou, N., Zeng, G., Xiong, J.: Quantum key agreement protocol. Electron. Lett.40(18), 1149–1150
(2004) https://doi.org/10.1049/el:20045183 7. Chong, S.K., Hwang, T.: Quantum key agreement protocol based on BB84. Opt. Commun.283(6),
1192–1195 (2010) https://doi.org/10.1016/j.optcom.2009.11.007 7. Chong, S.K., Hwang, T.: Quantum key agreement protocol based on BB84. Opt. Commun.283(6),
1192–1195 (2010) https://doi.org/10.1016/j.optcom.2009.11.007 8. Hillery, M., Bužek, V., Berthiaume, A.: Quantum secret sharing. Phys. Rev. A 59, 1829–1834 (1999
https://doi.org/10.1103/PhysRevA.59.1829 9. Karlsson, A., Koashi, M., Imoto, N.: Quantum entanglement for secret sharing and secret splitting 9. Karlsson, A., Koashi, M., Imoto, N.: Quantum entanglement for secret sharing and secret splitting. Phys. Rev. A 59, 162–168 (1999) https://doi.org/10.1103/PhysRevA.59.162 Phys. Rev. A 59, 162–168 (1999) https://doi.org/10.1103/PhysRevA.59.162 10. Boström, K., Felbinger, T.: Deterministic secure direct communication using entanglement. Phys. Rev. Lett. 89, 187902 (2002) https://doi.org/10.1103/PhysRevLett.89.187902 10. References Theor.Phys.14, 1650007 (2016) https://doi.org/10.1142/S0219749916500076 24. He, Y .F., Ma, W.P .: Two-party quantum key agreement with five-particle entangled states. Int. J. Quantum Inf.15, 1750018 (2017) https://doi.org/10.1142/S0219749917500186 24. He, Y .F., Ma, W.P .: Two-party quantum key agreement with five-particle entangled states. Int. J. Quantum Inf.15, 1750018 (2017) https://doi.org/10.1142/S0219749917500186 25. Gu, J., Hwang, T.: Improvement of "Novel multiparty quantum key agreement protocol with GHZ
states". Int. J. Theor. Phys.56, 3108–3116 (2017) https://doi.org/10.1007/s10773-017-3478-4 25. Gu, J., Hwang, T.: Improvement of "Novel multiparty quantum key agreement protocol with GHZ
states". Int. J. Theor. Phys.56, 3108–3116 (2017) https://doi.org/10.1007/s10773-017-3478-4 26. Kwiat, P.G., Berglund, A.J., Altepeter, J.B., White, A.G.: Experimental verification of decoher-
ence-free
subspaces. Science
(New
York
N.Y.)
290(5491),
498–501
(2000)https://doi.org/10.1126/science.290.5491.498 26. Kwiat, P.G., Berglund, A.J., Altepeter, J.B., White, A.G.: Experimental verification of decoher-
ence-free
subspaces. Science
(New
York
N.Y.)
290(5491),
498–501
(2000)https://doi.org/10.1126/science.290.5491.498 27. Huang, W., Su, Q., Wu, X., Li, Y.B., Sun, Y.: Quantum key agreement against collective
decoherence. Int. J. Theor. Phys. 53, 2891–2901 (2014)https://doi.org/10.1007/s10773-014-2087-8 27. Huang, W., Su, Q., Wu, X., Li, Y.B., Sun, Y.: Quantum key agreement against collective
decoherence. Int. J. Theor. Phys. 53, 2891–2901 (2014)https://doi.org/10.1007/s10773-014-2087-8 28. Huang, W., Wen, Q.Y., Liu, B., Gao, F., Sun, Y.: Quantum key agreement with EPR pairs and single
particle measurements. Quantum Inf. Process. 13, 649–663 (2014)https://doi.org/10.1007/s11128-
013-0680-z 28. Huang, W., Wen, Q.Y., Liu, B., Gao, F., Sun, Y.: Quantum key agreement with EPR pairs and single
particle measurements. Quantum Inf. Process. 13, 649–663 (2014)https://doi.org/10.1007/s11128-
013-0680-z 29. He, Y.F., Ma, W.P.: Two-party quantum key agreement against collective noise. Quantum Inf. Pro-
cess. 15, 5023–5035 (2016)https://doi.org/10.1007/s11128-016-1436-3 30. Gao, H., Chen, X.G., Qian, S.R.: Two-party quantum key agreement protocols under collective
noise channel. Quantum Inf. Process. 17, 140 (2018)https://doi.org/10.1007/s11128-018-1910-1 31. Yang, Y.G., Gao, S., Li, D., et al.: Two-party quantum key agreement over a collective noisy chan-
nel. Quantum Inf. Process. 18, 74 (2019)https://doi.org/10.1007/s11128-019-2187-8 32. Wang, M.F., Zhou, Y.H., Yang, Y.G., et al.: Two‑party quantum key agreement against collective
noisy channel. Quantum Inf. Process. 19,100 (2020)https://doi.org/10.1007/s11128-020-2593-y 33. Bai, M.Q., Guo, J.H., Yang, Z., Mo, Z.W.: Quantum Key Agreement Protocols with GHZ States
Under
Collective
Noise
Channels. International
Journal
of
Theoretical
Physics. 61,63(2022)https://doi.org/10.1007/s10773-022-05059-0 34. Lo, H.K., Curty, M., Qi, B.: Measurement-device-independent quantum key distribution. Phys. Rev.Lett. 108, 130503 (2012)https://doi.org/10.1103/PhysRevLett.108.130503 35. Wang, X.B.: Fault tolerant quantum key distribution protocol with collective random unitary noise. Phys. Rev. A 72(5), 762–776 (2005)https://doi.org/10.1103/PhysRevA.72.050304 36. References Chang, C.H., Y ang, C.W., Hwang, T.: Trojan horse attack free fault-tolerant quantum key
distribution
protocols
using
ghz
states. Int. J. Theor. Phys. 55(9),
1–12
(2016)https://doi.org/10.1007/s10773-016-3028-5 37. Lin, S., Zhang, X., Guo, G.-D., Wang, L.-L., Liu, X.-F.: Multiparty quantum key agreement. Phys. Rev. A. 104, 042421 (2021)https://doi.org/ 10.1103/PhysRevA.104.042421 38. Cabello, A.: Quantum key distribution in the Holevo limit. Phys. Rev. Lett. 85, 5633–5638 (2000)
https://doi.org/10.1103/PhysRevLett.85.5635 39. Shi, G.F.: Measurement-device-independent quantum dialogue. Chinese Physics B. V ol. 30, No. 10 (2021) 100303https://doi.org/ 10.1088/1674-1056/ac140a
|
https://openalex.org/W2968777284
|
https://drum.lib.umd.edu/bitstream/1903/26119/1/A%20DNA%20G-quadruplex%20i-motif%20hybrid.pdf
|
English
| null |
A DNA G-quadruplex/i-motif hybrid
|
bioRxiv (Cold Spring Harbor Laboratory)
| 2,019
|
cc-by
| 9,309
|
ABSTRACT late in an antiparallel fashion to form a quadruplex struc-
ture (2,14). Both G4s and i-motifs can form as unimolec-
ular, bimolecular or tetramolecular assemblies, leading to
diverse folding topologies (15,16). DNA can form many structures beyond the canon-
ical Watson–Crick double helix. It is now clear
that noncanonical structures are present in ge-
nomic DNA and have biological functions. G-rich G-
quadruplexes and C-rich i-motifs are the most well-
characterized noncanonical DNA motifs that have
been detected in vivo with either proscribed or pos-
tulated biological roles. Because of their indepen-
dent sequence requirements, these structures have
largely been considered distinct types of quadru-
plexes. Here, we describe the crystal structure of the
DNA oligonucleotide, d(CCAGGCTGCAA), that self-
associates to form a quadruplex structure contain-
ing two central antiparallel G-tetrads and six i-motif
C–C+ base pairs. Solution studies suggest a robust
structural motif capable of assembling as a tetramer
of individual strands or as a dimer when composed
of tandem repeats. This hybrid structure highlights
the growing structural diversity of DNA and suggests
that biological systems may harbor many function-
ally important non-duplex structures. g
p
g
(
,
)
Though G4 and i-motif structures tend to form from se-
quences that contain contiguous stretches of G’s or C’s,
respectively, structural characterization has revealed a rel-
atively wide distribution of sequences capable of forming
these and similar noncanonical motifs. A unimolecular G4
consensus motif, G3–5N1–7G3–5N1–7G3–5N1–7G3–5, was ini-
tially used for G4 identification (17), leading to initial es-
timates of ∼300,000 possible G4-forming structures in the
human genome (18). However, mounting structural evi-
dence indicated that the sequences capable of forming G4s,
and the G4 structures themselves, were more diverse than
originally thought. Structural variations of G4 structures
include motifs that incorporate non-G-tetrads (19), bulged
residues (20), G-triads (21,22), G-tetrads as part of pentad
assemblies (23) and hybrid G-quadruplex/duplexes (24,25). This sequence and structural diversity led to the doubling of
the predicted G4-forming sequences in the human genome
to >700,000 (26). Similarly, a unimolecular i-motif folding
rule was formulated based on experimental evidence (27). This specified five cytosine residues for each of the four C-
tracts, but allowed for greater variation in the length and
sequence of the loop regions. Based on this, a preliminary
search predicted >5000 i-motif-forming sequences in the
human genome (27). C⃝The Author(s) 2019. Published by Oxford University Press on behalf of Nucleic Acids Research.
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0/), which
permits unrestricted reuse, distribution, and reproduction in any medium, provided the original work is properly cited. ABSTRACT However, isolated i-motif structures
with shorter or longer C-tracts have been reported (28–
30), and the characteristic C–C+ base pair of i-motifs is
prevalent in a variety of other noncanonical DNA struc-
tures (4,6,8,31,32), suggesting that they can serve as build-
ing blocks or structural units for other types of structures. Additionally, the structural topology of i-motifs is not lim-
ited to only C–C+ base pairs. Even the earliest i-motif struc-
tures incorporated other noncanonical base pairs (2,33–36)
or base triples (37,38) that stabilize the motif through stack-
ing on the hemiprotonated cytosine base pairs (39). As a re-
sult, the number of sequences in the human genome with
the potential to form i-motifs or related structures is likely
much greater than previously predicted. A DNA G-quadruplex/i-motif hybrid
Betty Chu, Daoning Zhang and Paul J. Paukstelis* mistry and Biochemistry, Center for Biomolecular Structure and Organization, University of
Park, MD 20742, USA Received August 29, 2019; Revised October 08, 2019; Editorial Decision October 14, 2019; Accepted November 08, 2019 *To whom correspondence should be addressed. Tel: +1 301 405 9933; Fax: +1 301 314 2779; Email: paukstel@umd.edu Nucleic Acids Research, 2019, Vol. 47, No. 22
11921–11930
doi: 10.1093/nar/gkz1008 Nucleic Acids Research, 2019, Vol. 47, No. 22
11921–11930
doi: 10.1093/nar/gkz1008 Published online 14 November 2019 INTRODUCTION In-
cell NMR identified characteristic i-motif signals in HeLa
extracts with transfected i-motif DNAs, providing direct ev-
idence that i-motif structures are stable in cellular environ-
ments (53). Furthermore, the antibody-mediated observa-
tion of i-motifs in the nuclei of human cells (54) and the dis-
covery of i-motif binding proteins that regulate gene activity
(55) demonstrate that i-motifs can have biological function. The sequence and structural diversity of G4s and i-motifs
and their growing importance in cellular DNA transactions
open the possibility of new variations of these motifs with
distinct biological functions. cated in a wide variety of normal cellular processes, includ-
ing DNA replication and transcription, as well as a num-
ber of disease states (40). Telomeric G4 structures have been
visualized using specific antibodies (41). The active forma-
tion of G4s (42,43), as well as their stabilization by small
molecule ligands (42), in human cells have also been con-
firmed. With a predicted 50% of human genes containing
G4s at or around promoter regions, DNA G4 structures
are predicted to have widespread roles in gene expression
(44). In particular, the significant enrichment of the G4 mo-
tif in a wide range of oncogene promoters suggests its func-
tional importance in cancer (45). Examples of G4s modulat-
ing gene transcription have been found in the c-MYC (46),
bcl-2 (47), and KRAS (48) oncogene promoters. Addition-
ally, the stabilization of G4s by small molecule ligands at
the hTERT (49) and PDGFR- (50) oncogene promoters
has been associated with downregulated activity. Nonethe-
less, the highly thermostable G4s can be detrimental to bi-
ological processes and lead to genome instabilities (40,51). DNA i-motifs have long been implicated in biological pro-
cesses (27,45,52), but have now been observed in vivo. In-
cell NMR identified characteristic i-motif signals in HeLa
extracts with transfected i-motif DNAs, providing direct ev-
idence that i-motif structures are stable in cellular environ-
ments (53). Furthermore, the antibody-mediated observa-
tion of i-motifs in the nuclei of human cells (54) and the dis-
covery of i-motif binding proteins that regulate gene activity
(55) demonstrate that i-motifs can have biological function. The sequence and structural diversity of G4s and i-motifs
and their growing importance in cellular DNA transactions
open the possibility of new variations of these motifs with
distinct biological functions. Crystallization and data collection Sitting drops of d(CCAGGCTGCAA) were set up by mix-
ing 1 l of 500 M DNA solution with 2 l of crystalliza-
tion solution (30% polyethylene glycol 400 (PEG400), 20
mM barium chloride, 10 mM spermidine, and 30 mM Bis–
Tris at pH 8.5). Sitting drops of d(CCAGGCUBrGCAA)
were set up by mixing 1 l of 500 M DNA solution with 2
l of crystallization solution (25% polyethylene glycol 400
(PEG400), 40 mM barium chloride, 10 mM spermidine, and
30 mM Bis–Tris at pH 8.5). These drops were equilibrated
against 300 l of 5% PEG400 in the well reservoir at 22◦C
for 15–20 h, followed by subsequent equilibration with 3–4
l of glacial acetic acid added to the well reservoir. Crys-
tals were observed 2 days after the addition of acid. Crys-
tals were removed from the drops by nylon cryoloops and
directly cryo-cooled in liquid nitrogen. d(CCAGGCTGCBrAA) was crystallized by mixing 3 l
of 500 M DNA solution with 3 l of crystallization so-
lution (15% 2-methyl-2,4-pentanediol (MPD), 120 mM cal-
cium chloride, 20 mM lithium chloride, 8 mM spermidine,
and 30 mM sodium cacodylate at pH 5.5). Crystallization
was performed at 22◦C and in sitting drops, which were
equilibrated against 300 l of 20% MPD in the well reser-
voir. Crystals were observed 2 days after plating. Crystals
were removed from the drops by nylon cryoloops, dipped in
30% MPD, and cryo-cooled in liquid nitrogen. y
q
g
Diffraction
data
for
d(CCAGGCTGCAA)
and
d(CCAGGCUBrGCAA) were collected at the Advanced
Photon Source (APS) 24-ID-C. Diffraction data for
d(CCAGGCTGCBrAA) were collected at APS 22-BM. g
Here,
we
describe
the
crystal
structure
of
a
G-
quadruplex/i-motif
hybrid
structure,
formed
by
the
oligonucleotide,
d(CCAGGCTGCAA). Two
distinct
strands form a dimer through parallel-stranded inter-
actions, while a symmetry-related dimer interacts in an
antiparallel orientation to form the tetramer. The tetramer
contains two central G-tetrads that are stabilized by a
barium ion and are flanked on either side by a base triple,
one unpaired guanosine and an i-motif of three C–C+
base pairs. Solution studies indicate that the same hybrid
quadruplex is formed from tandem sequence repeats, sug-
gesting the potential for this type of structure to form from
repetitive DNA elements. d(CCAGGCTGCAA) represents
the first structural observation of a G-quadruplex/i-motif
hybrid and further expands the wide-ranging structural
diversity of DNA. Structure determination Data processing for d(CCAGGCTGCAA) and the U7-
Br derivative, d(CCAGGCUBrGCAA), was carried out in
XDS (56) and Aimless (57,58). Diffraction data for the C9-
Br derivative, d(CCAGGCTGCBrAA), were indexed and
integrated using iMosflm (59). In both derivative datasets,
initial phases were determined by single-wavelength anoma-
lous dispersion (SAD) phasing, using CRANK2 (60) and
SHELX (61) in CCP4i2 (62). Two bromine sites were iden-
tified in each map, which enabled model building of two
chains of each derivative in Coot (63). Subsequent refine-
ment was carried out in Refmac (64,65). The refined U7-
Br derivative structure was used as a molecular replacement
search model in Phaser (66) for the native oligonucleotide. Further refinement was carried out in Refmac and addi-
tional model building was performed in Coot. The PDB-
REDO (67) web server was used to conduct k-fold cross-
validation of Rfree values on all three structures and to gen-
erate the final models. Final refinement statistics are shown
in Supplementary Table S1. Oligonucleotide synthesis and purification Oligonucleotide synthesis and purification The
11-mer,
d(CCAGGCTGCAA),
the
derivative,
d(CCAGGCUBrGCAA)
and
d(CCAGGCTGCBrAA),
and the 22-mer, d(CCAGGCTGCAACCAGGCTGCAA),
oligonucleotides were synthesized using standard phos-
phoramidite chemistry on an Expedite 8909 Nucleic Acid
Synthesizer (PerSeptive Biosystems, Inc.), with reagents
from Glen Research (Sterling, VA). The 11-nucleotide-long
sequences were purified using the Glen-Pak cartridges
according to the manufacturer’s protocol. The 22-mer Nuclear magnetic resonance (NMR) spectroscopy Nuclear magnetic resonance (NMR) spectroscopy INTRODUCTION Non-Watson–Crick base pairing interactions in DNA can
give rise to a variety of structural motifs beyond the canon-
ical double helix. New types of DNA structural motifs con-
tinue to be reported (1–9), suggesting that our understand-
ing of DNA’s structural diversity has not been reached. The
G-quadruplex and the i-motif are two noncanonical struc-
tures that have been studied extensively, and each is char-
acterized by specific types of noncanonical interactions. G-
quadruplexes (G4s) are formed from G-rich sequences and
contain stacked guanosine tetrads, organized in a cyclic hy-
drogen bonding arrangement between the Hoogsteen and
Watson–Crick faces of neighboring nucleobases (1,10). G4s
can be formed through inter- or intramolecular interac-
tions in a variety of topologies and are stabilized by central
cations (11–13). The DNA i-motif is characterized by the
formation of hemiprotonated C–C+ parallel-stranded base
pairs, which are organized to allow two duplexes to interca- Both of these noncanonical structural motifs are present
in cellular DNA, though their roles in biological processes
are just beginning to be understood. G4s have been impli- 11922 Nucleic Acids Research, 2019, Vol. 47, No. 22 oligonucleotide was purified using denaturing gel elec-
trophoresis followed by electroelution. cated in a wide variety of normal cellular processes, includ-
ing DNA replication and transcription, as well as a num-
ber of disease states (40). Telomeric G4 structures have been
visualized using specific antibodies (41). The active forma-
tion of G4s (42,43), as well as their stabilization by small
molecule ligands (42), in human cells have also been con-
firmed. With a predicted 50% of human genes containing
G4s at or around promoter regions, DNA G4 structures
are predicted to have widespread roles in gene expression
(44). In particular, the significant enrichment of the G4 mo-
tif in a wide range of oncogene promoters suggests its func-
tional importance in cancer (45). Examples of G4s modulat-
ing gene transcription have been found in the c-MYC (46),
bcl-2 (47), and KRAS (48) oncogene promoters. Addition-
ally, the stabilization of G4s by small molecule ligands at
the hTERT (49) and PDGFR- (50) oncogene promoters
has been associated with downregulated activity. Nonethe-
less, the highly thermostable G4s can be detrimental to bi-
ological processes and lead to genome instabilities (40,51). DNA i-motifs have long been implicated in biological pro-
cesses (27,45,52), but have now been observed in vivo. Thermal denaturation UV melting spectra were acquired using the Cary100 Bio
UV–visible spectrophotometer equipped with a 12-cell sam-
ple changer and a Peltier heating/cooling system. The sam-
ple chamber was purged with N2 throughout both melt-
ing and annealing data collection runs. Samples were pre-
pared in 30 mM sodium cacodylate buffer at pH 6.0 sup-
plemented with 40 mM BaCl2 or 100 mM monovalent (KCl
or NaCl) cations. The 11-mer and 22-mer oligonucleotides
were prepared at final DNA concentrations of 14.4 and 7.25
M, respectively. Samples were equilibrated for 15–20 h at
4◦C prior to the acquisition of the spectra. Samples were
transferred to self-masking quartz cuvettes with 1 cm path
length for UV absorbance measurements. All spectra were
collected at 260 nm. An initial fast heating ramp from 4◦C to
95◦C at 10◦C/min was done. Data were collected every 1◦C
during a slow cooling ramp from 95◦C to 4◦C at 1◦C/min
and a subsequent slow heating ramp at the same temper-
ature range and rate. Thermal melting analyses and curve
fitting were conducted using MATLAB. A barium-stabilized G-quadruplex The central G-quadruplex is composed of two symmetri-
cally equivalent G-tetrads, each of which is formed through
two G4 and two G5 residues (Figure 2). The two dimers
are antiparallel with respect to each other, with G4-G5 din-
ucleotide steps along each strand, leading to heteropolar
stacking between the two G-tetrads. The G-tetrads are ar-
ranged in the abab topology (15,69,70). Like other antipar-
allel G4s, the tetrad adopts syn-anti-syn-anti glycosidic an-
gles with residue G4 in syn and G5 in anti for both chains. The observed base pair and base step geometries are compa-
rable to other quadruplex structures containing only two G-
tetrads with the same topology (71–73). This arrangement
gives rise to two grooves of distinct widths (69). The G5–G5
phosphate distances across the narrow and wide grooves are
12.78 and 19.15 ˚A, respectively. Nuclear magnetic resonance (NMR) spectroscopy NMR data were acquired on a Bruker Avance III 600-MHz
spectrometer equipped with a Cryo-TCI probe. The 11-mer Nucleic Acids Research, 2019, Vol. 47, No. 22 11923 Figure
1. A
G-quadruplex/i-motif
hybrid
structure
formed
from
d(CCAGGCTGCAA). (A) Secondary structure of interactions formed
between two symmetry-related dimers. Black circles represent hydrogen
bonding interactions. Chains A and A’ are in green and cyan, respectively. Chains B and B’ are in magenta and black, respectively. (B) Cartoon
representation of the hybrid quadruplex with labeled features. The gray
sphere represents a barium ion. oligonucleotide was prepared at 500 M in 30 mM sodium
cacodylate buffer at pH 6.0 containing 40 mM BaCl2 and
7% D2O. The sample was lyophilized and dissolved in 100%
D2O for subsequent experiments. For both samples, a com-
bination of 2D-NOESY and 2D-TOCSY experiments were
performed at 10◦C, in which the mixing time was set to 100
ms for the 2D-NOESY and 90 ms for the 2D-TOCSY. The
oligonucleotide sequential assignment was conducted using
the Computer Aided Resonance Assignment (CARA) pro-
gram (68). Circular dichroism (CD) spectroscopy CD spectra were acquired using the Jasco J-810 spectropo-
larimeter fitted with a thermostated cell holder. Samples
were prepared in 30 mM sodium cacodylate buffer at pH 6.0
or 7.4 containing varying concentrations of BaCl2 or 100
mM monovalent (KCl or NaCl) cations. The 11-mer and
22-mer oligonucleotides were prepared at final DNA con-
centrations of 100 and 75 M, respectively. Samples were
equilibrated for 12–18 h at 4◦C prior to the acquisition of
the spectra. All spectra were collected at room temperature
from 200 to 320 nm with a data pitch of 1.0 nm. For melting
experiments, the sample was allowed to dwell for 7 min at
the temperature set point. Figure
1. A
G-quadruplex/i-motif
hybrid
structure
formed
from
d(CCAGGCTGCAA). (A) Secondary structure of interactions formed
between two symmetry-related dimers. Black circles represent hydrogen
bonding interactions. Chains A and A’ are in green and cyan, respectively. Chains B and B’ are in magenta and black, respectively. (B) Cartoon
representation of the hybrid quadruplex with labeled features. The gray
sphere represents a barium ion. contains two oligonucleotides (Chains A and B) that inter-
act as a dimer. The two monomers show a large degree of
structural similarity in the first five residues (RMSD, 0.757
˚A for 84 atoms), with the largest deviation arising from
the differing conformations of the A3 nucleobase (Supple-
mentary Figure S1A). However, the latter half of the chain
contains significant conformational differences in both the
backbone and nucleobase atoms (Supplementary Figure
S1B). Two dimers interact through crystal symmetry (sym-
metry molecules designated as Chains A’ and B’) to form a
tetramer. This tetramer contains a number of distinct struc-
tural motifs, including a central G-quadruplex, a base triple
interaction, a structurally variable spacer region, and a ter-
minal i-motif (Figure 1). Variable spacer region The most distinct structural differences between the two
molecules of the asymmetric unit are in residues C6, T7, and
G8 that collectively make up the spacer regions between the
central G-tetrad and the peripheral i-motif. Interestingly,
these residues have contrasting functional roles in the over-
all architecture of the tetramer. C6 of Chain A forms a single
hydrogen bond with the G5 (N3–N2) from Chain B’ and is
tucked into the quartet’s wide groove. C6 in Chain B does
not form any base pairing interactions within the tetrameric
structure. It is bulged from the tetramer core and serves pri-
marily in mediating crystal contacts through base stacking
interactions with the sugar of C6 from Chain A’ and with
the nucleobase of A11 from a symmetry-related dimer. As
described above, T7 of Chain A is involved in base triple in-
teractions. In contrast, T7 of Chain B is not involved in any
base pairing interactions within the tetramer. Instead, this
bulged residue base pairs with A11 from a symmetry-related
molecule through standard Watson–Crick pairing interac-
tions to stabilize crystal packing. The G8 residues of both
molecules are unpaired. In Chain A, G8 is positioned within
the nucleobase core, stacking with A3 of the base triple on
one face and with the C2–C2+ base pair on the other (Sup-
plementary Figure S4A). However, the G8 residue in Chain
B is flipped out from the core, where it stacks with A11
of Chain A from an adjacent symmetry-related molecule
to serve in crystal lattice packing contacts (Supplementary
Figure S4B). This stacking is facilitated by A11 adopting a
syn glycosidic angle, leading to partial stacking of both the
pyrimidine and indole rings of the two purines. Figure 2. G-quadruplex. Top view of two stacked G-tetrads. Hydrogen
bonds are indicated by gray dashes. The gray sphere represents a barium
ion. The wide and narrow grooves are indicated. tetrads was observed in both native and derivative struc-
tures. This peak is most consistent with Ba2+, given the crys-
tallization conditions and data collection energy (Supple-
mentary Figure S2). The Ba2+ ion lies on or very near a
crystallographic symmetry axis with a refined final occu-
pancy of 0.50 and B-factors of 73.27 ˚A2. The coordina-
tion distances between the cation and guanosine O6 posi-
tions range from 2.5 to 2.8 ˚A, with an average distance of
2.63 ˚A. Variable spacer region This average is slightly shorter than the ∼2.75 ˚A
average coordination distance observed in previous exam-
ples of G-tetrads stabilized by Ba2+ (74,75). The apparent
shorter metal-oxygen coordination may be the result of sev-
eral factors, including difficulty in refining the cation resid-
ing near a special position. Alternatively, this more com-
pact arrangement of guanosine residues could be a struc-
tural preference arising from the fewer base stacking inter-
actions on either side of the two G-tetrads. tetrads was observed in both native and derivative struc-
tures. This peak is most consistent with Ba2+, given the crys-
tallization conditions and data collection energy (Supple-
mentary Figure S2). The Ba2+ ion lies on or very near a
crystallographic symmetry axis with a refined final occu-
pancy of 0.50 and B-factors of 73.27 ˚A2. The coordina-
tion distances between the cation and guanosine O6 posi-
tions range from 2.5 to 2.8 ˚A, with an average distance of
2.63 ˚A. This average is slightly shorter than the ∼2.75 ˚A
average coordination distance observed in previous exam-
ples of G-tetrads stabilized by Ba2+ (74,75). The apparent
shorter metal-oxygen coordination may be the result of sev-
eral factors, including difficulty in refining the cation resid-
ing near a special position. Alternatively, this more com-
pact arrangement of guanosine residues could be a struc-
tural preference arising from the fewer base stacking inter-
actions on either side of the two G-tetrads. Overview As part of a screen to probe the structural diversity of DNA,
we have crystallized many short DNA oligonucleotides,
including d(CCAGGCTGCAA). Its structure was deter-
mined by single-wavelength anomalous dispersion using a
5-Br-deoxyuridine substitution at the T7 position. Initial
phases from this derivative were used to create electron den-
sity maps for the higher resolution native structure (Supple-
mentary Table S1). Refined native and derivative structures
were virtually identical, with an RMSD of 0.377 ˚A for all
DNA atoms of the asymmetric unit. The asymmetric unit The eight guanosines coordinate directly with a central
cation that is located between the two G-tetrad planes. Both
the native and U7-Br oligonucleotides were crystallized in
the presence of barium chloride, and a strong (11 ) anoma-
lous difference electron density peak between the two G- 11924 Nucleic Acids Research, 2019, Vol. 47, No. 22 Figure 2. G-quadruplex. Top view of two stacked G-tetrads. Hydrogen
bonds are indicated by gray dashes. The gray sphere represents a barium
ion. The wide and narrow grooves are indicated. Surprisingly, there is little direct nucleobase stacking be-
tween the G-tetrad and the A–A–T base triple. Rather, the
adenosine and thymidine residues are largely positioned
between the tetrad guanosines (Figure 3C, Supplementary
Figure S3A). This is in contrast to the only other example of
a base triple flanking one side of a G-quadruplex contain-
ing two G-tetrads of the same topology (77). In this case,
the 22-nucleotide-long d[AGGG(CTAGGG)3] contains a
C–G–A base triple that forms significant stacking interac-
tions with the G-tetrad (Supplementary Figure S3B). The
large differences in stacking interactions between the triples
and the tetrads suggest significant structural variability in
these types of interactions based on intrinsic sequence dif-
ferences and local structural constraints. Reverse-Hoogsteen base triple Flanking each side of the G-quadruplex is an A–A–T
base triple. This noncanonical base triple involves both A3
residues from the dimer and T7 from Chain A’ (Figure 3A). The A3–A3 base pair is formed through the Watson–Crick
face of Chain A and the Hoogsteen face of Chain B, which
adopts a syn glycosidic torsion angle to facilitate the N1–N6
and N6–N7 hydrogen bonds. The base triple is completed
by interactions between A3 of Chain A and T7 from Chain
A’. This is a reverse Hoogsteen base pair through the N6–
O2 and N7–N3 hydrogen bonds. The syn glycosidic angle
of A3 from Chain B allows the Watson-Crick face to make
direct hydrogen bonding contacts with phosphate oxygens
of T7 from Chain B’ of the tetramer (Figure 3B). With both
N1 and N6 of A3 in hydrogen bonding distance with the
non-bridging phosphate oxygens, this arrangement suggests
protonation of the N1 position to serve as a hydrogen bond
donor. Similar to observations in RNA structures, the elec-
trostatic stabilization between the localized positive charge
following N1 protonation and the negatively charged phos-
phate would facilitate this pKa perturbation (76). py
g
p
These three residues from the parallel-stranded dimer
have distinct functions within the structure. In Chain A,
they form an integral part of the tetrameric structure, while
the same residues in Chain B serve primarily as a bulged
spacer that mediates crystal contacts. Because they have the
same sequence, either strand could presumably take the role
of the structural or bulged strand in solution. Though we
cannot rule out the possibility of dynamic switching of these
roles within the tetramer, there are several structural clues
that suggest that this strand preference may arise at the time
of assembly. The base triple interaction provides asymme-
try between the parallel strands. This is seen in both the base
pairing interactions with T7 and the syn A3 hydrogen bond-
ing interactions with the phosphate from an antiparallel
partner. These interactions bring the phosphate toward the Nucleic Acids Research, 2019, Vol. 47, No. 22 11925 Figure 3. Base triple. (A) Residue A3 from Chain A (green) forms a reverse Hoogsteen base pair with T7 from Chain A’ (cyan) through the A(N6)-T(O2)
and A(N7)-T(N3) hydrogen bonds and interacts with A3 from Chain B (magenta) through the Watson-Crick/Hoogsteen faces. i-motif and 3′-terminal nucleotides The 1D 1H profile is shown in Supplemen-
tary Figure S5. Sequential assignment allowed identifica-
tion of the nucleobase, H1′, and H2′ protons in at least
one conformation. Sugar-to-base connectivities were ob-
served from C2 through G4 (Supplementary Figure S6)
and from C6 through A11 (Supplementary Figure S7). Four imino proton signals were observed and assigned to
T7H3, G4H1, G5H1 and C2H3 (Supplementary Figure
S5/Supplementary Table S3). The C2H3 signal at 12.6 ppm
is degenerate, indicating multiple conformations that are
consistent with the crystal structure. These assignments al-
lowed identification of several key structural features. structure in solution. A detailed explanation of NMR as-
signments is provided in the Supplemental Methods. These
spectra suffered from signal crowding and the appearance
of multiple conformations made complete proton assign-
ment difficult. The 1D 1H profile is shown in Supplemen-
tary Figure S5. Sequential assignment allowed identifica-
tion of the nucleobase, H1′, and H2′ protons in at least
one conformation. Sugar-to-base connectivities were ob-
served from C2 through G4 (Supplementary Figure S6)
and from C6 through A11 (Supplementary Figure S7). Four imino proton signals were observed and assigned to
T7H3, G4H1, G5H1 and C2H3 (Supplementary Figure
S5/Supplementary Table S3). The C2H3 signal at 12.6 ppm
is degenerate, indicating multiple conformations that are
consistent with the crystal structure. These assignments al-
lowed identification of several key structural features. Reverse-Hoogsteen base triple (B) Residue A3 from Chain
B hydrogen bonds with the phosphate oxygens of T7 from Chain B’. Hydrogen bonds are indicated by gray dashes. (C) Top view of the A–A–T base triple
above one G-tetrad. Figure 3. Base triple. (A) Residue A3 from Chain A (green) forms a reverse Hoogsteen base pair with T7 from Chain A’ (cyan) through the A(N6)-T(O2)
and A(N7)-T(N3) hydrogen bonds and interacts with A3 from Chain B (magenta) through the Watson-Crick/Hoogsteen faces. (B) Residue A3 from Chain
B hydrogen bonds with the phosphate oxygens of T7 from Chain B’. Hydrogen bonds are indicated by gray dashes. (C) Top view of the A–A–T base triple
above one G-tetrad. Downloaded from https://academic.oup.com/nar/article-abstract/47/22/11921/5625527 b Figure 4. Terminal i-motif. (A) Side view of three C-C+ base pairs capped
by an A10–A10 base pair. The C9–C9+ base pair (cyan/black) is inter-
calated between the dimeric (green/magenta) C1–C1+ and C2–C2+ base
pairs. (B) Top view of the A10–A10 base pair stacking above the C1–C1+
base pair. Hydrogen bonds are indicated by gray dashes. stacked tetramer core and bias that partner strand toward
bulging its nucleobases outward as found in the spacer. Additionally, the sequestration of the structural T7 in the
base triple interaction would strongly bias the following nu-
cleotide, G8, toward being stacked within the tetramer core. i-motif and 3′-terminal nucleotides The d(CCAGGCTGCAA) tetramer is capped at either
end by i-motifs (Figure 1). The i-motif is comprised of
three C–C+ base pairs between C1, C2, and C9 residues
of the dimers. The terminal C1–C1+ base pair gives the i-
motif a 5′-E topology (16). Residues C1 and C2 of both
chains adopt C3′-endo sugar puckers, allowing the sugar-
phosphate to stretch to a helical rise of 6.5 ˚A. This provides
the necessary space to allow the C9–C9+ base pair from the
symmetry-related dimer to intercalate between them (Fig-
ure 4A). The geometries of the three hemiprotonated base
pairs are similar, with the largest variation in the buckle and
propeller angles (Supplementary Table S2), consistent with
what has been observed in other i-motifs (33,78). Complete
base pair and base step parameters are listed in Supplemen-
tary Table S2. Like the G-tetrads, the i-motif creates two
grooves of dramatically different widths. The wide grooves
are generated by the backbones of the parallel base paired
strands and the narrow grooves are formed between one
parallel-stranded dimer and the intercalated dimer. Figure 4. Terminal i-motif. (A) Side view of three C-C+ base pairs capped
by an A10–A10 base pair. The C9–C9+ base pair (cyan/black) is inter-
calated between the dimeric (green/magenta) C1–C1+ and C2–C2+ base
pairs. (B) Top view of the A10–A10 base pair stacking above the C1–C1+
base pair. Hydrogen bonds are indicated by gray dashes. Along with the C–C+ interactions, a noncanonical A10-
A10 base pair caps the i-motif. The capping of the 5′-E
i-motif by noncanonical (i.e., A–A, T–T) base pairs has
been observed in previous examples of i-motif structures
(33,36,79). A large angle between C9 and A10 in Chain
A moves residue A10 away from the helical core, prevent-
ing direct stacking interactions between A10 and the in-
tercalated C1 (Figure 4B). This creates a strong asymme-
try with respect to the neighboring C1-C1+ base pair. This
asymmetry is likely induced by crystals contacts, most no-
tably those made by the subsequent A11 nucleotides. These
A11 residues are not involved in i-motif-like interactions,
but form stabilizing contacts with the variable bulged region
of another tetrameric assembly (see above). structure in solution. A detailed explanation of NMR as-
signments is provided in the Supplemental Methods. These
spectra suffered from signal crowding and the appearance
of multiple conformations made complete proton assign-
ment difficult. 11926 Nucleic Acids Research, 2019, Vol. 47, No. 22 11926 Nucleic Acids Research, 2019, Vol. 47, No. 22 dependent, as the same profile was observed at pH 7.4 (Sup-
plementary Figure S11B). This suggests that the hybrid G-
quadruplex/i-motif structure can form at physiological pH,
similar to other i-motifs (27,81). The 22-mer had a simi-
lar CD profile with more pronounced characteristic peaks,
suggesting that the tandem repeat forms the same or simi-
lar structure as that of the 11-mer (Figure 5B). UV melting
analysis showed a dramatic difference in melting temper-
ature between these two assemblies: 41.7 ± 1.3◦C for the
tetrameric assembly and 73.7 ± 2.5◦C for the dimeric as-
sembly (Figure 5C). The fewer number of DNA strands in
the dimeric quadruplex likely results in reduced end fray-
ing, which can account for the apparent stability increase in
melting experiments and the strength of CD signals. Three key structural features were confirmed by NMR
analysis. First, the C2H3 signal demonstrates protonation
at this position and evidence for a C–C+ base pair of the
i-motif. This was the only CH3 resonance observed. Typi-
cally, this proton is observed at chemical shift values near
15 ppm, though in this case there was a significant up-
field shift to 12.6 ppm (Supplementary Figure S8). Cross-
peaks to C2H41, C2H42, and C2H5 confirmed the assign-
ment (Supplementary Figure S8). This large perturbation
may be the result of cation- interactions, with the local-
ized positive charge at the C2H3 position stacking with the
pyrimidine ring of G8 (Supplementary Figure S4A). The
absence of C1H3 and C9H3 signals could be due to weak
hydrogen bonding between the cytosines in solution, which
has been previously reported in other structures consist-
ing of multiple C–C+ base pairs (80). NOEs confirmed the
proximity of C2H3 and G8, as anticipated from the crys-
tal structure (Supplementary Figure S8/Supplementary Ta-
ble S3). Second, imino NOE cross-peaks confirmed the hy-
drogen bonding between T7 and A3 and additional NOEs
between two independently assigned A3 residues indicated
the formation of the A-A-T base triple (Supplementary Fig-
ure S9/Supplementary Table S3). Third, cross-peaks be-
tween the imino protons G4H1 and G5H1 suggest hy-
drogen bonding between the guanosine residues (Supple-
mentary Figure S10/Supplementary Table S3), while res-
onances between guanosine H8 protons and neighboring
guanosine imino and amino protons indicate their interac-
tion through Watson-Crick and Hoogsteen faces. 11926 Nucleic Acids Research, 2019, Vol. 47, No. 22 Impor-
tantly, these structural features were all internally consis-
tent; NOEs were observed between the guanosines of the
tetrads and multiple members of the base triple (Supple-
mentary Figure S9 (resonances to A3), S10 (resonances to
T7)), between the base triple and the unpaired G8 residue
(Supplementary Figure S7), and between G8 and the C2–
C2+ base pair (Supplementary Figure S8). Though these
NMR data do not allow independent structure determina-
tion, they are consistent with the three major base pairing
motifs in the crystal structure. g
p
g
g
Both the tetrameric and dimeric assemblies showed a
preference for Ba2+ over monovalent cations. The spectra
for both sequence lengths differed slightly in monovalent
cations (K+ or Na+), with respect to Ba2+, showing a shoul-
der at ∼240 nm and a negative band at ∼255 nm, but
lacking the ∼295 nm negative band (Supplementary Fig-
ure S11C). These bands were largely absent for the 11-mer
in buffer alone, suggesting additional cations were neces-
sary for structure formation. Thermal denaturation exper-
iments of the 11-mer showed no observable melting tran-
sition in conditions containing the buffer alone, whereas
melting transitions were observed with additional K+ or
Na+ (37.2 ± 3.9◦C and 37.3 ± 4.1◦C, respectively; Supple-
mentary Figure S11D). The 22-mer showed comparable CD
profiles between 100 mM monovalent conditions and buffer
only, suggesting that the Na+ cation from the cacodylate
buffer was sufficient to induce some assembly. A melting
transition at 56.7 ± 0.3◦C was observed in buffer, while ad-
ditional K+ or Na+ increased the Tm (62.9 ± 0.2◦C and
65.3 ± 1.3◦C, respectively; Supplementary Figure S11E). For both the 11-mer and 22-mer oligonucleotides, the ob-
served Tm values in monovalent conditions were lower than
that in Ba2+, suggesting that the divalent cation plays a sig-
nificant role in structural stability. NMR solution structure analysis We conducted 1D 1H, 2D-NOESY and 2D-TOCSY exper-
iments on the 11-mer oligonucleotide to directly assess the Structural and biological implications formation, and instead form Watson–Crick base pairing in-
teractions with G5 from symmetry-related molecules that
promote crystal packing. Examination of the native struc-
ture suggests that the C9 bromine substitution would pre-
clude the formation of the hybrid G4/i-motif structure due
to significant steric clashes between the bromine in Chain B
and the phosphodiester backbone. formation, and instead form Watson–Crick base pairing in-
teractions with G5 from symmetry-related molecules that
promote crystal packing. Examination of the native struc-
ture suggests that the C9 bromine substitution would pre-
clude the formation of the hybrid G4/i-motif structure due
to significant steric clashes between the bromine in Chain B
and the phosphodiester backbone. Though previous biophysical studies characterized oligonu-
cleotides capable of forming a parallel G4/i-motif hybrid in
solution (82), the results presented here provides the first
structural snapshot of a hybrid G4/i-motif. This informa-
tion provides the beginnings of a structural paradigm for
how these two distinct quadruplex motifs can coexist. Most
notably, this structure suggests a requirement for spacer ele-
ments to separate the two base pairing motifs. These spacer
elements serve to bridge the large differences in interstrand
backbone distances of the two motifs. This is necessitated by
an exchange of the wide and narrow grooves between the
individual motifs; the G-tetrad wide groove is continuous
with the i-motif narrow groove and vice versa. The variable
spacer regions that include the structurally integrated base
triple and unpaired guanosine allow progressive changes of
interstrand backbone distances to facilitate this transition. p
p
The 3′ end of the structure is a short imperfect duplex
with noncanonical features. Symmetry interactions between
two identical strands (Chains A and A’) form an antiparal-
lel base pairing arrangement consisting of the brominated
C9 residues at the interior, each of which is immediately
flanked by a G8–A10 base pair formed through N2–N7 and
N3–N6 hydrogen bonding, and finally capped by a T7–A11
Watson–Crick base pair (Supplementary Figure S12). This
duplex interacts with a second duplex that is formed from
the other unique molecule (Chains B and B’) in the asym-
metric unit. The two distinct duplexes are held together by
the G5–C9-Br base pair described above and by the C–G–A
base triple, which is converted from the G8–A10 base pair
from a single duplex (Supplementary Figure S13). Biologically, this structure hints at the potential complex-
ity of noncanonical DNA structures that may be harbored
within genomes. Tandem repeats alter the oligomeric solution state Finally, we determined that d(CCAGGCTGCAA) can also
assemble into an alternative hybrid structure. We crystal-
lized a 5-Br-deoxycytidine substitution at the C9 position
and determined its structure (Supplementary Table S1). The
bromine substitution and different crystallization condi-
tions resulted in an overall different structure, but with some
similar features. The two molecules in the asymmetric unit
interact with symmetry-related strands to form a hybrid
quadruplex structure, in this case juxtaposing an i-motif at
the 5′ end and a partial antiparallel duplex at the 3′ end (Fig-
ure 6). The crystal structure suggested that the flexibility at
the A11 position could allow tandem sequence re-
peats to form a dimeric quadruplex, analogous to loops
in bi- and unimolecular G4- and i-motif-forming se-
quences. We synthesized the 22-mer tandem repeat,
d(CCAGGCTGCAACCAGGCTGCAA), and compared
it to the 11-mer by circular dichroism (CD) and UV absorp-
tion spectroscopy. The results demonstrate that the assem-
blies are structurally similar, that the dimeric assembly is
significantly more stable than the tetramer, and that both
are preferentially stabilized by Ba2+. In this structure, the i-motif C–C+ base pairs are formed
exclusively from residues C1 and C2. The four strands create
a 5′-E topology, with the symmetry axis between the interca-
lated C2–C2+ base pairs. This i-motif region is extended on
either side by a homo base pairing region that includes sym-
metric A3–A3 (N6–N7) and G4–G4 (N1–O6) pairs. The
base stacking interactions provided by these noncanoni-
cal base pairs stabilize the i-motif tertiary interactions. The
brominated C9 residues are no longer involved in i-motif p
y
y
CD spectra of the 11-mer oligonucleotide titrated with
Ba2+ (up to 100 mM) showed the appearance of a posi-
tive band at ∼240 nm, a strong negative band at ∼255 nm,
and a weak negative band at ∼295 nm (Figure 5A). CD
melting analysis suggested that these features were due to
the formation of a specific structure, with nearly identical
forward and reverse temperature dependence spectra (Sup-
plementary Figure S11A). Interestingly, this was not pH- Nucleic Acids Research, 2019, Vol. 47, No. 22 11927 Figure 5. CD and Absorbance spectra. Ba2+ titration up to 100 mM at room temperature for (A) the 11-mer, d(CCAGGCTGCAA), and (B) the 22-mer,
d(CCAGGCTGCAACCAGGCTGCAA). (C) Thermal denaturation curves from 4◦C to 95◦C of the 11-mer and 22-mer in sodium cacodylate buffer pH
6.0 or supplemented with 40 mM Ba2+. Downloaded from https://academic.oup.com/nar/article-abstract/47/22/11921/5625527 Figure 5. Tandem repeats alter the oligomeric solution state CD and Absorbance spectra. Ba2+ titration up to 100 mM at room temperature for (A) the 11-mer, d(CCAGGCTGCAA), and (B) the 22-mer,
d(CCAGGCTGCAACCAGGCTGCAA). (C) Thermal denaturation curves from 4◦C to 95◦C of the 11-mer and 22-mer in sodium cacodylate buffer pH
6.0 or supplemented with 40 mM Ba2+. Figure 6. An i-motif/duplex hybrid structure formed from the C9-Br derivative, d(CCAGGCTGCBrAA). (A) Secondary structure representation of inter-
actions formed between symmetry-related strands. Black dashes represent Watson–Crick base pairs. Black circles represent noncanonical base pairs. (B)
Stick representation of the 5′ i-motif-consisting CCAG homo base stacking motif linked to the 3′ antiparallel duplex. The i-motif and duplex are rotated
70◦about the x-axis with respect to each other. Chains A and A’ are in green and magenta, respectively. Chains B and B’ are in cyan and black, respectively. Figure 6. An i-motif/duplex hybrid structure formed from the C9-Br derivative, d(CCAGGCTGCBrAA). (A) Secondary structure representation of inter-
actions formed between symmetry-related strands. Black dashes represent Watson–Crick base pairs. Black circles represent noncanonical base pairs. (B)
Stick representation of the 5′ i-motif-consisting CCAG homo base stacking motif linked to the 3′ antiparallel duplex. The i-motif and duplex are rotated
70◦about the x-axis with respect to each other. Chains A and A’ are in green and magenta, respectively. Chains B and B’ are in cyan and black, respectively. DATA AVAILABILITY Atomic coordinates and structure factors have been de-
posited in the Protein Data Bank under the accession codes
6TZQ, 6TZR and 6TZS. 10. Williamson,J.R. (1993) Guanine quartets. Curr. Opin. Struct. Biol., 3,
357–362. . Davis,J.T. (2004) G-quartets 40 years later: from 5′-GMP 11. Davis,J.T. (2004) G-quartets 40 years later: from 5′-GMP to
molecular biology and supramolecular chemistry. Angew. Chem. Int. Ed. Engl., 43, 668–698. Structural and biological implications The demonstration that the DNA studied
here forms a highly stable dimeric structure from tandem 11928 Nucleic Acids Research, 2019, Vol. 47, No. 22 repeats suggests that longer repetitive sequences may have
the ability to form complex structures, perhaps containing
existing known DNA motifs. Repetitive DNA makes up
>50% of the human genome (83), with microsatellite (1–10
nt), minisatellite (10 to several hundred nt), and macrosatel-
lite (up to thousands of nt) repeats, making up ∼3% (84). Satellite DNA is involved in a variety of biological func-
tions and pathologies (85), and repeat sequences have been
implicated as drivers of evolution through the formation of
noncanonical structures that result in genomic instability
(86). Though there are now some examples for how repeti-
tive DNA can impact biological function, the structural ba-
sis for this is largely unknown. The discovery of new, sta-
ble noncanonical DNA structures suggests the possibility
that these repeat sequences can form complex motifs that
may not be predictable from existing sequence/structure re-
lationships. 3. Salisbury,S.A., Wilson,S.E., Powell,H.R., Kennard,O., Lubini,P.,
Sheldrick,G.M., Escaja,N., Alazzouzi,E., Grandas,A. and Pedroso,E
(1997) The bi-loop, a new general four-stranded DNA motif. Proc. Natl. Acad. Sci. U.S.A., 94, 5515–5518. 4. Robinson,H., van der Marel,G.A., van Boom,J.H. and Wang,A.H. (1992) Unusual DNA conformation at low pH revealed by NMR:
parallel-stranded DNA duplex with homo base pairs. Biochemistry,
31, 10510–10517. 5. Kettani,A., Bouaziz,S., Skripkin,E., Majumdar,A., Wang,W.,
Jones,R.A. and Patel,D.J. (1999) Interlocked mismatch-aligned
arrowhead DNA motifs. Structure, 7, 803–815. 6. Sunami,T., Kondo,J., Kobuna,T., Hirao,I., Watanabe,K., Miura,K. and Takenaka,A. (2002) Crystal structure of d(GCGAAAGCT)
containing a parallel-stranded duplex with homo base pairs and an
anti-parallel duplex with Watson-Crick base pairs. Nucleic Acids Res.,
30, 5253–5260. Downloaded from https://academic.oup.com/nar/article-abstract/47/22/11921/5625527 by guest on 08 July 2020 7. Paukstelis,P.J., Nowakowski,J., Birktoft,J.J. and Seeman,N.C. (2004)
Crystal structure of a continuous three-dimensional DNA lattice. Chem. Biol., 11, 1119–1126. 8. Escaja,N., Viladoms,J., Garavis,M., Villasante,A., Pedroso,E. and
Gonzalez,C. (2012) A minimal i-motif stabilized by minor groove
G:T:G:T tetrads. Nucleic Acids Res., 40, 11737–11747. G:T:G:T tetrads. Nucleic Acids Res., 40, 11737–11747. 9. Chu,B., Zhang,D., Hwang,W. and Paukstelis,P.J. (2018) Crystal
structure of a tetrameric DNA Fold-Back Quadruplex. J. Am. Chem. Soc., 140, 16291–16298. SUPPLEMENTARY DATA 12. Williamson,J.R. (1994) G-quartet structures in telomeric DNA. Annu. Rev. Biophys. Biomol. Struct., 23, 703–730. Supplementary Data are available at NAR Online. Supplementary Data are available at NAR Online. 13. Hud,N.V. and Plavec,J. (2006) In: Neidle,S and Balasubramanian,S
(eds). Quadruplex Nucleic Acids. The Royal Society of Chemistry,
Cambridge, pp. 100–130. 14. Leroy,J.L. and Gueron,M. (1995) Solution structures of the i-motif
tetramers of d(TCC), d(5methylCCT) and d(T5methylCC): novel
NOE connections between amino protons and sugar protons. Structure, 3, 101–120. FUNDING 18. Huppert,J.L. and Balasubramanian,S. (2005) Prevalence of
quadruplexes in the human genome. Nucleic Acids Res., 33,
2908–2916. This work is based upon research conducted at the NE-
CAT beamlines, which are funded by the National Insti-
tute of General Medical Sciences from the National In-
stitutes of Health [P30 GM124165], and SER-CAT beam-
lines, which are supported by grants [S10 RR25528 and
S10 RR028976] from the National Institutes of Health. This research used resources of APS, a U.S. Department
of Energy (DOE) Office of Science User Facility, operated
for the DOE Office of Science by Argonne National Lab-
oratory. Funding for open access charge: Department of
Chemistry and Biochemistry and University of Maryland
Libraries, University of Maryland, College Park. Conflict of interest statement. None declared. 19. Kocman,V. and Plavec,J. (2017) Tetrahelical structural family adopted
by AGCGA-rich regulatory DNA regions. Nat. Commun., 8, 15355. 20. Mukundan,V.T. and Phan,A.T. (2013) Bulges in G-Quadruplexes:
broadening the definition of G-quadruplex-forming sequences. J. Am. Chem. Soc., 135, 5017–5028. 21. Heddi,B., Martin-Pintado,N., Serimbetov,Z., Kari,T.M. and
Phan,A.T. (2016) G-quadruplexes with (4n-1) guanines in the
G-tetrad core: formation of a G-triad.water complex and implication
for small-molecule binding. Nucleic Acids Res., 44, 910–916. 22. Jiang,H.X., Cui,Y., Zhao,T., Fu,H.W., Koirala,D., Punnoose,J.A.,
Kong,D.M. and Mao,H. (2015) Divalent cations and molecular
crowding buffers stabilize G-triplex at physiologically relevant
temperatures. Sci. Rep., 5, 9255. 23. Zhang,N., Gorin,A., Majumdar,A., Kettani,A., Chernichenko,N.,
Skripkin,E. and Patel,D.J. (2001) V-shaped scaffold: a new
architectural motif identified in an A x (G x G x G x G)
pentad-containing dimeric DNA quadruplex involving stacked
G(anti) G(anti) x G(anti) x G(syn) tetrads. J. Mol. Biol., 311,
1063–1079. y
y
g
Conflict of interest statement. None declared. ACKNOWLEDGEMENTS We thank the staff at Northeastern Collaborative Access
Team (NE-CAT) and the Southeast Regional Collaborative
Access Team (SER-CAT) at the Advanced Photon Source
(APS) for their assistance with X-ray beamlines. We thank
Dr. Jason Kahn for the use of the UV–Vis spectrophotome-
ter and Dr. Dorothy Beckett for insightful discussions. 15. Burge,S., Parkinson,G.N., Hazel,P., Todd,A.K. and Neidle,S. (2006)
Quadruplex DNA: sequence, topology and structure. Nucleic Acids
Res., 34, 5402–5415. 16. Gueron,M. and Leroy,J.L. (2000) The i-motif in nucleic acids. Curr. Opin. Struct. Biol., 10, 326–331. 17. Todd,A.K., Johnston,M. and Neidle,S. (2005) Highly prevalent
putative quadruplex sequence motifs in human DNA. Nucleic Acids
Res., 33, 2901–2907. REFERENCES 1. Sen,D. and Gilbert,W. (1988) Formation of parallel four-stranded
complexes by guanine-rich motifs in DNA and its implications for
meiosis. Nature, 334, 364–366. 24. Lim,K.W. and Phan,A.T. (2013) Structural basis of DNA
quadruplex-duplex junction formation. Angew. Chem. Int. Ed. Engl.,
52, 8566–8569. ,
,
2. Gehring,K., Leroy,J.L. and Gueron,M. (1993) A tetrameric DNA
structure with protonated cytosine.cytosine base pairs. Nature, 363,
561–565. 2. Gehring,K., Leroy,J.L. and Gueron,M. (1993) A tetrameric DNA
structure with protonated cytosine.cytosine base pairs. Nature, 363,
561–565. Nucleic Acids Research, 2019, Vol. 47, No. 22 11929 Nucleic Acids Research, 2019, Vol. 47, No. 22 11929 25. Karg,B., Mohr,S. and Weisz,K. (2019) Duplex-Guided Refolding into
Novel G-Quadruplex (3+1) Hybrid Conformations. Angew. Chem. Int. Ed. Engl., 58, 11068–11071. 47. Dexheimer,T.S., Sun,D. and Hurley,L.H. (2006) Deconvoluting the
structural and drug-recognition complexity of the
G-quadruplex-forming region upstream of the bcl-2 P1 promoter. J. Am. Chem. Soc., 128, 5404–5415. 26. Chambers,V.S., Marsico,G., Boutell,J.M., Di Antonio,M., Smith,G.P. and Balasubramanian,S. (2015) High-throughput sequencing of
DNA G-quadruplex structures in the human genome. Nat. Biotechnol., 33, 877–881.i 48. Kaiser,C.E., Van Ert,N.A., Agrawal,P., Chawla,R., Yang,D. and
Hurley,L.H. (2017) Insight into the complexity of the i-motif and
G-quadruplex DNA structures formed in the KRAS promoter and
subsequent drug-induced gene repression. J. Am. Chem. Soc., 139,
8522–8536. 27. Wright,E.P., Huppert,J.L. and Waller,Z.A.E. (2017) Identification of
multiple genomic DNA sequences which form i-motif structures at
neutral pH. Nucleic Acids Res., 45, 2951–2959. 49. Palumbo,S.L., Ebbinghaus,S.W. and Hurley,L.H. (2009) Formation
of a unique end-to-end stacked pair of G-quadruplexes in the hTERT
core promoter with implications for inhibition of telomerase by
G-quadruplex-interactive ligands. J. Am. Chem. Soc., 131,
10878–10891. 28. Mergny,J.L., Lacroix,L., Han,X., Leroy,J.L. and Helene,C. (1995)
Intramolecular folding of pyrimidine oligodeoxynucleotides into an
i-DNA Motif. J. Am. Chem. Soc., 117, 8887–8898. 29. Benabou,S., Avino,A., Lyonnais,S., Gonzalez,C., Eritja,R., De
Juan,A. and Gargallo,R. (2017) i-motif structures in long
cytosine-rich sequences found upstream of the promoter region of the
SMARCA4 gene. Biochimie., 140, 20–33. 50. Onel,B., Carver,M., Agrawal,P., Hurley,L.H. and Yang,D. (2018) The
3′-end region of the human PDGFR-beta core promoter nuclease
hypersensitive element forms a mixture of two unique end-insertion
G-quadruplexes. Biochim. Biophys. Acta. Gen. Subj., 1862, 846–854. 30. Fujii,T. and Sugimoto,N. (2015) Loop nucleotides impact the stability
of intrastrand i-motif structures at neutral pH. Phys. Chem. Chem. Phys., 17, 16719–16722. 51. Piazza,A., Serero,A., Boule,J.B., Legoix-Ne,P., Lopes,J. and
Nicolas,A. REFERENCES (2012) Stimulation of gross chromosomal rearrangements
by the human CEB1 and CEB25 minisatellites in Saccharomyces
cerevisiae depends on G-quadruplexes or Cdc13. PLoS Genet., 8,
e1003033. 31. Muser,S.E. and Paukstelis,P.J. (2012) Three-dimensional DNA
crystals with pH-responsive noncanonical junctions. J. Am. Chem. Soc., 134, 12557–12564. 32. Tripathi,S., Zhang,D. and Paukstelis,P.J. (2015) An
intercalation-locked parallel-stranded DNA tetraplex. Nucleic Acids
Res., 43, 1937–1944. 52. Abou Assi,H., Garavis,M., Gonzalez,C. and Damha,M.J. (2018)
i-Motif DNA: structural features and significance to cell biology. Nucleic Acids Res., 46, 8038–8056. 33. Esmaili,N. and Leroy,J.L. (2005) i-motif solution structure and
dynamics of the d(AACCCC) and d(CCCCAA) tetrahymena
telomeric repeats. Nucleic Acids Res., 33, 213–224. 53. Dzatko,S., Krafcikova,M., Hansel-Hertsch,R., Fessl,T., Fiala,R.,
Loja,T., Krafcik,D., Mergny,J.L., Foldynova-Trantirkova,S. and
Trantirek,L. (2018) Evaluation of the Stability of DNA i-Motifs in
the nuclei of living mammalian cells. Angew. Chem. Int. Ed. Engl., 57,
2165–2169.i
demic.oup.co 34. Assi,H.A., Harkness,R.W., Martin-Pintado,N., Wilds,C.J.,
Campos-Olivas,R., Mittermaier,A.K., Gonzalez,C. and Damha,M.J. (2016) Stabilization of i-motif structures by 2′-beta-fluorination of
DNA. Nucleic Acids Res., 44, 4998–5009. 54. Zeraati,M., Langley,D.B., Schofield,P., Moye,A.L., Rouet,R.,
Hughes,W.E., Bryan,T.M., Dinger,M.E. and Christ,D. (2018) I-motif
DNA structures are formed in the nuclei of human cells. Nat. Chem.,
10, 631–637. 35. Kang,C., Berger,I., Lockshin,C., Ratliff,R., Moyzis,R. and Rich,A. (1995) Stable loop in the crystal structure of the intercalated
four-stranded cytosine-rich metazoan telomere. Proc. Natl. Acad. Sci. U.S.A., 92, 3874–3878. 55. Niu,K., Zhang,X., Deng,H., Wu,F., Ren,Y., Xiang,H., Zheng,S.,
Liu,L., Huang,L., Zeng,B. et al. (2018) BmILF and i-motif structur
are involved in transcriptional regulation of BmPOUM2 in Bombyx
mori. Nucleic Acids Res., 46, 1710–1723. 36. Berger,I., Kang,C., Fredian,A., Ratliff,R., Moyzis,R. and Rich,A. (1995) Extension of the four-stranded intercalated cytosine motif by
adenine.adenine base pairing in the crystal structure of d(CCCAAT). Nat. Struct. Biol., 2, 416–429. 56. Kabsch,W. (2010) XDS. Acta. Crystallogr. D. Biol. Crystallogr., 66,
125–132. 37. Weil,J., Min,T., Yang,C., Wang,S., Sutherland,C., Sinha,N. and
Kang,C. (1999) Stabilization of the i-motif by intramolecular
adenine-adenine-thymine base triple in the structure of d(ACCCT). Acta. Crystallogr. D. Biol. Crystallogr., 55, 422–429. 57. Winn,M.D., Ballard,C.C., Cowtan,K.D., Dodson,E.J., Emsley,P.,
Evans,P.R., Keegan,R.M., Krissinel,E.B., Leslie,A.G.W., McCoy,A. et al. (2011) Overview of the CCP4 suite and current developments. Acta. Crystallogr. D. Biol. Crystallogr., 67, 235–242. 58. Evans,P.R. and Murshudov,G.N. (2013) How good are my data and
what is the resolution? Acta. Crystallogr. D. Biol. Crystallogr., 69,
1204–1214. 38. Mir,B., Soles,X., Gonzalez,C. and Escaja,N. (2017) The effect of the
neutral cytidine protonated analogue pseudoisocytidine on the
stability of i-motif structures. Sci. REFERENCES the human telomere favors a G-quadruplex structure containing a
G.C.G.C tetrad. Nucleic Acids Res., 37, 6239–6248. 67. Joosten,R.P., Long,F., Murshudov,G.N. and Perrakis,A. (2014) The
PDB REDO server for macromolecular structure model
optimization. IUCrJ., 1, 213–220. 78. Malliavin,T.E., Snoussi,K. and Leroy,J.L. (2003) The NMR structure
of [Xd(C2)4] investigated by molecular dynamics simulations. Magn. Reson. Chem., 41, 18–25. 68. Keller,R.L.J. (2004) The Computer Aided Resonance Assignment
Tutorial. CANTINA Verlag, Goldau. 79. Phan,A.T., Gueron,M. and Leroy,J.L. (2000) The solution structure
and internal motions of a fragment of the cytidine-rich strand of the
human telomere. J. Mol. Biol., 299, 123–144. 69. Esposito,V., Galeone,A., Mayol,L., Oliviero,G., Virgilio,A. and
Randazzo,L. (2007) A topological classification of G-quadruplex
structures. Nucleos. Nucleot. Nucl., 26, 1155–1159. 70. Cang,X., Sponer,J. and Cheatham,T.E. (2011) Explaining the varied
glycosidic conformational, G-tract length and sequence preferences
for anti-parallel G-quadruplexes. Nucleic Acids Res., 39, 4499–4512. 80. Robinson,H. and Wang,A.H. (1993) 5′-CGA sequence is a strong
motif for homo base-paired parallel-stranded DNA duplex as
revealed by NMR analysis. Proc. Natl. Acad. Sci. U.S.A., 90,
5224–5228. 71. Marathias,V.M. and Bolton,P.H. (2000) Structures of the
potassium-saturated, 2:1, and intermediate, 1:1, forms of a
quadruplex DNA. Nucleic Acids Res., 28, 1969–1977. 81. Kovanda,A., Zalar,M., Sket,P., Plavec,J. and Rogelj,B. (2015)
Anti-sense DNA d(GGCCCC)n expansions in C9ORF72 form
i-motifs and protonated hairpins. Sci. Rep., 5, 17944. 72. Mao,X., Marky,L.A. and Gmeiner,W.H. (2004) NMR structure of
the thrombin-binding DNA aptamer stabilized by Sr2+. J. Biomol. Struct. Dyn., 22, 25–33. 82. Zhou,J., Amrane,S., Korkut,D.N., Bourdoncle,A., He,H.Z., Ma,D.L. and Mergny,J.L. (2013) Combination of i-motif and G-quadruplex
structures within the same strand: formation and application. Angew. Chem. Int. Ed. Engl., 52, 7742–7746. 73. Amrane,S., Kerkour,A., Bedrat,A., Vialet,B., Andreola,M.L. and
Mergny,J.L. (2014) Topology of a DNA G-quadruplex structure
formed in the HIV-1 promoter: a potential target for anti-HIV drug
development. J. Am. Chem. Soc., 136, 5249–5252. 83. Saha,S., Bridges,S., Magbanua,Z.V. and Peterson,D.G. (2008)
Empirical comparison of ab initio repeat finding programs. Nucleic
Acids Res., 36, 2284–2294. 74. Zhang,D., Huang,T., Lukeman,P.S. and Paukstelis,P.J. (2014) Crystal
structure of a DNA/Ba2+ G-quadruplex containing a
water-mediated C-tetrad. Nucleic Acids Res., 42, 13422–13429. 84. Treangen,T.J. and Salzberg,S.L. (2012) Repetitive DNA and
next-generation sequencing: computational challenges and solutions. Nat. Rev. Genet., 13, 36–46. 75. Pan,B., Xiong,Y., Shi,K., Deng,J. and Sundaralingam,M. (2003)
Crystal structure of an RNA purine-rich tetraplex containing adenine
tetrads: implications for specific binding in RNA tetraplexes. Structure, 11, 815–823. 85. Bagshaw,A.T.M. (2017) Functional Mechanisms of Microsatellite
DNA in Eukaryotic Genomes. REFERENCES Rep., 7, 2772. 59. Leslie,A.G.W. and Powell,H.R. (2007) In: Read,RJ and Sussman,JL
(eds). Evolving Methods for Macromolecular Crystallography. NATO
Science Series, Springer, Dordrecht, Vol. 245, pp. 41–51. 39. Day,H.A., Pavlou,P. and Waller,Z.A. (2014) i-Motif DNA: structure,
stability and targeting with ligands. Bioorg. Med. Chem., 22,
4407–4418. 40. Rhodes,D. and Lipps,H.J. (2015) G-quadruplexes and their
regulatory roles in biology. Nucleic Acids Res., 43, 8627–8637. 1
ldi
hill
d
l
b
i
S (
1 ) 60. Skubak,P. and Pannu,N.S. (2013) Automatic protein structure
solution from weak X-ray data. Nat. Commun., 4, 2777. 61. Sheldrick,G.M. (2010) Experimental phasing with SHELXC/D/E:
combining chain tracing with density modification. Acta. Crystallogr. D. Biol. Crystallogr., 66, 479–485. n 08 July 41. Lam,E.Y., Beraldi,D., Tannahill,D. and Balasubramanian,S. (2013)
G-quadruplex structures are stable and detectable in human genomic
DNA. Nat. Commun., 4, 1796.i 42. Biffi,G., Tannahill,D., McCafferty,J. and Balasubramanian,S. (2013)
Quantitative visualization of DNA G-quadruplex structures in
human cells. Nat. Chem., 5, 182–186. 62. Potterton,L., Agirre,J., Ballard,C., Cowtan,K., Dodson,E.,
Evans,P.R., Jenkins,H.T., Keegan,R., Krissinel,E., Stevenson,K. et al. (2018) CCP4i2: the new graphical user interface to the CCP4
program suite. Acta. Crystallogr. D. Struct. Biol., 74, 68–84. 43. Henderson,A., Wu,Y., Huang,Y.C., Chavez,E.A., Platt,J.,
Johnson,F.B., Brosh,R.M.J., Sen,D. and Lansdorp,P.M. (2014)
Detection of G-quadruplex DNA in mammalian cells. Nucleic Acids
Res., 42, 860–869. 63. Emsley,P., Lohkamp,B., Scott,W.G. and Cowtan,K. (2010) Features
and development of Coot. Acta. Crystallogr. D. Biol. Crystallogr., 66,
486–501. 44. Huppert,J.L. and Balasubramanian,S. (2007) G-quadruplexes in
promoters throughout the human genome. Nucleic Acids Res., 35,
406–413. 64. Murshudov,G.N., Skubak,P., Lebedev,A.A., Pannu,N.S.,
Steiner,R.A., Nicholls,R.A., Winn,M.D., Long,F. and Vagin,A.A. (2011) REFMAC5 for the refinement of macromolecular crystal
structures. Acta. Crystallogr. D. Biol. Crystallogr., 67, 355–367.i 45. Brooks,T.A., Kendrick,S. and Hurley,L. (2010) Making sense of
G-quadruplex and i-motif functions in oncogene promoters. FEBS J.,
277, 3459–3469. 65. Murshudov,G.N., Vagin,A.A. and Dodson,E.J. (1997) Refinement of
macromolecular structures by the maximum-likelihood method. Acta. Crystallogr. D. Biol. Crystallogr., 53, 240–255. 46. Siddiqui-Jain,A., Grand,C.L., Bearss,D.J. and Hurley,L.H. (2002)
Direct evidence for a G-quadruplex in a promoter region and its
targeting with a small molecule to repress c-MYC transcription. Proc. Natl. Acad. Sci. U.S.A., 99, 11593–11598. 66. McCoy,A.J., Grosse-Kunstleve,R.W., Adams,P.D., Winn,M.D.,
Storoni,L.C. and Read,R.J. (2007) Phaser crystallographic software. J. Appl. Crystallogr., 40, 658–674. 11930 Nucleic Acids Research, 2019, Vol. 47, No. 22 the human telomere favors a G-quadruplex structure containing a
G.C.G.C tetrad. Nucleic Acids Res., 37, 6239–6248. REFERENCES Genome Biol. Evol., 9, 2428–2443. 86. Xie,K.T., Wang,G., Thompson,A.C., Wucherpfennig,J.I.,
Reimchen,T.E., MacColl,A.D.C., Schluter,D., Bell,M.A.,
Vasquez,K.M. and Kingsley,D.M. (2019) DNA fragility in the
parallel evolution of pelvic reduction in stickleback fish. Science, 363,
81–84. 6. Xie,K.T., Wang,G., Thompson,A.C., Wucherpfennig,J.I., 76. Tang,C.L., Alexov,E., Pyle,A.M. and Honig,B. (2007) Calculation of
pKas in RNA: on the structural origins and functional roles of
protonated nucleotides. J. Mol. Biol., 366, 1475–1496. 77. Lim,K.W., Alberti,P., Guedin,A., Lacroix,L., Riou,J.F., Royle,N.J.,
Mergny,J.L. and Phan,A.T. (2009) Sequence variant (CTAGGG)n in
|
https://openalex.org/W4383993425
|
https://zenodo.org/records/8138894/files/20.pdf
|
English
| null |
Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions: Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period
|
Zenodo (CERN European Organization for Nuclear Research)
| 2,023
|
cc-by
| 7,000
|
Company Value is Influenced by Intellectual Capital, Funding
Decisions, and Investment Decisions: Telecommunications Sub
Sector Companies on the Indonesia Stock Exchange for The 2014-
2021 Period Jehan Attahirah1, Jombrik2, Irma Citarayani3
1,2,3 University of Darma Persada, Taman Malaka Selatan, Pondok Kelapa Duren Sawit, East Jakarta, Indonesia 13450 Jehan Attahirah , Jombrik , Irma Citarayani
1,2,3 University of Darma Persada, Taman Malaka Selatan, Pondok Kelapa Duren Sawit, East Jakarta, Indonesia 13450 1,2,3 University of Darma Persada, Taman Malaka Selatan, Pondok Kelapa Duren Sawit, East Jakarta, Indonesia 13450 ABSTRACT: This study aims to determine the effect of Intellectual Capital, Funding Decisions, and Investment Decisions on Firm
Value. The dependent variable in this study is Firm Value proxied by Tobin's Q model. The independent variables in this study are
Intellectual Capital proxied by VAIC (Value Added Intellectual Capital), Funding Decisions proxied by DER (Debt to Equity Ratio),
and Investment Decisions proxied by TAG (Total Asset Growth). The sample in this study are companies in the
Telecommunications Sub-Sector for the 2014-2021 period. The sampling technique used purposive sampling, 4 companies were
selected as research samples, from a total population of 10 companies. The results of the analysis show that Intellectual Capital
(VAIC) has a positive and significant effect on firm value (Tobin's Q). This result illustrates that improving the quality of human
resources in a company is very important and plays a role in efforts to increase firm value. Funding Decision (DER) has a negative
and significant effect on firm value (Tobin's Q) this illustrates that investors are very sensitive to increased debt which can lead to
debt default and increased bankruptcy risk. Investment decision (TAG) does not affect firm value (Tobin's Q). This situation
illustrates that investment decisions as illustrated by asset growth are not a driving force for increasing firm value. This can be
caused because if the asset is not productive, in the long term the accumulated value will be lower. KEYWORDS: Intellectual Capital, Funding Decisions, Investment Decisions, Firm Value Journal of Economics, Finance and Management Studies
ISSN (print): 2644-0490, ISSN (online): 2644-0504
Volume 06 Issue 07 July 2023
Article DOI: 10.47191/jefms/v6-i7-20, Impact Factor: 7.144
Page No: 3180-3189 Journal of Economics, Finance and Management Studies
ISSN (print): 2644-0490, ISSN (online): 2644-0504
Volume 06 Issue 07 July 2023
Article DOI: 10.47191/jefms/v6-i7-20, Impact Factor: 7.144
Page No: 3180-3189 INTRODUCTION Technological developments in the era of the industrial revolution 4.0 focused on information and communication
technology. Media communication is very instrumental in changing the level of public knowledge. The advantage of the Internet
communication network is to make it easier and faster to get information (Cangara, 2016). Revolution 4.0, is the threshold of a
modern revolution that will holistically change the work system of business, economy, and social issues at the national to
international levels. This phenomenon can have a good impact if companies can adapt to technological developments, and vice
versa if companies are unable to adapt to the existence of the 4.0 revolution, including telecommunications companies which are
currently directly related to the 4.0 revolution. In 2019 data on the number of telecommunication subscribers in Indonesia was recorded at 143 million people out of
Indonesia's population of 262 million people (Kominfo, 2019). There are 365.88 million cellular telephone subscribers in 2021. This number has increased by 2.89% compared to the previous year of 355.62 million subscribers (Widi, 2021). The Central Bureau
of Statistics records that the percentage of mobile phone users in Indonesia will reach 65.87% in 2021. This figure has increased
compared to 2020 which was 62.84% (Sadya, 2022) The increase in the number of subscribers gives telecommunication companies listed on the Indonesia Stock Exchange a
great opportunity to grow, especially the increase in the value of their shares. The number of telecommunication companies listed
on the Indonesia Stock Exchange (IDX) until 2021 in 10 companies with listings on the stock exchange in different years. The
description of the movement of the stock prices of five telecommunications companies on the IDX in the last eight years (2014-
2021) is illustrated according to the graph below : JEFMS, Volume 06 Issue 07 July 2023 Page 3180 Page 3180 www.ijefm.co.in Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period
Figure 1. Graph of stock price movements
Source: Processed in 2022 Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Figure 1. Graph of stock price movements
Source: Processed in 2022 Figure 1. Graph of stock price movements
Source: Processed in 2022 Figure 1. INTRODUCTION Graph of Debt Movement
Source: Processed in 2022 JEFMS, Volume 06 Issue 07 July 2023 Page 3181 Page 3181 www.ijefm.co.in Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period
Figure 4. Graph of the Movement of Total Assets
Source: Processed in 2022 Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Figure 4. Graph of the Movement of Total Assets
Source: Processed in 2022 Figure 4. Graph of the Movement of Total Assets
Source: Processed in 2022 The results of previous studies such as those conducted by Santiani (2018); Kristina and Wiratmaja (2018); Anggraini et al
(2020) found a significant effect of Intellectual Capital on Firm Value. Likewise, Pambudi and Andayani (2017) show that
intellectual capital using Value Added Intellectual Capital (VAIC) affects company value. The results of the research are different
from the results of previous studies which show that Intellectual Capital does not affect Firm Value, as revealed by Ekaputra et al
(2020); Rahayu and Ramadhanti (2019); Utami (2020). Research on the effect of funding decisions on firm value was conducted by Komala et al (2020), Sari & Subardjo (2017),
and Bahrun et al (2020), suggesting that funding decisions have a significant positive effect on firm value. which emphasizes that
more funding through equity than the use of debt can reduce company risk. This is contrary to what was stated by Kurniawan and
Mawardi (2017) that Funding Decisions do not have a significant effect on company value. Research on the effect of investment decisions on firm value conducted by Sari and Subardjo (2017), Kurniawan and
Mawardi (2017); Nisa (2017) states that investment decisions have a positive and significant effect on firm value. The results of
the research above are different from the results of research by Komala, et.al (2020) that investment decisions have no significant
effect on firm value, as well as Bahrun, et.al (2020) that investment decisions have no effect on firm value. further research aimed
at confirming theories related to a causal or causal relationship between Intellectual Capital, Funding Decisions, and Investment
Decisions on Firm Value. INTRODUCTION Graph of stock price movements
Source: Processed in 2022 The main focus of the company is oriented toward maximizing profits and company value. Increasing company value is the
hope of every company owner because the high Firm Value shows that the company can provide prosperity for investors (Sintyana
& Artini, 2019). Knowledge-based resources are one of the strategies that are considered to have the main influence and competitive
advantage. The fact states that business success is supported by knowledge-based technology (Sayyidah, 2017). Some factors
affect a company's financial performance outside of the assets and physical capital within the company, which should be part of
measuring the company's financial performance and value. In financial accounting practice investment spending on physical
assets is classified as company resources in the company's balance sheet, while changes in knowledge-based or intellectual capital
have not received attention and are still limited to accounting management. Expenditures on knowledge-based business activities
(non-physical investment expenditures) are still recorded as expenses, not reported as company assets or resources which will
later bring future economic benefits (Sumarau, 2019). Company value is a description of the state of a company, where there is a specific assessment from potential investors of
the merits of the company's financial performance which will affect the Firm's Value (Anggraini et al, 2018). The better the
company's financial performance, the better the market will assess the company. An overview of company value, Total Liabilities,
and Total Assets of telecommunications sub-sector companies from year to year during 2014-2021 graphically can be described
as follows: JEFMS, Volume 06 Issue 07 July 2023 www.ijefm.co.in Page 3181
Figure 2. Graph of the movement of the Company's Value
Source: Processed in 2022
Figure 3. Graph of Debt Movement
Source: Processed in 2022 Figure 2. Graph of the movement of the Company's Value
Source: Processed in 2022 Figure 2. Graph of the movement of the Company's Value
Source: Processed in 2022 Figure 2. Graph of the movement of the Company's Value
Source: Processed in 2022 Figure 2. Graph of the movement of the Company's Value
S
P
d i 2022 Figure 2. Graph of the movement of the Company's Value Figure 3. Graph of Debt Movement
Source: Processed in 2022 Figure 3. Funding Decision A funding decision is a decision about the form and composition of funding that will be used by the company. There are
two funding sources that companies can use, namely internal funding sources in the form of retained earnings and external
funding sources in the form of debt and capital. The problem in funding decisions is how much debt and equity to use, and what
type of debt and capital to use. These funding issues must be considered considering that the financing structure will determine
the cost of capital which will be the basis for determining the desired required return (Sari and Subardjo, 2020). Funding decisions
determine the capital structure, as a balance between long-term debt and own capital, so funding decisions are often referred to
as capital structure decisions. This funding is expected to provide added value to the company because the better the
management of funds in the company, the more investors will trust the company which in turn can increase the value of a
company (Moeljadi in Natalia, 2016). Theories related to capital structure include (1) Modigliani and Miller's theory or MM theory which states that capital
structure decisions are irrelevance, meaning that capital structure decisions do not affect firm value. The Firm Value will not
increase or decrease with different sources of funds to obtain these assets; (2) The trade-off theory is the balance between risk
and return due to the use of debt. High risk due to financial burdens that must be borne by the company can reduce the share
price, but an increase in the rate of return will increase the company's share price; (3) Pecking order theory is a theory that only
explains the order of funding. Following this theory, the investment will be financed with internal funds first (retained earnings),
then followed by the issuance of new debt, and finally by issuing new equity (Sari & Subardjo, 2020). Investation Decision According to Moeljadi in Natalia (2016), Investment decisions are decisions that involve allocating sources of funds to the
total assets owned by the company, both real assets and financial assets. Investment decisions mean giving answers to what line
of business to enter because the large number of investments made means that the owner's wealth can increase. The purpose of investment decisions made by the company is to obtain a high level of profit with a certain level of risk. Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Disclosure of good Intellectual Capital will mean that the company has a competitive advantage compared to other
companies, so that investors are more interested in companies that disclose Intellectual Capital, the more investors are interested,
the higher the stock price and the higher the Firm Value. IC performance is measured based on value-added which is formed by
physical capital (VACA), human capital (VAHU), and structural capital (STVA). The combination of the three added values is
symbolized by VAIC (Serenko dan Bontis in Ulum, 2017). Funding Decision High profits with manageable risks are expected to increase the Firm's Value. This means that when investing, the company can
generate profits by using the company's resources efficiently. Then the company will gain the trust of potential investors to buy
shares in the company. The investment decisions made by the company are expected to provide a positive signal about the
company's growth in the future (Moeljadi in Natalia, 2016). Investment decisions are decisions that must be made by financial
managers to allocate company funds to various assets that can generate profits in the future (Fajaria in Fara & Fidiana, 2020). Intellectual Capital Knowledge-based resources are one of the strategies that are considered to have a major influence on competitive
advantage. The fact states that business success is supported by knowledge-based technology (Sayyidah, 2017). Apart from being
based on operational performance and financial performance itself, there is another important element that influences various
aspects of company performance, namely Intellectual Capital. Intangible assets are also known as intellectual assets, intellectual
capital, intellectual property, or knowledge capital. Intellectual Capital aims to see how the company's human resources and
branding have an impact on the company's financial performance, and how intangible assets contribute to the high and low levels
of company profits. When Intellectual Capital is properly utilized and developed by the company, the Company Value will also
increase (Widiatmoko, 2013). According to the Organization for Economics Cooperation and Development (OECD), Intellectual Capital includes two things
that are included in Intangible Assets, namely Organizational or Structural Capital and Human Capital. Meanwhile, based on the
VAICTM measurement instrument developed by Stewart (1997), Intellectual Capital is measured by the ratio of Human Capital,
Structural Capital, and Employed Capital. Structural Capital includes software property, distribution network, supply chain, and
other infrastructure that supports the work of employees and company operations. Meanwhile, Human Capital includes the
company's internal human resources in the form of staff or employees, training, certification, and other intangible assets related
to Human Resources. Employed Capital is intangible capital related to external companies, such as consumers, suppliers, business
partners, reputation, and so on. Intellectual Capital (IC) is an intangible asset that is difficult to trace and disclose explicitly. The term IC emphasizes the
combination of intellect and capital to show the importance of knowledge (Serenko and Bontis in Ulum, 2017). Stewart (1997) in
Anggraini et al, (2020) defines Intellectual Capital as a useful knowledge package that is a resource in the form of knowledge
available to companies that produce high-value assets and provide economic benefits for companies in the future. JEFMS, Volume 06 Issue 07 July 2023 Page 3182 www.ijefm.co.in RESEARCH METHODS This study uses a quantitative method with an associative approach in the form of a causal relationship. Data testing was
carried out using the classical assumption test, namely the normality test, this multicollinearity, heteroscedasticity,
autocorrelation, data analysis using multiple linear regression, and hypothesis testing to determine the significance of the effect
of the independent variables on the dependent variable. 3. The Effect of Investment Decisions on Firm Value Based on previous research according to Gustian (2020) on the results of his research, namely investment decisions do not
affect firm value, this is also reinforced by the research results of Bahrun, et al (2020) that Investment Decisions do not affect
Firm Value. The results of this study are in contrast to the results of research conducted by Windia & Subardjo (2017), and
Kurniawan and Mawardi (2017) which show results that investment decisions have a positive effect on corporate value. Thus the
3rd hypothesis that can be determined is: H3: Investment Decisions influence Firm Value. H3: Investment Decisions influence Firm Value. 1. The Effect of Intellectual Capital on Firm Value In Utami's research (2020), Rahayu and Ramadhanti (2019) stated that Intellectual Capital did not affect Firm Value,
however, research by Maryanto (2017), Anggraini (2020), Chandra and Djajadikerta (2017) showed different results, namely that
Intellectual Capital had a significant effect on significant to Company Value. Furthermore, the hypothesis can be made:
H1: Intellectual Capital influences Firm Value. Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Hypothesis Design 1. The Effect of Intellectual Capital on Firm Value The Firm value Firm value is a certain condition that has been achieved by a company as an illustration of public trust in the company after
going through an activation process for several years, namely since the company was founded until now (Irham, 2018). Firm value
is the price set by market activity which is highly dependent on company performance. Firm value is the value or price of a share,
that is, how people provide added value to the company and are willing to pay or invest in a company at a certain price by beliefs
about the company's future performance prospects. According to Irham (2018), some of the most important goals are to maximize high company value, high company value
will attract investors to invest their funds in the company. The Firm Value describes how well or how badly the management
manages its wealth, this can be seen from the measurement of its financial performance. The market price of the company's
shares that is formed between the buyer and the seller when a transaction occurs is called the company's market value because
the market price of the shares is considered a reflection of the actual Firm Value's assets. Firm value can be measured using Tobin's Q method developed by James Tobin. Tobin's Q. The Tobin's Q model is an
indicator for measuring company performance, especially regarding company value, which shows proforma management in
managing company assets. Classic q-theory of investment predicts that Tobin's Q, the ratio of capital's market value to its
replacement cost, perfectly summarizes a firm's investment opportunities. (Peters and Taylor in Dzahabiyya et al, 2020). According to Naqsyabandi in Dzahabiyya, et, al (2020) says that "Tobin's Q is the ratio of the company's value to the value
of its assets. If the numbers obtained are greater than before, it is likely that the company will manage its assets better and can
increase the company's profits. JEFMS, Volume 06 Issue 07 July 2023 Page 3183 www.ijefm.co.in Intellectual Capital Measurement of the value of intellectual capital is done by calculating the steps: Measurement of the value of intellectual capital is done by calculating the steps: a. VA (Value Added) = OUT – IN b. VAHU (Value Added Human Capital) = VA/ HC d. STVA (Value Added Structural Capital) = (VA-HC) / VA Note:
OUT = total sales and other income. IN = selling expenses and other costs (other than employee expenses). CE = capital employed = available funds (equity, net profit). HC = human capital = employee expenses. VAICTM = Value Added Intellectual Coefficient
Source: Pulic in Afandi and Raharjo (2017)
Funding Decision
Funding decisions proxied by the Debt to Equity Ratio (DER) are as follows:
DER = (Total Debt )/(Total Equity )
Investation decision
Proportioned investment decisions with the company's Total Assets Growth (TAG). from year to year as measured by:
TAG = (TAt-TAt-1 )/(TAt-1) 2. The Effect of Funding Decisions on Firm Value Previous research conducted by Komala, et al (2020), Bahrun et.al (2020), and Windia & Subardjo (2017) showed the results
of same research that Funding Decisions have a Positive effect on the Firm Value. Meanwhile, according to Kurniawan and
Mawardi (2017), different research results show that funding decisions do not affect firm value. So based on the results of existing
research, the 2nd hypothesis set is: H2: Funding Decisions Influence Firm Value. Classic assumption test The first classic assumption test is a normality test to find out whether the data is normally distributed. Testing using the
one-sample Kolmogrov-Smirnov Test obtained the Asymp value. Sig. (2-tailed) 0.114 is greater than 0.05 (0.114> 0.05) so it can
be concluded that the data is normally distributed. The next test is the Multicollinearity Test conducted to test whether the
regression model found a correlation between the independent variables (Ghozali, 2018). Whether there is multicollinearity can
be seen from the value of the variance inflation factor (VIF) and the tolerance value. the VIF value < 10 and the tolerance value
must be > 0.10 meaning that multicollinearity does not occur. The test results show that all variables have a VIF value of <10 and
a tolerance value of > 0.10 so there are no symptoms of multicollinearity. Using the Darwin Watson model to determine whether
there is autocorrelation, the DW value of 1.222 is greater than minus -2 and less than 2. So it can be concluded that autocorrelation
does not occur. The Glejser test results obtained significant values for all independent variables IC = 0.941 DER = 0.237 and TAG
= 0.781. So that the three variables have significance > 0.05. Thus the observation data does not occur heteroscedasticity. Descriptive variables Descriptive statistics are carried out to find out how far the distribution of data for each variable shows the maximum,
minimum, and average values as well as the standard deviation where all data has a standard deviation value that is smaller than
the average value so that descriptively it can be accepted Note: JEFMS, Volume 06 Issue 07 July 2023 www.ijefm.co.in JEFMS, Volume 06 Issue 07 July 2023 Page 3184 www.ijefm.co.in Page 3184 Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Information:
TAt = Current year
TAt-1 = Previous Year
TAG = Total Asset Growth
TA = Total Assets Population and Sample The population in this study are telecommunications companies listed on the Indonesian stock exchange as many as 10
companies. By using purposive sampling criteria, 4 companies could be sampled, namely Telekomunikasi Indonesia Tbk (TLKM),
XL Axiata Tbk (EXCL), Indosat Tbk (ISAT), Smartfren Telecom Tbk (FREN). Companies that are not included in the criteria are
companies that are not active on the stock exchange, companies that have just been listed in 2021 and 2022, namely Jasnita
Telekomindo Tbk (JAST) MNC Vision Networks Tbk (IPTV) Ketrosden Triasmitra Tbk (KETR) Mora Telematika Indonesia Tbk (MORA)
Dayamitra Telekomunikasi Tbk (MTEL) so it cannot be used as a sample. The Firm Value The Firm Value will be measured using Tobin's Q method developed by James Tobin. Tobin's Q is calculated by comparing the
ratio of the market Firm Value's stock to the book Firm Value's equity (Weston and Copeland, 2001) and can be formulated as
used by Rahayu (2019). With the calculation formula: Multiple Linear Regression Results The multiple linear regression analysis models is used to explain the direction of the relationship and how much influence the
independent variables have on the dependent variable (Ghozali, 2018). The regression equation formed by Tobins Q = 1.655 +
0.172 IC – 0.247 DER + 0.467 TAG JEFMS, Volume 06 Issue 07 July 2023 Page 3185 Page 3185 www.ijefm.co.in Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period
Table 1: Multiple Linear Regression Test
Coefficients
Unstandardized
Coefficients
Standardized Coefficients
Model
B
Std. Error
Beta
1
(Constant)
1,655
,169
IC
,172
,040
,505
DER
-,247
,056
-,518
TAG
,467
,487
,111
a. Dependent Variable: Tobin’s Q
Source: SPSS Outputs Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period
Table 1: Multiple Linear Regression Test
Coefficients
Unstandardized
Coefficients
Standardized Coefficients
Model
B
Std. Error
Beta
1
(Constant)
1,655
,169
IC
,172
,040
,505
DER
-,247
,056
-,518
TAG
,467
,487
,111
a. Dependent Variable: Tobin’s Q
Source: SPSS Outputs Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period The constant value of 1.655 means that if Intellectual Capital (IC), Debt to Equity Ratio (DER), and Total Asset Growth (TAG) are
zero, then the company value as measured by Tobin's Q is constant at 1.655. The coefficient value of Intellectual Capital (IC) is
positive with a coefficient of 0.172. shows the direction of the relationship between Intellectual Capital and firm value (Tobin's Q)
is positive, which means if IC increases by one unit while the DER and TAG variables are zero, the effect of IC on firm value increases
by 0.172. The Debt to Equity Ratio (DER) coefficient value is -0.247, which is negative, indicating that the direction of the Debt to
Equity Ratio relationship with Tobin's Q is negative. This means that if the external funding policy increases, it will have an impact
on decreasing company value with a coefficient of -0.247. The coefficient value of Total Asset Growth (TAG) is 0.467. 1. Statistical test t The basis for the decision that underlies the influence of the independent variable on the dependent variable is to use a
significance level of @ = 0.05 and t-count > t-table. The basis for the decision that underlies the influence of the independent variable on the dependent variable is to use a
significance level of @ = 0.05 and t-count > t-table. Multiple Linear Regression Results This shows
that the direction of the relationship between Total Asset Growth and Tobin's Q is positive so that if there is an increase in one
unit of assets, it will encourage an increase in firm value with a coefficient value of 0.467. Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period with the results of research conducted by Ekaputra et al (2020); Rahayu and Ramadhanti (2019). The Debt to equity ratio (DER) variable has a t-count = -4.385 > t-table = 2.0484, with a significance value of 0.000 <0.05,
which means that funding decisions that are proportionate to the Debt to Equity Ratio (DER) have a significant negative effect to
the Company Value of telecommunications sub-sector companies listed on the Indonesia Stock Exchange for the 2014-2021
period so that H2 is accepted. The results of this study illustrate that if the funding decision made by a company uses more external funding through debt
than funding through equity, it will have a negative impact because too high debt will have an impact on a lack of public trust in
the company so that it can reduce the Firm Value through a decrease in its share price on the market. This also illustrates that if
the company generates profits, the main priority is paying interest and debt rather than paying dividends for the prosperity of
shareholders. This situation can have an impact on a lack of trust in the company so that the Firm's Value will decrease. The use
of more debt than equity in funding sources will have a negative effect on company value (Gustian 2017). In addition, the higher
the debt, the debt interest will increase higher than the tax savings so debt policy needs to be a serious concern for companies. The results of this finding are in line with the results of research conducted by Mawardi (2017) this difference is thought to be
due to differences in the research object. The total asset growth (TAG) variable has a t-count = 0.959 <t-table = 2.0484 with a significance value of 0.346 > 0.05
meaning that Total Asset Growth (TAG) has no significant effect on the company value of listed telecommunications sub-sector
companies on the Indonesia Stock Exchange for the 2014-2021 period. So the H3 hypothesis is rejected. This illustrates that asset growth is not a consideration for the company's valuation by investors, especially if it does not
have an impact on the company's profitability performance so that it becomes a burden on the company, especially if the asset
growth that occurs comes from external financing. Table 3: Results of Adjusted R2
Summary model b An adjusted R2 value of 0.583 (58.3%) means that the three independent variables Intellectual Capital, Debt to Equity Ratio, and
Total Asset Growth (IC, DER, and TAG) can explain changes in the firm value variable (Tobins Q) of 58.3% while the remaining
41.7% is explained by other variables Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period The size of the assets can cause a high level of investment risk in the future
which in turn can affect investor confidence to invest a certain amount of funds in the company. The results of this study are in
line with the results of previous research conducted by Komala, et al (2020), and Bahrun, et.al (2020). However, it is different
from the results of research conducted by Kurniawan and Mawardi (2017). 2. Adjusted R2 To see how much the ability of the three independent variables jointly affects the dependent, the adjusted R2 test is used: Table 3: Results of Adjusted R2
Summary model b
Model
R
R Square
Adjusted R
Square
1
,789a
,623
,583
a. Predictors: (Constant), TAG, DER, IC
b. Dependent Variable: Tobin’s Q
Source: SPSS Outputs Table 3: Results of Adjusted R2
Summary model b
Model
R
R Square
Adjusted R
Square
1
,789a
,623
,583
a. Predictors: (Constant), TAG, DER, IC
b. Dependent Variable: Tobin’s Q
Source: SPSS Outputs
An adjusted R2 value of 0.583 (58.3%) means that the three independent variables Intellectual Capital, Debt to Equity Ratio, an
Total Asset Growth (IC, DER, and TAG) can explain changes in the firm value variable (Tobins Q) of 58.3% while the remainin
41.7% is explained by other variables Table 2. Test Results t
Coefficients Table 2. Test Results t
Coefficients
Unstandardized
Coefficients
Standardized
Coefficients
t
Sig. Model
Beta
1
(Constant)
9,792
,000
IC
,505
4,274
,000
DER
-,518
-4,385
,000
TAG
,111
,959
,346
a. Dependent Variable: Tobin’s Q
Source: SPSS Outputs Unstandardized
Coefficients
Standardized
Coefficients
t
Sig. Model
Beta
1
(Constant)
9,792
,000
IC
,505
4,274
,000
DER
-,518
-4,385
,000
TAG
,111
,959
,346
a. Dependent Variable: Tobin’s Q
Source: SPSS Outputs Based on Table 2 by looking at the t-count value and its significance value it can be explained as follows: The Intellectual capital (IC) variable has a t-count = 4.274 > t-table = 2.0484, which means that Intellectual Capital affects
Firm Value, and a significance value of 0.000 <0.05 means that Intellectual Capital is significant to Company Value. So hypothesis
one (H1) is accepted. The higher the Intellectual Capital in the company, the higher the Company Value. The Intellectual capital (IC) variable has a t-count = 4.274 > t-table = 2.0484, which means that Intellectual Capital affects
Firm Value, and a significance value of 0.000 <0.05 means that Intellectual Capital is significant to Company Value. So hypothesis
one (H1) is accepted. The higher the Intellectual Capital in the company, the higher the Company Value. These results illustrate that Intellectual Capital is a factor that needs to be considered in a company, for example through
human resource development programs, increasing welfare so that companies have a competitive advantage which in turn drives
up the Firm Value. Companies that have good intellectual capital tend to be able to utilize their economic resources to maximize
the welfare of shareholders so that investors view the company as valuable or have a high value. The results of this study are in
line with the results of previous research conducted by Santiani (2018); Pambudi and Andayani (2017). However, this is not in line JEFMS, Volume 06 Issue 07 July 2023 Page 3186 www.ijefm.co.in Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period 3. The investment Decision Variable proxied by Total Asset Growth does not affect Firm Value and is not significant. The results
of this study indicate that no matter how big the investment that will be borne in the future by the company will not affect
the Firm's Value. This is due to the high level of investment risk in the future which can affect investor confidence to invest
some funds in the company. 3. The investment Decision Variable proxied by Total Asset Growth does not affect Firm Value and is not significant. The results
of this study indicate that no matter how big the investment that will be borne in the future by the company will not affect
the Firm's Value. This is due to the high level of investment risk in the future which can affect investor confidence to invest
some funds in the company. CONCLUSION Based on the results of the tests carried out, it can be concluded: Based on the results of the tests carried out, it can be concluded: 1. The Intellectual Capital variable has a positive and significant effect on firm value (Tobin's Q). This research indicates that
market appreciation in a company is not only based on physical resources owned, but intellectual capital becomes very
important which can encourage high trust in the company which ultimately increases the Firm Value through an increase in
its share price. 2. The funding decision variable proxied by the Debt to Equity Ratio has a negative and significant effect on firm value (Tobin's
Q). An increase in debt will cause the company to experience debt default and increase the risk of bankruptcy. So that if the
debt in the company is getting higher, the tendency is a decrease in trust in the company, which is represented by a decrease
in stock prices. JEFMS, Volume 06 Issue 07 July 2023 www.ijefm.co.in JEFMS, Volume 06 Issue 07 July 2023 Page 3187 www.ijefm.co.in Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period REFERENCES 1) Alam, M. H., dan Fidiana. (2020). Pengaruh Manajemen Laba, Likuiditas, Leverage Dan Corporate Governance Terhadap
Penghindaran Pajak. Jurnal Ilmu dan Riset Akuntansi. Volume 8 No. 2. Sekolah Tinggi Ilmu Ekonomi Indonesia (STIESIA). Surabaya. 1) Alam, M. H., dan Fidiana. (2020). Pengaruh Manajemen Laba, Likuiditas, Leverage Dan Corporate Governance Terhadap
Penghindaran Pajak. Jurnal Ilmu dan Riset Akuntansi. Volume 8 No. 2. Sekolah Tinggi Ilmu Ekonomi Indonesia (STIESIA). Surabaya. 2) Andriani, S., & Subardjo, A. (2017). Pengaruh Kinerja Keuangan terhadap Nilai Perusahaan dengan Pengungkapan CSR
sebagai Variabel Moderasi. Jurnal Ilmu dan Riset Akuntansi, 6. 3) Anggraini, F., Abdul-Hamid, M. A., & Kassim Aza Azlina, M. D. (2018). Competitive advantage as the mediating role of
intellectual capital and university performance: An empirical study in Indonesia. International Journal of Economics and
Management, 12(Special Issue 2), 351–363. 4) Anwar, R., & Cangara, H. (2016). Rintangan Komunikasi Antar Budaya Dalam Perkawinan dan Perceraian Etnis Jawa
dengan Papua di Kota Jayapura. Jurnal Komunikasi KAREBA, 5(2), 273–285. http://journal.unhas.ac.id 4) Anwar, R., & Cangara, H. (2016). Rintangan Komunikasi Antar Budaya Dalam Perkawinan dan Perceraian Etnis Jawa
dengan Papua di Kota Jayapura. Jurnal Komunikasi KAREBA, 5(2), 273–285. http://journal.unhas.ac.id 5) Bakri Telecom. Website resmi Retrieved From: https://www.bakrietelecom.com/btel-annual_report.html. (diakses pada
tanggal 11 Oktober 2022). 5) Bakri Telecom. Website resmi Retrieved From: https://www.bakrietelecom.com/btel-annual_report.html. (diakses pada
tanggal 11 Oktober 2022). 6) Cangara, Hafied. (2016). Pengantar Ilmu Komunikasi Edisi Kedua. Jakarta: Rajawali Pers. 7) Donaldson, Thomas E dan Lee E. Preston. (1995). The Stakeholder Theory of Corporation: Concepts, Evidence and
Implications, Academy of Management Review, Vol 20 No 1 pp 65- 91. 8) Dzahabiyya, J., Jhoansyah D., Muhammad Danial, R.D. (2020). Analisis Nilai Perusahaan Dengan Model Rasio Tobin’s Q. JAD: Jurnal Riset Akuntansi dan Keuangan Dewantara Vol. 4 No. 1, p. 46-55. Januari-Juli 2020. ISSN: 2654- 4369. DOI:
https://doi.org/10.26533/jad.v3i1.520. 9) Eka Handriani, E. H., & Robiyanto, R. (2018). Corporate Finance and Firm Value in The Indonesian Manufacturing
Companies. International Research Journal of Business Studies, 11(2), 113–127. https://doi.org/10.21632/irjbs.11.2.113-
127. 10) Fadly Bahrun, M., Tifah, T., & Firmansyah, A. (2020). Pengaruh Keputusan Pendanaan, Keputusan Investasi, Kebijakan
Dividen, Dan Arus Kas Bebas Terhadap Nilai Perusahaan. Jurnal Ilmiah Akuntansi Kesatuan, 8(3), 263–276. https://doi.org/10.37641/jiakes.v8i3.358 11) Irham, Fahmi. (2018). Pengantar Manajemen Keuangan, Alfabeta. Bandung 12) Komala, P. S., Endiana, I. D. M., Kumalasari, P. D., & Rahindayati, N. M. (2021). Pengaruh Profitabilitas, Solvabilitas,
Likuiditas, Keputusan Investasi Dan Keputusan Pendanaan Terhadap Nilai Perusahaan. KARMA (Karya Riset Mahasiswa
Akuntansi), 1(1), 40–50. REFERENCES 13) Kominfo. (2019). Apa itu Industri 4.0 dan bagaimana Indonesia menyongsongnya, diakses dari website
https://www.kominfo.go.id/content/detail/16505/apa-itu-industri-4.0danbagaimana-indonesia- 13) Kominfo. (2019). Apa itu Industri 4.0 dan bagaimana Indonesia menyongsongnya, diakses dari website
https://www.kominfo.go.id/content/detail/16505/apa-itu-industri-4.0danbagaimana-indonesia-
menyongsongnya/0/sorotan_media. February 19, 2019. (diakses pada tanggal 12 Oktober 2022, Pukul 19.54 WIB). 14) Kristina, I. G. A. R., I. D. N. Wiratmaja (2018), Pengaruh Board Diversity dan Intellectual Capital pada Nilai Perusahaan, E-
Jurnal Akuntansi,Vol 22, No 3, 2313. 15) Kristina, I.G. Agung Rai., Wiratmaja I.D. Nyoman. (2018). Pengaruh Board Diversity dan Intellectual Capital Pada Nilai
Perusahaan. E-Jurnal Akuntansi Universitas Udayana. Vol 22,3 Maret 2018. ISSN: 2302- 8556.DOI:
https://doi.org/10.24843/EJA.2018.v22.i03.p25. 16) Kurniawan, N., & Mawardi, W. (2017). Analisis pengaruh profitabilitas keputusan investasi keputusan pendanaan dan
kebijakan
dividen
terhadap
nilai
perusahaan. Diponegoro
Journal
of
Management
6
(2),1–11. https://ejournal3.undip.ac.id/index.php/djom/article/view/174 16) Kurniawan, N., & Mawardi, W. (2017). Analisis pengaruh profitabilitas keputusan investasi keputusan pendanaan dan
kebijakan
dividen
terhadap
nilai
perusahaan. Diponegoro
Journal
of
Management
6
(2),1–11. https://ejournal3.undip.ac.id/index.php/djom/article/view/174 17) Moeljadi. ( 2006). Manajemen Keuangan (Pendekatan Kuantitatif dan Pendekatan Kualitatif). Bayumedia Publishing. Malang. Metodologi Penelitian Ekonomi & Sosial. Jakarta: Salemba Empat. 17) Moeljadi. ( 2006). Manajemen Keuangan (Pendekatan Kuantitatif dan Pendekatan Kualitatif). Bayumedia Publishing. Malang. Metodologi Penelitian Ekonomi & Sosial. Jakarta: Salemba Empat. 18) Nisa, R. C. (2014). Pengaruh Keputusan Investasi... Pengaruh Keputusan Investasi, Keputusan Pendanaan, Dan Kebijakan
Dividen Terhadap Nilai Perusahaan, 1, 92–102. 18) Nisa, R. C. (2014). Pengaruh Keputusan Investasi... Pengaruh Keputusan Investasi, Keputusan Pendanaan, Dan Kebijakan
Dividen Terhadap Nilai Perusahaan, 1, 92–102. 19) Pambudi, N. M., dan Andayani. (2017). Pengaruh Modal Intelektual dan Indeks Pengungkapan Modal Intelektual terhadap 19) Pambudi, N. M., dan Andayani. (2017). Pengaruh Modal Intelektual dan Indeks Pengungkapan Modal Intelektual terhadap JEFMS, Volume 06 Issue 07 July 2023 Page 3188 www.ijefm.co.in Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period Nilai Perusahaan. Jurnal Ilmu dan Riset Akuntansi, 6(5): 2017. Nilai Perusahaan. Jurnal Ilmu dan Riset Akuntansi, 6(5): 2017. 20) Rahayu, Sri Mangesti., Ramadhanti, Wita. (2019). Corporate Governance, Intellectual Capital, and Performance of
Indonesian Public Companies. Journal of Economics, Business, and Accountancy Ventura. Vo.21, No.3, p 323-332. DOI:
10.14414/jebav.v21i3.1470. 20) Rahayu, Sri Mangesti., Ramadhanti, Wita. (2019). Corporate Governance, Intellectual Capital, and Performance of
Indonesian Public Companies. Journal of Economics, Business, and Accountancy Ventura. Vo.21, No.3, p 323-332. DOI:
10.14414/jebav.v21i3.1470. 21) Rury Setiani. (2013). “Pengaruh Keputusan investasi, keputusan pendanaan, dan tingkat suku bunga terhadap nilai
perusahaan pada perusahaan otomotif yang terdaftar di bursa efek indonesia”. Jurnal Management Universitas Negeri
Padang. Vol,2. No,01 21) Rury Setiani. (2013). “Pengaruh Keputusan investasi, keputusan pendanaan, dan tingkat suku bunga terhadap nilai
perusahaan pada perusahaan otomotif yang terdaftar di bursa efek indonesia”. Jurnal Management Universitas Negeri
Padang. Vol,2. No,01 22) Sadya Sarnita. (2022). Transaksi Digital, Konsumen Pilih E-Wallet atau Mobile Banking?. DataIndonesia.id. 23) Sayyidah, Ulfah., Saifi, Muhammad. (2017). Pengaruh Intellectual Capital Terhadap Nilai Perusahaan Dengan
Profitabilitas Sebagai Variabel Moderasi (Studi Pada Perusahaan Sub Sektor Porperty dan Real Estate di Bursan Efek
Indonesia Periode 2013-2015). Jurnal Administrasi Bisnis (JAB) Vol.46 No.1, Mei 2017. 24) Shilvina Widi. (2021). https://dataindonesia.id/digital/detail/jumlah-pelanggan-ponsel-di-indonesia-naik-289-pada-
2021. 25) Sintyana, I. P., & Artini, L. G. (2019). Pengaruh Profitabilitas, Struktur Modal, Ukuran Perusahaan dan Kebijakan Deividen
Terhdap Nilai Perusahaan. E- Jurnal Manajemen, Volume 8 Nomor 2. 26) Sintyana, I. Putu Hendra dan Luh Gede Sri Artini. (2018). "Pengaruh Profitabilitas, Struktur Modal, Ukuran Perusahaan
Dan Kebijakan Dividen Terhadap Nilai Perusahaan". Jurnal Manajemen. Universitas Udayana Vol.8 No.2. 27) Sumarau, S.K. (2019). The Effect Of Investment Decisions, Funding Decisions, And Profitability On Manufacturing
Company Value In Indonesia Stock Exchange 2015-2018 Period. Accountability Journal. 8(2), 85-90. 28) Ulum, I., Ghazali, I., dan Chariri, A. (2008). Intellectual Capital, dan Kinerja Keuangan Perusahaan : Suatu Analisis dengan
Pendekatan Partial Least Squares. Simposium Nasional Akuntansi XI. 29) Utami, M. S. (2020). Pengaruh Intellectual Capital, Kebijakan Dividen Dan Keputusan Pendanaan Terhadap Nilai
Perusahaan. Prosiding Senantias 2020, 1(1), 981–990. 30) Wisnu Widiatmoko. (2013). Analisis Kohesi Dan Koherensi Wacana Berita Rubrik Nasional Di Majalah Online Detik. Jurnal
Sastra Indonesia, 2(1), 1–7. 30) Wisnu Widiatmoko. (2013). Analisis Kohesi Dan Koherensi Wacana Berita Rubrik Nasional Di Majalah Online Detik. Jurnal
Sastra Indonesia, 2(1), 1–7. Company Value is Influenced by Intellectual Capital, Funding Decisions, and Investment Decisions:
Telecommunications Sub Sector Companies on the Indonesia Stock Exchange for The 2014-2021 Period There is an Open Access article, distributed under the term of the Creative Commons
Attribution – Non Commercial 4.0 International (CC BY-NC 4.0
(https://creativecommons.org/licenses/by-nc/4.0/), which permits remixing, adapting and
building upon the work for non-commercial use, provided the original work is properly cited. JEFMS, Volume 06 Issue 07 July 2023 JEFMS, Volume 06 Issue 07 July 2023 Page 3189 Page 3189 www.ijefm.co.in
|
https://openalex.org/W2970646237
|
https://europepmc.org/articles/pmc6784476?pdf=render
|
English
| null |
Effectiveness of Ball Attachment Systems in Implant Retained- and Supported-Overdentures: A Three- to Five-Year Retrospective Examination
|
Dentistry journal
| 2,019
|
cc-by
| 6,279
|
Received: 19 June 2019; Accepted: 14 August 2019; Published: 1 September 2019 Abstract: Purpose: To evaluate implant and prosthetic survival rates, complications, patient satisfaction,
and biological outcomes of patients rehabilitated with a ball attachment system for implant retained- and
supported-overdentures (IOV), which was in function for 3 to 5 years. Methods: This retrospective
study evaluated data collected from patients treated between April 2001 and May 2018 with IOV
on splinted and non-splinted implants and a ball attachment system. Patients were followed for
36 to 206 months (mean follow-up was 128.1 ± 51.9 months). Data were collected at the 3- and
5-year follow-up examination. Outcome measures were implant and prosthetic survival rates,
technical complications, marginal bone loss (MBL), oral health impact profile (OHIP), and periodontal
parameters (bleeding on probing and plaque index). Results: A total of 46 patients (16 males and
30 females) with 124 implants were included in this study. Twenty-five implant-retained overdentures
were delivered on 53 unsplinted implants, while the other 21 patients received an implant-supported
overdentures and the implants were splinted. At the five-year follow-up examination, one implant
and one prosthesis failed in the unsplinted group, resulting in a cumulative survival rate of 97.8%
at the patient level. Two minor technical complications were experienced. Conclusions: Implant
overdenture retained or supported by ball attachment systems showed high implant and prosthetic
survival and success rates. A low number of complications, high patient satisfaction, and successful
biological parameters were experienced in the mid-term follow-up. Data need to be confirmed by
further randomized trials. Keywords: implant overdenture; metal bar; ball attachments; dental implants Effectiveness of Ball Attachment Systems in Implant
Retained- and Supported-Overdentures: A Three- to
Five-Year Retrospective Examination Luca Ortensi 1, Matteo Martinolli 2,*, Carlo Borromeo 3, Francesco Mattia Ceruso 4,
Marco Gargari 5, Erta Xhanari 6,7 and Marco Tallarico 6,8 1
Private Practice, 40123 Bologna, Italy
2
Private Practice, 45014 Porto Viro, Italy
3
Private Practice, 20831 Seregno MB, Italy
4
Department of Dentistry, Fra G.B. Orsenigo-Ospedale San Pietro F.B.F., 00100 Rome, Italy
5
Department of Clinical Science and Translational Medicine, University of Rome, Tor Vergata,
00100 Rome, Italy
6
Department of Implantology and Prosthetic Aspects, Aldent University, 1001 Tirana, Albania
7
Private Practice, 1001 Tirana, Albania
8
Private Practice, 00151 Rome, Italy
*
Correspondence: matteo.martinolli@hotmail.it; Tel.: +39-333-2666116
ceived: 19 June 2019; Accepted: 14 August 2019; Published: 1 September 2019 dentistry journal dentistry journal dentistry journal
Article
Effectiveness of Ball Attachment Systems in Implant
Retained- and Supported-Overdentures: A Three- to
Five-Year Retrospective Examination
Luca Ortensi 1, Matteo Martinolli 2,*, Carlo Borromeo 3, Francesco Mattia Ceruso 4,
Marco Gargari 5, Erta Xhanari 6,7 and Marco Tallarico 6,8
1
Private Practice, 40123 Bologna, Italy
2
Private Practice, 45014 Porto Viro, Italy
3
Private Practice, 20831 Seregno MB, Italy
4
Department of Dentistry, Fra G.B. Orsenigo-Ospedale San Pietro F.B.F., 00100 Rome, Italy
5
Department of Clinical Science and Translational Medicine, University of Rome, Tor Vergata,
00100 Rome, Italy
6
Department of Implantology and Prosthetic Aspects, Aldent University, 1001 Tirana, Albania
7
Private Practice, 1001 Tirana, Albania
8
Private Practice, 00151 Rome, Italy
*
Correspondence: matteo.martinolli@hotmail.it; Tel.: +39-333-2666116
Received: 19 June 2019; Accepted: 14 August 2019; Published: 1 September 2019
dentistry journal
Article
Effectiveness of Ball Attachment Systems in Implant
Retained- and Supported-Overdentures: A Three- to
Five-Year Retrospective Examination
Luca Ortensi 1, Matteo Martinolli 2,*, Carlo Borromeo 3, Francesco Mattia Ceruso 4,
Marco Gargari 5, Erta Xhanari 6,7 and Marco Tallarico 6,8
1
Private Practice, 40123 Bologna, Italy
2
Private Practice, 45014 Porto Viro, Italy
3
Private Practice, 20831 Seregno MB, Italy
4
Department of Dentistry, Fra G.B. Orsenigo-Ospedale San Pietro F.B.F., 00100 Rome, Italy
5
Department of Clinical Science and Translational Medicine, University of Rome, Tor Vergata,
00100 Rome, Italy
6
Department of Implantology and Prosthetic Aspects, Aldent University, 1001 Tirana, Albania
7
Private Practice, 1001 Tirana, Albania
8
Private Practice, 00151 Rome, Italy
*
Correspondence: matteo.martinolli@hotmail.it; Tel.: +39-333-2666116
Received: 19 June 2019; Accepted: 14 August 2019; Published: 1 September 2019
www.mdpi.com/journal/dentistry 1. Introduction Edentulism is defined as “the state of being without any natural permanent teeth. It is an
irreversible condition that is evident in age groups of 65 years and older, and was previously considered
part of the normal aging process” [1]. To make matters worse, edentulousness is often associated by
lower quality of life due to negatively affecting general as well as oral health [2]. Elderly patients
could be forced to modify their dietary habits in favor of less fibrous foods, due to an important Dent. J. 2019, 7, 84; doi:10.3390/dj7030084 www.mdpi.com/journal/dentistry www.mdpi.com/journal/dentistry 2 of 9 Dent. J. 2019, 7, 84 reduction in masticatory function. Because of this behavior the risk of cardiovascular diseases and
gastrointestinal disorders may increase [2]. Phonetic and speech functions are also affected particularly
after the loss of anterior teeth, making edentulous patients less confident and limited to interacting with
other people [3,4]. Trying to solve these problems, in these cases, dental implants can be invaluable. To overcome the above problems implant-retained and -supported overdentures have been proposed
during last decades for restoring completely edentulous patients, as an alternative and more effective
treatment modality to the conventional complete removable denture. High long-term success rates and
improved patients’ quality of life were reported for implant-retained and -supported overdentures [5–7]. Implant-supported overdenture (I-SO) takes the bite force through the implants and into the jawbone,
providing the most natural and effective bite for patients. However, treatment is usually more expensive
since a greater number of implants are required. With implant retained overdenture (I-RO), the gingiva
and the underlining bone absorb the bite force. Fewer dental implants are required, so treatment is
more cost-effective and often it may be possible to use mini dental implants. y
p
p
Various attachment systems have been used for years as retentive elements for root overdentures
and are now being used almost exclusively to stabilize an overdenture to the installed as implants,
including, but not limiting to, balls, magnets, bars, and telescopic attachments [1]. According to a
recent Cochrane Systematic Review, there is no sufficient evidence to determine the true effectiveness
of different attachment systems for mandibular overdentures, on patient’s needs and satisfaction,
prosthodontic success, maintenance, and costs [8]. 1. Introduction Among these, ball attachments are the more
simple, commonly used and well-proven attachment systems used for anchorage on both splinted and
non-splinted implants [9,10], offering high retentive ability, reduced loading forces along the implants,
and aid in correcting disparallelism between the implants. However, their clinical application requires
more vertical and buccolingual spaces, potentially encroaching on the tongue space, particularly in
tapered arches. In addition, gingival hyperplasia around the attachment system may complicate the
plaque control and the hygiene maintenance. This retrospective study primarily sought to examine the effectiveness of ball attachment systems for
implant overdentures in daily practice. Then, if there are some differences when implants were splinted. The study was written according to the STROBE (Strengthening the Reporting of Observational Studies
in Epidemiology) guidelines. Dent. J. 2019, 7, 84 Factors that had influenced the choice between
splinted and unsplinted implants were patients’ needs and requests, and the clinician’s
recommendation that included health, lifestyle, diet choices, and cost. All the laboratory procedures
were accomplished by an expert dental technician (CB). Follow-up visits were scheduled at 1 and 6
months after delivery of the implant overdenture, and then annually. At each follow-up examination,
occlusal adjustment was performed if needed. Periapical radiographs were made annually, with a
film holder (Rinn XCP, Dentsply, Elgin, IL, USA). The patients were strongly instructed on the daily
maintenance hygienic procedures and underwent a professional cleaning by a dental hygienist every
6 months. Dent. J. 2019, 7, x FOR PEER REVIEW
3 of 10
clinician at the try-in appointments. Afterward implant overdentures were delivered. Patients with
unsplinted implants received an implant-retained overdenture. A newly developed completely
removable denture was delivered on 1 to 5 implants according to a previously published protocol
[12]. After delivery of the final prosthesis, all the attachment systems (Ball attachments, OT Cap,
Rhein’83, Bologna, Italy) were incorporated chairside into the fitting surface of the overdenture,
directly chairside. Patients with splinted implants received an implant-supported overdenture,
delivered on 3 to 4 implants. Either the conventional melting technique or newly developed
CAD/CAM technologies were used to fabricate the implant-bar and the metal counterpart according
to a previously published protocol [13] (Figures 1–3). Factors that had influenced the choice between
splinted and unsplinted implants were patients’ needs and requests, and the clinician’s
recommendation that included health, lifestyle, diet choices, and cost. All the laboratory procedures
were accomplished by an expert dental technician (CB). Follow-up visits were scheduled at 1 and 6
months after delivery of the implant overdenture, and then annually. At each follow-up examination,
occlusal adjustment was performed if needed. Periapical radiographs were made annually, with a
film holder (Rinn XCP, Dentsply, Elgin, IL, USA). The patients were strongly instructed on the daily
maintenance hygienic procedures and underwent a professional cleaning by a dental hygienist every
6 months. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 2. Front view at three years follow up. Good hygiene maintenance and no inflammation of the
keratinized mucosa. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 2. Front view at three years follow up. Dent. J. 2019, 7, 84 Dent. J. 2019, 7, 84 3 of 9 Three to five months after implant placement, definitive impressions were taken and the models
were mounted in a dental articulator in centric relation, using a facial bow, at the established occlusal
vertical dimension. Esthetics and function were evaluated and approved by both the patient and
the clinician at the try-in appointments. Afterward implant overdentures were delivered. Patients
with unsplinted implants received an implant-retained overdenture. A newly developed completely
removable denture was delivered on 1 to 5 implants according to a previously published protocol [12]. After delivery of the final prosthesis, all the attachment systems (Ball attachments, OT Cap, Rhein’83,
Bologna, Italy) were incorporated chairside into the fitting surface of the overdenture, directly chairside. Patients with splinted implants received an implant-supported overdenture, delivered on 3 to 4 implants. Either the conventional melting technique or newly developed CAD/CAM technologies were used to
fabricate the implant-bar and the metal counterpart according to a previously published protocol [13]
(Figures 1–3). Factors that had influenced the choice between splinted and unsplinted implants were
patients’ needs and requests, and the clinician’s recommendation that included health, lifestyle, diet
choices, and cost. All the laboratory procedures were accomplished by an expert dental technician
(CB). Follow-up visits were scheduled at 1 and 6 months after delivery of the implant overdenture,
and then annually. At each follow-up examination, occlusal adjustment was performed if needed. Periapical radiographs were made annually, with a film holder (Rinn XCP, Dentsply, Elgin, IL, USA). The patients were strongly instructed on the daily maintenance hygienic procedures and underwent a
professional cleaning by a dental hygienist every 6 months. Dent. J. 2019, 7, x FOR PEER REVIEW
3 of 10
clinician at the try-in appointments. Afterward implant overdentures were delivered. Patients with
unsplinted implants received an implant-retained overdenture. A newly developed completely
removable denture was delivered on 1 to 5 implants according to a previously published protocol
[12]. After delivery of the final prosthesis, all the attachment systems (Ball attachments, OT Cap,
Rhein’83, Bologna, Italy) were incorporated chairside into the fitting surface of the overdenture,
directly chairside. Patients with splinted implants received an implant-supported overdenture,
delivered on 3 to 4 implants. Either the conventional melting technique or newly developed
CAD/CAM technologies were used to fabricate the implant-bar and the metal counterpart according
to a previously published protocol [13] (Figures 1–3). 2. Materials and Methods This study was designed as an open cohort, retrospective, comparative case series study conducted
according to the Declaration of Helsinki of 1975, as revised in 2013. A retrospective chart review
of existing data, documents, radiographs, and digital files was performed at one center in Italy to
evaluate data collected from fully edentulous patients treated between April 2001 and May 2018. Data
analysis was designed to preserve the anonymity of the patients. After considering the study design
and protocol, the ethical committee of the University of Aldent declared no objection to this research. Any edentulous patients in at least one arch, aged 18 years or older, that required an implant-based
restoration were considered eligible for this study. Completely edentulous patients were considered
but only one arch was included in the study. Additional inclusion criteria were a Cawood and
Howell class II to VI [11], refusing guided bone reconstruction, and the need of lip support. Exclusion
criteria were general contraindications to oral surgery, heavy smoking (≥10 cigarettes/day), immediate
post-extractive implants, untreated periodontitis (full-mouth bleeding on probing (BoP), a full-mouth
plaque index (PI) of ≤25%), allergy or adverse reactions to the restorative materials, and lack of written
informed consent. One to five submerged implants were placed using a conventional free-hand approach, according
to the manufacturer’s guidelines. All the implants were placed in the interforaminal or in the pre-maxillary
region. An expert surgeon performed all the surgical and prosthetic procedures. Three types of implants
were used during the study period. 3. Outcome Measures
3. Outcome Measures Implants and prosthesis failures: An implant was considered a failure if it presented with any
mobility, progressive marginal bone loss (annual bone loss of >0.2 mm after the physiological bone
remodeling), and suppuration, or any mechanical complications rendering the implant unusable (i.e.,
implant fracture). A prosthesis was considered a failure if it needed to be replaced with another
prosthesis for any reason. Implants and prosthesis failures: An implant was considered a failure if it presented with any
mobility, progressive marginal bone loss (annual bone loss of >0.2 mm after the physiological bone
remodeling), and suppuration, or any mechanical complications rendering the implant unusable
(i.e., implant fracture). A prosthesis was considered a failure if it needed to be replaced with another
prosthesis for any reason. p
y
Complications: Any biological (pain, swelling, suppuration, etc.) and/or technical (screw
loosening, fracture of the framework and/or the veneering material, etc.) complications were
considered. Implants and prosthesis failures and complications were assessed and treated by the
treating clinicians at each center. Complications: Any biological (pain, swelling, suppuration, etc.) and/or technical (screw loosening,
fracture of the framework and/or the veneering material, etc.) complications were considered. Implants
and prosthesis failures and complications were assessed and treated by the treating clinicians at
each center. g
Marginal bone loss (MBL): Digital periapical radiographs were made with the paralleling
technique using commercially available film holders. Mesial and distal bone level changes were
measured as the distance from the implant shoulder and the most coronal bone to implant contact,
and then averaged. Radiographs were taken at the definitive prosthesis delivery (implant loading)
and then yearly. The difference between each follow-up and the baseline was taken as the marginal
bone loss. An independent outcome assessor measured all the radiographs using calibrated software
(DFW2.8 for Windows, Soredex, Tuusula, Finland). Marginal bone loss (MBL): Digital periapical radiographs were made with the paralleling technique
using commercially available film holders. Mesial and distal bone level changes were measured
as the distance from the implant shoulder and the most coronal bone to implant contact, and then
averaged. Radiographs were taken at the definitive prosthesis delivery (implant loading) and then
yearly. The difference between each follow-up and the baseline was taken as the marginal bone loss. An independent outcome assessor measured all the radiographs using calibrated software (DFW2.8
for Windows, Soredex, Tuusula, Finland). Dent. J. 2019, 7, 84 Good hygiene maintenance and no inflammation of the
keratinized mucosa. Figure 2. Front view at three years follow up. Good hygiene maintenance and no inflammation of the
keratinized mucosa. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 1. Melted implant-bar, occlusal view at three years follow up. Figure 2. Front view at three years follow up. Good hygiene maintenance and no inflammation of the
keratinized mucosa. Figure 2. Front view at three years follow up. Good hygiene maintenance and no inflammation of the
keratinized mucosa. Figure 2. Front view at three years follow up. Good hygiene maintenance and no inflammation of the
keratinized mucosa. 4 of 9
f J. 2019, 7, 84
J. 2019, 7, x FOR PEER REVIEW
4
Figure 3. CAD/CAM implant-bar and the metal counterpart, front view at three years follow up. Figure 3. CAD/CAM implant-bar and the metal counterpart, front view at three years follow up. Dent. J. 2019, 7, 84 Figure 3. CAD/CAM implant-bar and the metal counterpart, front view at three years follow up. Figure 3. CAD/CAM implant-bar and the metal counterpart, front view at three years follow up. 3. Outcome Measures
3. Outcome Measures (
,
,
,
)
The Oral Health Impact Profile (OHIP-21) A questionnaire, with 21 questions divided into seven
subscales (functional limitations, physical pain, psychological discomfort, physical disability,
psychological disability, social disability, and handicap), with two to four questions each, was
completed by patients. Patients were instructed to choose from five possible responses ranging from
1 (never) to 5 (very often). The questionnaire was administered by an independent dentist before
treatment and yearly after definitive prosthesis delivery. The Oral Health Impact Profile (OHIP-21) A questionnaire, with 21 questions divided into
seven subscales (functional limitations, physical pain, psychological discomfort, physical disability,
psychological disability, social disability, and handicap), with two to four questions each, was completed
by patients. Patients were instructed to choose from five possible responses ranging from 1 (never) to
5 (very often). The questionnaire was administered by an independent dentist before treatment and
yearly after definitive prosthesis delivery. y
y
p
y
The bleeding index and plaque index were evaluated yearly around each implant-abutment
interface using a periodontal probe (PCPUNC156, Hu-Friedy, Milan, Italy) by an independent
blinded dental hygienist. Four sites were evaluated (yes = 1/no = 0) at each implant-abutment
complex, and averaged between them. The bleeding index and plaque index were evaluated yearly around each implant-abutment
interface using a periodontal probe (PCPUNC156, Hu-Friedy, Milan, Italy) by an independent blinded
dental hygienist. Four sites were evaluated (yes = 1/no = 0) at each implant-abutment complex,
and averaged between them. 5. Results A total of 46 patients (16 males and 30 females) with 124 implants were included in this study. Of these,
27 patients were treated in the mandible and 19 in the maxilla. Twenty-five implant-retained overdentures
were delivered on 53 unsplinted implants (18 in the mandible and 7 in the maxilla), while the other
21 patients (9 in the mandible and 12 in the maxilla) received an implant-supported overdenture
and the implants were splinted. Patients were followed for 36 to 206 months (mean follow-up
was 128.1 ± 51.9 months). Data were collected at 3- and 5-year follow-up examinations. Patients’
characteristics were reported in Table 1. Table 1. Patients’ characteristics. Total (n = 46)
Unsplinted (n = 25)
Splinted (n = 21)
p-Value
Age
69.2 ± 8.1
72.8 ± 7.4
64.8 ± 7.6
0.0008 *
Male
16 (34.8%)
8 (32.0%)
8 (38.1%)
0.7604
Mandible
27 (58.7%)
18 (72.0%)
9 (42.9%)
0.0716
Smokers
7 (15.2%)
3 (12.0%)
4 (19.0%)
0.6857
Mean follow-up
(range) in months
128.1 ± 51.9
(36 to 206)
129.2 ± 57.4
(36 to 194)
126.7 ± 45.7
(36 to 206)
0.8689
Mean number of implants
2.7 (1 to 5)
2.1 (1 to 5)
3.4 (2 to 4)
0.0000 *
Failed implants
1
1
0
1.0
Failed prosthesis
1
1
0
1.0
Complications
4
1
3
0.3180
* Statistically significant. Table 1. Patients’ characteristics. * Statistically significant. At the three-year follow-up examination, one implant and one prosthesis failed in the unsplinted
group, resulting in a cumulative survival rate of 97.8% at the patient level. Two minor technical
complications were experienced. The first complication was the detachment of one steel housing in
the unsplinted group, and the second was the need to rebase a buccal flange of an implant-supported
overdenture, due to food entrapment. Both complications were resolved chairside within 15 to
20 min. At the five-year follow-up examination, no other implants or prostheses failed. Two minor
complications were experienced, both in the splinted group. The first complication was the detachment
of one steel housing, then the second was the detachment of an upper central incisor. The first
complication was resolved chairside in 15 min, while the second was resolved chairside in 60 min. p
All the data from 46 patients were analyzed at the 1- and 3-year visit levels, while data from
37 patients were analyzed after 5 years of function (unsplinted, n = 19, and splinted, n = 18). 4. Statistical Analysis
4. Statistical Analysis All data analysis was carried out according to a pre-established analysis plan using SPSS
Statistics for Macintosh (Version 22.0, IBM, Armonk, NY, USA). Descriptive analysis was performed
using means, standard deviations, and a 95% confidence interval, as well as median and interquartile
ranges (IQR: First quartile; median; third quartile). Fisher’s exact test for count data was used to
evaluate statistically significant differences between centers for implant and prosthetic failures and
All data analysis was carried out according to a pre-established analysis plan using SPSS Statistics
for Macintosh (Version 22.0, IBM, Armonk, NY, USA). Descriptive analysis was performed using
means, standard deviations, and a 95% confidence interval, as well as median and interquartile
ranges (IQR: First quartile; median; third quartile). Fisher’s exact test for count data was used to
evaluate statistically significant differences between centers for implant and prosthetic failures and 5 of 9 Dent. J. 2019, 7, 84 complications. Comparison of the means for OHIP scores between the baseline and the follow-ups was
performed by paired tests. Patients were grouped based on their facial type assessment (brachycephalic,
dolichocephalic, and mesocephalic) and treated arch (mandible and maxilla). The mean differences in
MBL and OHIP between different subgroups were compared using a mixed-model repeated-measures
analysis of variance (ANOVA). Fisher’s exact test for count data was used to evaluate statistically
significant differences between centers for implant and prosthetic failures and complications. 5. Results Overall
outcome measurements are reported in Table 2. Table 2. Overall outcome measurements during follow-up. Before *
1 Year *
3 Years *
5 Years §
HOIP
74.04 ± 11.65
32.26 ± 9.21
32.81 ± 7.34
33.0 ± 7.36
Marginal bone loss
0.22 ± 0.30
0.38 ± 0.40
0.46 ± 0.40
Bleeding on probing
0.05 ± 0.10
0.07 ± 0.16
0.09 ± 0.18
Plaque index
0.09 ± 0.15
0.06 ± 0.12
0.07 ± 0.14
* Unsplinted n = 25; splinted n = 21. § Unsplinted n = 19, splinted n = 18. Table 2. Overall outcome measurements during follow-up. Dent. J. 2019, 7, 84 Dent. J. 2019, 7, 84 6 of 9 When comparing data between splinted and unsplinted group, there was no statistically significant
difference in all the outcomes measured, including the Oral Health Impact Profile (Table 3), marginal
bone loss (Table 4), bleeding on probing (Table 5), and the plaque index (Table 6). Table 3. Oral Health Impact Profile. Group
Before *
1 Year *
3 Years *
5 Years §
Unsplinted
75.0 ± 12.8
32.2 ± 8.6
31.6 ± 6.6
31.4 ± 5.9
Splinted
72.9 ± 10.3
34.5 ± 10.0
34.4 ± 8.1
34.7 ± 8.5
p-Value
0.5419
0.4069
0.2467
0.1892
* Unsplinted n = 25; splinted n = 21. § Unsplinted n = 19, splinted n = 18. Table 3. Oral Health Impact Profile. Table 4. Marginal bone loss. Table 4. Marginal bone loss. Group
1 Year *
3 Years *
5 Years §
Unsplinted
0.20 ± 0.24
0.35 ± 0.37
0.41 ± 0.32
Splinted
0.24 ± 0.36
0.41 ± 0.45
0.51 ± 0.48
p-Value
0.6468
0.9931
0.4729
* Unsplinted n = 25; splinted n = 21. § Unsplinted n = 19, splinted n = 18. Table 5. Bleeding on probing. Group
1 Year *
3 Years *
5 Years §
Unsplinted
0.04 ± 0.11
0.07 ± 0.13
0.05 ± 0.13
Splinted
0.06 ± 0.09
0.08 ± 0.19
0.08 ± 0.14
p-Value
0.5115
0.7286
0.4162
* Unsplinted n = 25; splinted n = 21. § Unsplinted n = 19, splinted n = 18. Table 6. Plaque index. Group
1 Year *
3 Years *
5 Years §
Unsplinted
0.09 ± 0.15
0.07 ± 0.17
0.06 ± 0.16
Splinted
0.10 ± 0.06
0.10 ± 0.16
0.11 ± 0.19
p-Value
0.7923
0.8350
0.4492
* Unsplinted n = 25; splinted n = 21. 5. Results § Unsplinted n = 19, splinted n = 18. When comparing the number of failed implants, prostheses, and complications between patients
with different restorative statuses of the opposing arch, there was no statistically significant difference
in all the outcomes measured (p-value from 0.6139 to 1.000). 6. Discussion This study aimed to evaluate implant and prosthetic survival rates, any complications, patient
satisfaction, and biological outcomes of patients treated with implant overdentures (IOV) and a ball
attachment system, on splinted and non-splinted implants, in function for 3 to 5 years. The main
limitation of the present study is its retrospective nature, which means there are potentially several
biases. Then, because this research was designed as a retrospective cohort study, the clinician should
interpret with caution the data that emerged in this paper. Nowadays, implant-retained or -supported overdentures (IOD) can be considered a viable
treatment option increasing masticatory function and improving satisfaction by making up for
insufficient retention and stability of a conventional denture [14]. Retention force as well as prosthetic 7 of 9 Dent. J. 2019, 7, 84 complications of ball and bar attachment systems were evaluated by several studies. Sadowsky [15],
in a review of the literature, reported that a single ball attachment allows for less technique sensitive
and lower costs compared to other attachment systems. However, ball attachments seem to be less
retentive than the bar designed retention. Accordingly, Naert and co-workers [16] showed that a single
attachment allow for lower retention compared to a metal bar. In the present study at the three-year follow-up examination, one implant and one prosthesis
failed in the unsplinted group, resulting in a cumulative survival rate of 97.8% at patient level. No statistically significant differences were found between splinted and unsplinted IOV. Recent
literature reported successful long-term implant and prosthetic outcomes of patients rehabilitated with
an implant-supported overdenture [17–19]. The cumulative implant success rate was more than 96%
after 15 years of function [17]. Failed implants were commonly experienced in the maxilla, as observed
in the present retrospective analysis. In this retrospective study authors found only two minor technical complications. The first
complication was the detachment of one steel housing in the unsplinted group, then the second was
the need to rebase a buccal flange of an implant-supported overdenture, due to food entrapment. Both complications were resolved chairside within 15 to 20 min. At the five-year follow-up examination,
no other implants or prostheses failed. Two minor complications were experienced, both in the splinted
group. The first complication was the detachment of one steel housing, then the second was the detachment
of an upper central incisor. 6. Discussion The first complication was resolved chairside in 15 min, while the second was
resolved chairside in 60 min. Five years after loading, the mean marginal bone loss observed in the present research was
0.46 ± 0.40 mm, with a minimum of 0.12 mm and a maximum of 2.13 mm. It might be noticed that
these results may be in line or even better of the mean marginal bone loss reported by Meijer et al. [20]. The authors report a mean marginal bone loss of 1.0 and 1.1 mm with implant-retained overdenture
in function for 5 and 10 years, respectively. According to the results of a systematic review of
Cehreli et al. [21], there was no statistically significant difference between splinted or unsplinted
implants as well as between different types of attachment systems. Plaque scores decreased slightly during the follow-up, independently by the number of the
implants and the type of attachment systems used. On the other hand, Elsyad et al. [22] reported
an increased plaque scores in similar treatments. The authors stated that the reasons could be the
resiliency of the attachments, which allows denture movements and accumulation of plaque under
the denture. Moreover, age-related problems such as a decreased awareness could affect oral hygiene
practice of the patients [23]. It is widely accepted that conventional completely removable dentures have less satisfaction
results in patient’s lives compared to IODs [24–29]. In the present study, high patient satisfaction was
reported, with no statistically significant differences for different IODs design or attachment systems. On the other hand, Tallarico et al., in a long-lasting retrospective study, reported that splinting the
implants may reduce the number of mechanical complications. In the same study, Locator attachments
showed a higher number of complications compared with other attachment systems [29]. When comparing data between splinted and unsplinted groups, this retrospective study failed to
find any statistically significant difference in all the outcomes measured. 7. Conclusions Implant overdenture retained or supported by ball attachment systems showed high implant
and prosthetic success rates, a low number of mechanical and biological complications, high patient
satisfaction, and good biological parameters, in both the short and mid-term follow-up evaluation. Data need to be confirmed by further randomized trials. 8 of 9 Dent. J. 2019, 7, 84 Dent. J. 2019, 7, 84 Author Contributions: L.O. performed all the surgical and prosthetic treatments (acquisition of the data) and
final approval of the version to be published. M.M. had substantial contributions to the conception of the work;
the analysis, and interpretation of the data; drafting the work and final approval of the version to be published. C.B. is the dental technician who performed all the rehabilitations and final approval of the version to be published. F.M.C. and M.G. performed a critical revisions for important intellectual content, and final approval of the version
to be published. E.X. took contact with the editorial board and final approval of the version to be published. M.T. had substantial contributions to the conception and design of the work and interpretation of the data; drafting the
work and final approval of the version to be published. Funding: This research received no external funding. Funding: This research received no external funding. flicts of Interest: The authors did not receive any materials/products or financial support for this investigation References 1. Anas El-Wegoud, M.; Fayyad, A.; Kaddah, A.; Nabhan, A. Bar versus ball attachments for implant-supported
overdentures in complete edentulism: A systematic review. Clin. Implant Dent. Relat. Res. 2018, 20, 243–250. [CrossRef] [PubMed] 1. Anas El-Wegoud, M.; Fayyad, A.; Kaddah, A.; Nabhan, A. Bar versus ball attachments for implant-supported
overdentures in complete edentulism: A systematic review. Clin. Implant Dent. Relat. Res. 2018, 20, 243–250. [CrossRef] [PubMed] 2. Petersen, P.; Yamamoto, T. Improving the oral health of older people: The approach of the WHO Global Oral
Health Programme. Community Dent. Oral Epidemiol. 2005, 33, 81–92. [CrossRef] [PubMed] 2. Petersen, P.; Yamamoto, T. Improving the oral health of older people: The approach of the WHO Global Oral
Health Programme. Community Dent. Oral Epidemiol. 2005, 33, 81–92. [CrossRef] [PubMed] 4. Emami, E.; de Souza, R.F.; Kabawat, M.; Feine, J.S. The impact of edentulism on oral and general health. Int. J. Dent. 2013, 2013, 1–7. [CrossRef] [PubMed] 4. Emami, E.; de Souza, R.F.; Kabawat, M.; Feine, J.S. The impact of edentulism on oral and general health. Int. J. Dent. 2013, 2013, 1–7. [CrossRef] [PubMed] 5. Cune, M.; Burgers, M.; Kampen, F.; Putter, C.; Bilt, A. Mandibular overdentures retained by two implants:
10-year results from a crossover clinical trial comparing ball-socket and bar-clip attachments. Int. J. Prosthodont. 2010, 23, 310–317. 5. Cune, M.; Burgers, M.; Kampen, F.; Putter, C.; Bilt, A. Mandibular overdentures retained by two implants:
10-year results from a crossover clinical trial comparing ball-socket and bar-clip attachments. Int. J. Prosthodont. 2010, 23, 310–317. 6. Naert, I.; Alsaadi, G.; Steenberghe, D.; Quirynen, M. A 10-year randomized clinical trial on the influence of
splinted and unsplinted oral implants retaining mandibular overdentures: Peri-implant outcome. Int. J. Oral. Maxillofac. Implants 2004, 19, 695–702. [CrossRef] [PubMed] 7. Gargari, M.; Prete, V.; Pujia, A.; Ceruso, F.M. Full-arch maxillary rehabilitation fixed on 6 implants. Oral Implantol. 2013, 6, 1–4. [CrossRef] 8. Payne, A.G.; Alsabeeha, N.H.; Atieh, M.A.; Esposito, M.; Ma, S.; Anas El-Wegoud, M. Interventions for
replacing missing teeth: Attachment systems for implant overdentures in edentulous jaws. Cochrane Database
Syst. Rev. 2018, 10. [CrossRef] 9. Preiskel, H. Overdentures Made Easy: A Guide to Implant and Root Supported Prostheses, 1st ed.; Quintessence
Publishing Co. Inc.: Chicago, IL, USA, 1996. 10. Alsabeeha, N.H.; Payne, A.G.; Swain, M.V. Attachment systems for mandibular two-implant overdentures:
A review of in vitro investigations on retention and wear features. Int. J. Prosthodont. 2009, 22, 429–440. References A review of in vitro investigations on retention and wear features. Int. J. Prosthodont. 2009, 22, 429–440. 11. Cawood, J.I.; Howell, R.A. A classification of the edentulous jaws. Int. J. Oral Maxillofac. Surg. 1988, 17,
232–236. [CrossRef] 11. Cawood, J.I.; Howell, R.A. A classification of the edentulous jaws. Int. J. Oral Maxillofac. Surg. 1988, 17,
232–236. [CrossRef] 12. Tallarico, M.; Xhanari, E.; Kadiu, B.; Scrascia, R. Implant rehabilitation of extremely atrophic mandibles
(Cawood and Howell Class VI) with a fixed-removable solution supported by four implants: One-year
results from a preliminary prospective case series study. J. Oral Sci. Rehabilit. 2017, 3, 32–40. 13. Pozzi, A.; Tallarico, M.; Moy, P.K. Four-implant overdenture fully supported by a CAD-CAM titanium bar:
A single-cohort prospective 1-year preliminary study. J. Prosthet. Dent. 2016, 116, 516–523. [CrossRef] g
p
p
y
p
y
y J
[
]
14. Meijer, H.J.; Kuiper, J.H.; Starmans, F.J.; Bosman, F. Stress distribution around dental implants: Influence of
superstructure, length of implants, and height of mandible. J. Prosthet. Dent. 1992, 68, 96–102. [CrossRef]
15. Sadowsky, S.J. Mandibular implant-retained overdentures: A literature review J. Prosthet. Dent. 2001, 86, 14. Meijer, H.J.; Kuiper, J.H.; Starmans, F.J.; Bosman, F. Stress distribution around dental implants: Influence of
superstructure, length of implants, and height of mandible. J. Prosthet. Dent. 1992, 68, 96–102. [CrossRef] superstructure, length of implants, and height of mandible. J. Prosthet. Dent. 1992, 68, 96–102. [CrossRef]
15. Sadowsky, S.J. Mandibular implant-retained overdentures: A literature review J. Prosthet. Dent. 2001, 86,
468–473. [CrossRef] 15. Sadowsky, S.J. Mandibular implant-retained overdentures: A literature review J. Prosthet. Dent. 2001, 86,
468–473. [CrossRef] 16. Naert, I.; Quirynen, M.; Hooghe, M.; van Steenberghe, D.A. comparative prospective study of splinted and
unsplinted Brånemark implants in mandibular overdenture therapy: A preliminary report. J. Prosthet. Dent. 1994, 71, 486–492. [CrossRef] 17. Attard, N.J.; Zarb, G.A. Long-term treatment outcomes in edentulous patients with implant overdentures:
The Toronto study. Int. J. Prosthodont. 2004, 17, 425–433. [CrossRef] [PubMed] 18. Klemetti, E.; Chehade, A.; Takanashi, Y.; Feine, J.S. Two-implant mandibular overdentures: Simple to
fabricate and easy to wear. J. Can. Dent. Assoc. 2003, 69, 29–33. 9 of 9 Dent. J. 2019, 7, 84 19. Babbush, C.A.; Tallarico, M. Twelve-year clinical and radiological results of maxillary and mandibular
implant-retained bar overdentures carried out on oxidized (TiUnite) replace select implants: A clinical case. J. Oral Implantol. 2013, 39, 737–742. [CrossRef] 20. Meijer, H.J.A.; Raghoebar, G.M.; de Waal, Y.C.M.; Vissink, A. © 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/). References Incidence of peri-implant mucositis and
peri-implantitis in edentulous patients with an implant-retained mandibular overdenture during a 10-year
follow-up period. J. Clin. Periodontol. 2014, 41, 1178–1183. [CrossRef] 21. Cehreli, M.C.; Karasoy, D.; Kokat, A.M.; Akca, K.; Eckert, S. A systematic review of marginal bone loss
around implants retaining or supporting overdentures. Int. J. Oral Maxillofac. Implants 2010, 25, 266–277. 22. Elsyad, M.A.; Maryod, W.H.; Mostafa, A.Z. Effect of Implant Position on Clinical and Radiographic Outcomes
of Locator-Retained Mandibular Overdentures: A 1-Year Prospective Study. J. Prosthodont. 2019, 28,
e699–e704. [CrossRef] [PubMed] 23. Elsyad, M.A. Patient satisfaction and prosthetic aspects with mini-implants retained mandibular overdentures. A 5-year prospective study. Clin. Oral Implants Res. 2016, 27, 926–933. [CrossRef] [PubMed] 24. Scrascia, R.; Venezia, P. Healthcare meets Aesthetics: New approaches to the complex oral rehabilitations
with implant-supported dental prostheses. AMJ 2017, 10, 537–541. [CrossRef] 25. Slot, W.; Raghoebar, G.M.; Vissink, A.; Meijer, H.J. Maxillary overdentures supported by anteriorly or
posteriorly placed implants opposed by a natural dentition in the mandible: A 1-year prospective case series
study. Clin. Implant Dent. Relat. Res. 2014, 16, 51–61. [CrossRef] [PubMed] 26. Feine, J.S.; Carlsson, G.E.; Awad, M.A.; Chehade, A.; Duncan, W.J.; Gizani, S.; Head, T.; Lund, J.P.;
MacEntee, M.; Mericske-Stern, R.; et al. The McGill Consensus Statement on Overdentures. Montreal,
Quebec, Canada. Int. J. Prosthodont. 2002, 15, 413–414. [PubMed] 27. Awad, M.A.; Lund, J.P.; Dufresne, E.; Feine, J.S. Comparing the efficacy of mandibular implant-retained
overdentures and conventional dentures among middle-aged edentulous patients: Satisfaction and functional
assessment. Int. J. Prosthodont. 2003, 16, 117–122. [PubMed] 28. Andreiotelli, M.; Att, W.; Strub, J.R. Prosthodontic complications with implant overdentures: A systematic
literature review. Int. J. Prosthodont. 2010, 23, 195–203. [PubMed] 29. Tallarico, M.; Ortensi, L.; Martinolli, M.; Casucci, A.; Ferrari, E.; Malaguti, G.; Montanari, M.; Scrascia, R.;
Vaccaro, G.; Venezia, P.; et al. Multicenter Retrospective Analysis of Implant Overdentures Delivered with
Different Design and Attachment Systems: Results Between One and 17 Years of Follow-Up. Dent. J. 2018, 6,
71. [CrossRef] © 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
|
https://openalex.org/W2723352683
|
http://www.scielo.br/pdf/hcsm/v24n2/0104-5970-hcsm-24-2-0547.pdf
|
Portuguese
| null |
Seguindo as pegadas do caminho do ouro: um começo para as pesquisas sobre a experiência norte-americana na ilha de Santa Catarina
|
História, ciências, saúde-Manguinhos
| 2,017
|
cc-by
| 2,007
|
Seguindo as pegadas do caminho do ouro: um
começo para as pesquisas sobre a experiência
norte-americana na ilha de Santa Catarina
Following in the footsteps of the path of gold: a starting point for
research about American experiences in the island of Santa Catarina Cecilia Luttembarck Oliveira Lima Rattes
Doutora em história, Universidade Federal de Minas Gerais. ceciliarattes@yahoo.com.br Cecilia Luttembarck Oliveira Lima Rattes
Doutora em história, Universidade Federal de Minas Gerais. ceciliarattes@yahoo.com.br O
livro “A caminho do ouro: norte-americanos na ilha de Santa
Catarina”, de Marli Cristina Scomazzon e Jeff Franco, debruça-se
sobre a presença de norte-americanos1 na vila de Nossa Senhora
do Desterro, localizada na ilha de Santa Catarina, em meados do
século XIX. A descoberta do ouro na Califórnia, em 1848, atraiu uma
multidão advinda principalmente da costa leste norte-americana,
interessada nas promessas de fortuna; dirigir-se ao oeste, porém não
era uma tarefa simples. O interior dos EUA ainda era perigoso, repleto
de obstáculos naturais e habitado por população hostil. A travessia
pelo México era complicada, e a estrada transcontinental americana
só seria inaugurada em 1869. A rota considerada mais segura consistia
em contornar a América do Sul, passando pelo cabo Horn. O caminho
era conhecido e já havia sido utilizado por baleeiros e viajantes que
comercializavam com o Oriente. A cidade de Desterro era uma das
opções de parada, e, inevitavelmente, seu porto atraiu um grande fluxo de visitantes. O livro divide-se em três capítulos. No primeiro, os autores descrevem a mobilização
gerada pela notícia de ouro na Califórnia: a quantidade de barcos que se dirigiram ao Brasil,
os perigos encontrados no mar e o dia a dia da viagem. Narram ainda o contato ianque
com a ilha: suas percepções sobre a natureza local, a cidade e seu povo; como também as
dificuldades em lidar com as burocracias portuárias e as diferenças culturais. No segundo
capítulo, resgatam a memória dos ilhéus em relação à experiência estrangeira. Utilizando
documentos oficiais e periódicos brasileiros da época, os autores tentam explicar a mistura de
sentimentos vivida pelos catarinenses, que oscilavam entre a boa hospitalidade, prognósticos
de bons negócios e a hostilidade e desconfiança diante de número tão grande de forasteiros. Já no último capítulo, abordam os autores o funcionamento do consulado norte-americano
SCOMAZZON, Marli
Cristina; FRANCO, Jeff. A caminho do ouro:
norte-americanos na
ilha de Santa Catarina. Florianópolis: Insular. 2015. 160p. O
livro “A caminho do ouro: norte-americanos na ilha de Santa
Catarina”, de Marli Cristina Scomazzon e Jeff Franco, debruça-se
sobre a presença de norte-americanos1 na vila de Nossa Senhora
do Desterro, localizada na ilha de Santa Catarina, em meados do
século XIX. http://dx.doi.org/10.1590/S0104-59702017000200017 v.24, n.2, abr.-jun. 2017, p.547-549 Seguindo as pegadas do caminho do ouro: um
começo para as pesquisas sobre a experiência
norte-americana na ilha de Santa Catarina
Following in the footsteps of the path of gold: a starting point for
research about American experiences in the island of Santa Catarina Houve a tentativa de criar
uma descrição do passado a partir da transcrição de documentos, porém predomina uma visão
de que os textos falam por si, não existindo problematização ou contextualização adequada do
período estudado. A narrativa não abordou, por exemplo, as relações políticas vividas entre o
Brasil Imperial e os EUA, embora fosse um momento de insegurança na América Latina, com
a recém-anexação de territórios mexicanos, o fortalecimento de uma política expansionista
estadunidense e a formulação do Destino Manifesto. É interessante pensar que as relações diplomáticas entre Brasil e EUA, embora fossem
consideradas cordiais, foram igualmente marcadas por tensões ao longo do período imperial
e início da Primeira República. Na década de 1850 – mesmo período abordado no livro –,
existiu uma campanha norte-americana de ocupação da Amazônia. Exigia-se a abertura do
Amazonas e preparavam-se expedições que antecederiam a vinda de empresários, colonos e
escravos para a região. Representantes do governo de Washington tentavam angariar apoio
a sua causa junto aos países fronteiriços com o Brasil, indispondo-os contra a monarquia,
que mantinha o Amazonas fechado à livre navegação internacional. Não faltaram pressões;
porém, o Brasil não cedeu às exigências, conquanto tentasse manter a cordialidade com a
potência do norte. Jornais brasileiros da época publicavam notícias alarmistas, denunciando
a possibilidade de uma ocupação ianque especialmente no norte do país.2 Em vários momentos da leitura, não é difícil indagar se Desterro poderia representar as
tensões vividas entre as duas nações, já que a ilha recebia diariamente centenas de norte-
americanos. Os autores expuseram inúmeros conflitos entre a população estrangeira e a
brasileira que chegaram, muitas vezes, às esferas diplomáticas, mas o livro aborda tais questões
pautando-as em justificativas baseadas na bebedeira e na farra dos visitantes. A obra tem
trechos promissores, que possibilitariam um diálogo com a historiografia já produzida, como,
por exemplo, a construção de um discurso nacionalista norte-americano, no qual o “espírito
aventureiro” teria papel central; as concepções de fronteira e imperialismo desenvolvidas na
época; ou a visão estrangeira construída sobre o Brasil (permeada por noções de “Paraíso”
e “Inferno”). As imagens apresentadas também não foram exploradas, transformando-se em simples
ilustrações. Desconsiderou-se aquilo que possuem de mais expressivo: suas relações com os
momentos históricos nos quais vieram à luz. Elas precisariam ser melhor analisadas como
fontes históricas, uma vez que se ligaram a um modo particular de percepção, moldada na
experiência social. Seguindo as pegadas do caminho do ouro: um
começo para as pesquisas sobre a experiência
norte-americana na ilha de Santa Catarina
Following in the footsteps of the path of gold: a starting point for
research about American experiences in the island of Santa Catarina A descoberta do ouro na Califórnia, em 1848, atraiu uma
multidão advinda principalmente da costa leste norte-americana,
interessada nas promessas de fortuna; dirigir-se ao oeste, porém não
era uma tarefa simples. O interior dos EUA ainda era perigoso, repleto
de obstáculos naturais e habitado por população hostil. A travessia
pelo México era complicada, e a estrada transcontinental americana
só seria inaugurada em 1869. A rota considerada mais segura consistia
em contornar a América do Sul, passando pelo cabo Horn. O caminho
era conhecido e já havia sido utilizado por baleeiros e viajantes que
comercializavam com o Oriente. A cidade de Desterro era uma das
inevitavelmente, seu porto atraiu um grande fluxo de visitantes. SCOMAZZON, Marli
Cristina; FRANCO, Jeff. A caminho do ouro:
norte-americanos na
ilha de Santa Catarina. Florianópolis: Insular. 2015. 160p. O SCOMAZZON, Marli
Cristina; FRANCO, Jeff. A caminho do ouro:
norte-americanos na
ilha de Santa Catarina. Florianópolis: Insular. 2015. 160p. O livro divide-se em três capítulos. No primeiro, os autores descrevem a mobilização
gerada pela notícia de ouro na Califórnia: a quantidade de barcos que se dirigiram ao Brasil,
os perigos encontrados no mar e o dia a dia da viagem. Narram ainda o contato ianque
com a ilha: suas percepções sobre a natureza local, a cidade e seu povo; como também as
dificuldades em lidar com as burocracias portuárias e as diferenças culturais. No segundo
capítulo, resgatam a memória dos ilhéus em relação à experiência estrangeira. Utilizando
documentos oficiais e periódicos brasileiros da época, os autores tentam explicar a mistura de
sentimentos vivida pelos catarinenses, que oscilavam entre a boa hospitalidade, prognósticos
de bons negócios e a hostilidade e desconfiança diante de número tão grande de forasteiros. Já no último capítulo, abordam os autores o funcionamento do consulado norte-americano http://dx.doi.org/10.1590/S0104-59702017000200017 547 v.24, n.2, abr.-jun. 2017, p.547-549 Cecilia Luttembarck Oliveira Lima Rattes na cidade, mencionando, sobretudo, a atuação de alguns cônsules no período da “febre do
ouro”. O livro procura relatar o encontro estadunidense com a região e as formas como a
população local teria reagido a essa “invasão estrangeira”. Apesar de ser um texto agradável e de fácil leitura, e de conter material relevante, a obra,
quando analisada como um estudo histórico, apresenta limitações. História, Ciências, Saúde – Manguinhos, Rio de Janeiro NOTAS 1 Embora, o termo “norte-americano” seja de uso problemático, uma vez que a América do Norte engloba
outros países, como o Canadá e o México, optou-se em seguir a mesma linha dos autores para se referir,
exclusivamente, aos cidadãos estadunidenses. Além disso, o termo é, atualmente, aplicado com esse
significado. 2 Sobre a política externa entre Brasil e EUA, e os planos de ocupação norte-americana na Amazônia, ver:
CERVO, Amado Luiz; BUENO, Clodoaldo. História da política exterior do Brasil. Brasília: Editora Universidade
de Brasília, 2012; HILL, Lawrence F. Diplomatic relation between the United States and Brazil. Connecticut:
Greenwood Press, 1970; LUZ, Nicia Vilela. A Amazônia para os negros americanos. Rio de Janeiro: Editora Saga,
1968; PALM, Paulo Roberto. A abertura do rio Amazonas à navegação internacional e o parlamento. Brasília:
Fundação Alexandre de Gusmão, 2009; NAPOLEÃO, Aluízio. Rio Branco e as relações entre o Brasil e os Estados
Unidos. Rio de Janeiro: Biblioteca do Exército, 1999. 3 Sobre a construção de uma tradição visual da conquista, ver: GOODYEAR III, Frank H. Faces of the frontier:
photographic portraits from American West, 1845-1924. Norman: University of Oklahoma Press, 2009; RYAN,
James R. Picturing empire: photography and the visualization of British Empire. Chicago: The University
of Chicago Press, 1997; SALVATORE, Ricardo D. Imágenes de un imperio: Estados Unidos y las formas de
representación de América Latina. Buenos Aires: Editorial Sudamerica, 2006; TOBIAS, Ronald B. Film and
the American moral vision of nature: Theodore Roosevelt to Walt Disnet. Michigan: Michigan State University
Press, 2011; RATTENBURY, Richard C. Hunting the American West: the pursuit of big game for life, profit
and sport, 1800-1900. Missoula: Boone and Crockett, 2008; LUTTEMBARCK, Cecilia. A viagem de Theodore
Roosevelt pelo noroeste brasileiro: caça, ciência e representações da floresta tropical. Tese (Doutorado em Ciência
e Cultura na História) – Universidade Federal de Minas Gerais, Belo Horizonte, 2015. 4 Sobre a construção da identidade nacional norte-americana e sua relação com a expansão territorial, ver:
TURNER, Frederick Jackson. The frontier in American history. New York: Dover Publications, 1996; NASH,
Roderick. Wilderness and the American Mind. New Haven: Yale University Press, 1982; JUNQUEIRA, Mary
Anne. Ao Sul do Rio Grande – imaginando a América Latina em Seleções: oeste, wilderness e fronteira (1942-
1970). Bragança Paulista: Edusf, 2000; JUNQUEIRA, Mary Anne. Representações políticas do território
latino-americano na revista Seleções. Revista de História, v.21, n.42, p.323-342, 2001; OLIVEIRA, Lúcia Lippi. Seguindo as pegadas do caminho do ouro: um
começo para as pesquisas sobre a experiência
norte-americana na ilha de Santa Catarina
Following in the footsteps of the path of gold: a starting point for
research about American experiences in the island of Santa Catarina O exame dos documentos visuais, tanto de sua constituição plástica quanto
de seu conteúdo, permitiria inferir, por exemplo, sobre os objetivos do artista assim como
entender algumas demandas de seu tempo. Em determinadas imagens do livro é possível
identificar valores estéticos pertencentes a uma tradição colonialista, em que se abordavam
conceitos como “conquista”, “poder” e “masculinidade”.3 Representações como essas haviam
sido expostas na imprensa norte-americana como forma de corroborar a ideia de um ímpeto
natural de seus cidadãos em desbravar novos territórios, justificando, assim, uma política 548 História, Ciências, Saúde – Manguinhos, Rio de Janeiro Seguindo as pegadas do caminho do ouro expansionista.4 Diante disso, é possível questionar se as imagens apresentadas no livro não
poderiam se integrar a esse repertório simbólico responsável pela criação de uma identidade
nacional estadunidense. O livro carece de mais reflexões teóricas e diálogos com a literatura acadêmica, já que os
documentos dão abertura para isso. Ou seja, há grande potencial nas fontes, mas o texto
pesa a descrição de acontecimentos. Apesar desses limites, o livro possui riquezas. Os autores
conseguiram reunir um interessante conjunto de documentos, que versam sobre narrativas
de viagem, artigos publicados em revistas e jornais, correspondências oficiais e imagens. Além
disso, o tema continua pouco explorado pela historiografia, o que garante a sua originalidade. A obra pode ser usada como ferramenta para os historiadores que desejem enveredar-se pelo
estudo da expansão estadunidense no Oitocentos ou pela presença norte-americana no Brasil
imperial, sendo capaz de descortinar novas possibilidades de análises. NOTAS Americanos: representações da identidade nacional no Brasil e nos EUA. Belo Horizonte: Ed. UFMG, 2000. Tt 549 v.24, n.2, abr.-jun. 2017, p.547-549
|
https://openalex.org/W1981624688
|
https://hal.science/hal-04250406/document
|
English
| null |
Influence of Gold on Hydrotalcite-like Compound Catalysts for Toluene and CO Total Oxidation
|
Catalysts
| 2,013
|
cc-by
| 6,496
|
Influence of Gold on Hydrotalcite-like Compound
Catalysts for Toluene and CO Total Oxidation
Eric Genty, Renaud Cousin, Sylvie Capelle, Stéphane Siffert To cite this version:
Eric Genty, Renaud Cousin, Sylvie Capelle, Stéphane Siffert. Influence of Gold on Hydrotalcite-like
Compound Catalysts for Toluene and CO Total Oxidation. Catalysts, 3 (4), pp.966 - 977, 2013,
Special Issue New Trends in Gold Catalysts, 10.3390/catal3040966. hal-04250406 To cite this version: Eric Genty, Renaud Cousin, Sylvie Capelle, Stéphane Siffert. Influence of Gold on Hydrotalcite-like
Compound Catalysts for Toluene and CO Total Oxidation. Catalysts, 3 (4), pp.966 - 977, 2013,
Special Issue New Trends in Gold Catalysts, 10.3390/catal3040966. hal-04250406 Influence of Gold on Hydrotalcite-like Compound
Catalysts for Toluene and CO Total Oxidation
Eric Genty, Renaud Cousin, Sylvie Capelle, Stéphane Siffert Influence of Gold on Hydrotalcite-like Compound
Catalysts for Toluene and CO Total Oxidation
Eric Genty, Renaud Cousin, Sylvie Capelle, Stéphane Siffert Eric Genty, Renaud Cousin *, Sylvie Capelle and Stéphane Siffert Eric Genty, Renaud Cousin *, Sylvie Capelle and Stéphane Siffert Unity of Environmental Chemistry and Interactions with the Living organisms, University of Littoral
Opal Coast, 145 avenue Maurice Schumann, 59140 Dunkerque, France;
E-Mails: Eric.Genty@univ-littoral.fr (E.G.); Sylvie.Capelle@univ-littoral.fr (S.C.);
Stephane.Siffert@univ-littoral.fr (S.S.) p
,
,
q
,
;
E-Mails: Eric.Genty@univ-littoral.fr (E.G.); Sylvie.Capelle@univ-littoral.fr (S.C.); * Author to whom correspondence should be addressed; E-Mail: Renaud.Cousin@univ-littoral.fr;
Tel.: +33-3-2865-8276; Fax: +33-3-2865-8239. Received: 17 November 2013; in revised form: 3 December 2013 / Accepted: 3 December 2013 /
Published: 12 December 2013 Received: 17 November 2013; in revised form: 3 December 2013 / Accepted: 3 December 2013 /
Published: 12 December 2013 Abstract: X6Al2HT500 hydrotalcites, where X represents Mg, Fe, Cu or Zn were
synthetized and investigated before and after gold deposition for toluene and CO total
oxidation reactions. The samples have been characterized by specific areas, XRD
measurements and Temperature Programmed Reduction. Concerning the toluene total
oxidation, the best activity was obtained with Au/Cu6Al2HT500 catalyst with T50 at 260 °C. However, catalytic behavior of Au/X6Al2HT500 sample in both reactions depends mainly
on the nature of the support. Keywords: gold based catalyst; hydrotalcite; toluene oxidation; CO oxidation;
heterogeneous catalysis HAL Id: hal-04250406
https://hal.science/hal-04250406v1
Submitted on 19 Oct 2023 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. Catalysts 2013, 3, 966-977; doi:10.3390/catal3040966 Catalysts 2013, 3, 966-977; doi:10.3390/catal3040966
catalysts
ISSN 2073-4344
www.mdpi.com/journal/catalysts
Article
Influence of Gold on Hydrotalcite-like Compound Catalysts for
Toluene and CO Total Oxidation
Eric Genty, Renaud Cousin *, Sylvie Capelle and Stéphane Siffert
Unity of Environmental Chemistry and Interactions with the Living organisms, University of Littoral
Opal Coast, 145 avenue Maurice Schumann, 59140 Dunkerque, France;
E-Mails: Eric.Genty@univ-littoral.fr (E.G.); Sylvie.Capelle@univ-littoral.fr (S.C.);
Stephane.Siffert@univ-littoral.fr (S.S.)
* Author to whom correspondence should be addressed; E-Mail: Renaud.Cousin@univ-littoral.fr;
Tel.: +33-3-2865-8276; Fax: +33-3-2865-8239. Received: 17 November 2013; in revised form: 3 December 2013 / Accepted: 3 December 2013 /
Published: 12 December 2013
Abstract: X6Al2HT500 hydrotalcites, where X represents Mg, Fe, Cu or Zn were
synthetized and investigated before and after gold deposition for toluene and CO total
oxidation reactions. The samples have been characterized by specific areas, XRD
measurements and Temperature Programmed Reduction. Concerning the toluene total
oxidation, the best activity was obtained with Au/Cu6Al2HT500 catalyst with T50 at 260 °C. However, catalytic behavior of Au/X6Al2HT500 sample in both reactions depends mainly
on the nature of the support. Keywords: gold based catalyst; hydrotalcite; toluene oxidation; CO oxidation;
heterogeneous catalysis
OPEN ACCESS catalysts
ISSN 2073-4344
www.mdpi.com/journal/catalysts
OPEN ACCESS catalysts
ISSN 2073-4344
www.mdpi.com/journal/catalysts
OPEN ACCESS 1. Introduction Volatiles Organic Compounds (VOCs) often cause breathing problems, many of them are
carcinogen and they participate in the formation of tropospheric ozone. These VOCs are mainly issued
from exhaust of industrial and transport activities. Due to the harm caused to the human environment,
the VOCs’ emissions are strictly regulated. Among many technologies available for VOCs control, the
catalytic oxidation of these pollutants to carbon dioxide and water has been recognized as one of the
most promising technologies [1,2]. Complete catalytic oxidation with noble metal supported on solids 967 Catalysts 2013, 3 is an effective way of VOCs removal at low temperature [3–5]. Moreover, during the past decade,
many studies have established that nanosized Au-on-reducible support has a remarkable catalytic
activity for many oxidation reactions [3–9]. In a previous work, we have shown that the gold catalyst
supported on Ce-Ti mixed oxide prepared by deposition–precipitation method provides a small gold
particle size and high catalytic activity in propene oxidation [10,11]. However, in the literature [12],
few works have discussed the gold deposition on hydrotalcite for VOCs total oxidation. Thus, an
interesting way to obtain mixed oxide catalysts is the use of hydrotalcite precursors. Hydrotalcite-like
compounds (HT), a class of layered double hydroxides, consist of positively charged metal hydroxide
layers separated from each other by anions and water molecules. The general formula of HT
compounds is [MII
1−xMIII
x(OH)2]x+ [An−
x/n,yH2O]x− where MII and MIII are divalent and trivalent metal
ions and An− is an interlayer n-valent anion. Typically, the x value in hydrotalcites is in the range from
0.20 to 0.33 [13,14]. The layers contain metal cations of at least two different oxidation states [13,14]. Indeed, after calcination treatment, mixed oxides are formed and possess unique properties like high
specific surface area and porosity, good thermal stability, good mixed oxides homogeneity basic properties
and high metal dispersion [15–19]. The partial or total substitution of Mg2+ and Al3+ is possible by a
divalent or trivalent cation in HT structure. It seems interesting to replace the bivalent Mg2+ by another
efficient element in order to achieve improved toluene and carbon monoxide oxidation. The copper oxide catalysts are known to be active for the combustion reaction [20–23]. In fact,
CuO/Al2O3 has shown excellent performance for the total oxidation of CO [20], propene and
toluene [21,22]. The iron oxide catalysts are known to be an active solid and support for the CO
oxidation [23]. 1. Introduction These oxides are recognized to be a good gold support for the VOC oxidation, in particular
for the methanol, propanol and toluene oxidation [24]. The gold supported on the zinc oxide was already
reported as a good catalyst for the benzene, toluene and xylene oxidation [25]. This solid was reported as
having high activity for these reactions compared to the Au/MgO and Au/Al2O3. The aim of the present study is to investigate the effect of gold deposition on X6Al2HT hydrotalcites
(where X represents Mg, Fe, Cu or Zn) for toluene and carbon monoxide total oxidation reactions. The
gold-based catalysts and the supports were characterized by powder X-Ray Diffraction (XRD), BET
measurements, UV–visible diffuse reflectance (DR-UV-vis) spectroscopy and hydrogen temperature
programmed reduction (H2-TPR). The gold-based compounds and the mixed oxide derived from HT
are tested in catalytic total oxidation of toluene and CO. 2.1. Characterizations of Gold Catalysts and Supports Table 1 presents the BET specific surface areas of the samples before and after gold deposition. The
gold content of the catalysts is mentioned too. After gold deposition, a low decrease of the specific
area is observed for all solids. The gold losses in case of Fe6Al2HT500 were explained because the pH
of the solution was higher than IEP of iron oxide in order to deposit gold in the form of Au(OH)3. In
this case, the support is likely to be negative, which leads it to adsorb only the gold cation form and
leads to an increase in the losses of gold [3,8]. Catalysts 2013, 3 968 Table 1. BET surface area and gold content of the solids. Table 1. BET surface area and gold content of the solids. Catalyst
SBET (m².g−1)
Experimental Au content (%)
Mg6Al2HT500
216
-
Fe6Al2HT500
89
-
Cu6Al2HT500
209
-
Zn6Al2HT500
107
-
Au/Mg6Al2HT500
201
3.07
Au/Fe6Al2HT500
87
0.37
Au/Cu6Al2HT500
190
3.15
Au/Zn6Al2HT500
99
2.19 Experimental Au content (%) In order to investigate the structure of the samples, XRD patterns were performed (Figure 1). First of all,
it could be seen that for the four mixed oxides prepared by the hydrotalcite route, several oxide structures
were revealed. Thus, for the compound with magnesium (Mg6Al2HT500) or copper (Cu6Al2HT500), a
phase of metal oxide is observed: MgO periclase (JCPDS-ICDD 45-0946) and CuO Tenorite phase
(JCPDS-ICDD 48-1548), respectively. Concerning the compound containing iron (and Fe6Al2HT500), the
hematite phase (Fe2O3 (JCPDS-ICDD 48-1548)) and magnetite (Fe3O4 (JCPDS-ICDD 48-1548)) are
observed in the solid, while for the zinc solids (Zn6Al2HT500), two phases are observed: Zincite phase
(ZnO (JCPDS-ICDD 36-1451)) and Gahnite phase (ZnAl2O4 (JCPDS-ICDD 05-0669)). Figure 1. X-ray diffraction (XRD) patterns of supports and gold catalysts (Δ: MgO; χ:
Fe2O3; °: Fe3O4; +: CuO; #: ZnO and ZnAl2O4; * = gold metallic). Figure 1. X-ray diffraction (XRD) patterns of supports and gold catalysts (Δ: MgO; χ:
Fe2O3; °: Fe3O4; +: CuO; #: ZnO and ZnAl2O4; * = gold metallic). Catalysts 2013, 3 969 Catalysts 2013, 3 and 77.5° are very intense in the case of Au/Mg6Al2HT500 while catalysts with copper
(Au/Cu6Al2HT500) and zinc (Au/Zn6Al2HT500) have broad and weak peaks. As regards the
compound with iron, no diffraction peak for gold metallic is visible which could be due to this low
content in the sample. The difference in the intensity gold diffraction peak between Au/Cu6Al2HT500,
Au/Zn6Al2HT500 and Au/Mg6Al2HT500 could be explained by the size of the gold crystallites. An
estimation of gold crystallite size was only performed in the case of Au/Mg6Al2HT500 using the
Scherrer Equation with the diffraction peak at 2θ = 38.2°. This gold crystallite size was estimated at
15.3 nm. Indeed, for Au/Cu6Al2HT500 and Au/Zn6Al2HT500 the low intensity of X ray diffraction
patterns and the overlapping with other signal from several phases did not allow an evaluation of the
gold crystallite size. The low intensity of metallic gold X-ray patterns could indicate a high dispersion
of gold nanoparticle. This information revealed that the gold dispersion is better in these catalysts. In order to identify the nature of the gold species, the solids were analyzed by UV-Vis
spectrophotometry in diffuse reflectance. The different spectra were presented in Figure 2. The UV-Vis
spectra show new bands concerning the gold nanoparticles. Concerning the sample Au/Fe6Al2HT500
beside the support contribution, no clear change in the spectra was observed. However, for
Au/Mg6Al2HT500 and Au/Zn6Al2HT500 three absorption bands are detected at 260, 330 and 560 nm. These bands could correspond respectively to: (i) Au+ cations, (ii) (Au)n
δ+ small clusters and (iii)
plasmon resonance of Au nanometallic particles [10,26,27]. Indeed, in gold metallic nanoparticles, the
plasmon absorption arises from the collective oscillations of the free conduction band electrons that are
induced by the incident electromagnetic radiation. This last band was observed on Au/Zn6Al2HT500 at
530 nm. Concerning the band at 330 nm, as in the case of Au/Mg6Al2HT500, this one could be
attributed to (Au)n
δ+ small clusters present on the solid. In the case of Au/Cu6Al2HT500, the broad
band at around 620 nm could correspond to atoms of edge which are in strong interaction with the
support [27]. Figure 2. UV–visible diffuse reflectance (DR-UV-vis) spectra of X6Al2HT500 support and
Au/X6Al2HT500 gold based catalysts. 2.1. Characterizations of Gold Catalysts and Supports 20
25
30
35
40
45
50
55
60
65
70
75
80
#
#
#
#
#
#
#
#
+
+
+
+
+
+
+
+
+
+
+
Intensity (a.u.)
*
*
*
Zn6Al2HT500
Au/Zn6Al2HT500
Cu6Al2HT500
Au/Cu6Al2HT500
Au/Fe6Al2HT500
Fe6Al2HT500
Mg6Al2HT500
2 theta (°)
Au/Mg6Al2HT500
*
After gold loading, it could be observed that gold deposition affected the oxide crystallinity only for
the Au/Fe6Al2HT500. Indeed, for this compound, the Fe3O4 phase was not observed and a decrease of
intensity of the others patterns was revealed. An interaction between gold and iron species seems to
have occurred. However, concerning the others mixed oxide, same oxide structure of the support has
been observed with an increase of the X-ray patterns intensity. For the gold based solids, it is notable
that the X-ray diffraction patterns of metallic gold (JCPDS-ICDD 04-0784) at 2θ = 38.2°, 44.4°, 64.5° 20
25
30
35
40
45
50
55
60
65
70
75
80
#
#
#
#
#
#
#
#
+
+
+
+
+
+
+
+
+
+
+
Intensity (a.u.)
*
*
*
Zn6Al2HT500
Au/Zn6Al2HT500
Cu6Al2HT500
Au/Cu6Al2HT500
Au/Fe6Al2HT500
Fe6Al2HT500
Mg6Al2HT500
2 theta (°)
Au/Mg6Al2HT500
*
After gold loading, it could be observed that gold deposition affected the oxide crystallinity only for
the Au/Fe6Al2HT500. Indeed, for this compound, the Fe3O4 phase was not observed and a decrease of
intensity of the others patterns was revealed. An interaction between gold and iron species seems to
have occurred. However, concerning the others mixed oxide, same oxide structure of the support has
been observed with an increase of the X-ray patterns intensity. For the gold based solids, it is notable
that the X-ray diffraction patterns of metallic gold (JCPDS-ICDD 04-0784) at 2θ = 38.2°, 44.4°, 64.5° Catalysts 2013, 3 200
300
400
500
600
700
800
Absorbance (a.u.)
Zn6Al2HT500
Au/Zn6Al2HT500
Cu6Al2HT500
Au/Cu6Al2HT500
Fe6Al2HT500
Au/Fe6Al2HT500
Mg6Al2HT500
Wavelength (nm)
Au/Mg6Al2HT500
560 200
300
400
500
600
700
800
Absorbance (a.u.)
Zn6Al2HT500
Au/Zn6Al2HT500
Cu6Al2HT500
Au/Cu6Al2HT500
Fe6Al2HT500
Au/Fe6Al2HT500
Mg6Al2HT500
Wavelength (nm)
Au/Mg6Al2HT500
560 Catalysts 2013, 3 970 2.2. Catalytic Activity for Toluene and CO Oxidation A reactivity characterization of the solids has been done for two total catalytic oxidation reactions
(toluene and CO). Figure 3 represents the conversion of toluene as a function of the temperature in the
presence of catalytic support hydrotalcite (X6Al2HT500 where X represents Mg2+, Fe2+, Cu2+ or Zn2+) and in
the presence of gold-based catalysts (Au/X6Al2HT500). When the conversion is complete, H2O and CO2 are
the only products observed. However, at the beginning of toluene conversion for all samples, a few ppm of
benzene are detected. The T50 temperatures (temperature for 50% toluene conversion) are reported into the
Table 2. According these parameters, a catalytic activity order is established: Au/Cu6Al2HT500 > Cu6Al2HT500 > Au/Fe6Al2HT500 > Fe6Al2HT500 > Au/Zn6Al2HT500 >>
Zn6Al2HT500 > Au/Mg6Al2HT500 > Mg6Al2HT500 Au/Cu6Al2HT500 > Cu6Al2HT500 > Au/Fe6Al2HT500 > Fe6Al2HT500 > Au/Zn6Al2HT500 >>
Zn6Al2HT500 > Au/Mg6Al2HT500 > Mg6Al2HT500 Deposition of gold has a beneficial effect on the catalytic activity. Moreover, it could be noticed
that the reactivity depends mainly on the nature of the mixed oxides support. The best reactivity is
obtained for Au/Cu6Al2HT500 (T50 = 260 °C). Figure 3. Toluene conversion on mixed oxide supports and gold catalysts vs. reaction temperature. 150
200
250
300
350
400
0
10
20
30
40
50
60
70
80
90
100
Toluene conversion (%)
Temperature (°C)
Au/Cu6Al2HT500
Cu6Al2HT500
Au/Fe6Al2HT500
Fe6Al2HT500
Au/Zn6Al2HT500
Zn6Al2HT500
Au/Mg6Al2HT500
Mg6Al2HT500
The solids were tested also for the CO total oxidation. The CO total oxidation on gold catalyst
could be contributed to a better knowledge of the gold dispersion on the support. The relationship
between catalyst activity and gold metallic particle size has been shown by several authors [28–30]. Figure 4 showed the conversion of carbon monoxide as a function of the temperature in presence of
mixed oxide and gold based catalysts. According to the T50 temperatures (temperature for 50%
conversion of carbon monoxide), this catalytic order is established:
Au/Fe6Al2HT500 > Au/Cu6Al2HT500 > Au/Zn6Al2HT500 > Cu6Al2HT500 > Fe6Al2HT500 >>
Z
Al HT500 > A /M
Al HT500 > M
Al HT500 150
200
250
300
350
400
0
10
20
30
40
50
60
70
80
90
100
Toluene conversion (%)
Temperature (°C)
Au/Cu6Al2HT500
Cu6Al2HT500
Au/Fe6Al2HT500
Fe6Al2HT500
Au/Zn6Al2HT500
Zn6Al2HT500
Au/Mg6Al2HT500
Mg6Al2HT500 The solids were tested also for the CO total oxidation. The CO total oxidation on gold catalyst
could be contributed to a better knowledge of the gold dispersion on the support. Au/Fe6Al2HT500 > Au/Cu6Al2HT500 > Au/Zn6Al2HT500 > Cu6Al2HT500 > Fe6Al2HT500 >>
Zn6Al2HT500 > Au/Mg6Al2HT500 > Mg6Al2HT500. 2.2. Catalytic Activity for Toluene and CO Oxidation The relationship
between catalyst activity and gold metallic particle size has been shown by several authors [28–30]. Figure 4 showed the conversion of carbon monoxide as a function of the temperature in presence of
mixed oxide and gold based catalysts. According to the T50 temperatures (temperature for 50%
conversion of carbon monoxide), this catalytic order is established: The solids were tested also for the CO total oxidation. The CO total oxidation on gold catalyst
could be contributed to a better knowledge of the gold dispersion on the support. The relationship
between catalyst activity and gold metallic particle size has been shown by several authors [28–30]. Figure 4 showed the conversion of carbon monoxide as a function of the temperature in presence of
mixed oxide and gold based catalysts. According to the T50 temperatures (temperature for 50%
conversion of carbon monoxide), this catalytic order is established: Au/Fe6Al2HT500 > Au/Cu6Al2HT500 > Au/Zn6Al2HT500 > Cu6Al2HT500 > Fe6Al2HT500 >>
Zn6Al2HT500 > Au/Mg6Al2HT500 > Mg6Al2HT500. Catalysts 2013, 3 971 Catalysts 2013, 3 Figure 4. Carbon monoxide conversion on mixed oxide supports and gold catalysts vs. reaction temperature. 50
100
150
200
250
300
350
400
0
10
20
30
40
50
60
70
80
90
100
CO Conversion (%)
Temperature (°C)
Au/Cu6Al2HT500
Au/Fe6Al2HT500
Au/Zn6Al2HT500
Cu6Al2HT500
Fe6Al2HT500
Zn6Al2HT500
Au/Mg6Al2HT500
Mg6Al2HT500 50
100
150
200
250
300
350
400
0
10
20
30
40
50
60
70
80
90
100
CO Conversion (%)
Temperature (°C)
Au/Cu6Al2HT500
Au/Fe6Al2HT500
Au/Zn6Al2HT500
Cu6Al2HT500
Fe6Al2HT500
Zn6Al2HT500
Au/Mg6Al2HT500
Mg6Al2HT500
These results show that the gold catalysts are active for the CO total oxidation. The use of gold has
a beneficial effect on the activity and depends on the composition of supports. However, good
interaction between gold and a support containing copper (Au/Cu6Al2HT500), iron (Au/Fe6Al2HT500)
and zinc (Au/Zn6Al2HT500) was also evidenced. It could be noted that the sample showing the lower
dispersion (Au/Mg6Al2HT500) by XRD patterns, is less active in the CO total oxidation reaction. Moreover, the solids which have not presented a gold diffraction peak in XRD, showed a greater
conversion at room temperature. This information is in accordance with the relationship between the
dispersion of gold nanoparticles and catalytic activity for the CO oxidation [28–30]. These results show that the gold catalysts are active for the CO total oxidation. The use of gold has
a beneficial effect on the activity and depends on the composition of supports. 2.2. Catalytic Activity for Toluene and CO Oxidation However, good
interaction between gold and a support containing copper (Au/Cu6Al2HT500), iron (Au/Fe6Al2HT500)
and zinc (Au/Zn6Al2HT500) was also evidenced. It could be noted that the sample showing the lower
dispersion (Au/Mg6Al2HT500) by XRD patterns, is less active in the CO total oxidation reaction. Moreover, the solids which have not presented a gold diffraction peak in XRD, showed a greater
conversion at room temperature. This information is in accordance with the relationship between the
dispersion of gold nanoparticles and catalytic activity for the CO oxidation [28–30]. For a better understanding of the difference in catalytic reactivity between these solids and the
redox properties of the best solids, an H2-TPR experiment study was carried out for the solids
containing copper and iron. The results of H2-TPR experiments are reported on the Figure 5 and on the Table 2. Concerning the
solid with iron (Fe6Al2HT500), three reduction steps are detected, the first at 354 °C corresponding to
the reduction of Fe2O3 into Fe3O4 while the second step (at 610 °C) concurs to the reduction of Fe3O4
into FeO and the last reduction step (at 780 °C) is attributed to the transformation of FeO into Fe0
metallic [31]. When gold is added to the support, these three reduction peaks are observed in addition
to another at 133 °C, corresponding to the reduction of gold species. Concerning the solid with copper
(Cu6Al2HT500), three reduction steps are detected. The first (at 201 °C) corresponds to the reduction
of highly dispersed CuO species into Cu2O; the second (at 250 °C) is assigned to the reduction of bulk
CuO species into Cu2O; the last peak corresponds to the reduction of Cu2O species into metallic
copper [32,33]. The adding of gold on the support allows the shifting of the reductions to lower
temperatures. This is possible with the increasing of oxygen species mobility on the surface of solids. Catalysts 2013, 3 972 Catalysts 2013, 3 Figure 5. Hydrogen temperature programmed reduction (H2-TPR) profiles of X6Al2HT500
support and gold-based catalysts Au/X6Al2HT500. Figure 5. Hydrogen temperature programmed reduction (H2-TPR) profiles of X6Al2HT500
support and gold-based catalysts Au/X6Al2HT500. 100
200
300
400
500
600
700
800
900
H2 consumption (a.u.)
Cu6Al2HT500
Au/Cu6Al2HT500
Au/Fe6Al2HT500
Fe6Al2HT500
Temperature (°C)
Table 2 resumes the H2-TPR experimental and calculated consumption of gold-based catalysts
samples. 2.2. Catalytic Activity for Toluene and CO Oxidation For calculations of hydrogen consumption during H2-TPR measurement for the gold-based
catalysts, if we consider the hypothesis that gold is only in the ionic form Au3+, we could evaluate a
maximal H2 consumption from gold species. Thus, knowing the gold content, and taking into account
the gold reduction reaction of Au3+ into Au°, we could evaluate a theoretical H2 consumption by gold. By subtracting the theoretical consumption of gold from experimental consumption, it could be
observed that the H2 consumption of the solids increase when gold is deposited. Indeed, it is known
that gold species permit the facilitation of the reduction of oxygen species from the support surface on
the border with gold [4,5,10,11]. Thus, in our case, the presence of gold promotes the reduction of iron
or copper species at lower temperature and enhances the redox properties of the mixed oxide support
prepared by hydrotalcite precursors. 100
200
300
400
500
600
700
800
900
H2 consumption (a.u.)
Cu6Al2HT500
Au/Cu6Al2HT500
Au/Fe6Al2HT500
Fe6Al2HT500
Temperature (°C) Table 2 resumes the H2-TPR experimental and calculated consumption of gold-based catalysts
samples. For calculations of hydrogen consumption during H2-TPR measurement for the gold-based
catalysts, if we consider the hypothesis that gold is only in the ionic form Au3+, we could evaluate a
maximal H2 consumption from gold species. Thus, knowing the gold content, and taking into account
the gold reduction reaction of Au3+ into Au°, we could evaluate a theoretical H2 consumption by gold. By subtracting the theoretical consumption of gold from experimental consumption, it could be
observed that the H2 consumption of the solids increase when gold is deposited. Indeed, it is known
that gold species permit the facilitation of the reduction of oxygen species from the support surface on
the border with gold [4,5,10,11]. Thus, in our case, the presence of gold promotes the reduction of iron
or copper species at lower temperature and enhances the redox properties of the mixed oxide support
prepared by hydrotalcite precursors. Table 2 resumes the H2-TPR experimental and calculated consumption of gold-based catalysts
samples. For calculations of hydrogen consumption during H2-TPR measurement for the gold-based
catalysts, if we consider the hypothesis that gold is only in the ionic form Au3+, we could evaluate a
maximal H2 consumption from gold species. Thus, knowing the gold content, and taking into account
the gold reduction reaction of Au3+ into Au°, we could evaluate a theoretical H2 consumption by gold. Catalysts 2013, 3 Catalysts 2013, 3 reducibility of the support. Indeed, the importance of the size of the gold nanoparticle is less than in
the case of the CO total oxidation. Thus, the gold species enhanced the redox properties of the catalysts
which are beneficial for the toluene total oxidation. Table 3. Results observed for catalytic toluene oxidation with gold-based catalysts. Catalyst
Toluene
concentration
(ppm)
GHSV (h−1)
T50 (°C)
References
Au/Cu6Al2HT500
1000
30000
260
This work
Au/Ce0.3Ti0.7O2
1000
30000
260
[10]
Au/TiO2
1000
16000
372
[34]
Au/TiO2
1000
35000
321
[35]
Au/Al2O3
1000
35000
376
[35]
Au/CeO2/Al2O3
1000
35000
279
[35] Table 3. Results observed for catalytic toluene oxidation with gold-based catalysts. A comparison between Au/Cu6Al2HT500 (most active sample) and some results reported in other
works using gold catalysts and toluene catalytic oxidation were shown in the Table 3 The activity
results (T50) obtained by the Au/Cu6Al2HT500 close in comparison with best solids from
literature [10,34–36]. Despite the difference between operating conditions, the results of the catalysts
were very attractive; indeed, the T50 obtained for Au/Cu6Al2HT500 was better than the other solids. 2.2. Catalytic Activity for Toluene and CO Oxidation By subtracting the theoretical consumption of gold from experimental consumption, it could be
observed that the H2 consumption of the solids increase when gold is deposited. Indeed, it is known
that gold species permit the facilitation of the reduction of oxygen species from the support surface on
the border with gold [4,5,10,11]. Thus, in our case, the presence of gold promotes the reduction of iron
or copper species at lower temperature and enhances the redox properties of the mixed oxide support
prepared by hydrotalcite precursors. Table 2. H2-TPR consumption and conversion temperature (T50) of 50% toluene and CO
of catalysts. Catalyst
T50 Toluene
oxidation (°C)
T50 CO
oxidation (°C)
Gold
content (%)
Temperature programmed reduction
Calculated H2
consumption
Au3+→Au0 (µmol g−1)
Experimental H2
consumption
(µmol g−1)
Fe6Al2HT500
330
148
-
-
21901
Au/Fe6Al2HT500
324
<20
0.37
28
24437
Cu6Al2HT500
282
130
-
-
10986
Au/Cu6Al2HT500
260
31
3.15
249
13437 ble 2. H2-TPR consumption and conversion temperature (T50) of 50% toluene and CO
t l
t Table 2. H2-TPR consumption and conversion temperature (T50) of 50% toluene and CO
of catalysts. The results of the toluene total oxidation could be correlated with the results of the H2-TPR. In fact,
the solids with the reduction at low temperature (Au/Cu6Al2HT500 and Cu6Al2HT500) present the best
catalytic activity for the toluene oxidation. For the Toluene oxidation, the important point is the 973 3.3. Catalytic Tests The activity for the toluene total oxidation of the catalysts (100 mg) was measured in a continuous
flow system on a fixed bed reactor at atmospheric pressure. Before each test, the catalyst was
reactivated in flowing air (2 L h−1) at 400 °C for 4 h. The flow of the reactant gases (100 mL min−1
with 1000 ppm of C7H8 and balance with air) was adjusted by a Calibrage CALPC-5 apparatus
constituted of a saturator and mass flow controllers. After reaching a stable flow, reactants passed
through the catalyst bed and the temperature was increased from room temperature to 400 °C
(1 °C.min−1). The feed and the reactor outflow gases were analyzed on line by a micro-gas
chromatograph (Agilent technologies 490 Micro gas chromatography). CO oxidation reaction was conducted at atmospheric pressure in a quartz flow microreactor
containing 100 mg of catalyst in a fixed bed, using a series of mass flow controllers with diluted gases. The catalytic tests were made using a gas mixture containing 1000 ppm CO and 10% O2 (He as eluant
gas) with a flow of 100 mL min−1, in the temperature range 20–300 °C with a ramp rate 1 °C min−1. ADEV 4400 IR CO- CO2 infrared analyzers were used to perform the analysis both CO and CO2. The catalysts performance was assessed in terms of T50 temperature, defined as the temperature, when
50% conversion was obtained. 3.2. Catalysts Characterization To determine the gold content of samples, chemical analysis of Au was performed by inductively coupled
plasma atomic emission spectroscopy at the CNRS Centre of Chemical Analysis (Vernaison, France). To determine the gold content of samples, chemical analysis of Au was performed by inductively coupled
plasma atomic emission spectroscopy at the CNRS Centre of Chemical Analysis (Vernaison, France). The specific surface areas of solids were determined by the BET method using a QSurf M1
apparatus (Thermoelectron), and the gas adsorbed at −196 °C was pure nitrogen. X-ray diffraction (XRD) measurements were carried out on a Bruker AXS D8 Advance
diffractometer equipped with a copper anode (λ = 1.5406 Å) and a LynxEye detector. The scattering
intensities were measured over an angular range of 20° ≤ 2θ ≤ 80° for all the samples with a step-size
of ∆(2θ) = 0.02 and a count time of 4 s per step. The diffraction patterns have been indexed by
comparison with the JCPDS files. Crystallite size of gold nanoparticles was calculated (with a graphics
based profile analysis program “TOPAS from Bruker AXS”) from the line broadening of the Au
diffraction line using the Scherrer equation. UV–vis diffuse reflectance (UV-vis-DR) spectra were recorded with a Cary 5000 Scan (Varian)
spectrophotometer in the spectral range of 200–800 nm. The temperature programmed reduction (H2-TPR) experiments were carried out in an Altamira
AMI-200 apparatus. The TPR profiles were obtained by passing a 5% H2/Ar flow (30 mL min−1)
through 30 mg of samples heated at 5 °C min−1 from ambient temperature to 900 °C. The hydrogen
concentration in the effluent was continuously monitored by a thermoconductivity detector (TCD). Catalysts 2013, 3 Catalysts 2013, 3 974 3.1. Catalysts Preparation and Characterization Hydrotalcite (HT) like compounds with XAl molar ratio 6:2 (denoted as X6Al2HT where X
correspond to Mg2+, Fe2+ , Cu2+ or Zn2+) were prepared by coprecipitation. An aqueous solution
containing appropriate amounts of nitrates elements (Mg, Fe, Cu, Zn and Al) was added, under stirring,
dropwise into Na2CO3 solution. During the synthesis the temperature and pH were maintained
respectively at 60 °C and 10 by addition of NaOH solution. The solution was dried at 60 °C during
18 hours. The resulting suspension was filtered off and washed several times with hot deionized water
(50 °C) and dried at 60 °C during 48 h. The thermal treatment was performed under flow of air (4 L h−1
−1 °C.min−1–4 h at 500 °C). The catalysts are named X6Al2HT500 where X corresponds to Mg2+, Fe2+,
Cu2+ or Zn2+. Gold-based catalysts were also prepared with the Deposition Precipitation method using sodium
hydroxide as precipitating agent. One gram of the hydrotalcite support was added to an aqueous
solution at 80 °C containing the suitable amount of gold to obtain 4 weight% in the solid. The pH of
HAuCl4 solution was adjusted to 8 by addition of NaOH (0.1 mol L−1) drop by drop under stirring
during 4 h. The suspension was filtered, washed several times with hot water in order to eliminate Na+
and Cl− ions. The catalyst was then dried in the oven at 80 °C followed by a thermal treatment under
air at 400 °C (1 °C min−1) during 4 h. The code names of these catalysts are, respectively:
Au/X6Al2HT500 (where X represents Mg, Fe, Cu or Zn). Catalysts 2013, 3 Catalysts 2013, 3 975 nanoparticles. The use of gold has a beneficial effect on the catalytic activity for the toluene and CO
oxidation. This activity also depends on the composition of the support, particularly the divalent
cation. A correlation between catalytic properties and reducibility is observed. Acknowledgments We thank Institut de Recherche en Environnement Industriel (IRENI) and the European
Community (Interreg 4 France-Wallonie-Flandre project, REDUGAZ) for financial support. References 1. Drago, R.S.; Jurczyk, K.; Singh, D.J.; Young, V. Low-temperature deep oxidation of hydrocarbons
by metal oxides supported on carbonaceous materials. Appl. Catal. B 1995, 6, 155–168. 1. Drago, R.S.; Jurczyk, K.; Singh, D.J.; Young, V. Low-temperature deep oxidation of hydrocarbons
by metal oxides supported on carbonaceous materials. Appl. Catal. B 1995, 6, 155–168. 2. Papaefthimiou, P.; Ioannides, T.; Verykios, X. Combustion of non-halogenated volatile organic
compounds over group VIII metal catalysts. Appl. Catal. B 1997, 13, 175–184. 2. Papaefthimiou, P.; Ioannides, T.; Verykios, X. Combustion of non-halogenated volatile organic
compounds over group VIII metal catalysts. Appl. Catal. B 1997, 13, 175–184. 3. Choudhary, V.R.; Patil, V.P.; Jana, P.; Uphade, B.S. Nano-gold supported on Fe2O3: A highly
active catalyst for low temperature oxidative destruction of methane green house gas from
exhaust/waste gases. Appl. Catal. A 2008, 350, 186–190. 4. Scirè, S.; Liotta, L.F. Supported gold catalysts for the total oxidation of volatile organic
compounds. Appl. Catal. B 2012, 125, 222–246. 4. Scirè, S.; Liotta, L.F. Supported gold catalysts for the total oxidation of volatile organic
compounds. Appl. Catal. B 2012, 125, 222–246. 5. Barakat, T.; Rooke, J.C.; Genty, E.; Cousin, R.; Siffert, S.; Su, B.-L. Gold catalysts in
environmental remediation and water-gas shift technologies. Energy Environ. Sci. 2013, 6,
371–391. 5. Barakat, T.; Rooke, J.C.; Genty, E.; Cousin, R.; Siffert, S.; Su, B.-L. Gold catalysts in
environmental remediation and water-gas shift technologies. Energy Environ. Sci. 2013, 6,
371–391. 6. Haruta, M.; Kobayashi, T.; Sano, H.; Yamada, N. Novel Gold Caralysts for the Oxidation of
Carbon Monoxide at a Temperature far below 0 °C. Chem. Lett. 1987, 405–408. 7. Vargas, J.C.; Ivanova, S.; Thomas, S.; Roger, A.-C.; Pitchon, V. Influence of Gold on Ce-Zr-Co
Fluorite-Type Mixed Oxide Catalysts for Ethanol Steam Reforming. Catalysts 2012, 2, 121–138. 8. Chang, C.-T.; Liaw, B.-J.; Huang, C.-T.; Chen, Y.-Z. Preparation of Au/MgxAlO hydrotalcite
catalysts for CO oxidation. Appl. Catal. A 2007, 332, 216–224. 9. Dobrosz, I.; Jiratova, K.; Pitchon, V.; Rynkowski, J.M. Effect of the preparation of supported gold
particles on the catalytic activity in CO oxidation reaction. J. Mol. Catal. A 2005, 234, 187–197. 10. Lamallem, M.; El Ayadi, H.; Gennequin, C.; Cousin, R.; Siffert, S.; Aïssi, F.; Aboukaïs, A. Effect
of the preparation method on Au/Ce-Ti-O catalysts activity for VOCs oxidation. Catal. Today
2008, 137, 367–372. 11. Gennequin, C.; Lamallem, M.; Cousin, R.; Siffert, S.; Aïssi, F.; Aboukaïs, A. Conflicts of Interest The authors declare no conflict of interest. The authors declare no conflict of interest. 4. Conclusions In this study, X6Al2HT compounds with several divalent cations are prepared by the coprecipitation
method. The samples with gold (Au/X6Al2HT500) are synthesized by the deposition-precipitation
method. The TPR profiles, XRD patterns and UV-Vis spectra confirm the presence of metallic gold Catalysts 2013, 3 Catalysts 2013, 3 976 13. Cavani, F.; Trifiro, F.; Vaccari, A. Hydrotalcite-type anionic clays: Preparation, Properties and
Applications. Catal. Today 1991, 11, 173–301. 14. Rives, V. Layered Double Hydroxides: Present and Future; Rives, V., Ed.; Nova Science Pub
Inc.: New York, NY, USA, 2001; p. 439. 15. Genty, E.; Cousin, R.; Capelle, S.; Gennequin, C.; Siffert, S. Catalytic Oxidation of Toluene and
CO over Nanocatalysts Derived from Hydrotalcite-Like Compounds (X6
2+Al2
3+): Effect of the
Bivalent Cation. Eur. J. Inorg. Chem. 2012, 2012, 2802–2811. 16. Gennequin, C.; Siffert, S.; Cousin, R.; Aboukaïs, A. Co–Mg–Al Hydrotalcite Precursors for
Catalytic Total Oxidation of Volatile Organic Compounds. Topics Catal. 2009, 52, 482–491. 17. Lamonier, J.-F.; Boutoundou, A.-B.; Gennequin, C.; Pérez-Zurita, M.J.; Siffert, S.; Aboukais, A. Catalytic Removal of Toluene in Air over Co–Mn–Al Nano-oxides Synthesized by Hydrotalcite
Route. Catal. Lett. 2007, 118, 165–172. 18. Jiratova, K.; Cuba, P.; Kovanda, F.; Hilaire, L.; Pitchon, V. Preparation and characterisation of
activated Ni ( Mn )/Mg/Al hydrotalcites for combustion catalysis. Catal. Today 2002, 76, 43–53. 19. Kovanda, F.; Jiratova, K.; Rymes, J.; Kolousek, D. Characterization of activated Cu-Mg-Al
hydrotalcites and their catalytic activity in toluene combustion. Appl. Clay Sci. 2001, 18, 71–80. 20. Águila, G.; Gracia, F.; Cortés, J.; Araya, P. Effect of copper species and the presence of reaction
products on the activity of methane oxidation on supported CuO catalysts. Appl. Catal. B 2008,
77, 325–338. 21. Labaki, M.; Siffert, S.; Lamonier, J.-F.; Zhilinskaya, E.A.; Aboukaıሷs, A. Total oxidation of
propene and toluene in the presence of zirconia doped by copper and yttrium. Appl. Catal. B 2003,
43, 261–271. 22. Tidahy, H.L.; Siffert, S.; Wyrwalski, F.; Lamonier, J.-F.; Aboukaïs, A. Catalytic activity of copper
and palladium based catalysts for toluene total oxidation. Catal. Today 2007, 119, 317–320. 23. Royer, S.; Duprez, D. Catalytic Oxidation of Carbon Monoxide over Transition Metal Oxides. ChemCatChem 2011, 3, 24–65. 24. Scirè, S.; Minico, S.; Crisafulli, C.; Galvagno, S. Catalytic combustion of volatile organic
compounds over group IB metal catalysts on Fe2O3. Catal. Commun. 2001, 2, 229–232. 25. Wu, H.; Wang, L.; Zhang, J.; Shen, Z.; Zhao, J. Catalytic oxidation of benzene, toluene and
p-xylene over colloidal gold supported on zinc oxide catalyst. Catal. Commun. 2011, 12, 859–865. 26. Margitfalvi, J.; Fasi, A.; Hegedus, M.; Lonyi, F.; Gobolos, S.; Bogdanchikova, N. Au/MgO
catalysts modified with ascorbic acid for low temperature CO oxidation. Catal. Today 2002, 72,
157–169. 27. References Catalytic oxidation
of VOCs on Au/Ce-Ti-O. Catal. Today 2007, 122, 301–306. 12. Genty, E.; Cousin, R.; Gennequin, C.; Capelle, S.; Aboukaïs, A.; Siffert, S. Investigation of
Au/hydrotalcite catalysts for toluene total oxidation. Catal. Today 2011, 176, 116–119. 29. Date, M.; Haruta, M. Moisture Effect on CO Oxidation over Au/TiO2 Catalyst. J. Catal. 2001,
201, 221–224. Catalysts 2013, 3 Hosseini, M.; Barakat, T.; Cousin, R.; Aboukaïs, A.; Su, B.-L.; De Weireld, G.; Siffert, S. Catalytic performance of core–shell and alloy Pd–Au nanoparticles for total oxidation of VOC:
The effect of metal deposition. Appl. Catal. B 2012, 111–112, 218–224. 28. Grisel, R.J.; Kooyman, P.J.; Nieuwenhuys, B.E. Influence of the Preparation of Au/Al2O3 on CH4
Oxidation Activity. J. Catal. 2000, 191, 430–437. 29. Date, M.; Haruta, M. Moisture Effect on CO Oxidation over Au/TiO2 Catalyst. J. Catal. 2001,
201, 221–224. © 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/). Catalysts 2013, 3 Catalysts 2013, 3 977 30. Zanella, R.; Giorgio, S.; Shin, C.-H.; Henry, C.R.; Louis, C. Characterization and reactivity in CO
oxidation of gold nanoparticles supported on TiO2 prepared by deposition-precipitation with
NaOH and urea. J. Catal. 2004, 222, 357–367. 31. Yu, Z.; Chen, D.; Rønning, M.; Vrålstad, T.; Ochoa-Fernández, E.; Holmen, A. Large-scale
synthesis of carbon nanofibers on Ni–Fe–Al hydrotalcite derived catalysts. Appl. Catal. A 2008,
338, 136–146. 32. Palacio, L.A.; Velásquez, J.; Echavarría, A.; Faro, A.; Ribeiro, F.R.; Ribeiro, M.F. Total oxidation
of toluene over calcined trimetallic hydrotalcites type catalysts. J. Hazard. Mater. 2010, 177,
407–413. 33. Dow, W.; Wang, Y.; Huang, T. TPR and XRD studies of yttria-doped ceria/-alumina-supported
copper oxide catalyst. Appl. Catal. A 2000, 190, 25–34. 34. Santos, V.P.; Carabineiro, S.A.C.; Tavares, P.B.; Pereira, M.F.R.; Órfão, J.J.M.; Figueiredo, J.L. Oxidation of CO, ethanol and toluene over TiO2 supported noble metal catalysts. Appl. Catal. B
2010, 99, 198–205. 35. Ousmane, M.; Liotta, L.F.; Carlo, G.D.; Pantaleo, G.; Venezia, A.M.; Deganello, G.; Retailleau, L.;
Boreave, A.; Giroir-Fendler, A. Supported Au catalysts for low-temperature abatement of propene
and toluene, as model VOCs: Support effect. Appl. Catal. B 2011, 101, 629–637. 36. Solsona, B.; Aylón, E.; Murillo, R.; Mastral, A.M.; Monzonís, A.; Agouram, S.; Davies, T.E.;
Taylor, S.H.; Garcia, T. Deep oxidation of pollutants using gold deposited on a high surface area
cobalt oxide prepared by a nanocasting route. J. Hazard. Mater. 2011, 187, 544–552. © 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/).
|
https://openalex.org/W3113895375
|
https://www.researchsquare.com/article/rs-39998/latest.pdf
|
English
| null |
Brockarchaeota, a novel archaeal lineage capable of methylotrophy
|
Research Square (Research Square)
| 2,020
|
cc-by
| 13,166
|
Brockarchaeota, a novel archaeal lineage capable of
methylotrophy
Valerie De Anda
University of Texas at Austin https://orcid.org/0000-0001-9775-0737
Lin-Xing Chen
University of California, Berkeley
Nina Dombrowski
NIOZ, Royal Netherlands Institute for Sea Research, Department of Marine Microbiology and
Biogeochemistry, and Utrecht University, P.O. Box 59, NL-1790 AB Den Burg https://orcid.org/0000-0003-
1917-2577
Zhengshuang Hua
Sun Yat-sen University https://orcid.org/0000-0002-2405-4228
Hong-Chen Jiang
China University of Geosciences
Jillian Ban¦eld
University of California, Berkeley https://orcid.org/0000-0001-8203-8771
Wen-Jun Li
Sun Yat-Sen University https://orcid.org/0000-0002-1233-736X
Brett Baker ( acidophile@gmail.com )
The University of Texas at Austin https://orcid.org/0000-0002-5971-1021
Article
Keywords: Brockarchaeota, archaeal lineage, anaerobic methylotrophy
Posted Date: July 14th, 2020
DOI: https://doi.org/10.21203/rs.3.rs-39998/v1
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 Nature Communications on April 23rd, Brockarchaeota, a novel archaeal lineage capable of
methylotrophy 1917-2577
Zhengshuang Hua
Sun Yat-sen University https://orcid.org/0000-0002-2405-4228
Hong-Chen Jiang
China University of Geosciences
Jillian Ban¦eld
University of California, Berkeley https://orcid.org/0000-0001-8203-8771
Wen-Jun Li
Sun Yat-Sen University https://orcid.org/0000-0002-1233-736X
Brett Baker ( acidophile@gmail.com )
The University of Texas at Austin https://orcid.org/0000-0002-5971-1021 Brockarchaeota, a novel archaeal lineage capable of
methylotrophy Valerie De Anda1, Lin-Xing Chen2, Nina Dombrowski1,3, Zheng-Shuang Hua4,5, Hong-
Chen Jiang6, Jillian F. Banfield2,7, Wen-Jun Li
4,8*, and Brett J. Baker1*
5 Chen Jiang6, Jillian F. Banfield2,7, Wen-Jun Li
4,8*, and Brett J. Baker1
5 1 Dept. of Marine Sciences, Marine Science Institute, University of Texas Austin 1 Dept. of Marine Sciences, Marine Science Institute, University of Texas Austin p
y
2 Department of Earth and Planetary Sciences, University of California, Berkeley, p
y
y
y
3 NIOZ, Royal Netherlands Institute for Sea Research, Department of Marine Microbiology and 10 Biogeochemistry, and Utrecht University, Den Burg, Netherlands y,
g
,
p
p
5 Department of Biological Sciences, Dartmouth College, Hanover, NH, 03755, USA 6 State Key Laboratory of Biogeology and Environmental Geology, China University of Geosciences, Wuhan
430074, People’s Republic of China
15
7 Department of Environmental Science, Policy and Management, University of California, Berkeley, CA 94720,
USA
8 Southern Marine Science and Engineering Guangdong Laboratory (Zhuhai), Zhuhai 519000, People’s Republic of 15 8 Southern Marine Science and Engineering Guangdong Laboratory (Zhuhai), Zhuhai 519000, People’s R
China 20 China
*Corresponding authors emails acidophile@gmail.com and liwenjun3@mail.sysu.edu.cn
20 *Corresponding authors emails acidophile@gmail.com and liwenjun3@mail.sysu.edu.cn *Corresponding authors emails acidophile@gmail.com and liwenjun3@mail.sysu.edu.cn *Corresponding authors emails acidophile@gmail.com and liwenjun3@mail.sysu.edu.cn
20 Single carbon (C1) compounds such as methanol, methylamines and formaldehyde are
ubiquitous in nature and they are large components of the carbon cycle. In anoxic
environments C1-utilizing microbes (methylotrophs) play an important role in controlling
25
global carbon degradation. Currently described anaerobic methylotrophs are limited to
methanogenic archaea, acetogenic bacteria, and sulfate-reducing bacteria. Here, we report
the first archaeal lineage outside of methanogenic taxa that are capable of anaerobic
methylotrophy. Phylogenetic analyses suggest these archaea form a new phylum within the
TACK superphylum, which we propose be named Brockarchaeota. A survey revealed
30
Brockarchaeota are globally distributed in geothermal springs. Metabolic inference from
15 metagenome-assembled genomes from hot springs and deep-sea sediments indicates
that Brockarchaeota are strict anaerobes. They contain a variety C1 metabolisms including
the methanol and trimethylamine methyltransferases system, the ribulose bisphosphate
pathway coupled with the non-oxidative pentoses phosphate pathway, and reductive glycine
35
pathway. Brockarchaeota have an incomplete methyl-branch of the Wood-Ljungdahl
pathway probably used for formaldehyde oxidation, since they lack several core genes
involved in methanogenesis including methyl-CoM reductases. Brockarchaeota also appear
to play an important role in the breakdown of plant-derived polysaccharides, especially
cellulose, starch and xylan. Article Version of Record: A version of this preprint was published at Nature Communications on April 23rd,
2021. See the published version at https://doi.org/10.1038/s41467-021-22736-6. Brockarchaeota, a novel archaeal lineage capable of
methylotrophy Their broad distribution and their capacity to use both C1
40
compounds and complex polysaccharides via anaerobic metabolism suggest that the
Brockarchaeota occupy previously overlooked roles in carbon cycling. Single carbon (C1) compounds such as methanol, methylamines and formaldehyde are
ubiquitous in nature and they are large components of the carbon cycle. In anoxic
environments C1-utilizing microbes (methylotrophs) play an important role in controlling
global carbon degradation. Currently described anaerobic methylotrophs are limited to
methanogenic archaea, acetogenic bacteria, and sulfate-reducing bacteria. Here, we report
the first archaeal lineage outside of methanogenic taxa that are capable of anaerobic
methylotrophy. Phylogenetic analyses suggest these archaea form a new phylum within the
TACK
h l
hi h
b
d B
k
h
A
l d 25 30 35 45 45 Methylotrophs are organisms that are capable of using single-carbon (C1) compounds as a source
of energy and carbon1,2. C1 compounds, such as methanol and methylamines, are derived from a
variety of sources such as phytoplankton, plants, and the decay of organic matter3–5. As a result,
they are ubiquitous in oceans and atmosphere and are important components of the global carbon
and nitrogen cycles4. In oxic environments, C1 compounds are generally converted to
formaldehyde by methanol dehydrogenases (MDH) found in aerobic methylotrophs3,4. In anoxic 50 1 settings, C1 compounds are used as substrate for methylotrophic-methanogenesis6–9 and sulfate
reduction10. Anaerobic methylotrophs utilize the methyltransferase system (MT) to break and
transfer the methyl residue of C1 compounds to coenzyme M (in the case of methanogens) or
tetrahydrofolate (in acetogens and sulfate reducers)6–10 and couple this reaction to the Wood–
Ljungdahl pathway (WLP) for energy conservation. Methylotrophic archaea include
methanogenic
orders
(in
Euryarchaeota):
Methanosarcinales,
Methanobacteriales,
Methanomassiliicoccales and the recently discovered uncultured methylotrophic phylum,
Verstraetearchaeota6. Methylotrophy has not been described in archaeal lineages outside of these
methanogenic groups. Also, our understanding of C1-utilization is limited, as there is increasing
evidence that suggests C1 compounds serve as energetic substrates to fuel non-methanogenic
heterotrophic communities in the deep subseafloor11 and marine sediments13. However, little is
known about the microorganisms or pathways mediating this process4. Here we characterize a
new globally distributed archaeal lineages with metabolic pathways for C1 utilization from hot
springs and the deep ocean. 55 60 65 Genomic reconstruction 70 Metagenomic sequencing, assembly, and binning of sediments from seven terrestrial hot springs
70
in Tibet (up to 70°C) and Tengchong Yunnan, China (up to 86 °C) and deep sea hydrothermally-
heated Guaymas Basin (GB) sediments (10-34°C) resulted in the reconstruction of 15 draft
metagenome-assembled genomes (MAGs) estimated to be 67-92% complete (Table 1). These
MAGs range from 0.94 to 2.90 Mbp (average 1.85 Mbp) (Table 1). The two MAGs from GB Metagenomic sequencing, assembly, and binning of sediments from seven terrestrial hot springs
70
in Tibet (up to 70°C) and Tengchong Yunnan, China (up to 86 °C) and deep sea hydrothermally-
heated Guaymas Basin (GB) sediments (10-34°C) resulted in the reconstruction of 15 draft
metagenome-assembled genomes (MAGs) estimated to be 67-92% complete (Table 1). These
MAGs range from 0.94 to 2.90 Mbp (average 1.85 Mbp) (Table 1). The two MAGs from GB
(B48 G17 and B27 G9 temperat re 33 6 and 10 4°C respecti el )
ere originall designated as
75 75 g
p (
g
p) (
)
(B48_G17 and B27_G9, temperature 33.6 and 10.4°C respectively) were originally designated as
75
“CP5” in a prior study1. Although the GB genomes were obtained from lower temperatures these
sediments experience increases in temperature due to hydrothermal circulation12. Thus, the
organisms from which these genomes were derived likely prefer hot geothermal ecosystems, and
anoxic conditions (Supporting Table 1). (B48_G17 and B27_G9, temperature 33.6 and 10.4°C respectively) were originally designated as
75
“CP5” in a prior study1. Although the GB genomes were obtained from lower temperatures these
sediments experience increases in temperature due to hydrothermal circulation12. Thus, the
organisms from which these genomes were derived likely prefer hot geothermal ecosystems, and
anoxic conditions (Supporting Table 1). (B48_G17 and B27_G9, temperature 33.6 and 10.4°C respectively) were originally designated as
75
“CP5” in a prior study1. Although the GB genomes were obtained from lower temperatures these
sediments experience increases in temperature due to hydrothermal circulation12. Thus, the
organisms from which these genomes were derived likely prefer hot geothermal ecosystems, and
anoxic conditions (Supporting Table 1). 80 Phylogeny and distribution in nature Phylogeny and distribution in nature
Phylogenetic analyses of these MAGs based on a concatenated alignment of 37 conserved proteins
(see Methods), revealed they form a distinct group within the TACK superphylum, basal to
Aigarchaeota and Thaumarchaeota (Figure 1). A comparison of average amino acid identities Phylogenetic analyses of these MAGs based on a concatenated alignment of 37 conserved proteins
(see Methods), revealed they form a distinct group within the TACK superphylum, basal to
Aigarchaeota and Thaumarchaeota (Figure 1). A comparison of average amino acid identities 85 g
(
g
)
p
g
(AAI) across 250 available TACK genomes (Supporting Table 2) including the recently
5
discovered phylum Marsarchaeota13, revealed that Brockarchaeota are distinct from
neighboring phyla (Geoarchaeota, Aigarchaeota and Thaumarchaeota) and share up to 99%
genome-wide nucleotide similarity to one another (Supporting Figure 1 and Supporting Table
3). The two GB MAGs (B48_G17 and B27_G9) are distinct from the hot springs at the AAI
level (<50% similar to each other), and <45% AAI to members of Geoarchaeota,
0
Thaumarchaeota and Aigarchaeota, which is consistent with their phylogenetic placement. Phylogeny of 16S rRNA genes also indicated that Brockarchaeota do not fall within any described
archaeal phyla (Figure 2A), with < 78% similarity to other TACK members. Together, these results
support the classification of these MAGs as a new phylum. We propose that the phylum be
named “Brockarchaeota”, after Thomas Brock, an American microbiologist known for his
5
groundbreaking research in hot springs microbiology. genome-wide nucleotide similarity to one another (Supporting Figure 1 and Supporting Table
3). The two GB MAGs (B48_G17 and B27_G9) are distinct from the hot springs at the AAI
level (<50% similar to each other), and <45% AAI to members of Geoarchaeota,
90
Thaumarchaeota and Aigarchaeota, which is consistent with their phylogenetic placement. Phylogeny of 16S rRNA genes also indicated that Brockarchaeota do not fall within any described
archaeal phyla (Figure 2A), with < 78% similarity to other TACK members. Together, these results
support the classification of these MAGs as a new phylum. We propose that the phylum be
named “Brockarchaeota”, after Thomas Brock, an American microbiologist known for his
95
groundbreaking research in hot springs microbiology. 90 95 100 2 2 Table 1. General information on the fifteen novel Brockarchaeota MAGs. Genome
Origin
Size
(Mb
)
Scaffolds
(number)
Protein
coding genes
(number)
Predicted
size
(Mb)
GC
(%)
Compl. (%)
Red. Phylogeny and distribution in nature (%)
Largest
scaffold
(Mb)
Strain
hetero
B48_G17
Deep sea sediment (12-15 cm, 33.6
°C) Vent 2 in Dombrowski et al
2018
0.79
113
925
0.94
51
84
4.05
49,468
14.29
B27_G9
Deep sea sediment (0-3 cm, 10.4
°C) Vent 2 in Dombrowski et al
2018
0.99
223
1341
1.48
42
67
1.46
17,768
0
DRTY7
Hot spring sediment
DiReTiYanQu-7 (collected in Jan,
2016) in Tengchong county,
Yunnan, China (55.8 °C)
0.83
133
910
0.99
34
84
1.94
23,553
0
QC4_43
Hot spring QuCai village, Tibet,
China (69.5 °C)
1.18
36
1332
1.48
42
80
2.43
135,049
0
QC4_48
Hot spring QuCai village, Tibet,
China (69.5 °C)
1.67
87
1807
1.99
48
84
9.06
78,542
12.5
GD2_1
Hot spring GuDui geothermal area,
Tibet, China (61.8 °C)
2.14
156
2326
2.40
48
89
1.94
82,330
0
QZM_A2
Hot spring QuZhuoMu village,
Tibet, China (63.1 °C)
2.19
173
2447
2.67
48
82
1.94
96,973
0
QZM_A3
Hot spring QuZhuoMu village,
Tibet, China (62.9 °C)
1.96
218
2281
2.51
47
78
5.83
70,810
0
DRTY-1.18
Hot spring sediment
DiReTiYanQu-1 (collected in
May, 2017) in Tengchong county,
Yunnan, China (67 °C)
1.62
55
1582
1.84
34
88
1.94
117,455
0
DRTY-
6.200
Hot spring sediment
DiReTiYanQu-6 (collected in
May, 2017) in Tengchong county,
Yunnan, China (60 °C)
0.55
129
663
0.96
34
57
0
11,975
0
DRTY-6.80
Hot spring sediment
DiReTiYanQu-6 (collected in
May, 2017) in Tengchong county,
Yunnan, China (60 °C)
2.32
55
2264
2.67
47
87
0
266,602
0
DRTY-7.37
Hot spring sediment
DiReTiYanQu-7 (collected in Jan,
2016) in Tengchong county,
Yunnan, China (55.8 °C)
1.03
189
1131
1.18
35
87
0.97
23,662
0
JZ-1.89
Hot spring sediment Jinze-1
(collected in May, 2017) in
Tengchong county, Yunnan, China
(86.5 °C)
1.48
88
1680
2.90
41
51
0.97
147,883
0
JZ-2.136
Hot spring sediment Jinze-2
(collected in May, 2017) in
Tengchong county, Yunnan, China
(63 °C)
2.04
215
2234
2.43
58
84
0.97
40,656
0
JZ-2.4
Hot spring sediment Jinze-2
(collected in Jan, 2016) in
Tengchong county, Yunnan, China
(75 °C)
1.30
61
1412
1.41
40
92
0
130,091
0
5
Genome ID, origin, number of scaffolds, number of protein-coding genes, guanine-cytosine (GC)
content, estimated completeness (Compl.), estimated gene redundancy (Red.), and strain heterogeneity
(Strain hetero.) are shown. Table 1. General information on the fifteen novel Brockarchaeota MAGs. Phylogeny and distribution in nature 105 105
Genome ID, origin, number of scaffolds, number of protein-coding genes, guanine-cytosine (GC)
content, estimated completeness (Compl.), estimated gene redundancy (Red.), and strain heterogeneity
(Strain hetero.) are shown. 3 3 Figure 1. Comparison of phylogeny and distribution of methyltransferase system in Brockarchaeota
110
and other members of TACK superphylum. Phylogeny generated using iqtreev1.6.1 using a concatenation
of 37 conserved single-copy protein-coding genes described in ref14. Bootstrap values were calculated using
non-parametric bootstrapping with 100 replicates (represented by gray circles, only bootstrap >70 are
shown). The presence methanol methyltransferase MtaB (PF12176) and trimethylamine methyltransferase
MttB (PF06253) are shown in the outer circles. The annotation was conducted with MEBS15 details can found
115
in Supporting Table 5. Figure 1. Comparison of phylogeny and distribution of methyltransferase system in Brockarchaeota
110
and other members of TACK superphylum. Phylogeny generated using iqtreev1.6.1 using a concatenation
of 37 conserved single-copy protein-coding genes described in ref14. Bootstrap values were calculated using
non-parametric bootstrapping with 100 replicates (represented by gray circles, only bootstrap >70 are
shown). The presence methanol methyltransferase MtaB (PF12176) and trimethylamine methyltransferase
MttB (PF06253) are shown in the outer circles. The annotation was conducted with MEBS15 details can found
115
in Supporting Table 5. Interestingly, only three 16S rRNA gene sequences with similarity (92-96%) to
Brockarchaeota sequences have been described in PCR-based surveys, highlighting the inherent
bias for primer choice in diversity studies. Therefore, we searched publicly available
120
metagenomic databases to examine the geographic distribution of this phylum. Notably, we
almost exclusively found 16S rRNA gene sequences related to Brockarchaeota in sequence data
generated from other hot springs from around the world (China, USA, South Africa; Figure 2A),
revealing Brockarchaeota are globally distributed in hot springs (Figure 2B). Three sequences,
which cluster together, were recovered from lake sediments in Rwanda and the Gulf of Boni in
125 120 125 4 Indonesia (28°C) (see Supporting Table 4), suggesting that some Brockarchaeota are mesophilic
as well. Indonesia (28°C) (see Supporting Table 4), suggesting that some Brockarchaeota are mesophilic
as well. Figure 2. Location of samples from which Brockarchaeota genomes and 16S rRNA gene sequences
have been recovered. (A) 16S rRNA gene tree of sequences derived from metagenomic and rRNA-based
0
diversity surveys (NCBI accessions EU924237, KX213943, and KX213897). The eight complete 16S
rRNA gene sequences of Brockarchaeota genomes described in this study are shown in their respective
names. Phylogeny and distribution in nature Black circles in the tree represent 100 bootstrap values using RAxML with 100 replicates. Environmental information of each sequence is shown was obtained from Integrated Microbial Genomes
and Microbiomes database. The number of the sequences and the corresponding metadata are described
5
in Supporting Table 4. (B) Geographic localization from which Brockarchaeota sequences where obtained. The size of the circle corresponds to the total number of Brockarchaeota-related sequences in each geographic
location. The specific MAGs obtained in this study are shown in the map according to their temperature
range. Figure 2. Location of samples from which Brockarchaeota genomes and 16S rRNA gene sequences
have been recovered. (A) 16S rRNA gene tree of sequences derived from metagenomic and rRNA-based
0
diversity surveys (NCBI accessions EU924237, KX213943, and KX213897). The eight complete 16S
rRNA gene sequences of Brockarchaeota genomes described in this study are shown in their respective
names. Black circles in the tree represent 100 bootstrap values using RAxML with 100 replicates. Environmental information of each sequence is shown was obtained from Integrated Microbial Genomes
and Microbiomes database. The number of the sequences and the corresponding metadata are described
5
in Supporting Table 4. (B) Geographic localization from which Brockarchaeota sequences where obtained. The size of the circle corresponds to the total number of Brockarchaeota-related sequences in each geographic
location. The specific MAGs obtained in this study are shown in the map according to their temperature
range. Figure 2. Location of samples from which Brockarchaeota genomes and 16S rRNA gene sequences
have been recovered. (A) 16S rRNA gene tree of sequences derived from metagenomic and rRNA-based
diversity surveys (NCBI accessions EU924237, KX213943, and KX213897). The eight complete 16S
rRNA gene sequences of Brockarchaeota genomes described in this study are shown in their respective
names. Black circles in the tree represent 100 bootstrap values using RAxML with 100 replicates. Environmental information of each sequence is shown was obtained from Integrated Microbial Genomes
and Microbiomes database. The number of the sequences and the corresponding metadata are described
in Supporting Table 4. (B) Geographic localization from which Brockarchaeota sequences where obtained. The size of the circle corresponds to the total number of Brockarchaeota-related sequences in each geographic
location. The specific MAGs obtained in this study are shown in the map according to their temperature
range. Phylogeny and distribution in nature 130 135 140 5 5 Utilization of C1 compounds and central carbon metabolism
To begin to understand the metabolism of the Brockarchaeota we compared the predicted proteins
encoded by these genomes with a variety of functional databases (see Methods). This revealed a
unique type of anaerobic methylotrophic metabolism. They contain the methyltransferase system
(MT), that has been shown to be essential for anaerobic methylotrophy16 and is composed of three
components. The first is a methyltransferase involved in breaking the C-O bond of specific
methylated compounds (MtaB for methanol, MtmB for monomethylamine, MtbB for
dimethylamine, and MttB for trimethylamine). The second is the transferring methyl residue to
the second component, a corrinoid protein (Figure 3). The third is a methylated methylamine-
specific corrinoid protein (MtaA for methanol, MtbA for methylamines), that is involved in
transferring the methyl-group from the corrinoid protein to coenzyme M in methanogens, or
tetrahydrofolate in acetogens. Brockarchaeota from hot springs encode proteins predicted to be
methanol-CoM
methyltransferases
(MtaB)
and
trimethylamine-corrinoid
protein
methyltransferase (MttB) for the utilization of methanol and trimethylamine (TMA),
respectively. Brockarchaeota also encode a putative B12-binding corrinoid protein, that once
methylated, can act as a substrate for the third component of the MT system that is lacking in
Brockarchaeota genomes. Another undescribed protein may be involved in the transfer of the
methylated compound from the corrinoid protein to unknown methyl carrier (See details in
Supporting Table 5). The distribution of methyltransferases among a current set of TACK
superphylum genomes indicate methanol-MT system is unique feature of Brockarchaeota within
the TACK superphylum (Figure 1). Prior to this, methanol-utilization is currently thought to be
limited to Euryarchaeota and TACK (Verstraetaearchaeota6, Korarchaeota17) archaea and some
bacteria (Firmicutes and Deltaproteobacteria)18. 145 150 155 160 165 (
p
)
To our knowledge, no methylotrophic members of the archaea domain have been described
165
outside methanogenic groups (Euryarchaeota and Verstraetearchaeota). Despite the presence of
MT system, unlike phylogenetically related archaea such as Verstraetearchaeota6; Brockarchaeota
genomes do not possess the common core marker genes specific to methanogenesis including
Methyl-coenzyme M reductase (MCR) (Figure 4 and Supporting Table 6). To ensure that the MCRs
are not missing due to incomplete MAGs, we searched metagenomic datasets from each of
170
communities from which they were obtained for mcr genes belonging to Brockarchaeota and did
not find any (See supporting Table 7 and Supporting Discussion). Phylogeny and distribution in nature In addition to lacking MCR
genes, they encode lack a complete Wood–Ljungdahl pathway essential for substrate utilization an
energy conservation in methanogenic archaea. Furthermore, Brockarchaeota lack a methanol
dehydrogenase (MDH) system that has been recently described in deep-sea sulfate reducing
175
bacteria encoding methyltransferases10. 170 175 The lack of previously described anaerobic methylotrophic pathways, raises the question
of how C1 compounds are assimilated by Brockarchaeota, or if they are being used for energy
conservation or biosynthetic purposes. Most of the Brockarchaeota encode all four enzymes of the
non-oxidative pentoses phosphate pathway (NOPPP) and both key enzymes of the ribulose
0
monophosphate pathway (RuMP) including 3-hexulose-6-phosphate synthases (HPS) and 6-
phospho-3-hexuloisomerases (PHI) (Supporting Figure 2). The presence of complete NOPPP,
RuMP and reductive glycine pathway (rGlyP) suggests that these compounds are being assimilated
into pyruvate, which can be converted to acetate for ATP formation at substrate-level
phosphorylation. 5 180 185 p
p
y
The RuMP pathway was originally described in methylotrophic bacteria, which use C1
compounds as a sole source of carbon and energy, however, it is now recognized as a widespread
pathway for formaldehyde fixation and detoxification19. Formaldehyde was an essential building
block to synthesize sugars on early Earth and is ubiquitous in nature, produced through the
degradation of compounds containing methyl- or methoxyl-groups, e.g., lignin and pectin20. In
geothermally environments autotrophic microbes are thought to produce formaldehyde from a 190 6 6 variety of C1 compounds (i.e. CH4, CO2, CO)21. The RuMP pathway functions as an efficient
system for trapping free formaldehyde at relatively low concentrations. The presence of HPS and
PHI in Brockarchaeota suggests that formaldehyde can be fixed and detoxified via the RuMP
pathway. Furthermore, formaldehyde can potentially be oxidized to CO2 or formate due to the
presence of genes coding tungsten-dependent aldehyde ferredoxin oxidoreductase (AFOR). However, this enzyme can oxidize a wide range of different aldehydes derived from organic carbon
degradation (e.g., of peptides) and may also be involved in electron transport reactions22. The
presence of potential oxidative and assimilative formaldehyde pathways in Brockarchaeota may be
an advantage for their survival in hot springs and hydrothermal deep-sea environments 195 200 7
Figure 3. Overview of potential metabolic capabilities of Brockarchaeota phylum. Phylogeny and distribution in nature The three main components of the methyltransferase system are explained in the main text. 215 220 Figure 4. Presence and absence profile of common core marker genes specific to methanogenesis
225
across the TACK superphylum. Genes include those associated to methanogenesis, anaerobic
methanotrophic and short-chain alkane-oxidizing archaea described in Greening et al. 201634 (see
Supporting Table 6 for specific details of the genomes used in this study and the specific marker genes
named with m followed with a number in the figure). For comparison purposes the following known
methanogenic archaea were included: Candidatus Methanoplasma termitum that lacks the entire pathway
230
for CO2 reduction to methyl coenzyme M and produces methane by hydrogen-dependent reduction of
methanol
or
methylamine
(Methanomassiliicoccales),
Methanosphaera
stadtmanae (Methanobacteriales) that can generate methane only by the reduction of methanol with H2
and is dependent on acetate as a carbon source, and Methanosarcina acetivorans (Methanosarcinales). 235 225 Figure 4. Presence and absence profile of common core marker genes specific to methanogenesis
225
across the TACK superphylum. Genes include those associated to methanogenesis, anaerobic
methanotrophic and short-chain alkane-oxidizing archaea described in Greening et al. 201634 (see
Supporting Table 6 for specific details of the genomes used in this study and the specific marker genes
named with m followed with a number in the figure). For comparison purposes the following known
methanogenic archaea were included: Candidatus Methanoplasma termitum that lacks the entire pathway
230
for CO2 reduction to methyl coenzyme M and produces methane by hydrogen-dependent reduction of
methanol
or
methylamine
(Methanomassiliicoccales),
Methanosphaera
stadtmanae (Methanobacteriales) that can generate methane only by the reduction of methanol with H2
and is dependent on acetate as a carbon source, and Methanosarcina acetivorans (Methanosarcinales). 235 235 Some Brockarchaeota genomes code tetrahydrofolate (THF) ligase (fhs), methenyl-THF
cyclohydrolase/methylene-THF dehydrogenase (folD), and methylene-THF reductase MTHFR
(metF), which are key enzymes of the methyl-branch of the Wood–Ljungdahl pathway (Supporting
Table 5). Nonetheless, given the absence of key carbonyl branch genes, Brockarchaeota appears to
be incapable of assimilating C1 compounds via the WL pathway used by other methylotrophic
archaea. Yet, the presence of genes for the rGLYp pahtway (gcvP, glycine dehydrogenase; gcvT,
aminomethyltransferase; gcvH, lipoate-binding protein; lpd, dihydrolipoyl dehydrogenase; glyA, Some Brockarchaeota genomes code tetrahydrofolate (THF) ligase (fhs), methenyl-THF
cyclohydrolase/methylene-THF dehydrogenase (folD), and methylene-THF reductase MTHFR
(metF), which are key enzymes of the methyl-branch of the Wood–Ljungdahl pathway (Supporting
Table 5). Phylogeny and distribution in nature Brockarchaota is
predicted to produce ATP by substrate-level phosphorylation by fermentation of complex organic
compounds, pyruvate and acetate as carbon and energy sources via glycolysis (EMP) by the concerted action
5
of PFO and ACD, that might represent the major energy-conserving reaction in this lineage. Formaldehyde
can be fixed and detoxified via the ribulose monophosphate (RuMP) pathway and enter to central metabolism
or be oxidized to formate by AFOR which can enter to the rGLyP pathway via FhS and FolD action C1
compounds such as methanol and TMA can be assimilated via MT system and MTHFR, generating glycine,
and following a linear route to central metabolism through rGLyP by subsequent conversion of serine and
0
pyruvate. Geothermally abundant compounds are showed in colored circles Each shaded pathway can be
seen in more detail in Supporting Discussion. Dashed arrow indicates that spontaneous condensation of Figure 3. Overview of potential metabolic capabilities of Brockarchaeota phylum. Brockarchaota is
predicted to produce ATP by substrate-level phosphorylation by fermentation of complex organic
compounds, pyruvate and acetate as carbon and energy sources via glycolysis (EMP) by the concerted action
of PFO and ACD, that might represent the major energy-conserving reaction in this lineage. Formaldehyde
can be fixed and detoxified via the ribulose monophosphate (RuMP) pathway and enter to central metabolism
or be oxidized to formate by AFOR which can enter to the rGLyP pathway via FhS and FolD action C1
compounds such as methanol and TMA can be assimilated via MT system and MTHFR, generating glycine,
and following a linear route to central metabolism through rGLyP by subsequent conversion of serine and
pyruvate. Geothermally abundant compounds are showed in colored circles Each shaded pathway can be
seen in more detail in Supporting Discussion. Dashed arrow indicates that spontaneous condensation of 205 7 formaldehyde with THF occur but is a very minor contribution to assimilation fluxes according to ref36. For
full names and copy numbers of the genes in number see Supporting Discussion. Abbreviations. Pathways:
Embden-Meyerhof-Parnas (EMP), Non-Oxidative Pentoses Phosphate Pathway (NOPPP), ribulose
monophosphate (RuMP), reductive glycine pathway (rGlyP). Enzymes: pyruvate ferredoxin oxidoreductase
(PFO), and acetate-CoA ligase (ADP-forming) (ACD), pyruvate formate lyase (PFL), tungsten-dependent
aldehyde ferredoxin oxidoreductase (AFOR), tetrahydrofolate (THF) ligase (FhS), methenyl-THF
cyclohydrolase/methylene-THF
dehydrogenase
(FolD),
methylene-THF
reductase
MTHFR
(MetFmethyltransferase system (MT), glyA, serine hydroxymethyltransferase (GlyA), serine deaminase
(SdaA), glycine-cleavage system (GCS). Compounds: Single carbon compounds (C1), trimethylamine
(TMA). Phylogeny and distribution in nature Nonetheless, given the absence of key carbonyl branch genes, Brockarchaeota appears to
be incapable of assimilating C1 compounds via the WL pathway used by other methylotrophic
archaea. Yet, the presence of genes for the rGLYp pahtway (gcvP, glycine dehydrogenase; gcvT,
aminomethyltransferase; gcvH, lipoate-binding protein; lpd, dihydrolipoyl dehydrogenase; glyA, 240 8 serine hydroxymethyltransferase; and sdaA, serine deaminase) in Brockarchaeota genomes, offers
another alternative route for assimilation of C1 compounds not yet described in methylotrophic
archaea. Subsequent conversion of C1 compounds in Brockarchaeota can proceed via methylene-
THF derivatives, either by MTHFR or FoldD (in the case of formaldehyde) to generate 5,10-CH2-
tetrahydrofolate which can be assimilated via glycine-cleavage system (GCS)23, followed by the
assimilation into central metabolism with the conversion of serine into pyruvate (see figure 3). 245 250 py
(
g
)
A phylogenetic analysis of alcohol dehydrogenases from hot spring genomes revealed that
250
they encode a butanol dehydrogenase BDH (Supporting Figure 3) that catalyzes the reversible
conversion of butyraldehyde to butanol. Brockarchaeota BDH’s are homologues to sequences from
obligately anaerobic, thermophilic bacteria that can degrade complex plant saccharides such as
xylan (i.e Caldicoprobacter oshimai24 and Hungateiclostridium thermocellum25) or cellulose
(Hungateiclostridium alkalicellulosi). To investigate if Brockarchaeota can oxidize or produce
255
butanol, we searched for genes involved in production of butanol in two model organisms;
Clostridium acetobutylicum26,27 which is one of the few organisms that produces butanol as a
fermentation product, and Saccharomyces cerevisiae28 involved in butanol and isopropanol
production. We found that Brockarchaeota genomes lack the key enzymes involved in the
fermentation of pyruvate to butanol (butanal dehydrogenase, butyryl-CoA dehydrogenase, enoyl-
260
CoA dehydratase, 3-hydroxyacyl-CoA dehydrogenase). However, most of the genomes code a
putative aldehyde dehydrogenase that could convert butyraldehyde to butyric acid. Also, we found
a putative enoyl-CoA hydratase/isomerase protein that is coded by one bin (JZ-1.89), which could
be involved in further converting butyric acid to acetyl-CoA. Our results suggest an alternative
pathway for butanol oxidation that still remains unresolved (Supporting Figure 4). 265 255 260 265 Pathways for the utilization of extracellular organic carbon
In addition to anaerobic methylotrophy, Brockarchaeota may be able to degrade a variety of
organic carbon compounds. They may utilize hexoses via Embden-Meyerhof-Parnas (EMP)
pathway (Supporting Figure 5) and pentoses (xylose isomerase xylA and xylulose kinase xylB) via
270
the isomerase pathway (Supporting Figure 2). Phylogeny and distribution in nature These enzymes were previously only found in
bacterial thermophiles and halophilic archaea that ferment complex compounds and degrade xylose
suggesting a similar physiology in Brockarchaeota29. Once assimilated into the cell, carbon
complex compounds could enter the central metabolism and be converted to acetate and H2 via
acetogenic fermentation. The ATP conserving step or either sugar or pyruvate fermentation to
275
acetate could be catalyzed by acetate-CoA ligase in the hot spring genomes. Acetate can also be
assimilated to acetyl-CoA by acetyl-CoA synthetase (ACS), thus acetate might be a source of
carbon and energy in the absence of other substrates in hot spring Brockarchaeota. The presence of
pyruvate ferredoxin oxidoreductase (PFO) that couples pyruvate oxidation to H2 production,
generating acetyl-CoA, could support fermentative metabolism via degradation of either acetate,
280
pyruvate, hexoses or pentoses. Brockarchaeota genomes appear to code a wide repertoire of
ATPases such as the plasma-membrane proton-efflux P-type ATPase (only present in the hot spring
genomes), Zn2+/Cd2+-exporting ATPase (present in DRTY7.37), and finally the V/A-type H+/Na+-
transporting ATPase (in most of the genomes). The existence of ATPase in Brockarchaeota
suggests that members of these genotypes have the additional ability to couple acetogenic
285
fermentation to membrane potential generation of a transmembrane ion gradient across the
membrane. To complement their ability to degrade xylenes, Brockarchaeota also contain a relatively
high number of carbohydrate-active enzymes (average of 27 CAZYmes per genome) which is 3
times what has been observed in other TACK archaea (Supporting Table 8 and Figure 5). Ten of
290
the 15 Brockarchaeota genomes have genes with similarity to α-L-fucosidase involved in the
degradation of xyloglucan, which is the major component of hemicellulose in plant-cell walls30. All the hot spring genomes encode GH3 family proteins for detrital cellulose degradation, plant 270 275 280 285 To complement their ability to degrade xylenes, Brockarchaeota also contain a relatively
high number of carbohydrate-active enzymes (average of 27 CAZYmes per genome) which is 3
times what has been observed in other TACK archaea (Supporting Table 8 and Figure 5). Ten of
the 15 Brockarchaeota genomes have genes with similarity to α-L-fucosidase involved in the
degradation of xyloglucan, which is the major component of hemicellulose in plant-cell walls30. All the hot spring genomes encode GH3 family proteins for detrital cellulose degradation, plant 290 9 and bacterial cell wall remodeling, energy metabolism, and pathogen defense31. Phylogeny and distribution in nature The hot spring
genotypes contain a wider repertoire of CAZymes than the deep-sea GB genomes. Among these
are four predicted to be extracellular glycoside hydrolases, which are involved in the breakdown of
high molecular-weight plant-derived polysaccharides, primarily xylanes, cellulose, and starch. Comparison of the CAZYmes across the TACK superphylum revealed that 17 extracellular
enzymes, including enzymes for the degradation xylanes, are unique to Brockarchaeota (Supporting
Table 8). The diversity and abundance of CAZYmes in members of the TACK superphylum
highlights that that despite the low number of sequenced Brockarchaeota genomes (15 described
in this study) compared to Thaumarchaeota (89), the former encodes a wider arrange and in wider
abundance that their phylogenetically related counterparts. 295 300 305 5
Figure 5. Annotated carbohydrate-active enzymes (CAZymes) encoded by the total number of
genomes belonging to the TACK superphylum including Brockarchaeota. The total number of
CAZymes per phylum was normalized by the total number of genomes described for each phylum shown
in parenthesis. Auxiliary activities (AA), carbohydrate-binding module (CBM), carbohydrate esterases
0
(CE), glycoside-hydrolases (GH), glycoside transferases (GT), polysaccharide lyases (PL). Unique
Brockarchaeota CAZymes are shown in red. Extracellular CAZYmes in Brockarchaeota are shown in
asterisks described in Supporting Table 8 sheet 3. 5 Figure 5. Annotated carbohydrate-active enzymes (CAZymes) encoded by the total number of
genomes belonging to the TACK superphylum including Brockarchaeota. The total number of
CAZymes per phylum was normalized by the total number of genomes described for each phylum shown
in parenthesis. Auxiliary activities (AA), carbohydrate-binding module (CBM), carbohydrate esterases
(CE), glycoside-hydrolases (GH), glycoside transferases (GT), polysaccharide lyases (PL). Unique
Brockarchaeota CAZymes are shown in red. Extracellular CAZYmes in Brockarchaeota are shown in
asterisks described in Supporting Table 8 sheet 3. 310 315 Hydrogen metabolism 10
Hydrogen metabolism
Hydrogen is also abundant in hydrothermal systems due to volcanic processes32. Brockarchaeota
might be able to use 3b [NiFe]-hydrogenases for H2 oxidation with NADP+ or NAD(P)+ as an
electron acceptor33. The hot spring genomes also encode oxygen-tolerant group 3d [NiFe]-
hydrogenases, which may allow them to transfer electrons between NAD(P)H and H2 depending
on the availability of electron acceptors (Supporting Figure 6). Group 3d [NiFe]-hydrogenases are
abundant in metagenomes from hot springs where microbial communities are relatively stable 320 10 despite partial pressure of oxygen fluctuations34. Group [NiFe] 3b hydrogenases may also make it
possible for these archaea to reduce elemental sulfur to H2S during fermentative growth. During
carbohydrate fermentation in the absence of sulfur, Group 3b [NiFe]-hydrogenases might catalyze
the production of H2 with NADPH or NAD(P)H as the electron donor. Therefore, Brockarchaeota
might have the ability to reduce sulfur, using H2 or organic substrates as electron donors, which is
common in hyperthermophilic archaea living in geothermally active environments35 325 330 Discussion Brockarchaeota also appear to have the genetic capacity for As-resistance including arsenate
reductase (ArsC) for the reduction of arsenate to arsenite, which is present in most of the hot spring
genomes, and arsenite efflux transporters (asrA and asrB) for cell export (Figure 3). The presence
of this energy-dependent efflux process related detoxification proteins, could also indicate that
355
Brockarchaeota in hot springs genomes could use arsenate as terminal electron acceptor, as seen in
bacteria42,43
The discovery of Brockarchaeota genomes from sediments around the world, overlooked
by conventional rRNA gene diversity approaches, highlights the need for further exploration of
subsurface microbial communities. The addition of these genomes to public databases, like other
360
recently described novel archaeal lineages44–46, will enhance their detection in future environmental
studies. A lack of recognition of their existence prior to this, limited our ability to fully describe
sediment community structure and function. Given their broad distribution, and versatile carbon
metabolism, they are likely key players in global carbon cycling. However, this first description is
limited to genomic characterization, thus culturing or in activity measurements are needed to
365
confirm their physiological activities47. Overall, the description of this new phylum enhances our
understanding of biodiversity of archaea and suggests they are mediating unique roles in anoxic
carbon cycling. methylamines in anoxic environments (Figure 6). The protein repertoire of GB and hot springs genomes have some important distinctions
that likely reflects different anaerobic physiologies. GB genomes appear to be obligately
fermenting organisms that rely mostly on substrate-level phosphorylation since they lack all the
345
complexes for the respiratory chain with exception of the ATPase. In contrast, hot spring genomes
appear to have mechanisms to increase their ATP yield including the use of geothermally derived
inorganic substrates as possible terminal electron acceptors such as mercury (Hg), arsenic (As) and
hydrogen (H2). Deep-sea hydrothermal vents, hot springs, and fumaroles are natural sources of
Hg39, H234 Arsenic40 and sulfur41. Three hot springs Brockarchaeota genomes (DRTY735_44,
350
DRTY-1.18 and DRTY.37) encode mercuric reductase (MerA), which detoxifies Hg (II) to Hg(0)39. Brockarchaeota also appear to have the genetic capacity for As-resistance including arsenate
reductase (ArsC) for the reduction of arsenate to arsenite, which is present in most of the hot spring
genomes, and arsenite efflux transporters (asrA and asrB) for cell export (Figure 3). Discussion Brockarchaeota gene contents suggests they are facultative or obligate anaerobic fermentative
organisms that produce acetate, CO2, and H2 as byproducts (see Supporting Information for details). Brockarchaeota are also able to degrade complex carbon compounds such as xylenes and perform
anaerobic methylotrophy. Xylenes are a major structural polysaccharide in plant cells, and is the
35
second most abundant polysaccharide in nature, accounting for approximately one-third of all
renewable organic carbon on Earth after cellulose37,38. This suggests that Brockarchaeota are key
players in organic matter degradation in hot springs and deep-sea sediments. Furthermore,
Brockarchaeota have unique pathways for non-methanogenic methylotrophy which has not been
described in the archaea domain prior to this and has not been attributed to any organism broadly
40
distributed in nature. This gives them a unique ecological position in nature, to degrade abundant
methylamines in anoxic environments (Figure 6). organisms that produce acetate, CO2, and H2 as byproducts (see Supporting Information for details). Brockarchaeota are also able to degrade complex carbon compounds such as xylenes and perform
anaerobic methylotrophy. Xylenes are a major structural polysaccharide in plant cells, and is the
335
second most abundant polysaccharide in nature, accounting for approximately one-third of all
renewable organic carbon on Earth after cellulose37,38. This suggests that Brockarchaeota are key
players in organic matter degradation in hot springs and deep-sea sediments. Furthermore,
Brockarchaeota have unique pathways for non-methanogenic methylotrophy which has not been
described in the archaea domain prior to this and has not been attributed to any organism broadly
340
distributed in nature. This gives them a unique ecological position in nature, to degrade abundant
methylamines in anoxic environments (Figure 6). The protein repertoire of GB and hot springs genomes have some important distinctions
that likely reflects different anaerobic physiologies. GB genomes appear to be obligately
fermenting organisms that rely mostly on substrate-level phosphorylation since they lack all the
345
complexes for the respiratory chain with exception of the ATPase. In contrast, hot spring genomes
appear to have mechanisms to increase their ATP yield including the use of geothermally derived
inorganic substrates as possible terminal electron acceptors such as mercury (Hg), arsenic (As) and
hydrogen (H2). Deep-sea hydrothermal vents, hot springs, and fumaroles are natural sources of
Hg39, H234 Arsenic40 and sulfur41. Three hot springs Brockarchaeota genomes (DRTY735_44,
350
DRTY-1.18 and DRTY.37) encode mercuric reductase (MerA), which detoxifies Hg (II) to Hg(0)39. Discussion The presence
of this energy-dependent efflux process related detoxification proteins, could also indicate that
355
Brockarchaeota in hot springs genomes could use arsenate as terminal electron acceptor, as seen in
bacteria42,43 345 350 355 360 365 370 11 11 Figure 6. The role of Brockarchaeota in the anaerobic carbon cycle. Single carbon (C1)-methylated
compounds, such as methanol or methylamines, are utilized biologically as carbon and energy sources in the
ocean and deep-sea sediments resulting in a considerable carbon reservoir. The biodegradation of organic
5
carbon in the water column and subsurface is a source of C1-methylated compounds. The utilization of
methyl compounds as precursors in methane synthesis is confined to a small group of methylotrophic
methanogens (i.e Verstraetearchaeota). The only described anaerobic methylotrophs include members of
methanogenic archaea, acetogenic bacteria, and sulfate-reducing bacteria. These organisms compete for C1
compounds geochemically produced in anoxic settings. Brockarchaeota may recycle C1 in anoxic
0
environments without methane formation and may be sequestered in deep sea sediments and hot springs. Orange and purple arrows represent sources and sinks, respectively. Organic Matter (OM) includes dissolved
and particulate organic matter feeding the microbial loop (Adapted from Evans et al., 2019 and Zhuang et
al., 2018). 5 Figure 6. The role of Brockarchaeota in the anaerobic carbon cycle. Single carbon (C1)-methylated
compounds, such as methanol or methylamines, are utilized biologically as carbon and energy sources in the
ocean and deep-sea sediments resulting in a considerable carbon reservoir. The biodegradation of organic
carbon in the water column and subsurface is a source of C1-methylated compounds. The utilization of
methyl compounds as precursors in methane synthesis is confined to a small group of methylotrophic
methanogens (i.e Verstraetearchaeota). The only described anaerobic methylotrophs include members of
methanogenic archaea, acetogenic bacteria, and sulfate-reducing bacteria. These organisms compete for C1
compounds geochemically produced in anoxic settings. Brockarchaeota may recycle C1 in anoxic
environments without methane formation and may be sequestered in deep sea sediments and hot springs. Orange and purple arrows represent sources and sinks, respectively. Organic Matter (OM) includes dissolved
and particulate organic matter feeding the microbial loop (Adapted from Evans et al., 2019 and Zhuang et
al., 2018). 375 380 385 Methods Metagenomic assembly and binning. Two MAGs (B48_G17 and B27_G9) were obtained from
Guaymas Basin sediments (Gulf of California; 27°N0.388, 111°W24.560) and were obtained as
part of a larger study of these hydrothermal marine sediments12. Both samples were collected from
the same location but G9 was sampled from 0-3 cm and G17 form 12-15 cm depth. The sediment
cores from which these two MAGs were binned from were collected during Alvin dive 4571_4 in
2009 using polycarbonate cores (45-60 cm in length, 6.25 cm interior diameter), subsampled into
cm layers under N2 gas in the ship’s laboratory and immediately frozen at -80°C. Details on the
sampling site and metagenomic sequencing effort is provided in Dombrowski et al., 2018. Briefly, total DNA from ≥10 g of sediment from each sample was extracted using the
MoBio PowerMax soil kit using the manufacturer’s instructions and adjusted to a final
concentration of 10 ng/µl of each sample (using a total amount of 100 ng). Libraries for paired-end
Illumina (HiSeq–2500 1TB) sequencing were prepared by the Joint Genome Institute (JGI). Sequencing was performed on an Illumina HiSeq 2500 machine using the paired-end 2x125 bp run- Metagenomic assembly and binning. Two MAGs (B48_G17 and B27_G9) were obtained from
Guaymas Basin sediments (Gulf of California; 27°N0.388, 111°W24.560) and were obtained as
part of a larger study of these hydrothermal marine sediments12. Both samples were collected from
the same location but G9 was sampled from 0-3 cm and G17 form 12-15 cm depth. The sediment
cores from which these two MAGs were binned from were collected during Alvin dive 4571_4 in
2009 using polycarbonate cores (45-60 cm in length, 6.25 cm interior diameter), subsampled into
cm layers under N2 gas in the ship’s laboratory and immediately frozen at -80°C. Details on the
sampling site and metagenomic sequencing effort is provided in Dombrowski et al., 2018. Metagenomic assembly and binning. Two MAGs (B48_G17 and B27_G9) were obtained from
Guaymas Basin sediments (Gulf of California; 27°N0.388, 111°W24.560) and were obtained as
part of a larger study of these hydrothermal marine sediments12. Both samples were collected from
the same location but G9 was sampled from 0-3 cm and G17 form 12-15 cm depth. Methods 410 g _
(
)
Six additional MAGs (QC4_43, QC4_48, GD2_1_47_42, QZM_A2, QZM_A3, and
DRTY7) were recovered from hot springs in Tibet and Yunnan, China collected in August of 2016
415
in several hot springs. Sequencing was done on an Illumina HiSeq4000 (Beijing Novogene
Bioinformatics Technology Co., Ltd). The Chinese MAGs were assembled using metaSPADES
(version 3.10.1), with a k-mer set of “21, 33, 55, 77, 99, 127”. For each sample only scaffolds larger
than 2500 bp were binned using MetaBAT (v.1) with default parameters, considering both
tetranucleotide frequencies (TNF) and scaffold coverage information. The scaffolds from the
420
obtained bins and the unbinned scaffolds were visualized using ESOM with a minimum length of
2500 bp and maximum length of 5000 bp as previously described50 and the bins were modified by
removing any out-of-range scaffolds (indicated by sequence points) or adding any unbinned
scaffolds using ESOM related scripts43. Also, scaffolds ≥ 1000 bp from each sample were uploaded
to ggKbase (http://ggkbase.berkeley.edu/), and the bins from ESOM analyses were evaluated and
425
modified manually at ggKbase based on GC content, coverage and taxonomic information of
scaffolds. Six additional MAGs (QC4_43, QC4_48, GD2_1_47_42, QZM_A2, QZM_A3, and
DRTY7) were recovered from hot springs in Tibet and Yunnan, China collected in August of 2016
415
in several hot springs. Sequencing was done on an Illumina HiSeq4000 (Beijing Novogene
Bioinformatics Technology Co., Ltd). The Chinese MAGs were assembled using metaSPADES
(version 3.10.1), with a k-mer set of “21, 33, 55, 77, 99, 127”. For each sample only scaffolds larger
than 2500 bp were binned using MetaBAT (v.1) with default parameters, considering both Six additional MAGs (QC4_43, QC4_48, GD2_1_47_42, QZM_A2, QZM_A3, and
DRTY7) were recovered from hot springs in Tibet and Yunnan, China collected in August of 2016
415
in several hot springs. Sequencing was done on an Illumina HiSeq4000 (Beijing Novogene
Bioinformatics Technology Co., Ltd). The Chinese MAGs were assembled using metaSPADES
(version 3.10.1), with a k-mer set of “21, 33, 55, 77, 99, 127”. For each sample only scaffolds larger
than 2500 bp were binned using MetaBAT (v.1) with default parameters, considering both 415 420 p
g
(
)
p
,
g
tetranucleotide frequencies (TNF) and scaffold coverage information. Methods The sediment
cores from which these two MAGs were binned from were collected during Alvin dive 4571_4 in
2009 using polycarbonate cores (45-60 cm in length, 6.25 cm interior diameter), subsampled into
cm layers under N2 gas in the ship’s laboratory and immediately frozen at -80°C. Details on the
sampling site and metagenomic sequencing effort is provided in Dombrowski et al., 2018. Briefly, total DNA from ≥10 g of sediment from each sample was extracted using the
MoBio PowerMax soil kit using the manufacturer’s instructions and adjusted to a final
concentration of 10 ng/µl of each sample (using a total amount of 100 ng). Libraries for paired-end
Illumina (HiSeq–2500 1TB) sequencing were prepared by the Joint Genome Institute (JGI). Sequencing was performed on an Illumina HiSeq 2500 machine using the paired-end 2x125 bp run- 390 395 Briefly, total DNA from ≥10 g of sediment from each sample was extracted using the
MoBio PowerMax soil kit using the manufacturer’s instructions and adjusted to a final
concentration of 10 ng/µl of each sample (using a total amount of 100 ng). Libraries for paired-end
Illumina (HiSeq–2500 1TB) sequencing were prepared by the Joint Genome Institute (JGI). Sequencing was performed on an Illumina HiSeq 2500 machine using the paired-end 2x125 bp run- 400 12 type mode. All runs combined provided a total of ~280 gigabases of sequencing data. Quality
control and sequence assembly was performed by JGI. For further binning, only scaffolds ≥ 2000
bps were included. type mode. All runs combined provided a total of ~280 gigabases of sequencing data. Quality
control and sequence assembly was performed by JGI. For further binning, only scaffolds ≥ 2000
bps were included. 405 Metagenomic binning was performed on individual assemblies using the binning tools
ESOM, Anvi’o (v2.2.2)48 and Metabat (v1)49. For ESOM bins were extracted using
getClassFasta.pl and the command -loyal 51. Anvi’o was run with default parameters and metabat
was run using the following settings: --minProb 75 --minContig 2000 --minContigByCorr 2000. Results from the three different binning tools were combined using DAS Tool (version 1.0) as
follows: DAS_Tool.sh -i Anvio_contig_list.tsv, Metabat_contig_list.tsv, ESOM_contig_list.tsv -l
Anvio, Metabat, ESOM -c scaffolds.fasta --write_bins 1. The accuracy of the binning approach was
evaluated by calculating the percentage of completeness and contamination using CheckM
lineage_wf (v1.0.5). Methods The scaffolds from the
420
obtained bins and the unbinned scaffolds were visualized using ESOM with a minimum length of
2500 bp and maximum length of 5000 bp as previously described50 and the bins were modified by
removing any out-of-range scaffolds (indicated by sequence points) or adding any unbinned
scaffolds using ESOM related scripts43. Also, scaffolds ≥ 1000 bp from each sample were uploaded
to ggKbase (http://ggkbase.berkeley.edu/), and the bins from ESOM analyses were evaluated and
425
modified manually at ggKbase based on GC content, coverage and taxonomic information of
scaffolds. 425 Phylogenetic analyses. A phylogenetic tree was generated as recently described in ref46. Briefly,
36 conserved marker proteins were extracted using phylosift51, in a genomic dataset containing
430
3,549 archaeal genomes including Brockarchaeota, and 40 bacterial genomes. An alignment of the
36 individual proteins extracted from a total of 3,599 genomes was generated using MAFFT
(algorithm autoselection) with a BLOSUM62 scoring and contains 4,962 characters after masking
gaps present in at least 50% of the taxa. A tree was constructed withIQtree (v1.6.11) with a best
fit LG+F+R10 model selected using the Bayesian Information Criterion (BIC) and bootstraps are
435
based on 1000 replicated trees. The bacterial genomes were used as an outgroup. The 16S rRNA
sequences
were
extracted
from
Brockarchaeota
genomes
using
Barrnap
(https://github.com/Victorian-Bioinformatics-Consortium/barrnap) and used for a 16S rRNA gene
phylogeny that included sequences derived from metagenomic surveys (NCBI accession
EU924237, KX213943, and KX213897) and the IMG database. The rRNA phylogeny was
440
generated using RAxML within the ARB software package (v. 2.5b). using default parameters. 430 430 435 440 Metabolic predictions. Gene predictions for individual genomes were performed using Prodigal52
(V2.6.2, default settings). Predicted genes of individual genomes were further characterized using
a combination of several databases: KofamKOALA53, Interproscan v5.31.7054 , HydDB55,
dbCAN256, MEBS57 and METABOLIC58. For KofamKOALA only hits above the predefined
threshold for individual KOs were selected. Hydrogenases were extracted using the reference
database described in ref 34,55 where there was conflict, the protein was manually reanalyzed using
BLAST against non-redundant protein database, and genomic organization and annotation was 445 13 450 confirmed using a web-based tool Operon Mapper59. The detected hydrogenases were used to
generate a phylogenetic tree as previously described in ref45 . Hits for key metabolic marker genes
were verified across different databases KofamKOALA, PFAMv31 and TIGRFAMs and HydDB
and were further verified using BLASTP using the NCBI web server tool. Genes encoding for
carbohydrate degradation enzymes described in the Carbohydrate-Active enZYmes (CAZYmes)
database60 were identified by only retaining hits recovered by ≥ 2 tools. Protein localization of the
selected CAZYmes was determined with the command line version of Psort (V3.0)61 using the
options -a and -terse for archaeal genomes in tabular format files. Finally, the presence of specific
protein families was obtained with MEBS. The annotation was performed in a genomic dataset of
250 publicly available TACK genomes (Supporting Table 2) that were also used for the CAZYmes
annotation. 455 250 publicly available TACK genomes (Supporting Table 2) that were also used for the CAZYmes
annotation. 460
Methyl coenzyme M reductase screening. The mcrA gene was identified using GraftM v0.10.262 across metagenome assemblies where
Brockarchaeota genomes from hot springs were detected63. The mcrA-containing scaffolds with
sequence length < 2.5 Kbp were discarded since scaffolds with short length were not used during the
465
genome binning step. The taxonomic information of the corresponding bins which contain mcrA genes
were determined using either GTDBtk v0.3.264 or phylogenetic placement (as reported in
Supplementary Table 9). The mcrABGCD genes were identified in metagenome assemblies from deep-
sea assemblies previously described in ref12 (Guay17 and Guay9; IMG genome ID 3300014887 and
3300013103 respectively). 470
Data availability
The final assembled and annotated genomic sequences of Brockarchaeota from deep sea sediments
(B27_G9 and B48_G17) have been deposited in NCBI under BioProject ID PRJNA362212:
BioSample id SAMN09215183 and SAMN09214986 respectively. 430 Microbial metabolism of methanol and methylamine in the Gulf of Mexico: insight into
marine carbon and nitrogen cycling. Environ. Microbiol. 20, 4543–4554 (2018). 0 5. Zhuang, G.-C., Montgomery, A. & Joye, S. B. Heterotrophic metabolism of C1 and C2
low molecular weight compounds in northern Gulf of Mexico sediments: controlling
factors and implications for organic carbon degradation. Geochim. Cosmochim. Acta 247,
243–260 (2019). 6. Vanwonterghem, I. et al. Methylotrophic methanogenesis discovered in the archae
phylum Verstraetearchaeota. Nat. Microbiol. 1, 1–9 (2016). 6. Vanwonterghem, I. et al. Methylotrophic methanogenesis discovered in the archaeal
515
phylum Verstraetearchaeota. Nat. Microbiol. 1, 1–9 (2016). 7. Lazar, C. S. et al. Genomic evidence for distinct carbon substrate preferences and
ecological niches of Bathyarchaeota in estuarine sediments Environ Microbiol 18 1200 6. Vanwonterghem, I. et al. Methylotrophic methanogenesis discovered in the archaeal
515
phylum Verstraetearchaeota. Nat. Microbiol. 1, 1–9 (2016). 7. Lazar, C. S. et al. Genomic evidence for distinct carbon substrate preferences and
ecological niches of Bathyarchaeota in estuarine sediments. Environ. Microbiol. 18, 1200–
1211 (2016). 7. Lazar, C. S. et al. Genomic evidence for distinct carbon substrate preferences and
ecological niches of Bathyarchaeota in estuarine sediments. Environ. Microbiol. 18, 1200–
1211 (2016). 8. Zhuang, G. Methylotrophic methanogenesis and potential methylated substrates in marine
520
sediment. (University of Bremen, 2014). i h d
l
l
i
h d
hi
h
i
l 8. ua g, G. et y ot op c
et a oge es s a d pote t a
et y ated subst ates
a
e
5 0
sediment. (University of Bremen, 2014). 9. Richards, M. A. et al. Exploring hydrogenotrophic methanogenesis: A genome scale
metabolic reconstruction of Methanococcus maripaludis. J. Bacteriol. 198, 3379–3390
(2016). 9. Richards, M. A. et al. Exploring hydrogenotrophic methanogenesis: A genome scale
metabolic reconstruction of Methanococcus maripaludis. J. Bacteriol. 198, 3379–3390
(2016). (
)
10. Sousa, D. Z. et al. The deep-subsurface sulfate reducer Desulfotomaculum kuznetsovii
525
employs two methanol-degrading pathways. Nat. Commun. 9, (2018). 11. Trembath-Reichert, E. et al. Methyl-compound use and slow growth characterize
microbial life in 2-km-deep subseafloor coal and shale beds. Proc. Natl. Acad. Sci. 114, 10. Sousa, D. Z. et al. The deep-subsurface sulfate reducer Desulfotomaculum kuznetsovii
525
employs two methanol-degrading pathways. Nat. Commun. 9, (2018). 11
Trembath-Reichert, E et al Methyl-compound use and slow growth characterize p y
g
g p
y
(
)
11. Trembath-Reichert, E. et al. 430 & Giovannoni, S. J. Microbial trimethylamine
metabolism in marine environments. Environ. Microbiol. 21, 513–520 (2018). 4. Zhuang, G. C., Peña-Montenegro, T. D., Montgomery, A., Hunter, K. S. & Joye, S. B. Microbial metabolism of methanol and methylamine in the Gulf of Mexico: insight into
marine carbon and nitrogen cycling. Environ. Microbiol. 20, 4543–4554 (2018). 510
5. Zhuang, G.-C., Montgomery, A. & Joye, S. B. Heterotrophic metabolism of C1 and C2
low molecular weight compounds in northern Gulf of Mexico sediments: controlling
factors and implications for organic carbon degradation. Geochim. Cosmochim. Acta 247,
243–260 (2019). 6. Vanwonterghem, I. et al. Methylotrophic methanogenesis discovered in the archaeal
515
phylum Verstraetearchaeota. Nat. Microbiol. 1, 1–9 (2016). 7. Lazar, C. S. et al. Genomic evidence for distinct carbon substrate preferences and
ecological niches of Bathyarchaeota in estuarine sediments. Environ. Microbiol. 18, 1200–
1211 (2016). 8. Zhuang, G. Methylotrophic methanogenesis and potential methylated substrates in marine
520
sediment. (University of Bremen, 2014). 9. Richards, M. A. et al. Exploring hydrogenotrophic methanogenesis: A genome scale
metabolic reconstruction of Methanococcus maripaludis. J. Bacteriol. 198, 3379–3390
(2016). 10. Sousa, D. Z. et al. The deep-subsurface sulfate reducer Desulfotomaculum kuznetsovii
525
employs two methanol-degrading pathways. Nat. Commun. 9, (2018). 11. Trembath-Reichert, E. et al. Methyl-compound use and slow growth characterize
microbial life in 2-km-deep subseafloor coal and shale beds. Proc. Natl. Acad. Sci. 114,
E9206–E9215 (2017). 12. Dombrowski, N., Teske, A. P. & Baker, B. J. Extensive metabolic versatility and
530
redundancy in microbially diverse , dynamic Guaymas Basin hydrothermal sediments. Nat. Commun. doi:10.1038/s41467-018-07418-0. 13. Jay, Z. J. et al. Marsarchaeota are an aerobic archaeal lineage abundant in geothermal iron
oxide microbial mats. Nat. Microbiol. 3, 732–740 (2018). 1. Chistoserdova, L. Modularity of methylotrophy, revisited. Environ. Microbiol. 13, 2603–
2622 (2011). 1. Chistoserdova, L. Modularity of methylotrophy, revisited. Environ. Microbiol. 13, 2603–
2622 (2011). 2. Chistoserdova, L. & Kalyuzhnaya, M. G. Current Trends in Methylotrophy. Trends
Microbiol. 26, 703–714 (2018). 3. Sun, J., Mausz, M. A., Chen, Y. & Giovannoni, S. J. Microbial trimethylamine
metabolism in marine environments. Environ. Microbiol. 21, 513–520 (2018). 4. Zhuang, G. C., Peña-Montenegro, T. D., Montgomery, A., Hunter, K. S. & Joye, S. B. metabolism in marine environments. Environ. Microbiol. 21, 513–520 (2018). 4. Zhuang, G. C., Peña-Montenegro, T. D., Montgomery, A., Hunter, K. S. & Joye, S. B. g
f
p
(
)
.
Orita, I. et al. The ribulose monophosphate pathway substitutes for the missing pento 430 Sequence data and sample
475
information of Brockarchaeota from hot springs are available at NCBI under Bio Project ID
PRJNA544494. Author contributions
J.F.B, W-J.L., and B.J.B conceived the study. H.C.J. and Z.S.H performed sampling at Tibet and
480
Yunnan hot springs. L.X.C. and N.D. reconstructed and curated the genomes. V.D.A and B.J.B. generated the phylogenetic trees. V.D.A., N.D., and B.J.B. generated the metabolic reconstructions. V.D.A and B.J.B performed the genomic comparisons and physiology inference. V.D.A. and B.J.B. wrote the manuscript with input for all the other authors. 485
Acknowledgements
We thank Dr. Thomas Brock for a career of transformative microbiological research and graciously
allowing us to name Brockarchaeota in his honor. The work conducted by the U.S. Department of
Energy Joint Genome Institute, a DOE Office of Science User Facility, is supported by the Office
of Science of the U.S. Department of Energy under Contract No. DE-AC02-05CH11231 provided
490
to ND. This work was funded by a National Science Foundation DEB: Systematics and Biodiversity
Sciences (grant number 1753661) provided to BJB. This work was supported by Science and
Technology Infrastructure work project of China Ministry of Science and Technology (No. 2015FY110100), National Natural Science Foundation of China (Nos. 91951205 and 91751206). We thank Andreas for providing the sediments from Guaymas Basin. Sampling in Guaymas Basin
495
was supported by NSF Awards OCE-0647633 to Dr. Andreas P. Teske. 460 Methyl coenzyme M reductase screening. The mcrA gene was identified using GraftM v0.10.262 across metagenome assemblies where
Brockarchaeota genomes from hot springs were detected63. The mcrA-containing scaffolds with
sequence length < 2.5 Kbp were discarded since scaffolds with short length were not used during the
genome binning step. The taxonomic information of the corresponding bins which contain mcrA genes
were determined using either GTDBtk v0.3.264 or phylogenetic placement (as reported in
Supplementary Table 9). The mcrABGCD genes were identified in metagenome assemblies from deep-
sea assemblies previously described in ref12 (Guay17 and Guay9; IMG genome ID 3300014887 and
3300013103 respectively). 490 ),
(
)
We thank Andreas for providing the sediments from Guaymas Basin. Sampling in Guaymas Basin
495
was supported by NSF Awards OCE-0647633 to Dr. Andreas P. Teske. 14 500 References 1. Chistoserdova, L. Modularity of methylotrophy, revisited. Environ. Microbiol. 13, 2603–
2622 (2011). 2. Chistoserdova, L. & Kalyuzhnaya, M. G. Current Trends in Methylotrophy. Trends
Microbiol. 26, 703–714 (2018). 505
3. Sun, J., Mausz, M. A., Chen, Y. 430 Methyl-compound use and slow growth characterize
microbial life in 2-km-deep subseafloor coal and shale beds. Proc. Natl. Acad. Sci. 114,
E9206–E9215 (2017). 12. Dombrowski, N., Teske, A. P. & Baker, B. J. Extensive metabolic versatility and
530
redundancy in microbially diverse , dynamic Guaymas Basin hydrothermal sediments. Nat. Commun. doi:10.1038/s41467-018-07418-0. 13. Jay, Z. J. et al. Marsarchaeota are an aerobic archaeal lineage abundant in geothermal iron
oxide microbial mats. Nat. Microbiol. 3, 732–740 (2018). 14. Darling, A. E. et al. PhyloSift: phylogenetic analysis of genomes and metagenomes. PeerJ
535
2, e243 (2014). 15. De Anda, V. et al. MEBS, a software platform to evaluate large (meta)genomic collections
according to their metabolic machinery: unraveling the sulfur cycle Authors. Gigascience
6, 1–17 (2017). 16. Fricke, W. F. et al. The Genome Sequence of Methanosphaera stadtmanae Reveals Why
540
This Human Intestinal Archaeon Is Restricted to Methanol and H 2 for Methane
Formation and ATP Synthesis †. 188, 642–658 (2006). 17. McKay L, Dlakic M, Fields M, Jay Z, Eren M, Delmont T, Klingelsmith K, Rusch D, I. W. Co-occurring genomic capacity for anaerobic methane and dissimilatory sulfur
metabolisms discovered in the Korarchaeota. Nat. Microbiol. (2019) doi:10.1038/s41564-
019-0362-4. 545 18. Muñoz-Velasco, I. et al. Methanogenesis on Early Stages of Life: Ancient but Not
Primordial. Orig. Life Evol. Biosph. 1–14 (2019) doi:10.1007/s11084-018-9570-9. g
f
p
(
)
19. Orita, I. et al. The ribulose monophosphate pathway substitutes for the missing pentose 15 550 phosphate pathway in the archaeon Thermococcus kodakaraensis. J. Bacteriol. 188, 4698–
4704 (2006). 20. Orita, I. et al. The archaeon Pyrococcus horikoshii possesses a bifunctional enzyme for
formaldehyde fixation via the ribulose monophosphate pathway. J. Bacteriol. 187, 3636–
3642 (2005). 21. Moran, J. J. et al. Formaldehyde as a carbon and electron shuttle between autotroph and
heterotroph populations in acidic hydrothermal vents of Norris Geyser Basin, Yellowstone
National Park. Extremophiles 20, 291–299 (2016). p
(
)
22. Bräsen, C., Esser, D., Rauch, B. & Siebers, B. Carbohydrate metabolism in archaea:
Current insights into unusual enzymes and pathways and their regulation. JAMA
Ophthalmol. 132, 326–331 (2014). 560 23. Lokanath, N. K., Kuroishi, C., Okazaki, N. & Kunishima, N. Purification, crystallization
and preliminary crystallographic analysis of the glycine-cleavage system component T-
protein from Pyrococcus horikoshii OT3. Acta Crystallogr. Sect. D Biol. Crystallogr. 60,
1450–1452 (2004). 24. Yokohama, H., Wagner, I. D. & Wiegel, J. Caldicoprobacter oshimai gen. nov., sp. 430 nov.,
an anaerobic, xylanolytic, extremely thermophilic bacterium isolated from sheep faeces,
and proposal of Caldicoprobacteraceae fam. nov. Int. J. Syst. Evol. Microbiol. 60, 67–71
(2010). 25. Zhang, X. et al. Petroclostridium xylanilyticum gen. Nov., sp. nov., a xylan-degrading
bacterium isolated from an oilfield, and reclassification of clostridial cluster iii members
into four novel genera in a new hungateiclostridiaceae fam. nov. Int. J. Syst. Evol. Microbiol. 68, 3197–3211 (2018). 570 26. Girbal, L., Croux, C., Vasconcelos, I. & Soucaille, P. Regulation of metabolic shifts in
Clostridium acetobutylicum ATCC 824. FEMS Microbiol. Rev. 17, 287–297 (1995). 27
Qi F et al Improvement of butanol production in Clostridium acetobutylicum through 26. Girbal, L., Croux, C., Vasconcelos, I. & Soucaille, P. Regulation of metabolic shifts in
Clostridium acetobutylicum ATCC 824. FEMS Microbiol. Rev. 17, 287–297 (1995). 27. Qi, F. et al. Improvement of butanol production in Clostridium acetobutylicum through
enhancement of NAD(P)H availability. J. Ind. Microbiol. Biotechnol. 45, 993–1002
(
) y
,
(
)
27. Qi, F. et al. Improvement of butanol production in Clostridium acetobutylicum through
enhancement of NAD(P)H availability. J. Ind. Microbiol. Biotechnol. 45, 993–1002
(2018). 28. Branduardi, P., Longo, V., Berterame, N. M., Rossi, G. & Porro, D. A novel pathway to
produce butanol and isobutanol in Saccharomyces cerevisiae. Biotechnol. Biofuels 6, 1
(2013). 29. Johnsen, U. & Schönheit, P. Novel xylose dehydrogenase in the halophilic archaeon
Haloarcula marismortui. J. Bacteriol. 186, 6198–6207 (2004). 30. Ravachol, J. et al. Mechanisms involved in xyloglucan catabolism by the cellulosome-
producing bacterium Ruminiclostridium cellulolyticum. Sci. Rep. 6, 1–17 (2016). 31. Macdonald, S. S., Blaukopf, M. & Withers, S. G. N-acetylglucosaminidases from CAZy
585
family GH3 are really glycoside phosphorylases, thereby explaining their use of histidine
as an acid/Base catalyst in place of glutamic acid. J. Biol. Chem. 290, 4887–4895 (2015). 32
J
F E & Ad
M W W H d
f th
d l h
th
hil
A
N as an acid/Base catalyst in place of glutamic acid. J. Biol. Chem. 290, 4887–4895 (2015). 32. Jenney, F. E. & Adams, M. W. W. Hydrogenases of the model hyperthermophiles. Ann. N. Y. Acad. Sci. 1125, 252–266 (2008). y
g
32. Jenney, F. E. & Adams, M. W. W. Hydrogenases of the model hyperthermophiles
Y. Acad. Sci. 1125, 252–266 (2008). ,
(
)
Van Haaster, D. J., Silva, P. J., Hagedoorn, P. L., Jongejan, J. A. & Hagen, W. R. 33. Van Haaster, D. 36.
Adam, P. S., Borrel, G. & Gribaldo, S. An archaeal origin of the Wood–Ljungdahl
H4MPT branch and the emergence of bacterial methylotrophy. Nat. Microbiol. 4, (2019). 430 J., Silva, P. J., Hagedoorn, P. L., Jongejan, J. A. & Hagen, W. R. 590
Reinvestigation of the steady-state kinetics and physiological function of the soluble NiFe-
hydrogenase I of Pyrococcus furiosus. J. Bacteriol. 190, 1584–1587 (2008). 34. Greening, C. et al. Genomic and metagenomic surveys of hydrogenase distribution
indicate H 2 is a widely utilised energy source for microbial growth and survival. ISME J. 10, 761–777 (2016). 595 35. Stetter, K. O. Hyperthermophiles in the history of life. Philos. Trans. R. Soc. B Biol. Sci. 361, 1837–1842 (2006). 36. Adam, P. S., Borrel, G. & Gribaldo, S. An archaeal origin of the Wood–Ljungdahl
H4MPT branch and the emergence of bacterial methylotrophy. Nat. Microbiol. 4, (2019). 16 600 37. Collins, T., Gerday, C. & Feller, G. Xylanases, xylanase families and extremophilic
600
xylanases. FEMS Microbiol. Rev. 29, 3–23 (2005). 38. Schädel, C., Richter, A., Blöchl, A. & Hoch, G. Hemicellulose concentration and
i i
i
l
ll
ll
d
b
i k i b l
Ph
i l 37. Collins, T., Gerday, C. & Feller, G. Xylanases, xylanase families and extremophilic
600
xylanases. FEMS Microbiol. Rev. 29, 3–23 (2005). 38. Schädel, C., Richter, A., Blöchl, A. & Hoch, G. Hemicellulose concentration and
composition in plant cell walls under extreme carbon source-sink imbalances. Physiol. Plant. 139, 241–255 (2010). 39. Wang, Y. et al. Environmental Conditions Constrain the Distribution and Diversity of
605
Archaeal merA in Yellowstone National Park, Wyoming, U.S.A. Microb. Ecol. 62, 739–
752 (2011). 40. Chen, S. et al. The Great Oxidation Event expanded the genetic repertoire of arsenic
metabolism and cycling. (2020) doi:10.1073/pnas.2001063117. 41. Rogers, K. L. & Schulte, M. D. Organic sulfur metabolisms in hydrothermal
environments. Geobiology 10, 320–32 (2012). 42. Rabus, R., Venceslau, S. S., Lars, W., Wall, J. D. & Pereira, I. A. C. A Post-Genomic
View of the Ecophysiology, Catabolism and Biotechnological Relevance of Sulphate-
Reducing Prokaryotes. in Adv Microb Physiol vol. 66 55–321 (2015). 43. Nunes, C. I. P. et al. ArsC3 from Desulfovibrio alaskensis G20, a cation and sulfate-
615
independent highly efficient arsenate reductase. J. Biol. Inorg. Chem. 19, 1277–1285
(2014). 44. Baker, B. J. et al. Genomic inference of the metabolism of cosmopolitan subsurface
Archaea, Hadesarchaea. Nat. Microbiol. 1, (2016). 45. Seitz, K. W. et al. New Asgard archaea capable of anaerobic hydrocarbon cycling. Nat. 620
Commun. 10, 1822 (2019). 46. Baker, B. J. et al. 58.
Zhou, Z., Tran, P., Liu, Y., Kieft, K. & Anantharaman, K. METABOLIC: A scalab 430 Diversity , ecology and evolution of Archaea. Nat. Microbiol. 29,
(2020). 47. Hatzenpichler, R., Krukenberg, V., Spietz, R. L. & Jay, Z. J. Next-generation physiology
approaches to study microbiome function at single cell level. Nat. Rev. Microbiol. 18,
241–256 (2020). 48. Eren, A. M. et al. Anvi’o: an advanced analysis and visualization platform for ‘omics data. PeerJ 3, e1319 (2015). 49. Kang, D. D., Froula, J., Egan, R. & Wang, Z. MetaBAT, an efficient tool for accurately
reconstructing single genomes from complex microbial communities. PeerJ 3, e1165
(2015). 630 (
)
50. Dick, G. J. et al. Community-wide analysis of microbial genome sequence signatures. Genome Biol. 10, (2009). 51. Darling, A. E. et al. PhyloSift: phylogenetic analysis of genomes and metagenomes. PeerJ
2, e243 (2014). 52. Hyatt, D. et al. Prodigal: prokaryotic gene recognition and translation initiation site
identification. BMC Bioinformatics 11, 119 (2010). 53. Aramaki, T. et al. KofamKOALA: KEGG Ortholog assignment based on profile HMM
and adaptive score threshold. Bioinformatics 36, 2251–2252 (2020). 54. Jones, P. et al. InterProScan 5: Genome-scale protein function classification. Bioinformatics 30, 1236–1240 (2014). f
(
)
55. Søndergaard, D., Pedersen, C. N. S. & Greening, C. HydDB: A web tool for hydrogenase
classification and analysis. Sci. Rep. 6, 1–8 (2016). 56. Zhang, H. et al. DbCAN2: A meta server for automated carbohydrate-active enzyme
annotation. Nucleic Acids Res. 46, W95–W101 (2018). 645 57. De Anda, V. et al. MEBS, a software platform to evaluate large (meta)genomic collections
according to their metabolic machinery: Unraveling the sulfur cycle. Gigascience 6, 1–17
(2017). 57. De Anda, V. et al. MEBS, a software platform to evaluate large (meta)genomic collections
according to their metabolic machinery: Unraveling the sulfur cycle. Gigascience 6, 1–17
(2017). (
)
58. Zhou, Z., Tran, P., Liu, Y., Kieft, K. & Anantharaman, K. METABOLIC: A scalable high- (
)
58. Zhou, Z., Tran, P., Liu, Y., Kieft, K. & Anantharaman, K. METABOLIC: A scalable high- 17 650 throughput metabolic and biogeochemical functional trait profiler based on microbial
genomes. bioRxiv 761643 (2019) doi:10.1101/761643. throughput metabolic and biogeochemical functional trait profiler based on microbial
genomes. bioRxiv 761643 (2019) doi:10.1101/761643. throughput metabolic and biogeochemical functional trait profiler based on microbial
650
genomes. bioRxiv 761643 (2019) doi:10.1101/761643. 59. Taboada, B., Estrada, K., Ciria, R. & Merino, E. Operon-mapper: a web server for prec
operon identification in bacterial and archaeal genomes. Bioinformatics 34, 4118–4120
(2018). 60. 430 Lombard, V., Golaconda Ramulu, H., Drula, E., Coutinho, P. M. & Henrissat, B. The
655
carbohydrate-active enzymes database (CAZy) in 2013. Nucleic Acids Res. 42, 490–49
(2014). 61. Yu, N. Y. et al. PSORTb 3.0: Improved protein subcellular localization prediction with
refined localization subcategories and predictive capabilities for all prokaryotes. Bioinformatics 26, 1608–1615 (2010). 660
62. Boyd, J. A., Woodcroft, B. J. & Tyson, G. W. GraftM : a tool for scalable ,
phylogenetically informed classification of genes within metagenomes. 46, (2018). 63. Hua, Z. S. et al. Insights into the ecological roles and evolution of methyl-coenzyme M
reductase-containing hot spring Archaea. Nat. Commun. 10, 1–11 (2019). 64. Chaumeil, P., Mussig, A. J., Parks, D. H. & Hugenholtz, P. Genome analysis GTDB-T
665
a toolkit to classify genomes with the Genome Taxonomy Database. 36, 1925–1927
(2020). g
59. Taboada, B., Estrada, K., Ciria, R. & Merino, E. Operon-mapper: a web server for precise
operon identification in bacterial and archaeal genomes. Bioinformatics 34, 4118–4120
(2018). 655 60. Lombard, V., Golaconda Ramulu, H., Drula, E., Coutinho, P. M. & Henrissat, B. The
carbohydrate-active enzymes database (CAZy) in 2013. Nucleic Acids Res. 42, 490–495
(2014). 61. Yu, N. Y. et al. PSORTb 3.0: Improved protein subcellular localization prediction with
refined localization subcategories and predictive capabilities for all prokaryotes. Bioinformatics 26, 1608–1615 (2010). 660 f
(
)
62. Boyd, J. A., Woodcroft, B. J. & Tyson, G. W. GraftM : a tool for scalable ,
phylogenetically informed classification of genes within metagenomes. 46, (2018). 63. Hua, Z. S. et al. Insights into the ecological roles and evolution of methyl-coenzyme M
reductase-containing hot spring Archaea. Nat. Commun. 10, 1–11 (2019). 64. Chaumeil, P., Mussig, A. J., Parks, D. H. & Hugenholtz, P. Genome analysis GTDB-Tk :
665
a toolkit to classify genomes with the Genome Taxonomy Database. 36, 1925–1927
(2020). 18 Figures Figures Figure 1 . Comparison of phylogeny and distribution of methyltransferase system in Brockarchaeota and other
members of TACK superphylum. Phylogeny generated using iqtreev1.6.1 using a concatenation of 37
conserved single-copy protein-coding genes described in ref14. Bootstrap values were calculated using
non-parametric bootstrapping with 100 replicates (represented by gray circles, only bootstrap >70 are shown). The presence methanol methyltransferase MtaB (PF12176) and trimethylamine
methyltransferase MttB (PF06253) are shown in the outer circles. The annotation was conducted with
MEBS15 details can found in Supporting Table 5. Figure 2
Location of samples from which Brockarchaeota genomes and 16S rRNA gene sequences have been
recovered. (A) 16S rRNA gene tree of sequences derived from metagenomic and rRNA-based diversity
surveys (NCBI accessions EU924237, KX213943, and KX213897). The eight complete 16S rRNA gene
sequences of Brockarchaeota genomes described in this study are shown in their respective names. Black circles in the tree represent 100 bootstrap values using RAxML with 100 replicates. Environmental
information of each sequence is shown was obtained from Integrated Microbial Genomes and Figure 2 Location of samples from which Brockarchaeota genomes and 16S rRNA gene sequences have been
recovered. (A) 16S rRNA gene tree of sequences derived from metagenomic and rRNA-based diversity
surveys (NCBI accessions EU924237, KX213943, and KX213897). The eight complete 16S rRNA gene
sequences of Brockarchaeota genomes described in this study are shown in their respective names. Black circles in the tree represent 100 bootstrap values using RAxML with 100 replicates. Environmenta
information of each sequence is shown was obtained from Integrated Microbial Genomes and Microbiomes database. The number of the sequences and the corresponding metadata are described in
Supporting Table 4. (B) Geographic localization from which Brockarchaeota sequences where obtained. The size of the circle corresponds to the total number of Brockarchaeota-related sequences in each
geographic location. The speci¦c MAGs obtained in this study are shown in the map according to their
temperature range. Note: The designations employed and the presentation of the material on this map do
not imply the expression of any opinion whatsoever on the part of Research Square concerning the legal
status of any country, territory, city or area or of its authorities, or concerning the delimitation of its
frontiers or boundaries. This map has been provided by the authors. rs or boundaries. This map has been provided by the authors. Figure 3 Overview of potential metabolic capabilities of Brockarchaeota phylum. Brockarchaota is predicted to
produce ATP by substrate-level phosphorylation by fermentation of complex organic compounds,
pyruvate and acetate as carbon and energy sources via glycolysis (EMP) by the concerted action of PFO
and ACD, that might represent the major energy-conserving reaction in this lineage. Formaldehyde can be
¦xed and detoxi¦ed via the ribulose monophosphate (RuMP) pathway and enter to central metabolism or
be oxidized to formate by AFOR which can enter to the rGLyP pathway via FhS and FolD action C1
compounds such as methanol and TMA can be assimilated via MT system and MTHFR, generating
glycine, and following a linear route to central metabolism through rGLyP by subsequent conversion of
serine and pyruvate. Geothermally abundant compounds are showed in colored circles Each shaded
pathway can be seen in more detail in Supporting Discussion. Dashed arrow indicates that spontaneous
condensation of formaldehyde with THF occur but is a very minor contribution to assimilation §uxes
according to ref36. For full names and copy numbers of the genes in number see Supporting Discussion. Abbreviations. Figure 2 Pathways:Embden-Meyerhof-Parnas (EMP), Non-Oxidative Pentoses Phosphate Pathway
(NOPPP), ribulose monophosphate (RuMP), reductive glycine pathway (rGlyP). Enzymes: pyruvate
ferredoxin oxidoreductase (PFO), and acetate-CoA ligase (ADP-forming) (ACD), pyruvate formate lyase
(PFL), tungsten-dependent aldehyde ferredoxin oxidoreductase (AFOR), tetrahydrofolate (THF) ligase
(FhS), methenyl-THF cyclohydrolase/methylene-THF dehydrogenase (FolD), methylene-THF reductase
MTHFR (MetFmethyltransferase system (MT), glyA, serine hydroxymethyltransferase (GlyA), serine
deaminase (SdaA), glycine-cleavage system (GCS). Compounds: Single carbon compounds (C1),
trimethylamine (TMA). The three main components of the methyltransferase system are explained in the
main text. Figure 4 Presence and absence pro¦le of common core marker genes speci¦c to methanogenesis across the TACK
superphylum. Genes include those associated to methanogenesis, anaerobic methanotrophic and short-
chain alkane-oxidizing archaea described in Greening et al. 201634 (see Supporting Table 6 for speci¦c
details of the genomes used in this study and the speci¦c marker genes named with m followed with a
number in the ¦gure). For comparison purposes the following known methanogenic archaea were
included: Candidatus Methanoplasma termitum that lacks the entire pathway for CO2 reduction to methyl
coenzyme M and produces methane by hydrogen-dependent reduction of methanol or methylamine
(Methanomassiliicoccales), Methanosphaera stadtmanae (Methanobacteriales) that can generate
methane only by the reduction of methanol with H2 and is dependent on acetate as a carbon source, and
Methanosarcina acetivorans (Methanosarcinales). Figure 5
Annotated carbohydrate-active enzymes (CAZymes) encoded by the total number of genomes belongin
to the TACK superphylum including Brockarchaeota. The total number of CAZymes per phylum was
normalized by the total number of genomes described for each phylum shown in parenthesis. Auxiliary
activities (AA), carbohydrate-binding module (CBM), carbohydrate esterases (CE), glycoside-hydrolases
(GH), glycoside transferases (GT), polysaccharide lyases (PL). Unique Brockarchaeota CAZymes are
shown in red. Extracellular CAZYmes in Brockarchaeota are shown in asterisks described in Supporting
Table 8 sheet 3. Figure 6 The role of Brockarchaeota in the anaerobic carbon cycle. Single carbon (C1)-methylated compounds,
such as methanol or methylamines, are utilized biologically as carbon and energy sources in the ocean
and deep-sea sediments resulting in a considerable carbon reservoir. The biodegradation of organic
carbon in the water column and subsurface is a source of C1-methylated compounds. The utilization of
methyl compounds as precursors in methane synthesis is con¦ned to a small group of methylotrophic
methanogens (i.e Verstraetearchaeota). The only described anaerobic methylotrophs include members of
methanogenic archaea, acetogenic bacteria, and sulfate-reducing bacteria. These organisms compete for
C1 compounds geochemically produced in anoxic settings. Brockarchaeota may recycle C1 in anoxic
environments without methane formation and may be sequestered in deep sea sediments and hot
springs. Orange and purple arrows represent sources and sinks, respectively. Organic Matter (OM)
includes dissolved and particulate organic matter feeding the microbial loop (Adapted from Evans et al.,
2019 and Zhuang et al., 2018). The role of Brockarchaeota in the anaerobic carbon cycle. Single carbon (C1)-methylated compounds,
such as methanol or methylamines, are utilized biologically as carbon and energy sources in the ocean
and deep-sea sediments resulting in a considerable carbon reservoir. The biodegradation of organic
carbon in the water column and subsurface is a source of C1-methylated compounds. The utilization of
methyl compounds as precursors in methane synthesis is con¦ned to a small group of methylotrophic
methanogens (i.e Verstraetearchaeota). The only described anaerobic methylotrophs include members of
methanogenic archaea, acetogenic bacteria, and sulfate-reducing bacteria. These organisms compete for
C1 compounds geochemically produced in anoxic settings. Brockarchaeota may recycle C1 in anoxic
environments without methane formation and may be sequestered in deep sea sediments and hot
springs. Orange and purple arrows represent sources and sinks, respectively. Organic Matter (OM)
includes dissolved and particulate organic matter feeding the microbial loop (Adapted from Evans et al.,
2019 and Zhuang et al., 2018). Figure 5 Annotated carbohydrate-active enzymes (CAZymes) encoded by the total number of genomes belonging
to the TACK superphylum including Brockarchaeota. The total number of CAZymes per phylum was
normalized by the total number of genomes described for each phylum shown in parenthesis. Auxiliary
activities (AA), carbohydrate-binding module (CBM), carbohydrate esterases (CE), glycoside-hydrolases
(GH), glycoside transferases (GT), polysaccharide lyases (PL). Unique Brockarchaeota CAZymes are
shown in red. Extracellular CAZYmes in Brockarchaeota are shown in asterisks described in Supporting
Table 8 sheet 3. Figure 6
The role of Brockarchaeota in the anaerobic carbon cycle. Single carbon (C1)-methylated compounds,
such as methanol or methylamines, are utilized biologically as carbon and energy sources in the ocean
and deep-sea sediments resulting in a considerable carbon reservoir. The biodegradation of organic
carbon in the water column and subsurface is a source of C1-methylated compounds. The utilization of
methyl compounds as precursors in methane synthesis is con¦ned to a small group of methylotrophic
methanogens (i.e Verstraetearchaeota). The only described anaerobic methylotrophs include members of
methanogenic archaea, acetogenic bacteria, and sulfate-reducing bacteria. These organisms compete for
C1 compounds geochemically produced in anoxic settings. Brockarchaeota may recycle C1 in anoxic
environments without methane formation and may be sequestered in deep sea sediments and hot
springs. Orange and purple arrows represent sources and sinks, respectively. Organic Matter (OM)
includes dissolved and particulate organic matter feeding the microbial loop (Adapted from Evans et al.,
2019 and Zhuang et al., 2018). Supplementary Files Description.pdf Supplementary Files This is a list of supplementary ¦les associated with this preprint. Click to download. Description.pdf
|
https://openalex.org/W4234185865
|
https://europepmc.org/articles/pmc6886800?pdf=render
|
English
| null |
Correction: Modeling the natural history of fatty liver using lifestyle–related risk factors: Effects of body mass index (BMI) on the life–course of fatty liver
|
PloS one
| 2,019
|
cc-by
| 1,144
|
OPEN ACCESS Citation: Aizawa M, Inagaki S, Moriyama M, Asano
K, Kakehashi M (2019) Correction: Modeling the
natural history of fatty liver using lifestyle–related
risk factors: Effects of body mass index (BMI) on
the life–course of fatty liver. PLoS ONE 14(12):
e0226059. https://doi.org/10.1371/journal. pone.0226059 Mika Aizawa, Seiichi Inagaki, Michiko Moriyama, Kenichiro Asano, Masayuki Kakehashi Mika Aizawa, Seiichi Inagaki, Michiko Moriyama, Kenichiro Asano, Masayuki Kakehashi Mika Aizawa, Seiichi Inagaki, Michiko Moriyama, Kenichiro Asano, Masayuki Kakehashi The term “life-course” appears incorrectly in the article title as well as in the Abstract, Data
and methods, Results, Discussion, and Limitations sections. In all cases, the correct term is
“incidence.” The correct title is: Modeling the natural history of fatty liver using lifestyle–
related risk factors: Effects of body mass index (BMI) on the incidence of fatty liver. The cor-
rect citation is: Aizawa M, Inagaki S, Moriyama M, Asano K, Kakehashi M (2019) Modeling
the natural history of fatty liver using lifestyle–related risk factors: Effects of body mass index
(BMI) on the incidence of fatty liver. PLoS ONE 14(10): e0223683. https://doi.org/10.1371/
journal.pone.0223683 The term “external cohort” appears incorrectly in the Results and Discussion and in the
title of Fig 3. In all cases, the correct term is “external population.” Please see the correct Fig 3
here. a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 Published: December 2, 2019 Copyright: © 2019 Aizawa 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. 1 / 4 PLOS ONE | https://doi.org/10.1371/journal.pone.0226059
December 2, 2019 PLOS ONE | https://doi.org/10.1371/journal.pone.0226059
December 2, 2019 Fig 3. Projected prevalence in cohort 2 and recorded prevalence in external populations: (a) Fatty liver, (b) BMI
(25 kg/m2). The trajectories of the projected prevalence in cohort 2 (blue curve) are illustrated. Areas in gray
indicate the mean prevalence within ±2 SD as Monte Carlo variations. Blue dots indicate the prevalence in the study
population recorded in 2012–2016 (n = 10179). Observed external population data were indicated by purple [29],
orange [4], red [28] and magenta dots [35]. https://doi.org/10.1371/journal.pone.0226059.g001 Fig 3. Projected prevalence in cohort 2 and recorded prevalence in external populations: (a) Fatty liver, (b) BMI
(25 kg/m2). The trajectories of the projected prevalence in cohort 2 (blue curve) are illustrated. Areas in gray
indicate the mean prevalence within ±2 SD as Monte Carlo variations. Blue dots indicate the prevalence in the study
population recorded in 2012–2016 (n = 10179). Observed external population data were indicated by purple [29],
orange [4], red [28] and magenta dots [35]. https://doi.org/10.1371/journal.pone.0226059.g001 https://doi.org/10.1371/journal.pone.0226059.g001 The term “Simulated life-course” appears incorrectly in the title of Figs 4 and 6. The correct
term is “Projected prevalence.” Please see the correct figures here. The term “Simulated life-course” appears incorrectly in the title of Figs 4 and 6. The correct
term is “Projected prevalence.” Please see the correct figures here. A paragraph is missing from the Simulation and model assessment subsection of the
Results. The following paragraph should appear after the first paragraph in the Simulation and
model assessment subsection: For cohort 1, the projected prevalence of fatty liver, BMI (25
kg/m2) and LDL–C/HDL–C ratio ( 2) are shown in Fig 1. Each observed prevalence in
cohort 1 fell within ±2 SD of the predicted mean prevalence of fatty liver, BMI (25 kg/m2)
and LDL–C/HDL–C ratio ( 2). This suggested that our model reproduced the observed prev-
alence of fatty liver by suitably predicting the BMI and cholesterol ratio according to their pre-
dictive algorithms. In the Simulation and model assessment subsection of the Results, there is an error in the
sixth sentence of the second paragraph. PLOS ONE | https://doi.org/10.1371/journal.pone.0226059
December 2, 2019 Published: December 2, 2019 The correct sentence is: In addition, the fatty liver data
of cohort 2 included estimated fatty liver data. In the Assessment of model performance subsection of the Discussion, there is an error in
the fourth sentence of the first paragraph. The correct sentence is: This model captured an
increase in BMI up to middle-age, followed by a slow decrease in older age. 2 / 4 Fig 4. Projected prevalence of fatty liver with variations by changes in the clinical and biochemical predictor
variables of cohort 2. The trajectories of the projected prevalence in cohort 2 (blue curve) are illustrated. The initial
proportion of the clinical and biochemical predictor variables of cohort 2 were varied by −40% (dashed black curve),
−20% (dashed gray curve), 20% (gray curve) and 40% (black curve). https://doi.org/10.1371/journal.pone.0226059.g002 Fig 4. Projected prevalence of fatty liver with variations by changes in the clinical and biochemical predictor
variables of cohort 2. The trajectories of the projected prevalence in cohort 2 (blue curve) are illustrated. The initial
proportion of the clinical and biochemical predictor variables of cohort 2 were varied by −40% (dashed black curve),
−20% (dashed gray curve), 20% (gray curve) and 40% (black curve). Fig 4. Projected prevalence of fatty liver with variations by changes in the clinical and biochemical predictor
variables of cohort 2. The trajectories of the projected prevalence in cohort 2 (blue curve) are illustrated. The initial
proportion of the clinical and biochemical predictor variables of cohort 2 were varied by −40% (dashed black curve),
−20% (dashed gray curve), 20% (gray curve) and 40% (black curve). https://doi.org/10.1371/journal.pone.0226059.g002 https://doi.org/10.1371/journal.pone.0226059.g002 PLOS ONE | https://doi.org/10.1371/journal.pone.0226059
December 2, 2019 3 / 4 Fig 6. Projected prevalence of fatty liver with variations by changes in the predictive algorithms of BMI and LDL–C/HDL–C ratio. The trajectories of the
projected prevalence in cohort 2 (blue curve) are illustrated. The mean prevalence in which the predicted BMI and LDL–C/HDL–C ratio were varied by −1.0%
(a dashed black curve), −0.5% (a dashed gray curve), 0.5% (a solid gray curve) and 1.0% (a solid black curve). Fig 6. Projected prevalence of fatty liver with variations by changes in the predictive algorithms of BMI and LDL–C/HDL–C ratio. The trajectories of the
projected prevalence in cohort 2 (blue curve) are illustrated. Published: December 2, 2019 The mean prevalence in which the predicted BMI and LDL–C/HDL–C ratio were varied by −1.0%
(a dashed black curve), −0.5% (a dashed gray curve), 0.5% (a solid gray curve) and 1.0% (a solid black curve). https://doi.org/10.1371/journal.pone.0226059.g003 https://doi.org/10.1371/journal.pone.0226059.g003 PLOS ONE | https://doi.org/10.1371/journal.pone.0226059
December 2, 2019 Reference 1. Aizawa M, Inagaki S, Moriyama M, Asano K, Kakehashi M (2019) Modeling the natural history of fatty
liver using lifestyle–related risk factors: Effects of body mass index (BMI) on the life–course of fatty liver. PLoS ONE 14(10): e0223683. https://doi.org/10.1371/journal.pone.0223683 PMID: 31634357 1. Aizawa M, Inagaki S, Moriyama M, Asano K, Kakehashi M (2019) Modeling the natural history of fatty
liver using lifestyle–related risk factors: Effects of body mass index (BMI) on the life–course of fatty liver. PLoS ONE 14(10): e0223683. https://doi.org/10.1371/journal.pone.0223683 PMID: 31634357 4 / 4
|
https://openalex.org/W2074889575
|
https://dash.harvard.edu/bitstream/1/12712844/1/29663006.pdf
|
English
| null |
A MILLIMETER-WAVE GALACTIC PLANE SURVEY WITH THE BICEP POLARIMETER
|
Astrophysical journal/The Astrophysical journal
| 2,011
|
cc-by
| 25,533
|
Published Version
doi:10.1088/0004-637X/741/2/81 http://nrs.harvard.edu/urn-3:HUL.InstRepos:12712844 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 A MILLIMETER-WAVE GALACTIC PLANE SURVEY WITH THE BICEP POLAR E. M. Bierman1, T. Matsumura2, C. D. Dowell2,3, B. G. Keating1, P. Ade4, D. Barkats5, D. Barron1, J. O. Battle3,
J. J. Bock2,3, H. C. Chiang2,6, T. L. Culverhouse2, L. Duband7, E. F. Hivon8, W. L. Holzapfel9, V. V. Hristov2,
J. P. Kaufman1, J. M. Kovac2,10, C. L. Kuo11, A. E. Lange2, E. M. Leitch3, P. V. Mason2, N. J. Miller1, H. T. Nguyen3,
C. Pryke12, S. Richter2, G. M. Rocha2, C. Sheehy12, Y. D. Takahashi9, and K. W. Yoon13
1
i
i
f C lif
i
S
i
SA
bi
@ h
i
d d E. M. Bierman1, T. Matsumura2, C. D. Dowell2,3, B. G. Keating1, P. Ade4, D. Barkats5, D. Barron1, J. O. Battle3,
J. J. Bock2,3, H. C. Chiang2,6, T. L. Culverhouse2, L. Duband7, E. F. Hivon8, W. L. Holzapfel9, V. V. Hristov2,
J. P. Kaufman1, J. M. Kovac2,10, C. L. Kuo11, A. E. Lange2, E. M. Leitch3, P. V. Mason2, N. J. Miller1, H. T. Nguyen3,
C. Pryke12, S. Richter2, G. M. Rocha2, C. Sheehy12, Y. D. Takahashi9, and K. W. Yoon13
1 University of California San Diego USA; ebierman@physics ucsd edu C. Pryke12, S. Richter2, G. M. Rocha2, C. Sheehy12, Y. D. Takahashi9, and K. W. Yoon13
1 University of California, San Diego, USA; ebierman@physics.ucsd.edu y
,
g ,
;
p y
2 California Institute of Technology, USA
3 Jet Propulsion Laboratory, USA
4 University of Wales, UK
5 Joint ALMA Office-NRAO, Chile
6 Princeton University, USA
7 Commissariat `a l’´Energie Atomique, France
8 Institut d’Astrophysique de Paris, France
9 University of California, Berkeley, USA
10 Harvard University, USA
11 Stanford University, CA, USA
12 University of Chicago, USA
13 National Institute of Standards and Technology, USA
Received 2011 February 23; accepted 2011 August 3; published 2011 October 20 2 California Institute of Technology, USA 3 Jet Propulsion Laboratory, USA
4 8 Institut d’Astrophysique de Paris, France
9 9 University of California, Berkeley, USA
10 10 Harvard University, USA
1 11 Stanford University, CA, USA y
12 University of Chicago, USA gy
2011 February 23; accepted 2011 August 3; published 2011 O ABSTRACT In order to study inflationary cosmology and the Milky Way Galaxy’s composition and magnetic field structure,
Stokes I, Q, and U maps of the Galactic plane covering the Galactic longitude range 260◦< ℓ< 340◦in three
atmospheric transmission windows centered on 100, 150, and 220 GHz are presented. The maps sample an optical
depth 1 ≲AV ≲30, and are consistent with previous characterizations of the Galactic millimeter-wave frequency
spectrum and the large-scale magnetic field structure permeating the interstellar medium. The polarization angles in
all three bands are generally perpendicular to those measured by starlight polarimetry as expected and show changes
in the structure of the Galactic magnetic field on the scale of 60◦. The frequency spectrum of degree-scale Galactic
emission is plotted between 23 and 220 GHz (including WMAP data) and is fit to a two-component (synchrotron
and dust) model showing that the higher frequency BICEP data are necessary to tightly constrain the amplitude
and spectral index of Galactic dust. Polarized emission is detected over the entire region within two degrees of
the Galactic plane, indicating the large-scale magnetic field is oriented parallel to the plane of the Galaxy. A trend
of decreasing polarization fraction with increasing total intensity is observed, ruling out the simplest model of a
constant Galactic magnetic field orientation along the line of sight in the Galactic plane. A generally increasing
trend of polarization fraction with electromagnetic frequency is found, varying from 0.5%–1.5% at frequencies
below 50 GHz to 2.5%–3.5% above 90 GHz. The effort to extend the capabilities of BICEP by installing 220 GHz
band hardware is described along with analysis of the new band. Key words: cosmology: observations – Galaxy: structure – instrumentation: polarimeters – radio continuum: ISM
– submillimeter: diffuse background – submillimeter: ISM Online-only material: color figures Online-only material: color figures above 90 GHz is dominated by vibrational modes of Galactic
dust (Whittet 1992). However, not all emission mechanisms give
rise to polarized radiation. For example, free–free emission from
electron–ion scattering can contribute to the measured intensity
(although it is not the dominant ore at any millimeter-wave band)
near 90 GHz; however, this emission is not polarized. The exact
composition of the Galaxy’s emission spectrum varies across
the sky and can change when observing polarized intensity. Multi-wavelength observations in the infrared and millimeter
can determine the properties of the continuum emission, spectral
lines, and polarization. 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 The Astrophysical Journal, 741:81 (21pp), 2011 November 10
C⃝2011. The American Astronomical Society. All rights reserved. Printed in the U.S.A. The Astrophysical Journal, 741:81 (21pp), 2011 November 10
C⃝2011. The American Astronomical Society. All rights reserved. Printed in the U.S.A. doi:10.1088/0004-637X/741/2/81 1. INTRODUCTION 2008) that may need
to be confronted to make this measurement, and therefore, the
properties of the emission also motivate the investigation (Jones
2003; Ponthieu et al. 2005; Tucci et al. 2005; Eriksen et al. 2006; Hansen et al. 2006; Amblard et al. 2007; Larson et al. 2007; Eriksen et al. 2008; Leach et al. 2008; Miville-Deschˆenes
et al. 2008; Dodelson et al. 2009; Dunkley et al. 2009). Only a
few experiments have explored large-scale Galactic polarization
properties at frequencies between 90 GHz and 350 GHz, such as
Archeops (353 GHz; Benoˆıt et al. 2004), WMAP (94 GHz; Kogut
et al. 2007), and QUaD (100 and 150 GHz; Culverhouse et al. 2010). To further study emission from sources other than the
CMB, BICEP was upgraded from a two-band experiment (100
and 150 GHz) to a three-band polarimeter with the addition of
220 GHz capability for the second and third seasons. This paper
discusses unique aspects of the BICEP Galactic observations,
including the Galactic maps with the additional 220 GHz
channels (Section 3.1), explains the data analysis methodology
(Sections 2.2–2.5), and discusses the analysis of the polarized
Galactic signal (Sections 3.6 and 3.7). Figure 1. 150 GHz FDS Model 8 dust emission prediction (Finkbeiner et al. 1999), shown in equatorial coordinates. BICEP’s primary CMB observing field
is called “the southern Galactic hole,” a region of low dust emission used
for optimal B-mode detection. The two Galactic fields are used for studying
astronomical foregrounds and Galactic physics. The Gal-weak region spans the
Galactic plane from Galactic longitude 260◦< ℓ< 300◦, while the Gal-bright
region spans the plane from 300◦< ℓ< 340◦. (A color version of this figure is available in the online journal.) feeds tuned for the 100 GHz atmospheric transmission window
and twenty-four tuned for the 150 GHz atmospheric window. For
the second and third observing seasons, the focal plane consisted
of twenty-five 100 GHz feeds, twenty-two 150 GHz feeds, and
two new feeds tuned for the 220 GHz atmospheric transmission
window (discussed in Appendix A). Three corrugated feedhorn
sections, cooled to ⩽4 K, couple radiation from the two high-
density polyethylene lenses to each PSB while also providing
a sharp low-frequency cutoff for the band. The high-frequency
cutoff is defined by a set of metal mesh filters (Ade et al. 2006)
attached to the feedhorn stack. 14 For a list of future space, balloon, and ground CMB experiments, see
http://cmbpol.uchicago.edu/workshops/technology2008/depot/
meyer-stephan.pdf. 2.1. Brief Instrument Description For a complete description of the BICEP telescope, see Yoon
et al. (2006) and Takahashi et al. (2010). BICEP is an on-axis
refracting telescope with a 250 mm aperture and can scan in
azimuth and elevation as well as rotate around the optical axis
(boresight) of the telescope, which is less than 0.◦01 away from
the center feed. BICEP’s small aperture allows the entire opti-
cal system to be cooled to cryogenic temperatures in a vacuum
cryostat, sealed with a millimeter-wave transparent foam win-
dow. While located at the South Pole, the telescope mount is
enclosed at room temperature within the observatory, protected
by a fabric bellows structure. To control the response of the
beam sidelobes and minimize ground contamination, the tele-
scope has an inner co-moving absorptive forebaffle and a fixed
reflective outer ground screen, similar to that used in POLAR
(Polarization Observations of Large Angular Regions; Keating
et al. 2003b). The readout electronics are sealed in an RF-tight
cage and consist of detector AC biasing circuits, analog pream-
plifiers, lock-in amplifier cards, and cold JFETs in the cryostat. 1. INTRODUCTION The filters and PSBs are cooled
to 250 mK by an 4He–3He–3He-sorption refrigerator system
(Duband et al. 1990). Teflon filters block out-of-band infrared
radiation to minimize optical loading. 1. INTRODUCTION Emission from the Milky Way Galaxy at millimeter wave-
lengths is both a rich source of astrophysical information and
a potential contaminant for cosmic microwave background
(CMB) observations. The density of gas and dust in the interstel-
lar medium (ISM) varies from very low (<1 particle cm−3) in
diffuse regions to very high (>106 particle cm−3) in molecular
clouds and complexes (collections of star-forming cloud cores
at approximately the same distance and age). Measurements in
the millimeter band have the potential to probe a wide range
of ISM densities while near-IR bands (Martin & Whittet 1990)
have enough resolution to probe medium to high density ISM
regions. Polarized radiation probes various aspects of the ISM and
Galactic magnetic field. Dust grains aligned perpendicular to
the Galactic plane by the Galactic magnetic field preferentially
absorb and scatter starlight in one direction, causing more
extinction of one polarization mode compared to the other
(Davis & Greenstein 1951; Hiltner 1951; Hildebrand 1988;
Fosalba et al. 2002; Lazarian 2007). Complementary to this,
dust grains aligned by the Galactic magnetic field emit radiation In general, large-scale diffuse emission from the Galaxy at
frequencies below 90 GHz is dominated by the synchrotron
mechanism in ionized gas, and to a lesser extent free–free along
with thermal emission from rotational and vibrational modes
of dust (Rybicki & Lightman 1979). Emission at frequencies 1 Bierman et al. Figure 1. 150 GHz FDS Model 8 dust emission prediction (Finkbeiner et al. 1999), shown in equatorial coordinates. BICEP’s primary CMB observing field
is called “the southern Galactic hole,” a region of low dust emission used
for optimal B-mode detection. The two Galactic fields are used for studying
astronomical foregrounds and Galactic physics. The Gal-weak region spans the
Galactic plane from Galactic longitude 260◦< ℓ< 300◦, while the Gal-bright
region spans the plane from 300◦< ℓ< 340◦. (A color version of this figure is available in the online journal.) The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Bierman et al. in the infrared and millimeter bands polarized orthogonally
to the Galactic magnetic field (Lazarian 2007). The desire to
characterize the ISM and the Galactic magnetic field provides
the motivation for millimeter-wave continuum polarimetry of
the Galaxy (Hildebrand et al. 1999; Chuss et al. 2003; Novak
et al. 2003; Benoˆıt et al. 2004; Matthews et al. 2009; Culverhouse
et al. 2010; Dotson et al. 2010). 1. INTRODUCTION The main goal of the Background
Imager of Cosmic Extragalactic Polarization (BICEP; Keating
et al. 2003a; Chiang et al. 2010) and its successors14 is to
search for the unique CMB B-mode polarization pattern due
to primordial gravitational waves, which has an amplitude
determined by the energy scale of inflation (Seljak & Zaldarriaga
1997; Kamionkowski et al. 1997). Polarized Galactic emission
is an astronomical foreground (Bock et al. 2008) that may need
to be confronted to make this measurement, and therefore, the
properties of the emission also motivate the investigation (Jones
2003; Ponthieu et al. 2005; Tucci et al. 2005; Eriksen et al. 2006; Hansen et al. 2006; Amblard et al. 2007; Larson et al. 2007; Eriksen et al. 2008; Leach et al. 2008; Miville-Deschˆenes
et al. 2008; Dodelson et al. 2009; Dunkley et al. 2009). Only a
few experiments have explored large-scale Galactic polarization
properties at frequencies between 90 GHz and 350 GHz, such as
Archeops (353 GHz; Benoˆıt et al. 2004), WMAP (94 GHz; Kogut
et al. 2007), and QUaD (100 and 150 GHz; Culverhouse et al. 2010). To further study emission from sources other than the
CMB, BICEP was upgraded from a two-band experiment (100
and 150 GHz) to a three-band polarimeter with the addition of
220 GHz capability for the second and third seasons. This paper
discusses unique aspects of the BICEP Galactic observations,
including the Galactic maps with the additional 220 GHz
channels (Section 3.1), explains the data analysis methodology
(Sections 2.2–2.5), and discusses the analysis of the polarized
Galactic signal (Sections 3.6 and 3.7). in the infrared and millimeter bands polarized orthogonally
to the Galactic magnetic field (Lazarian 2007). The desire to
characterize the ISM and the Galactic magnetic field provides
the motivation for millimeter-wave continuum polarimetry of
the Galaxy (Hildebrand et al. 1999; Chuss et al. 2003; Novak
et al. 2003; Benoˆıt et al. 2004; Matthews et al. 2009; Culverhouse
et al. 2010; Dotson et al. 2010). The main goal of the Background
Imager of Cosmic Extragalactic Polarization (BICEP; Keating
et al. 2003a; Chiang et al. 2010) and its successors14 is to
search for the unique CMB B-mode polarization pattern due
to primordial gravitational waves, which has an amplitude
determined by the energy scale of inflation (Seljak & Zaldarriaga
1997; Kamionkowski et al. 1997). Polarized Galactic emission
is an astronomical foreground (Bock et al. 2.2. Scan Strategy A “scan-set” lasts approximately
one hour and consists of 50 half-scans each in the positive and
negative azimuthal directions at a given elevation. A calibration period at the beginning and end of each scan-set
consists of a small, one-degree elevation movement, called an
“el-nod,” which serves as the primary relative gain calibration
within a feed and across the focal plane. Atmospheric loading is
proportional to the line-of-sight air mass, which is well modeled
as csc(θel) plus an offset in the readout electronics, where θel is
the elevation angle. El-nods produce a similar detector response
(approximately 100 mK peak to peak) across all detectors for an
elevation change of one degree. To normalize the response over
time, the average response during the el-nod for all the detectors
in each band is calculated and divided out. As opposed to tracking the celestial observing center, BICEP
centers each scan-set about a fixed azimuth angle causing sky
sources to move relative to the scan center, while stationary
ground and scan thermal/optical contamination remains fixed. This has the added benefit of grouping both the scan and
ground contaminations into one contamination (“scan-fixed
contamination”). Chiang et al. (2010) take this process a step
further and remove a template of the scan-fixed contamination
from each scan-set; however, this additional step was not
necessary in this paper because of the much larger polarization
signal relative to the noise. Notes. Characteristics of BICEP from its three observing seasons. While not an
exhaustive list of all possible categories and errors, the listed parameters show
the properties of the polarimeter relevant for this paper. Section 2.3 discusses the
spectroscopic characterizations in more detail, while a brief discussion of the
other BICEP characterizations are in Appendix B and Section 3.3.4 with further
discussion in Takahashi et al. (2010). Characteristics for 100 and 150 GHz are
consistent with Takahashi et al. (2010) except for spectral characterizations. After each scan-set, the telescope is stepped in elevation by
0.◦25 and moved in azimuth to locate the next scan-set about the
center of the observing region. Each set of scan-sets (called a
“phase”) consists of seven (lasting six hours) or ten (lasting nine
hours) steps at one of four orientations about the boresight (0◦,
180◦, 135◦, 315◦) centered in the elevation range 55◦to 60◦. Observations of the Gal-weak field were carried out mostly in
six-hour phases in Austral winter. 2.2. Scan Strategy Figure 1 shows the three main BICEP observing regions
overlaid on the Galactic dust model of (Finkbeiner et al. 1999, hereafter FDS) evaluated at 150 GHz. Approximately
10,000 hr were spent observing a region predicted to have
minimal astronomical foreground contamination in an attempt
to detect the B-mode signature of inflationary gravitational
waves (“CMB” region), 945 hr were dedicated to observing
the Galactic plane in a region near the center of the Galaxy
(“Gal-bright” region, 300◦< ℓ< 340◦) and 1484 hr were
spent observing the Galactic plane in a region farther from the
Galactic center (“Gal-weak” region, 260◦< ℓ< 300◦). The focal plane is comprised of 49 pairs of polarization
sensitive bolometers (PSBs; Jones et al. 2003), two orthogonal
detectors per feed, whose responses are summed or differenced
to measure total intensity and polarization, respectively. For the
first observing season in 2006, the focal plane had twenty-five BICEP observes all regions in a similar manner. The small-
est observing unit is a “half-scan”, a unidirectional azimuthal
telescope movement at constant elevation that lasts 27 s (10 Hz
sample rate). To avoid potential thermal disturbances, 3.5 s are
cut at the beginning and end of each half-scan. The choice of
scan speed is bounded at low frequency by the atmosphere and
detector stability, and bounded at high frequency by the bolome-
ter time constant. Within those constraints, the telescope scan 2 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Table 1
Telescope Characteristics
Instrument Property (Band Average)
100
150
220
Number of Feeds (2006, 2007–2008)
25, 25
24, 22
0, 2
Polarization Orientation Uncertainty
<0.◦7
<0.◦7
<0.◦7
Pair-relative Polarization Orientation Uncertainty
0.◦1
0.◦1
0.◦1
Polarization Efficiency, γ
0.92
0.93
0.85
Optical Efficiency (OE)
20.8%
19.8%
15.8%
Gaussian Beam Width (FWHM)
0.◦93
0.◦60
0.◦42
Differential Pointing/Beam Size
1.0%
1.8%
2.6%
Ghost Beam Power
0.41%
0.50%
1.3%
Ghost Beam Power, Pair-Difference
0.02%
0.04%
0.04%
Spectral Band Centers, flat source (GHz)a
95.5
149.8
208.2
Spectral Band Centers, Galaxy (GHz)
96.3
152.4
212.2
Spectral Gain Mismatchb
0.17%
0.19%
0.72%
Relative Gain Uncertaintyb
0.8%
1.3%
<10%
Absolute Gain Uncertainty
2%
2%
15%
Noise Equivalent Temperature (μK√s)
530
450
1040
(MJy sr−1 √s)
0.12
0.18
0.50
Noise Equivalent Q-Polarizationc (μK√s)
410
340
880
(MJy sr−1 √s)
0.090
0.14
0.42 Table 1
Telescope Characteristics speed is chosen to be 2.◦8 s−1 in azimuth to minimize micro-
phonics and thermal drifts. 2.2. Scan Strategy Observations of the Gal-bright
field consisted primarily of nine-hour phases during Austral
summer 2008, although there were a few other six-hour phases
executed at various times during the three years of observing. a These values are slightly different for 100 and 150 GHz from Takahashi et al. (2010) due to measurement uncertainties. a These values are slightly different for 100 and 150 GHz from Takahashi et al. (2010) due to measurement uncertainties. b These values are computed before correcting for spectral gain mismatch from
FTS measurements. c These are the single Stokes parameter noise values per feed used throughout
this paper to calculate the white-noise levels of the maps. where I, Q, and U are the total intensity and two linear
polarization Stokes parameters on the sky, respectively. BICEP
is incapable of measuring the fourth Stokes parameter V, which
accounts for circular polarization. However, for the CMB and
Galaxy emission, V is expected to be negligible compared
with the two linear Stokes parameters. The effective antenna
area, Ae, is assumed to be proportional to ν−2. To recover the
underlying sky signal from the detector voltage timestreams
d(t), each of the following parameters is calibrated as described
in Takahashi et al. (2010): ψ, the detector polarization angle;
ϵ, the cross-polarization response; γ
=
1−ϵ
1+ϵ , the resulting
polarization efficiency; P(Ω), the antenna response as a function
of angular position Ω; F(ν), the end-to-end detector spectral
response including filters, feedhorns, lenses, etc.; g(t), the
detector responsivity; n(t), the noise; K(t), the time-domain
bolometer transfer function and filtering due to the electronics
that is convolved (“⊗”) with the detector signal. Timestream statistics (such as the variance, skew, and kurtosis
of a half-scan) and el-nod calibration values are used to deter-
mine nominal observing conditions. These statistics allowed the
data to be cut on various timescales such as per-phase, per-scan-
set, and per-half-scan bases. Gal-bright observations use 763 out
of 945 total possible hours and Gal-weak observations use 1463
out of 1484 total possible hours based on el-nod cuts, while scan
statistics cut approximately 5% of the remaining data. 2.3. Spectroscopic Characterization Spectral gain mismatch for one feed at each of BICEP’s three bands. The top plots show the measured spectral responses for the two PSBs in a feed,
“A” (black) and “B” (blue), along with a model of atmospheric transmission
at the South Pole during median Austral winter conditions (red) and a typical
Galactic source spectrum (green) in the 220 GHz analysis region, as seen through
the atmosphere. The bottom three plots show the leakage fraction per frequency,
dξ/dν, if calibrated off the atmospheric emission but observing the Galactic
source spectrum as shown. Figure 3. Spectral gain mismatch for one feed at each of BICEP’s three bands. The top plots show the measured spectral responses for the two PSBs in a feed,
“A” (black) and “B” (blue), along with a model of atmospheric transmission
at the South Pole during median Austral winter conditions (red) and a typical
Galactic source spectrum (green) in the 220 GHz analysis region, as seen through
the atmosphere. The bottom three plots show the leakage fraction per frequency,
dξ/dν, if calibrated off the atmospheric emission but observing the Galactic
source spectrum as shown. (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) A careful campaign to characterize all of BICEP’s feeds was
undertaken in 2008 January at the South Pole using a high-
resolution (250 MHz) polarized Fourier transform spectrometer
(FTS). The optical alignment and power falling on each pair
of bolometers in a feed was calibrated before a set of eight
independent spectral measurements were taken. Figure 2 shows
F(ν), the average spectral responses for each band with the
FTS’s source spectrum divided out, assuming the FTS’s source
filled the pixel’s beam. where the responsivities, GA,B, represent the two PSBs in a feed
and are given by GA,B = Γatmosphere
ΓGalaxy
,
(3) (3) Γsource =
F(ν)S(ν)ν−2dν,
(4) (4) If not calibrated properly, mismatched spectral responses can
cause spurious polarization in detector differences and gain
errors among different feeds. For example, the WMAP satellite
(Jarosik et al. 2007) notes that passband mismatch is a problem,
solved by fitting for a spurious map component. 2.3. Spectroscopic Characterization Instrumental properties of the telescope can cause noticeable
effects in the observed Galaxy maps unless they are properly
taken into account. One of the most pernicious of these prop-
erties is the spectral response mismatch, which can affect the
resulting maps differently depending upon the observed source’s
spectrum. The key instrumental properties of BICEP are sum-
marized in Table 1 as described in this section, Appendix B, and
Takahashi et al. (2010). Takahashi et al. (2010) explored the leakage of total intensity
to polarization for each feed, estimated using individual PSB
pair-sum and pair-difference maps from the CMB region. The
relative gain uncertainty is similar to spectral gain mismatch but
can include other effects such as thermal response mismatch. The maps were cross-correlated, showing the relative gain
uncertainty was less than 0.8% and 1.3% for 100 and 150 GHz
feeds, respectively. It was found that the relative gain mismatch
for the 220 GHz pixels was 10% and a visual inspection of
the maps showed the two 220 GHz detectors gave inconsistent
polarization results. The cause of this inconsistency was found
to be mostly attributable to spectral gain mismatch. For all PSBs used in BICEP, at all three frequency bands,
detected radiation from the sky produces a bolometer signal, d(t) = K(t) ⊗
n(t) + g(t)
dνAe(ν)F(ν)
×
dΩ P(Ω)(I + γ (Q cos(2ψ) + U sin(2ψ))
,
(1) d(t) = K(t) ⊗
n(t) + g(t)
dνAe(ν)F(ν)
×
dΩ P(Ω)(I + γ (Q cos(2ψ) + U sin(2ψ))
,
(1) d(t) = K(t) ⊗
n(t) + g(t)
dνAe(ν)F(ν) 3 Bierman et al. 0.0
0.2
0.4
0.6
0.8
1.0
Relative Transmission/
Emission
90
100
110
120
Frequency (GHz)
−0.5
0.0
0.5
1.0
1.5
2.0
Leakage
(10−5/GHz)
140
160
180
180
200
220
240
Figure 3. Spectral gain mismatch for one feed at each of BICEP’s three bands. The top plots show the measured spectral responses for the two PSBs in a feed,
“A” (black) and “B” (blue), along with a model of atmospheric transmission
at the South Pole during median Austral winter conditions (red) and a typical
Galactic source spectrum (green) in the 220 GHz analysis region, as seen through
the atmosphere. The bottom three plots show the leakage fraction per frequency,
dξ/dν, if calibrated off the atmospheric emission but observing the Galactic
source spectrum as shown. 2.3. Spectroscopic Characterization The value of the
mismatch is quoted as 1% on average with a maximum of 3.5%
for the 23 GHz band (Page et al. 2007), in agreement with pre-
flight spectral measurements. BICEP does not have sufficient
polarization angle coverage for each feed to fit out the spurious
component; however, it is possible to use the measured spectral
responses to mitigate this effect. where S(ν) is the spectral radiance (W/srm2Hz) of the source
and ν−2 accounts for the throughput of the optics, which are
assumed to be single-moded. Shown in Figure 3 are examples of the spectral gain mismatch
between two PSBs in a feed for each band. For the purpose of
this paper, the spectral gain mismatch per frequency quantity,
“leakage fraction,” is defined by dξ
dν ≡
FA(ν)
ΓA,Galaxy −
FB(ν)
ΓB,Galaxy
Satmosphere(ν)ν−2
(GA + GB)
. (5) (5) BICEP’s spectral response mismatch leaks intensity into po-
larization and is caused by the combination of two effects. First,
several feeds have mismatched spectra, most notably the two
220 GHz feeds. Second, each PSB is calibrated relatively us-
ing the change in atmospheric loading with elevation; however,
atmospheric emission has a different spectrum than Galactic
emission or the CMB. The spectral mismatch leakage is calcu-
lated using the measured instrumental spectral response, a model
of the atmospheric emission at the South Pole,15 and a model of
the typical Galactic spectrum in the 220 GHz observing region
derived from fitting Equation (18) to BICEP and WMAP data as
performed in Section 3.5. The integral of the leakage fraction, dξ/dν, over the bounds
shown gives the total spectral leakage measured for that feed, ξ. The leakage at 220 GHz comes from the combination of a small
difference in lower band edge and a large amount of power from
the atmospheric water line at 185 GHz. The average magnitudes
of the spectral gain mismatch are 0.17%, 0.19%, 0.72% for 100,
150, and 220 GHz, respectively, using a typical Galactic source
spectrum and median precipitable water vapor conditions at the
South Pole during Austral winter. Changing the observed source
or atmospheric conditions can have an appreciable change in
these numbers. For example, one of the 150 GHz feeds has a
0.12% leakage during typical Austral summer conditions but
can change in value by 0.5% depending on the atmospheric
model. 15 Smithsonian Astrophysical Observatory,
https://www.cfa.harvard.edu/∼spaine/am/. 2.3. Spectroscopic Characterization (A color version of this figure is available in the online journal ) The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. 0.0
0.2
0.4
0.6
0.8
1.0
Relative Transmission/
Emission
90
100
110
120
Frequency (GHz)
−0.5
0.0
0.5
1.0
1.5
2.0
Leakage
(10−5/GHz)
140
160
180
180
200
220
240 100
150
200
250
Frequency (GHz)
0.0
0.2
0.4
0.6
0.8
1.0
Relative Transmission/Emission
Figure 2. BICEP’s three electromagnetic frequency spectra, F(ν), normalized to
unity (black) with the band centers (shown by vertical purple dashed lines). Also
plotted is the average spectral response for WMAP’s 94 GHz band normalized to
0.5 (gray) and the spectral radiance, S(ν), for a model of atmospheric emission at
the South Pole16 (red), the spectrum (blue) of the CMB anisotropy (temperature
derivative of the Planck function evaluated at 2.725 K; Fixsen & Mather 2002)
and a typical Galactic emission spectrum (green) in the BICEP analysis region,
as seen through the atmosphere. (A color version of this figure is available in the online journal.) 100
150
200
250
Frequency (GHz)
0.0
0.2
0.4
0.6
0.8
1.0
Relative Transmission/Emission Figure 2. BICEP’s three electromagnetic frequency spectra, F(ν), normalized to
unity (black) with the band centers (shown by vertical purple dashed lines). Also
plotted is the average spectral response for WMAP’s 94 GHz band normalized to
0.5 (gray) and the spectral radiance, S(ν), for a model of atmospheric emission at
the South Pole16 (red), the spectrum (blue) of the CMB anisotropy (temperature
derivative of the Planck function evaluated at 2.725 K; Fixsen & Mather 2002)
and a typical Galactic emission spectrum (green) in the BICEP analysis region,
as seen through the atmosphere. (A color version of this figure is available in the online journal ) Figure 3. Spectral gain mismatch for one feed at each of BICEP’s three bands. The top plots show the measured spectral responses for the two PSBs in a feed,
“A” (black) and “B” (blue), along with a model of atmospheric transmission
at the South Pole during median Austral winter conditions (red) and a typical
Galactic source spectrum (green) in the 220 GHz analysis region, as seen through
the atmosphere. The bottom three plots show the leakage fraction per frequency,
dξ/dν, if calibrated off the atmospheric emission but observing the Galactic
source spectrum as shown. Spectral gain mismatch for one feed at each of BICEP’s three Figure 3. 15 Smithsonian Astrophysical Observatory,
h
//
f h
d d /
i
/
/ 2.3. Spectroscopic Characterization In this paper, typical values are used to correct the maps
for this effect and simulations are carried out to probe the effects
of the uncertainty in this calculated parameter. The integral of the leakage fraction, dξ/dν, over the bounds
shown gives the total spectral leakage measured for that feed, ξ. The leakage at 220 GHz comes from the combination of a small
difference in lower band edge and a large amount of power from
the atmospheric water line at 185 GHz. The average magnitudes
of the spectral gain mismatch are 0.17%, 0.19%, 0.72% for 100,
150, and 220 GHz, respectively, using a typical Galactic source
spectrum and median precipitable water vapor conditions at the
South Pole during Austral winter. Changing the observed source
or atmospheric conditions can have an appreciable change in
these numbers. For example, one of the 150 GHz feeds has a
0.12% leakage during typical Austral summer conditions but
can change in value by 0.5% depending on the atmospheric
model. In this paper, typical values are used to correct the maps
for this effect and simulations are carried out to probe the effects
of the uncertainty in this calculated parameter. The spectral gain mismatch (ξ) is The spectral gain mismatch (ξ) is ξ = GA −GB
GA + GB
,
(2) (2) The absolute gain calibration for BICEP maps at each fre-
quency, co-added over all detectors, is determined by compar-
ing total intensity angular cross power spectra from the BICEP 4 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Figure 4. Detector timestream simulation showing three different polynomial
filtering methods. The top plot shows a typical timestream resulting from a scan
across the Galaxy (blue) with a fitted second-order polynomial (red) subtracted
off, causing a significant distortion of the Galaxy (gray). The middle plot shows
the same scan, except the Galaxy (green) has been excluded from the fit. The
polynomial has been interpolated across the Galaxy, leading to minimal filtering
effects. The bottom plot shows a typical scan that ends on the Galaxy, requiring
the polynomial to be extrapolated onto the Galaxy. The extrapolated polynomial
causes severe artifacts in the maps, requiring these scan portions to be excluded
from the analysis. (A color version of this figure is available in the online journal.) CMB region to the angular power spectra found by WMAP in
the same region (see Chiang et al. 2.3. Spectroscopic Characterization The out-
of-band high-frequency response is less than −25 dB, which
was characterized by using high-pass thick-grille filters and a
chopped source. Figure 4. Detector timestream simulation showing three different polynomial
filtering methods. The top plot shows a typical timestream resulting from a scan
across the Galaxy (blue) with a fitted second-order polynomial (red) subtracted
off, causing a significant distortion of the Galaxy (gray). The middle plot shows
the same scan, except the Galaxy (green) has been excluded from the fit. The
polynomial has been interpolated across the Galaxy, leading to minimal filtering
effects. The bottom plot shows a typical scan that ends on the Galaxy, requiring
the polynomial to be extrapolated onto the Galaxy. The extrapolated polynomial
causes severe artifacts in the maps, requiring these scan portions to be excluded
from the analysis. (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) scan are high-pass filtered by removing a second-order polyno-
mial fit to each half-scan, at the cost of removing some Galactic
signal as well. The pair-sum and pair-difference timestreams are
treated separately but with the same filtering. p
y
g
Polynomial removal causes an obvious distortion of the signal
when the scans include the Galactic plane. To reduce this effect,
the Galaxy is masked during the determination of the polynomial
fit (“polynomial mask”). The preferred filtering scheme uses a
second-order polynomial while masking out samples |b| < 4◦. This scheme achieves a compromise between noise filtration
and signal preservation. This process is not perfect and some
residual filtering effects remain in the maps, as discussed in
Section 3.3. A dedicated study of different filtering techniques
was undertaken but none improved the maps significantly
without causing worse filtering effects or adding additional
noise. For example, maps with only a DC offset removed per-
half-scan not only have less filtering applied to the data but also
have large-scale noise features that make quantitative analysis
unreliable. 2.3. Spectroscopic Characterization 2010 and Takahashi et al. 2010 for more details). Spectral gain mismatch between feeds
could potentially introduce systematic effects into the analysis
via feed calibration differences. Comparing the two 220 GHz-
feed intensity maps, a difference of 30% is found. While this
discrepancy was initially suspected to be due to spectral gain
mismatch between different feeds, an investigation into the ori-
gin of this discrepancy did not find that this was the cause. While calibration per feed is important, this effect does not leak
intensity power to polarization, and the quantities studied in this
paper are mostly relative quantities insensitive to this system-
atic. Therefore, a calibration error per feed will not significantly
affect the results of this paper. g
p
y
While calibration per feed is important, this effect does not leak
intensity power to polarization, and the quantities studied in this
paper are mostly relative quantities insensitive to this system-
atic. Therefore, a calibration error per feed will not significantly
affect the results of this paper. p p
While the three bands are called “100 GHz,” “150 GHz,” and
“220 GHz,” these are not the actual band centers. The band
center for a given source is calculated as ν0 =
νH
νL ν F(ν)S(ν)ν−2 dν
νH
νL F(ν)S(ν)ν−2 dν ,
(6) (6) where F(ν) is the measured average spectral response for each
band, S(ν) is the source emission spectrum, and ν−2 accounts
for the throughput of the receiver. For a flat spectral source
S(ν) = constant, this gives 95.5, 149.8, and 208.2 GHz for 100,
150, and 220 GHz bands, respectively. The dominant source
of uncertainty is due to the optical setup and whether the FTS
source is beam filling or not. This can change these values by
0.5, 0.8, and 1.0 GHz for 100, 150, and 220 GHz, respectively. Changing the integration limits can also change these values
by approximately 0.1 GHz for each band. If the band center is
determined using a CMB source as seen through the atmosphere,
this gives band centers 96.2, 150.6, and 208.8 for 100, 150, and
220 GHz, respectively. If the band center is determined using a
typical Galactic source with dust and synchrotron emission, as
seen through the atmosphere, this gives band centers 96.3, 152.4,
and 212.2 for 100, 150, and 220 GHz, respectively. 2.3. Spectroscopic Characterization Another
way to calculate the average band center is to compute the band
center for each detector separately and then average over all
the detectors in a band. Doing this for the Galactic spectrum
gives average band centers of 96.3, 152.3, and 212.0 GHz with
uncertainties in the average of 0.1, 0.3, and 1.0 GHz for 100,
150, and 220 GHz, respectively. The standard deviations of the
distributions over the detectors are 0.4, 1.4, and 2.1 GHz for
100, 150, and 220 GHz, respectively, showing how different the
spectral responses of a given detector in a band can be. The out-
of-band high-frequency response is less than −25 dB, which
was characterized by using high-pass thick-grille filters and a
chopped source. where F(ν) is the measured average spectral response for each
band, S(ν) is the source emission spectrum, and ν−2 accounts
for the throughput of the receiver. For a flat spectral source
S(ν) = constant, this gives 95.5, 149.8, and 208.2 GHz for 100,
150, and 220 GHz bands, respectively. The dominant source
of uncertainty is due to the optical setup and whether the FTS
source is beam filling or not. This can change these values by
0.5, 0.8, and 1.0 GHz for 100, 150, and 220 GHz, respectively. Changing the integration limits can also change these values
by approximately 0.1 GHz for each band. If the band center is
determined using a CMB source as seen through the atmosphere,
this gives band centers 96.2, 150.6, and 208.8 for 100, 150, and
220 GHz, respectively. If the band center is determined using a
typical Galactic source with dust and synchrotron emission, as
seen through the atmosphere, this gives band centers 96.3, 152.4,
and 212.2 for 100, 150, and 220 GHz, respectively. Another
way to calculate the average band center is to compute the band
center for each detector separately and then average over all
the detectors in a band. Doing this for the Galactic spectrum
gives average band centers of 96.3, 152.3, and 212.0 GHz with
uncertainties in the average of 0.1, 0.3, and 1.0 GHz for 100,
150, and 220 GHz, respectively. The standard deviations of the
distributions over the detectors are 0.4, 1.4, and 2.1 GHz for
100, 150, and 220 GHz, respectively, showing how different the
spectral responses of a given detector in a band can be. 2.5. Mapmaking The pair-sum (d+) and pair-
difference (d−) timestreams can then be determined: d+ = dA + dB
2
= I + α+Q + β+U ≈I,
(9)
d−= dA −dB
2
= α−Q + β−U ≈Q cos(2 ψA)
+ U sin(2 ψA), (9) which give rise to the Stokes parameters I, Q, and U, where α±
and β± account for the polarization angle: which give rise to the Stokes parameters I, Q, and U, where α±
and β± account for the polarization angle: α± ≡γA cos(2 ψA) ± γB cos(2 ψB)
2
,
(10)
β± ≡γA sin(2 ψA) ± γB sin(2 ψB)
2
. (10) The A and B bolometers are assumed to be nearly perpen-
dicular, so the pair-sum gives the total intensity to a very high
precision. If γ is also assumed to be equal to one, then α± and
β± simplify to {0, cos(2ψA)} and {0, sin(2ψA)}. However, γ
is closer to 90% and can differ by several percent between a
given pair of bolometers within a feed, so no simplification is
made during mapmaking using the pair-difference signal. After
the spectral gain mismatch is corrected and after the sum and
difference are taken, the resulting pair-sum and pair-difference
timestreams are polynomial filtered as discussed in Section 2.4. Q Figure 5. Integration time per 0.◦25 Healpix map pixel for 100 GHz (top:
Celestial coordinates, second from top: Galactic coordinates), 150 GHz (second
from bottom; Galactic coordinates), and 220 GHz (bottom; Galactic coordinates)
derived from all three seasons co-added over all four boresight angles of
BICEP observations. The wedge-shaped cuts in the map without integration
time are from the omission of parts of scans with extrapolated polynomial fits
(Section 2.4). The 100 GHz celestial coordinate map is an example of the native
observation reference frame from the South Pole. The red outlined area (called
the “220 GHz analysis region”) is an area of the sky where analysis at all three
bands can be carried out. This region is a subset of the blue outlined area on the
100 and 150 GHz maps (called the “100/150 GHz analysis region”) where the
final analysis can only be carried out at 100 and 150 GHz (see Section 3). 2.4. Time Domain Data Processing Following the el-nod calibration and correction for spectral
gain mismatch, the sum and the difference of a PSB pair are cal-
culated. Differencing the calibrated orthogonally linearly polar-
ized detectors removes most of the unpolarized atmospheric
response and unpolarized, scan-fixed, contamination. Atmo-
spheric 1/f noise dominates the rms of the pair-sum timestreams
for a typical half-scan. These fluctuations can be less than 1 mK
in good weather or reach approximately 300 mK in bad weather,
with a 1/f knee as high as a few Hertz. The data also contain
a sub-dominant scan-fixed contamination, which does not inte-
grate down as uncorrelated noise. To remove both 1/f atmo-
spheric and scan-fixed contamination, the data from each half- There is an added complication in this scheme for scans
that end within the masked region (Figure 4). A polynomial
constrained by measurements on both sides of the Galactic
plane reasonably approximates the low-frequency drifts within
the interpolated region. However, scans not constrained on both
sides of the plane require the polynomial to be extrapolated
beyond the fitted region. Extrapolated polynomials tend to
diverge because there are no data constraining the fit. Therefore,
the filtering scheme is modified so that scan portions that end
within the masked region are excluded, giving rise to maps with 5 Bierman et al. 2.5. Mapmaking The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. 2.5. Mapmaking Once the data-processing steps are completed, the Stokes
parameters I, Q, and U are derived using standard techniques
(Jones et al. 2007). Equation (1) can be simplified to d
′
A,B = gA,B(I + γA,B(Q cos(2ψA,B) + U sin(2ψA,B))),
(7) Figure 5. Integration time per 0.◦25 Healpix map pixel for 100 GHz (top:
Celestial coordinates, second from top: Galactic coordinates), 150 GHz (second
from bottom; Galactic coordinates), and 220 GHz (bottom; Galactic coordinates)
derived from all three seasons co-added over all four boresight angles of
BICEP observations. The wedge-shaped cuts in the map without integration
time are from the omission of parts of scans with extrapolated polynomial fits
(Section 2.4). The 100 GHz celestial coordinate map is an example of the native
observation reference frame from the South Pole. The red outlined area (called
the “220 GHz analysis region”) is an area of the sky where analysis at all three
bands can be carried out. This region is a subset of the blue outlined area on the
100 and 150 GHz maps (called the “100/150 GHz analysis region”) where the
final analysis can only be carried out at 100 and 150 GHz (see Section 3). (A color version of this figure is available in the online journal.) assuming the beam functions are the same for a given pair of
PSBs and the responsivities, gA,B, still include the spectral gain
mismatch after el-nod calibration. The Stokes parameters I, Q,
and U now represent quantities integrated over Ω and ν, and
{A, B} refers to the two orthogonal bolometers within a given
feed. Before calculating the sum and difference data of the two
PSBs in a feed, the spectral gain mismatch factors calculated in
Equation (2) are corrected: dA = d
′
A × (1 + ξ),
(8)
db = d
′
b × (1 −ξ), (8) where ξ is the spectral gain mismatch and d
′
A,B denotes the
uncorrected timestream data. 2.5. Mapmaking (A color version of this figure is available in the online journal.) The I, Q, and U maps are given by The I, Q, and U maps are given by m(I,Q/U) = (AT N−1A)−1AT N−1d(+,−),
(11) (11) which is a noise-weighted linear least-squares regression where
m is the set of map pixels for a given Stokes parameter, N is
the noise covariance matrix, and A is the pointing matrix. Since
d(+,−) are filtered timestreams, the resulting sky maps m(I,Q/U)
are also filtered. For this work, it is sufficient to assume that
the noise is uncorrelated, making N diagonal and simple to
invert. The variance associated with samples in a single half-
scan is assumed to be time-independent, and is calculated from
the samples lying outside the Galactic mask after polynomial
subtraction. For the pair-sum data, the pointing matrix consists
of ones and zeros, indicating whether or not the telescope is a missing wedge (Figure 5). Additionally, a brief measurement
on both sides of the plane was not enough to constrain the
polynomials sufficiently. Therefore, scans were required to have
at least 10 samples on either side of the Galactic plane to be used
in the mapmaking process. 6 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Figure 6. BICEP intensity maps from all three seasons co-added over all four
boresight angles at 0.◦25 Healpix resolution, in Galactic coordinates, at 100,
150, and 220 GHz from top to bottom, respectively. The color scale has been
chosen to emphasize the CMB anisotropy, which is visible in all three bands. (A color version of this figure is available in the online journal.) Bierman et al. pointing at a particular map pixel. This simplifies Equation (11),
only requiring the calculation of the weighted mean of d+ to
determine the total intensity map mI (see Equation (5) in Chiang
et al. 2010). To determine the polarization maps mQ/U from
the pair-difference data d−, the pointing matrix consists of a
combination of the α’s and β’s and Equation (11) can be written
as Sj
i=1
wi
α2
i
αiβi
αiβi
β2
i
Qj
Uj
=
Sj
i=1
wi
αidi
βidi
. (12) (12) The subscript “−” has been dropped from the d, α, and β terms
for clarity. 2.5. Mapmaking Equation (12) holds true for each band separately
where di is a single pair-difference timestream sample, wi is the
inverse variance for a single sample, index j corresponds to a
given map pixel, and Sj is the total number of samples from all
the feeds per band in a given map pixel. After summing over
i, the matrices per pixel per band are inverted to solve for Q
and U. For each map pixel, the seven quantities used to recover
I, Q, and U are the pair-sum weights and pair-sum weighted
data, pair-difference weighted data multiplied by α and β, and
weighted α2, β2, and αβ. An eighth quantity, integration time
per pixel, is also recorded in order to measure noise properties
and observing efficiency. The subscript “−” has been dropped from the d, α, and β terms
for clarity. Equation (12) holds true for each band separately
where di is a single pair-difference timestream sample, wi is the
inverse variance for a single sample, index j corresponds to a
given map pixel, and Sj is the total number of samples from all
the feeds per band in a given map pixel. After summing over
i, the matrices per pixel per band are inverted to solve for Q
and U. For each map pixel, the seven quantities used to recover
I, Q, and U are the pair-sum weights and pair-sum weighted
data, pair-difference weighted data multiplied by α and β, and
weighted α2, β2, and αβ. An eighth quantity, integration time
per pixel, is also recorded in order to measure noise properties
and observing efficiency. 3. RESULTS The BICEP polarimeter produced high signal-to-noise maps
of the Galaxy in three different bands. The analysis in this
section includes a qualitative discussion of the map features,
investigation into map statistical and systematic uncertainties,
a direct comparison to the maps observed by the WMAP
satellite, and a quantitative analysis of the properties in the
maps. For quantitative calculations, two analysis regions were
defined (Figure 5). The “100/150 GHz analysis region” consists
of 147 one-degree Healpix map pixels that have intensity
values greater than zero, located at less than two degrees in
Galactic latitude, and a polarization fraction magnitude less
than 20%. Since there were only two 220 GHz feeds installed in
BICEP, this limited the sky coverage for that band. Therefore, a
“220 GHz analysis region,” using 53 of the 147 pixels from the
100/150 GHz analysis region, defines a subset of map pixels
that can be analyzed at all three bands. Figure 6. BICEP intensity maps from all three seasons co-added over all four
boresight angles at 0.◦25 Healpix resolution, in Galactic coordinates, at 100,
150, and 220 GHz from top to bottom, respectively. The color scale has been
chosen to emphasize the CMB anisotropy, which is visible in all three bands. (A color version of this figure is available in the online journal.) emission near the Galactic plane. The noise in the intensity
maps is not white; however, it is barely visible at either 100 or
150 GHz, even off the plane, except at the edges of the map. The
map pixels at the lower elevation have a lower signal-to-noise
ratio due to the Healpix pixelization scheme that bins data into
equal area pixels, while the scan strategy follows a Mercator
projection. This effect is most readily visible in the 220 GHz
maps when comparing the upper and lower portions of the map. 3.1. Intensity and Polarization Maps Figures 6–9 show BICEP Galactic maps in three different
bands, binned into 0.◦25 Healpix pixels, using second-order
polynomial filtering while masking data |b| < 4◦. Polarization
angles are defined counterclockwise from the meridian at the
map pixel, in accordance with the IAU definition (Weiler 1973;
Hamaker & Bregman 1996). BICEP absolute calibration casts
the maps in thermodynamic temperature (Mather et al. 1994;
Bennett et al. 2003), dT, the temperature difference (measured
with respect to the mean CMB temperature) of a blackbody
emitter required to explain the measured intensity. This unit is
convenient for CMB analysis as it places the CMB anisotropy
on the same scale at all observing frequencies and gives a
consistent reference frame for emission from sources other than
the CMB. Conversion from temperature to intensity is done via
a scale factor given by the derivative of the Planck function
(Equation (17)). The total intensity maps overlaid with polarization vectors in
Figure 7 show that the brightest Galactic emission is within two
degrees of the plane and consists of smooth large-scale features
and compact sources along the plane. The maps show that the
intensity signal dominates over the noise in the plane at all three
bands and the polarization vectors are mostly perpendicular to
the plane. Figure 8 shows there is U signal in the plane corresponding to
polarization vectors that are not perfectly perpendicular to the
Galactic plane. There are regions of positive U polarization in
the plane at all three bands. However, there is a region in the
150 GHz maps near Galactic longitude ℓ= 322◦that shows a
significant amount of negative U signal that is not an artifact
of the filtering or systematics. The noise appears mostly white
over the whole observing region with some residual striping
along the scan direction at this map resolution. The total intensity maps in Figure 6 show the large contrast
between the CMB temperature anisotropy (|b| > 5◦) and the 7 The Astrophysical Journal, 741:81 (21pp), 2011 November 10
Bierman et al. Figure 7. BICEP intensity maps from all three seasons co-added over all four boresight angles with polarization vectors, in Galactic coordinates, at 100, 150, and
220 GHz from top to bottom, respectively. The color scale is chosen to emphasize the emission in the Galactic plane. 3.1. Intensity and Polarization Maps Polarization vectors are only displayed if the
map pixel has a signal-to-noise ratio above 10 for the unpolarized intensity, I, and above 4 for polarized intensity, P = p × I. Polarization vectors are predominantly
perpendicular to the Galactic plane, implying that the magnetic field in the medium sampled by BICEP is parallel to the plane of the Galaxy. While intensity values
cannot physically be negative, the observing and analysis strategy filters the maps, causing negative values in the maps as can be seen near higher Galactic latitudes. To convert thermodynamic temperature units, mK, to differential intensity units, MJy sr−1, multiply the 100, 150 and 220 GHz map values by 0.22, 0.40, 0.48,
respectively. (A color version of this figure is available in the online journal ) The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. ,
(
pp), Figure 7. BICEP intensity maps from all three seasons co-added over all four boresight angles with polarization vectors, in Galactic coordinates, at 100, 150, and
220 GHz from top to bottom, respectively. The color scale is chosen to emphasize the emission in the Galactic plane. Polarization vectors are only displayed if the
map pixel has a signal-to-noise ratio above 10 for the unpolarized intensity, I, and above 4 for polarized intensity, P = p × I. Polarization vectors are predominantly
perpendicular to the Galactic plane, implying that the magnetic field in the medium sampled by BICEP is parallel to the plane of the Galaxy. While intensity values
cannot physically be negative, the observing and analysis strategy filters the maps, causing negative values in the maps as can be seen near higher Galactic latitudes. To convert thermodynamic temperature units, mK, to differential intensity units, MJy sr−1, multiply the 100, 150 and 220 GHz map values by 0.22, 0.40, 0.48,
respectively. (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) It is known that the observed polarization fraction from an
astronomical source will be lessened by disorder in the magnetic
field (Wiebe & Watson 2004). To explore the Galaxy’s magnetic
structure, BICEP maps are fit to a phenomenological power law
as Figure 9 shows there is no significant negative Q polarization
in the Galactic plane, which would have produced polarization
vectors generally parallel to the Galactic plane. 3.1. Intensity and Polarization Maps The noise is
nearly identical in nature to the noise in the U maps because both
are derived from the same pair-difference data with identical
filtering. q = q(Imedian) ×
I
Imedian
η
,
(14) (14) 3.2. Map Quantities and Polarization Fraction Model The map quantities studied are I, the pixel intensities
(Section 3.5); q, the polarization fraction perpendicular to the
Galactic plane; η, the exponent of a simple power law describing
the relationship between q and I (Section 3.6); and θ, the polar-
ization angle in Galactic coordinates (Section 3.7). The derived
variables q, u, p, and θ are given, respectively, by where Imedian is calculated from the map pixels in the 220 GHz
analysis region, η is the slope parameter, and q(Imedian) is the
overall polarization fraction normalization parameter. The pa-
rameter η approximately represents the disorder in the magnetic
field which is traced by millimeter-wave polarization. The simplest Galactic magnetic field model to compare
BICEP data to is one where η = 0, which has no disorder
in the field. The measured polarization is a direct imprint of the
intensity signal, related by a constant polarization factor q0. q ≡Q
I ,
u ≡U
I ,
p ≡
q2 + u2,
θ ≡1
2 tan−1
U
Q
. (13) (13) Other models describe the Galaxy’s magnetic fields as being
much more random. For example, a simple toy model for this
case is one where the Galaxy is uniformly thick and consists of a
constant polarized (q0) diffuse component emitting with a weak
intensity, I0. Scattered throughout are dense star-forming regions
with random polarization angles which, when integrated along
the line of sight or over the beam width, will integrate down to
very low net polarization but will contribute to total intensity
with I1. In this case, the polarization fraction would be The main polarization quantity studied is q as opposed to p or
u, because p suffers noise bias being a positive definite quantity,
and there is relatively little signal in u. While the magnitude of
u can make up a large fraction of the total polarization power in
any given 0.◦25 pixel, the average u power is small compared to
the average q power. For example, the average ratio of u to q at
100 GHz in the 100/150 GHz analysis region is 0.25. Also, note
that Figure 7 is at 0.◦25 resolution, while analysis is done at 1.◦0
resolution. The signal-to-noise ratio at 0.◦25 resolution makes it
difficult to determine trends by visual inspection only, which is
why the pixels are binned to 1.◦0 pixel size for analysis. q =
q0I0
I0 + I1
∝I −1. 3.2. Map Quantities and Polarization Fraction Model (15) (15) 8 The Astrophysical Journal, 741:81 (21pp), 2011 November 10
Bierman et al. The Astrophysical Journal, 741:81 (21pp), 2011 November 10
Bierman et al. Figure 8. BICEP U-polarization maps from all three seasons co-added over all four boresight angles, in Galactic coordinates, at 100, 150, and 220 GHz, from top to
bottom, respectively. Galactic +U polarization corresponds to a polarization vector in the +b and +ℓdirections. Power can be seen in all three bands indicating areas
where the Galactic magnetic field is not exactly aligned with the Galactic plane. The significant detection of negative U power in 150 GHz map at Galactic longitude
322◦is physical and not an artifact of filtering or other systematics. (A
l
i
f thi fi
i
il bl i th
li
j
l ) The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Figure 8. BICEP U-polarization maps from all three seasons co-added over all four boresight angles, in Galactic coordinates, at 100, 150, and 220 GHz, from top to
bottom, respectively. Galactic +U polarization corresponds to a polarization vector in the +b and +ℓdirections. Power can be seen in all three bands indicating areas
where the Galactic magnetic field is not exactly aligned with the Galactic plane. The significant detection of negative U power in 150 GHz map at Galactic longitude
322◦is physical and not an artifact of filtering or other systematics. (A color version of this figure is available in the online journal.) Figure 9. BICEP Q-polarization maps from all three seasons co-added over all four boresight angles, in Galactic coordinates, at 100, 150, and 220 GHz, from top to
bottom, respectively. Galactic +Q polarization (red), corresponding to a vector that is perpendicular to the Galactic plane, dominates the maps. (A color version of this figure is available in the online journal.) Figure 9. BICEP Q-polarization maps from all three seasons co-added over all four boresight angles, in Galactic coordinates, at 100, 150, and 220 GHz, from top to
bottom, respectively. Galactic +Q polarization (red), corresponding to a vector that is perpendicular to the Galactic plane, dominates the maps. (A color version of this figure is available in the online journal.) In this case η = −1, implying increasing dust column density
that contributes no additional polarized intensity. 3.2. Map Quantities and Polarization Fraction Model Difference between Q Gal-bright maps made at boresight rotation angles {0, 315} and {135, 180}, divided by two, in Galactic coordinates for 100, 150,
and 220 GHz from top to bottom, respectively. The left-hand plots are the difference maps uncorrected for spectral gain mismatch, while the right-hand plots have
been corrected. Some of the features in these raw jackknife maps are due to differences in integration time and polarization coverage such as near the edges of the
observing area. Other features such as the negative excess centered near ℓ= 327◦and b = 0◦in the 150 GHz map arise from scan-fixed or telescope systematic
contamination. Most of the excess at 220 GHz is corrected by accounting for spectral gain mismatch while there is marginal change in the 100 and 150 GHz maps. There is some faint striping nearly orthogonal to the Galactic plane in the 150 and 220 GHz maps from residual 1/f noise leaking through the polynomial mask. (A color version of this figure is available in the online journal.) which does not necessarily follow the same power-law trend
as p. For example, a Galaxy with completely random magnetic
field directions would predict a polarization fraction p given by
a power-law exponent of η = −0.5; however, in this scenario,
q would oscillate about zero and give an average η = 0. systematic changes in the maps. These “telescope systematics,”
studied and characterized by Takahashi et al. (2010) for the
CMB B-mode analysis, are controlled very well partly because
of BICEP’s simple, compact design. The overall magnitude of
the telescope systematics and 1/f leakage in the Galactic maps
are estimated by splitting the data into two halves, according
to the telescope’s orientation angle about the boresight. Angles
0◦and 315◦are called “boresight map A,” while 135◦and 180◦
are called “boresight map B.” Since there are only two 220 GHz
feeds, 220 GHz boresight map A is determined from a single
feed, while 220 GHz boresight map B is determined from the
other feed. This split is the most probative for the polarimeter be-
cause the Galactic sky coverage in each half comes mostly from
a different set of feeds, taken at different times, under different
weather conditions, and with the telescope oriented differently
with respect to gravity. 3.2. Map Quantities and Polarization Fraction Model a magnetic field model from Burn (1966) using the assumption
above, namely that the polarization fraction is a product of the
ratio of uniform and random components of the magnetic field. Jones (1989) fits starlight polarization data to p versus τ ηabs
K ,
finding ηabs = 0.75, which implies ηem = −0.25. Jones (1989)
takes the fitting process a step further and runs Monte Carlo
simulations for observing Galactic magnetic field arrangements
with varying level of randomness and claims a more accurate
fit than using an analytic equation. Lastly, these other works
study polarization fraction p, while in this paper q is studied, While both of the models here are strictly empirical, other
studies have used similar methods. These methods involve fitting
starlight polarization to a similar power-law model; the exponent
for polarization by absorption is related to the power-law expo-
nent for polarization by emission in the millimeter-wave band
by ηem = ηabs −1. Fosalba et al. (2002) fit starlight polarization
data to p versus E(B −V )ηabs, finding ηabs = 0.8, which implies
ηem = −0.2. Fosalba et al. (2002) then relate this fit parameter to 9 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. The Astrophysical Journal, 741:81 (21pp), 2011 November 10
Bierman et al. Figure 10. Difference between Q Gal-bright maps made at boresight rotation angles {0, 315} and {135, 180}, divided by two, in Galactic coordinates for 100, 150,
and 220 GHz from top to bottom, respectively. The left-hand plots are the difference maps uncorrected for spectral gain mismatch, while the right-hand plots have
been corrected. Some of the features in these raw jackknife maps are due to differences in integration time and polarization coverage such as near the edges of the
observing area. Other features such as the negative excess centered near ℓ= 327◦and b = 0◦in the 150 GHz map arise from scan-fixed or telescope systematic
contamination. Most of the excess at 220 GHz is corrected by accounting for spectral gain mismatch while there is marginal change in the 100 and 150 GHz maps. There is some faint striping nearly orthogonal to the Galactic plane in the 150 and 220 GHz maps from residual 1/f noise leaking through the polynomial mask. (A color version of this figure is available in the online journal.) Figure 10. 3.2. Map Quantities and Polarization Fraction Model For this study, the two BICEP bore-
sight maps per frequency band are studied in this paper, which
can be used to gauge the general level of residual systematic
contamination in the maps. 3.3. Noise and Systematic Error Evaluation To confirm the integrity of the maps presented here, they were
cross-checked with an independently written pipeline. The two
pipelines produced nearly identical Healpix maps, reducing
the possibility of coding errors or other non-physical errors. For example, taking the difference between the two pipeline’s
150 GHz Q maps gave a pixel rms level five times smaller than
the noise level, with no obvious signal features left. g
The data have 1/f noise from atmospheric fluctuations,
electronic readout drifts, thermal instabilities, and scan-fixed
contamination. The polynomial subtraction removes most of
this contamination but the polynomial masking allows some of
this noise to leak back into the Galaxy maps. The polynomial
fitting is applied only to data outside of the Galactic plane
mask, causing χ2 not to be minimized with respect to the noise
within the mask. However, since the noise is correlated, the
polynomial fit approximates well the noise close to the mask
edges, but decreases in effectiveness the further the pixels are
from the edge of the mask. Therefore, the larger the mask used,
the worse the polynomial fit inside the mask approximates the
noise, because there is a larger gap over which the polynomial
must be interpolated. The smaller the mask used, the better the fit
approximates the noise; however, this also increases the filtering
of the signal in the plane. 3.3.2. Uncertainty due to Spectral Gain Mismatch In addition to the nominal 4◦polynomial mask,
separate simulations were performed using 2◦to 9◦polynomial
masks for the WMAP simulations. Mask values above 5◦gave
marginal improvements in recovery of studied parameters but
these higher mask values also decreased the amount of mapped
area and also created more map pixels near the edges of the
observation area with abnormal properties. Polynomial masks
ranging from 2◦to 5◦were also applied to the real data. Then,
for each map, the same pixels were fit to Equation (14) and the
average angle and standard error in the angle were computed. y
g
The percent error computed from the simulations based on
different atmospheric conditions is
δq(Imedian)
q(Imedian)
= [1.0%, 1.3%,
3.6%] and
δη
η
= [8.9%, 15.%, >100%] for 100, 150, and
220 GHz bands, respectively. The uncertainty from spectral
measurement errors is
δq(Imedian)
q(Imedian)
= [0.2%, 0.2%, 0.3%] and
δη
η = [2.4%, 1.8%, 41.0%] for 100, 150, and 220 GHz bands,
respectively. The uncertainty on the 220 GHz parameters is
larger than the other two bands because the two 220 GHz
feeds have the largest spectral gain mismatch and the smallest
measured η value. The spectral measurement uncertainties are
five to ten times smaller than the uncertainties from the various
weather conditions. The combined spectral gain mismatch
uncertainties are relatively minor for the determination of
q(Imedian); however, these uncertainties provide the largest single
source of error on η at all three bands. The percent error computed from the simulations based on
different atmospheric conditions is
δq(Imedian)
q(Imedian)
= [1.0%, 1.3%,
3.6%] and
δη
η
= [8.9%, 15.%, >100%] for 100, 150, and
220 GHz bands, respectively. The uncertainty from spectral
measurement errors is
δq(Imedian)
q(Imedian)
= [0.2%, 0.2%, 0.3%] and
δ δη
η = [2.4%, 1.8%, 41.0%] for 100, 150, and 220 GHz bands,
respectively. The uncertainty on the 220 GHz parameters is
larger than the other two bands because the two 220 GHz
feeds have the largest spectral gain mismatch and the smallest
measured η value. The spectral measurement uncertainties are
five to ten times smaller than the uncertainties from the various
weather conditions. The combined spectral gain mismatch
uncertainties are relatively minor for the determination of
q(Imedian); however, these uncertainties provide the largest single
source of error on η at all three bands. 3.3.2. Uncertainty due to Spectral Gain Mismatch Simulations were run to show the level of uncertainty induced
on the quantitative parameters analyzed in this paper due to
uncertainty in the spectral gain mismatch calculation. Two sets
of simulations were run; one based on the uncertainty in the
atmospheric conditions and one based on the uncertainty in the
measured spectral response. The average spectral response and measurement uncertainty
were calculated from the eight separate spectral response runs
per detector (Section 2.3). The uncertainty in atmospheric con-
ditions was derived from computing the spectral gain mismatch
using Austral winter and summer conditions, using a low pre-
cipitable water vapor (pwv) value, a median value, and a high
value for different observing angles. The mean and standard
deviation of these conditions were computed, where the mean
values are the nominal spectral gain mismatch and the standard
deviation is used as the uncertainty. The pwv conditions used
were quite conservative and actual observing conditions most
likely had a smaller range of weather conditions. Using these intensity maps, simulated polarization maps are
generated using Equation (14) with parameters found from
the BICEP maps. For the simulations, the polarization fraction
magnitude was always chosen to be 2% at the median intensity
and the power-law exponent η was varied between −0.75,
−0.50, and −0.25. The polarization angle is set to 7◦, the
approximate average polarization angle found in the 220 GHz
analysis region, which sets the value of U in the simulation. Using this model, the polarization fraction has the possibility of
taking unphysical values; therefore, the maximum polarization
fraction allowed is set to 10%. A value of 25% was also
implemented but this did not change the results appreciably. Simulations were performed by generating random spectral
gain mismatch parameters for each feed, creating a modified list
of spectral gain mismatches. Using the modified list, the entire
set of mapmaking steps of Sections 2.4 and 2.5 are repeated,
and q(Imedian) and η are found. This procedure was repeated
ten times for both the atmospheric and spectral response
measurement uncertainties, giving average parameter values and
an uncertainty on each average. BICEP pointing was used to extract I, Q, U values from
the simulated maps to generate the simulated timestreams. The
simulated timestreams were processed with the same filtering
as described in Section 2.4, leading to identical coverage as
the real data. 3.3.1. Boresight Difference Maps To illustrate the efficacy of the boresight difference maps,
Figure 10 shows the difference between the two groups for the
Q maps for all three bands, both before and after the spectral
gain mismatch correction. This is a qualitative jackknife test, as
it does not test quantitatively against the expected noise or signal
leakage. Figure 10 shows some power in the Q boresight map
jackknife at all three bands, which is representative of all the
Galactic jackknife maps. The residual power in the 220 GHz
raw maps was used to validate the spectral gain mismatch
model and the post-corrected maps show the level of correction
achieved. While there is still some residual power in the 100
and 150 GHz channels, it does not affect the results claimed in Optical imperfections, such as beam mismatch, cross-
polarization, depolarization, and sidelobe response can cause 10 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. maps per frequency band. The WMAP intensity map was first
deconvolved with the beam function provided by WMAP and
convolved with the BICEP Gaussian beam at a given band. Then,
the maps were downsampled from 0.◦125 Healpix pixels to 0.◦25
pixels. An additional simulation was carried out using the higher
resolution pixels, but this caused less than a 5% change in the
resulting simulation values. For the FDS simulation, tools are
provided to predict the power over the entire sky at an arbitrary
frequency.16 A full-sky prediction is made at 0.◦016 Healpix
pixel resolution for each BICEP band for each measured spectral
bandpass data point (approximately 200 separate frequency
points per band), which can then be summed together to make
three full-sky-simulated BICEP band dust maps. The maps are
convolved with the BICEP beam at each band and downsampled
to 0.◦25 Healpix resolution. this paper. The post-corrected 220 GHz maps give consistent
polarization results between the two detectors; however, there is
still uncertainty in the spectral gain mismatch parameter mostly
due to variability in atmospheric conditions. 3.3.2. Uncertainty due to Spectral Gain Mismatch g
g
g
p
Figure 11 shows the results of the WMAP simulation (FDS
simulation results not shown) and compares the resulting av-
erage map parameters to the real data. The changes in derived
parameters due to polynomial-mask size are generally smaller
than the changes in the parameters between filtered and un-
filtered maps. The level of filtering effects on the maps and
uncertainty in the map correction factor can be judged from the
different simulations and the comparison to the real data. The
filtering effects and correction factors are smaller and better un-
derstood for some parameters such as the intensity I, but are
larger and not as well understood such as for η. The conclu-
sion from the simulations and comparison to the real data in
Figure 11 is that while the BICEP maps have been systemati-
cally filtered, the magnitude of this effect is small enough not to
affect the general results from the analysis of the maps. How-
ever, these effects do prevent additional quantitative analysis of
the maps beyond what is performed in this paper as a whole. 16 http://astro.berkeley.edu/dust/index.html 3.3.3. Uncertainty due to Polynomial Filtering Average periodogram for the pair-sum and pair-difference
timestreams from all of the Galactic scans, after second-order polynomial re-
moval. The second-order polynomial filtering is apparent at 0.05 Hz (the lowest
frequency bin), where the power is lower than the white-noise level. The rise
at high frequency is due to the deconvolution of the detector and system time
constant. color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) and η calculated from these simulations for the 220 GHz analysis
region are 11%, 37%, and 39%, respectively. The average
correction factor for computing the average q is 23%. These
values are used to correct results for further analysis in this
paper. 3.3.3. Uncertainty due to Polynomial Filtering (A color version of this figure is available in the online journal.)
the simulation parameters. The uncertainty in the polarization
filtering correction is only known to ±25%, which comes
equally from variations of simulation polarization parameters
Figure 12. Average periodogram for
timestreams from all of the Galactic scans
moval. The second-order polynomial filteri
frequency bin), where the power is lower
at high frequency is due to the deconvolut
constant. (A color version of this figure is available i
and η calculated from these simulat
region are 11%, 37%, and 39%
correction factor for computing th
values are used to correct results
paper. 3.3.4. General M
Background photon and detecto
noise floor in the maps. The ave
sensitivity can be calculated by taki
and computing the periodogram fo
periodogram per feed for each freq
Figure 12. The pair-sum data suffer
atmospheric contamination from 1
the 1/f atmospheric noise is remov
by pair differencing within a feed, r
at all three bands above 0.1 Hz. A
periodogram from 0.1 Hz to 1.0 Hz
size of ≈0.◦5–5◦) gives noise-equiv
detector values of 520, 450, and
and 220 GHz, respectively. After
efficiencies, these correspond to N
340, and 880 μK√s for 100, 150,
There is very good agreement betw
the periodograms in Takahashi et
years of third-order polynomial fi
region, and this calculation usin
the Gal-bright and Gal-weak reg
polynomial filtering. The noise in a given map pixel is Figure 11. Fractional change in the average map parameters vs. polynomial-
mask size for 100 GHz (red diamonds), 150 GHz (blue triangles), 220 GHz
(purple upside-down triangles), and the 150 GHz WMAP simulation (black
circles) showing the size of, and general level of uncertainty in, the filtering
effects on the maps. The parameters studied are intensity I, Q polarization, Q
polarization fraction at the median intensity, η, and polarization angle. The units
are relative percent difference (angular difference for the bottom plot) between
a given average map parameter, X, and the 4◦polynomial-mask average map
parameter, X4◦; ΔX = (X/X4◦−1). At the bottom of each plot is the fractional
difference, Δunfiltered, in the parameter value derived from the average values of
unfiltered simulation maps compared to that from filtered simulation maps with
a 4◦polynomial mask. (A color version of this figure is available in the online journal.) Figure 12. 3.3.3. Uncertainty due to Polynomial Filtering Polynomial subtraction removes signal as well as noise,
causing systematic filtering effects. To estimate the filtering
effects, simulations are carried out to compare maps before and
after various filtering strategies as well as to compare to the
real data. The general algorithm for the simulation was to use
an intensity map and Galactic polarization model parameters
to generate I, Q, and U maps. These maps are then filtered in
various ways and compared to the original maps and actual
data filtered in a similar manner to find the resulting effects and
uncertainties of filtering on the maps. p
y
p
p p
The uncertainty in the filtering correction for the intensity data
is ±5%, which comes mostly from the variation of results from
the WMAP and FDS simulations rather than variations within g
p
The simulations used WMAP 94 GHz DA 1 (Section 3.4) and
FDS (Finkbeiner et al. 1999) to make two separate intensity 11 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Bierman et al. Figure 12. Average periodogram for the pair-sum and pair-difference
timestreams from all of the Galactic scans, after second-order polynomial re-
moval. The second-order polynomial filtering is apparent at 0.05 Hz (the lowest
frequency bin), where the power is lower than the white-noise level. The rise
at high frequency is due to the deconvolution of the detector and system time
constant. (A color version of this figure is available in the online journal.) The Astrophysical Journal, 741:81 (21pp), 2011 November 10 The Astrophysical Journal, 741:81 (21pp), 2011 November 10
Figure 11. Fractional change in the average map parameters vs. polynomial-
mask size for 100 GHz (red diamonds), 150 GHz (blue triangles), 220 GHz
(purple upside-down triangles), and the 150 GHz WMAP simulation (black
circles) showing the size of, and general level of uncertainty in, the filtering
effects on the maps. The parameters studied are intensity I, Q polarization, Q
polarization fraction at the median intensity, η, and polarization angle. The units
are relative percent difference (angular difference for the bottom plot) between
a given average map parameter, X, and the 4◦polynomial-mask average map
parameter, X4◦; ΔX = (X/X4◦−1). At the bottom of each plot is the fractional
difference, Δunfiltered, in the parameter value derived from the average values of
unfiltered simulation maps compared to that from filtered simulation maps with
a 4◦polynomial mask. 3.3.4. General Map Noise Background photon and detector noise dominates the white-
noise floor in the maps. The average polarization map pixel
sensitivity can be calculated by taking the calibrated timestreams
and computing the periodogram for each half-scan. The average
periodogram per feed for each frequency band is then shown in
Figure 12. The pair-sum data suffer from increasing levels of 1/f
atmospheric contamination from 100 GHz to 220 GHz. Most of
the 1/f atmospheric noise is removed from the polarization data
by pair differencing within a feed, resulting in nearly white noise
at all three bands above 0.1 Hz. Averaging the pair-difference
periodogram from 0.1 Hz to 1.0 Hz (corresponding to an angular
size of ≈0.◦5–5◦) gives noise-equivalent temperature (NET) per
detector values of 520, 450, and 1040 μK√s for 100, 150,
and 220 GHz, respectively. After accounting for polarization
efficiencies, these correspond to NEQ per feed values of 410,
340, and 880 μK√s for 100, 150, and 220 GHz, respectively. There is very good agreement between the noise estimate from
the periodograms in Takahashi et al. (2010), which used two
years of third-order polynomial filtered data from the CMB
region, and this calculation using three years of data from
the Gal-bright and Gal-weak regions that has second-order
polynomial filtering. Figure 11. Fractional change in the average map parameters vs. polynomial-
mask size for 100 GHz (red diamonds), 150 GHz (blue triangles), 220 GHz
(purple upside-down triangles), and the 150 GHz WMAP simulation (black
circles) showing the size of, and general level of uncertainty in, the filtering
effects on the maps. The parameters studied are intensity I, Q polarization, Q
polarization fraction at the median intensity, η, and polarization angle. The units
are relative percent difference (angular difference for the bottom plot) between
a given average map parameter, X, and the 4◦polynomial-mask average map
parameter, X4◦; ΔX = (X/X4◦−1). At the bottom of each plot is the fractional
difference, Δunfiltered, in the parameter value derived from the average values of
unfiltered simulation maps compared to that from filtered simulation maps with
a 4◦polynomial mask. (A color version of this figure is available in the online journal.) Figure 11. Fractional change in the average map parameters vs. 3.3.4. General Map Noise polynomial-
mask size for 100 GHz (red diamonds), 150 GHz (blue triangles), 220 GHz
(purple upside-down triangles), and the 150 GHz WMAP simulation (black
circles) showing the size of, and general level of uncertainty in, the filtering
effects on the maps. The parameters studied are intensity I, Q polarization, Q
polarization fraction at the median intensity, η, and polarization angle. The units
are relative percent difference (angular difference for the bottom plot) between
a given average map parameter, X, and the 4◦polynomial-mask average map
parameter, X4◦; ΔX = (X/X4◦−1). At the bottom of each plot is the fractional
difference, Δunfiltered, in the parameter value derived from the average values of
unfiltered simulation maps compared to that from filtered simulation maps with
a 4◦polynomial mask. (A color version of this figure is available in the online journal.) the simulation parameters. The uncertainty in the polarization
filtering correction is only known to ±25%, which comes
equally from variations of simulation polarization parameters
across each band and from the difference between WMAP and
FDS simulations. The average correction factors for I, q(Imedian), The noise in a given map pixel is calculated using the NEQ per
feed values and the integration time per 1◦pixel, assuming the
integration time is split evenly between the Q and U maps. The 12 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. average sensitivity for Q or U map pixels in the 220 GHz analysis
region is 2.8, 2.8, 16.0 μK-rms for 100, 150, and 220 GHz,
respectively. positive sign indicates an increase in BICEP power relative to
WMAP). The smallness of the difference results from the slope
of the emission spectra being nearly identical for the CMB
and the typical Galactic source spectrum at this particular band
(this is not true at other bands), so even though BICEP and
WMAP have relatively different bandpasses, there is no spectral
gain mismatch between the experiments. The extremely small
standard deviation on this quantity results from the insensitivity
of the BICEP 100 GHz band to different atmospheric conditions,
especially the emission lines outside the band. Instead of using
the average 100 GHz spectral response, this calculation was
repeated for each individual detector’s spectral response, giving
an average and standard deviation of anomalous gain factors of
0.315% ± 0.055%, consistent with the first method. 3.4. WMAP 94 GHz Band Comparison where the angle brackets represent a weighted average of the
220 GHz analysis region pixels using the BICEP integration
time as the weights. The index (i) for BICEP corresponds to
the two boresight maps (Section 3.3.1) and the indices (j, k) for
WMAP correspond to the four DAs at 94 GHz where j ̸= k, so
the noise in a given map is not rectified. As a consistency check
on this method, the gain was computed for the CMB observing
region and compared to the absolute calibration numbers from
Chiang et al. (2010), who found the gains using the angular
power spectra gave consistent results. The two boresight maps
give values of 5.0% and 4.7% gain increases using the 0.◦25
maps and 4.2% and 4.0% gain increases using the 0.◦125 maps. Each has a 0.5% statistical error derived from using the different
combinations of WMAP 94 GHz band DA maps. WMAP is a millimeter-wave satellite that has 10 differencing
assemblies (DAs), all producing I, Q, and U maps over the
whole sky using one channel at 23 GHz, one at 33 GHz, two at
41 GHz, two at 61 GHz, and four at 94 GHz. The combination of
BICEP data with WMAP data provides frequency coverage in the
220 GHz analysis region from 23 to 220 GHz. As an important
cross-check on the validity of the BICEP observations, a direct
comparison is made between the WMAP 94 GHz band and
BICEP 100 GHz intensity maps. There are two systematic differences that prevent direct
comparison. First, the BICEP beam has a different size than
the WMAP beam and the maps are filtered as described in
Section 3.2. Therefore, to make a direct comparison, each
WMAP DA map is smoothed to BICEP’s beam resolution, sam-
pled into BICEP-like timestreams, and filtered. For consistency,
sampling of the WMAP maps was performed using both 0.◦125
maps, and the nominal 0.◦25 maps. Since both sets of maps are
filtered, there is no need for systematic filtering correction in
this case. To check the uncertainty based on pixel selection or sky
variance, a comparison was done using all pixel values |b| < 3◦
in the BICEP observing region (335 one-degree pixels) for the
0.◦125 maps. For each of 1000 different trials, 53 pixels were
chosen at random and the anomalous gain was computed. 3.3.4. General Map Noise p
y
Another method to gauge the noise in the maps is to split
the data in half and take the difference, which cancels the signal
and leaves the residual noise. Maps were made from right-going
and left-going scans separately, and then differenced. This split
is used to test for detector time constant mismatch or general
telescope thermal effects; however, it tends to be one of the least
probative for BICEP because the two halves are taken at nearly
the same time, under the same weather conditions, and with the
same set of feeds. Pixels from the Q and U differenced maps,
with a significant amount of integration time, were multiplied
by the square root of integration time per pixel and the standard
deviation of all the pixels was computed. This was done for all
the pixels and the 220 GHz analysis region pixels. Using all the
pixels, the average noise values are 420, 320, and 930 μK√s for
100, 150, and 220 GHz, respectively, which are comparable to
the NEQ per feed noise estimate from the periodogram method,
indicating good agreement between the two methods. The noise
for the 220 GHz analysis region pixels as compared to the entire
map is 20%, 40%, and 45% higher for 100, 150, and 220 GHz,
respectively, due to excess 1/f noise leaking inside the mask. The data from the two experiments were compared in a
manner similar to the absolute calibration routine from Chiang
et al. (2010), except the comparison was performed using
maps (called “MAP”) instead of spherical harmonic transform
coefficients (aℓm). The anomalous gain factor comparing the
BICEP 100 GHz and WMAP 94 GHz band intensity maps is
calculated as ganom
ijk
= ⟨MAPWMAPj × MAPBICEPi⟩
⟨MAPWMAPj × MAPWMAPk⟩−1,
(16) (16) 3.4. WMAP 94 GHz Band Comparison Table 2
Raw Fit Parameters for q versus I Table 2
Raw Fit Parameters for q versus I
Experiment Channel
Frequency
Imedian
Imedian
q(Imedian)
Δq
η
Δηstat
ΔηsysA
ΔηsysB
(GHz)
(μK)
(MJy sr−1)
(%)
(%)
WMAP K
23
8500
0.14
1.5
0.10
−0.36
0.05
N/A
N/A
WMAP Ka
33
3400
0.11
1.3
0.10
−0.45
0.06
N/A
N/A
WMAP Q
41
1900
0.093
1.3
0.11
−0.48
0.06
0.04
N/A
WMAP V
61
880
0.088
1.7
0.17
−0.56
0.08
0.02
N/A
WMAP W
94
800
0.18
2.8
0.27
−0.60
0.10
0.06
N/A
BICEP 100
95.5
800
0.18
2.5
0.16
−0.64
0.09
0.10
0.041
BICEP 150
149.8
1400
0.56
3.4
0.20
−0.56
0.10
0.07
0.063
BICEP 220
208.2
4400
2.1
2.8
0.40
−0.08
0.29
0.23
0.24
Notes. Average fit parameters and errors for Equation (14) using map pixels from WMAP and BICEP in the 100/150 GHz analysis
region (except for 220 GHz which uses pixels from the 220 GHz analysis region). The BICEP fit parameters have been corrected for
filtering effects (Section 3.3.3). The statistical errors for both BICEP and WMAP come from the nonlinear fits, while the systematic
errors “A” for BICEP come from the two boresight maps and for WMAP, the different DAs. The systematic errors “B” for the BICEP
η parameters come from atmospheric uncertainty on spectral gain mismatch (Section 2.3). The median intensities are set by taking the
median value within the analysis region (53 pixels) at a given band and rounded to two significant figures. Notes. Average fit parameters and errors for Equation (14) using map pixels from WMAP and BICEP in the 100/150 GHz analysis
region (except for 220 GHz which uses pixels from the 220 GHz analysis region). The BICEP fit parameters have been corrected for
filtering effects (Section 3.3.3). The statistical errors for both BICEP and WMAP come from the nonlinear fits, while the systematic
errors “A” for BICEP come from the two boresight maps and for WMAP, the different DAs. The systematic errors “B” for the BICEP
η parameters come from atmospheric uncertainty on spectral gain mismatch (Section 2.3). The median intensities are set by taking the
median value within the analysis region (53 pixels) at a given band and rounded to two significant figures. Figure 13. 3.4. WMAP 94 GHz Band Comparison The
mean and standard deviation of the distribution gave 3.1% ±
2.1% and 2.5% ± 1.9% for the two boresight maps. For
comparison, the same procedure was repeated for the 253 one-
degree pixels between −3◦and −6◦in Galactic latitude, giving
anomalous gain values of 1.0% ± 8.5% and −5.0% ± 6.5%. Second, there is a difference in spectral bandpass between the
two experiments. BICEP is calibrated to WMAP by comparing
the CMB fluctuations in the low astronomical foreground region. However, Galactic emission has a different spectrum than the
CMB, and combined with the different bandpass response,
this could cause a systematic difference between the two
experiments. In a manner very similar to the spectral gain
mismatch calculation in Section 2.3, the expected miscalibration
is calculated using the average BICEP 100 GHz spectral
response, the average WMAP 94 GHz band spectral response,
the CMB anisotropy spectrum as seen from space and from the
South Pole, and the typical Galactic source spectrum as seen
from space and the South Pole. g
Chiang et al. (2010) quote the absolute gain uncertainty to be
2% for the BICEP maps, which decreases the relative signifi-
cance of the anomalous gain factor found here. The difference in
the anomalous gain factor due to the bandpass differences was
calculated to be a very small; however, this calculation used
a simple two-component continuum Galactic spectrum. The
real Galactic spectrum is undoubtedly more complicated, which
could lead to a larger spectral factor difference. Another likely
cause of anomalous gain is from systematic uncertainties in the
processing of raw to BICEP-filtered WMAP maps (Section 3.2),
either from the beam correction or flat interpolation procedure. Regardless of the underlying cause, the 4% gain difference does
not represent a significant detection of a deviation between the
two experiments in the Galaxy. A larger difference was found
between WMAP and QUaD (Culverhouse et al. 2010), despite Different atmospheric observing conditions were simulated
for BICEP (Section 2.3) to compare to WMAP, which is in
space and is not affected by a change in atmospheric conditions. The mean and standard deviation of spectral gain mismatch
from the different atmospheric conditions between BICEP
100 GHz and WMAP 94 GHz band is 0.322% ± 0.001% (the 13 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. 3.4. WMAP 94 GHz Band Comparison Mean intensity as a function of frequency for the 220 GHz analysis
region for WMAP’s ten DAs (gray triangles) and BICEP’s two boresight maps
for each of the three bands (black squares). BICEP’s 100 GHz points are shifted
to the right 5 GHz from the calculated band centers for clarity. WMAP points
come from raw, unfiltered maps, downsampled to 1◦resolution. The noiseless
FDS model 8 (Finkbeiner et al. 1999) predicted dust maps (green diamonds)
have been beam smoothed, spectral bandpass filtered, and downsampled to 1◦to
match BICEP’s bands but not polynomial filtered. The fit to Equation (18) using
only WMAP points (gray) gives a dust spectral index ζd = 5.06, larger than
when BICEP data (blue) are included, which gives ζd = 3.70. The pink and red
dashed lines are the individual positive and negative spectral index components
from fitting to both WMAP and BICEP points. (A color version of this figure is available in the online journal.) the similarity between the BICEP and QUaD instruments and
analysis approach. However, QUaD’s high-frequency cutoff is
higher and low-frequency cutoff lower than either BICEP or
WMAP, making it sensitive to certain emission lines to which
BICEP and WMAP are insensitive. 3.5. Intensity vs. Frequency The fit to Equation (18) using
only WMAP points (gray) gives a dust spectral index ζd = 5.06, larger than
when BICEP data (blue) are included, which gives ζd = 3.70. The pink and red
dashed lines are the individual positive and negative spectral index components
from fitting to both WMAP and BICEP points. (A
l
i
f thi fi
i
il bl i th
li
j
l ) dI = dB
dT
2.725 K
× dT,
(17) (17) and B is the Planck blackbody function. The derivative with
respect to temperature is dB
dT = 2kBν2
c2
z2ez
(ez −1)2 , where z = hν
kT . Using the values of the physical constants and the BICEP band
centers, the conversion factors are Using the values of the physical constants and the BICEP band
centers, the conversion factors are (A color version of this figure is available in the online journal.) Figure 13 shows a plot of the mean and standard error
of the mean intensity of the analysis area pixels from both
BICEP and WMAP, calculated from each of the ten WMAP
DAs and two boresight maps for BICEP’s three bands in
differential intensity units. BICEP maps have been filtered by
the mapmaking process, systematically lowering the intensity
values. To correct for this, each BICEP point and error bar
has been increased by 11% (Section 3.3.3). The error bars for
the FDS points and other bands come from sky variance, not
measurement errors. BICEP has two data points per band that
are computed from the two boresight maps. The fact that two dB
dT = 0.22, 0.40, 0.48MJy sr−1
mK
, for 100 (95.5), 150 (149.8), and 220 (208.2) GHz bands, respec-
tively, where the true band centers are shown in parentheses. Similarly, the conversion values are 0.016, 0.033, 0.049, 0.10,
0.22 for WMAP’s 23 (22.8), 33 (33.0), 41 (40.7), 61 (60.8), and
94 (93.5) GHz channels, respectively, and are used in Table 2. Figure 13 and the subsequent spectral analysis in this section
use BICEP, WMAP, and FDS data in these differential intensity
units. for 100 (95.5), 150 (149.8), and 220 (208.2) GHz bands, respec-
tively, where the true band centers are shown in parentheses. Similarly, the conversion values are 0.016, 0.033, 0.049, 0.10,
0.22 for WMAP’s 23 (22.8), 33 (33.0), 41 (40.7), 61 (60.8), and
94 (93.5) GHz channels, respectively, and are used in Table 2. 3.5. Intensity vs. Frequency By studying the spectrum of the unpolarized and polarized
emission for a given point on the sky, it is possible to understand
the composition of the ISM across the sky. The spectral response
plots of intensity versus frequency can show the fraction of
dust and synchrotron in the Galactic plane. WMAP provides a
vast amount of information on this topic; however, their highest
frequency band still has an appreciable amount of synchrotron
emission. Above 150 GHz, most Galactic emission comes from
dust, which is where BICEP’s 150 and 220 GHz channels add
unique information. A common unit for distributed astrophysical millimeter-wave
emission is differential intensity as opposed to thermodynamic
temperature, where the conversion factor from thermodynamic
units can be calculated as Figure 13. Mean intensity as a function of frequency for the 220 GHz analysis
region for WMAP’s ten DAs (gray triangles) and BICEP’s two boresight maps
for each of the three bands (black squares). BICEP’s 100 GHz points are shifted
to the right 5 GHz from the calculated band centers for clarity. WMAP points
come from raw, unfiltered maps, downsampled to 1◦resolution. The noiseless
FDS model 8 (Finkbeiner et al. 1999) predicted dust maps (green diamonds)
have been beam smoothed, spectral bandpass filtered, and downsampled to 1◦to
match BICEP’s bands but not polynomial filtered. The fit to Equation (18) using
only WMAP points (gray) gives a dust spectral index ζd = 5.06, larger than
when BICEP data (blue) are included, which gives ζd = 3.70. The pink and red
dashed lines are the individual positive and negative spectral index components
from fitting to both WMAP and BICEP points. (A
l
i
f thi fi
i
il bl i th
li
j
l ) Figure 13. Mean intensity as a function of frequency for the 220 GHz analysis Figure 13. Mean intensity as a function of frequency for the 220 GHz analysis
region for WMAP’s ten DAs (gray triangles) and BICEP’s two boresight maps
for each of the three bands (black squares). BICEP’s 100 GHz points are shifted
to the right 5 GHz from the calculated band centers for clarity. WMAP points
come from raw, unfiltered maps, downsampled to 1◦resolution. The noiseless
FDS model 8 (Finkbeiner et al. 1999) predicted dust maps (green diamonds)
have been beam smoothed, spectral bandpass filtered, and downsampled to 1◦to
match BICEP’s bands but not polynomial filtered. 3.5. Intensity vs. Frequency For example, a 5% uncertainty in this correction
factor leads to an uncertainty in ζd of σζd = 1%. This reduced
sensitivity to input uncertainty is not only partially due to the
nonlinear nature of the fitting model but also due to the WMAP
points not suffering from BICEP’s filtering bias. Repeating the
fit procedure with only one set of boresight maps causes a change
in ζd of σζd = 2%. Splitting the map into the Gal-bright and Gal-
weak regions gave ζd = [3.81, 3.27] with σζd = [0.14, 0.15],
indicating a difference in dust spectral index between the two
regions at 2.7 sigma significance. Figure 14. Polarization fraction, q, as a function of total intensity, I, using 147
one degree Healpix pixels (gray) from BICEP’s three bands and two boresight
maps along with WMAP 23 and 33 GHz bands. Out of the 147 pixels, 53 were
used for the BICEP 220 GHz detectors because of the reduced observed region
available at that band. The error bars are those due to the white noise in the maps
and do not account for systematic errors due to the atmosphere, instrumental
systematics, or filtering. The best-fit line (blue) and constant model (green) are
shown. The weighted average and uncertainty (black) of q for pixels less than
the median value and greater than the median value clearly show the trend of
decreasing polarization fraction as intensity increases. (A color version of this figure is available in the online journal.) g
g
g
Therefore, in this case, the uncertainty in this fit itself is
larger than the uncertainty due to systematic contamination
from weather or telescope systematics, which is larger than
the uncertainty due to systematic filtering bias uncertainty. Analyzing the WMAP DAs separately is a way to include
systematics from that experiment. However, the separation
between points in any WMAP band (see Figure 13) is smaller
than the uncertainty in the average value from that band, making
systematics minimally important. ing interstellar matter are crucial. The Galactic magnetic field
produces polarization on large and small scales across the elec-
tromagnetic spectrum. Millimeter-wave polarization measure-
ments probe emission that spans the full extent of the Galactic
plane, making it possible to exclude or motivate models for the
Galactic magnetic field structure. The simple two-component model fits the data well; how-
ever, additional components are not excluded. 3.5. Intensity vs. Frequency Figure 13 and the subsequent spectral analysis in this section
use BICEP, WMAP, and FDS data in these differential intensity
units. 14 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Figure 14. Polarization fraction, q, as a function of total intensity, I, using 147
one degree Healpix pixels (gray) from BICEP’s three bands and two boresight
maps along with WMAP 23 and 33 GHz bands. Out of the 147 pixels, 53 were
used for the BICEP 220 GHz detectors because of the reduced observed region
available at that band. The error bars are those due to the white noise in the maps
and do not account for systematic errors due to the atmosphere, instrumental
systematics, or filtering. The best-fit line (blue) and constant model (green) are
shown. The weighted average and uncertainty (black) of q for pixels less than
the median value and greater than the median value clearly show the trend of
decreasing polarization fraction as intensity increases. (A color version of this figure is available in the online journal.) data points are nearly identical indicates that the systematic
uncertainties are not the dominant source of uncertainty for the
average intensity of the maps, even for the 220 GHz channels,
consistent with the discussion in Section 3.3. WMAP points are
from each DA separately, which can indicate the approximate
level of residual systematic uncertainty in a given band. The points in Figure 13 are fit to The points in Figure 13 are fit to I(ν) = Asνζs + Adνζd,
(18) (18) a simple two-component power-law model where As,d are
the magnitudes of the synchrotron and dust components, and
ζs,d are the power-law exponents for the synchrotron and
dust components. BICEP’s points and error bars have been
increased by 11% using the systematic filter correction found
in Section 3.3.3. The best-fit spectral index parameters and
errors from using only the WMAP points in Equation (18) are
[ζs, ζd] = [−0.36, 5.06] ± [0.02, 0.33], while if BICEP data
are included then [ζs, ζd] = [−0.39, 3.70] ± [0.07, 0.11]. For
reference, FDS model 8 predicts ζd = 3.5 in the frequency
range 23–220 GHz in the same analysis region. From signal
simulations, the uncertainty in systematic filter correction could
be as large as 5%; however, this factor has a relatively minor
effect on the fit. 3.5. Intensity vs. Frequency The plot shows
the importance of measurements at higher frequency bands
to fully understand the composition of the ISM. At 96 GHz,
using the two-component fit parameters, dust makes up 51%
of the total emission, while at 150 GHz it makes up 87%
and at 208 GHz it makes up 97%. Finkbeiner (2003) gives
a template for the full-sky free–free emission based on Hα
measurements. Taking their input map at 0.◦0625 resolution,
downsampled to 1◦resolution, converted to MJy sr−1 using the
factors given in their Table 1 at 100 GHz, the average map
pixel value in the 220 GHz analysis region is 0.004 MJy sr−1. Therefore, free–free is approximately 40 times smaller than ei-
ther the dust or synchrotron component in BICEP maps. Further
measurements at intermediate frequencies with finer spacing
would also provide useful information about the transition from
the synchrotron to dust dominated regime and give more infor-
mation about other possible emission sources. 3.6.1. Polarization Fraction Data A testable prediction of Galactic magnetic field models
is the trend of observed polarization fraction as a function
of unpolarized intensity (Miville-Deschˆenes et al. 2008). To
determine if there is a trend and what the nature of the trend
may be, Figure 14 shows scatter plots of q versus I for the
various BICEP maps with two WMAP channels also shown for
comparison. The plotted map pixels for both BICEP and WMAP
are from the 100/150 GHz analysis area, except for the 220 GHz
map pixels, which use the 220 GHz analysis area. The error bars
are calculated using the noise per band or DA and the integration
time per pixel. Overplotted on the scatter plots is the weighted
linear least-squares fit following Equation (14) and the weighted
mean q. Since the white-noise floor value is used, all of the fits
had reduced-χ2 values much greater than one, indicating, to
some extent, the total absolute uncertainty, including genuine
variation about this trend across the sky. To better approximate
the total absolute uncertainty in the resulting fit parameters, the
uncertainty for each fit parameter is multiplied by
√
χ2
reduced,
which are the error bars used in Figure 15. It is important to
note that all of the BICEP maps detect a trend of decreasing 3.6. Polarization Fraction vs. Intensity (1999) and expanded upon by Hildebrand
& Kirby (2004), Vaillancourt (2007), and Draine & Fraisse
(2009). Figure 15. q(Imedian) and η as a function of frequency using BICEP (red) and
WMAP (green) data. All frequencies use the 100/150 GHz analysis region
except for 220 GHz, which uses pixels from the smaller 220 GHz analysis
region. The error bars are the quadrature sum of fitting errors and the uncertainty
from atmospheric conditions. BICEP’s points have been corrected for filtering
effects, increased by 37% and 39% for q and η, respectively, based on signal
simulations. The trend of increasing q with increasing frequency is apparent,
while there is no statistically definitive trend for η. (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) (
)
The observations of low polarization fraction for synchrotron
or higher relative polarization fraction for dust may seem to be
in contradiction to standard theory or observation (Rybicki &
Lightman 1979; Kogut et al. 2007); however, standard values
are typical of high Galactic latitude regions, not necessarily in
the Galactic plane. In addition, while synchrotron emission the-
ory predicts a maximum polarization fraction near 75%, this
has not been observed and values closer to 20% are commonly
found off the plane where the emission efficiency should be the
highest. Line-of-sight and beam size effects can further decrease
the observed polarization fraction. Unpolarized emission mech-
anisms, such as free–free or spinning dust emission, contribute
to the measured intensity but not to the polarization, lowering the
measured polarization fraction. However, Section 3.5 indicates
that free–free does not significantly contribute to the BICEP
bands and sky coverage region. A comparison to Figure 5 of
Kogut et al. (2007), which shows a histogram of polarization
fraction from pixels within the Galactic plane, shows that the
polarization fraction levels for the WMAP map pixels chosen
here are in agreement with the lowest histogram bin of values
within the Galactic plane. This is consistent with the BICEP
observing region being in the Galactic plane. polarization fraction with increasing intensity at more than three
sigma, η/Δη > 3, except BICEP 220 GHz, which has 10 times
fewer feeds than BICEP’s 100 or 150 channels. 3.6. Polarization Fraction vs. Intensity The Galactic magnetic field cannot be measured directly,
therefore measurements of the field’s effect on the interven- 15 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Figure 15. q(Imedian) and η as a function of frequency using BICEP (red) and
WMAP (green) data. All frequencies use the 100/150 GHz analysis region
except for 220 GHz, which uses pixels from the smaller 220 GHz analysis
region. The error bars are the quadrature sum of fitting errors and the uncertainty
from atmospheric conditions. BICEP’s points have been corrected for filtering
effects, increased by 37% and 39% for q and η, respectively, based on signal
simulations. The trend of increasing q with increasing frequency is apparent,
while there is no statistically definitive trend for η. (A color version of this figure is available in the online journal.) Third, there is uncertainty from spectral gain mismatch that
is quantified from simulations in Section 2.3 using different
atmospheric conditions. This type of uncertainty compared to
the other two is only important at 220 GHz. Overall, there
is a strong detection of q(Imedian) > 0 at all three bands and a
significant detection of η at 100 and 150 GHz. There is no
detection of η at 220 GHz due to the combination of all three
types of uncertainties exacerbated by the fact that BICEP only
has two 220 GHz feeds for only two of the three observing
seasons (see Appendix A for more information). Fitting for
η is somewhat biased by the uncertainty in each pixel being
proportional to I −1, as the higher intensity pixels tend to
dominate the fit. For example, it is difficult to tell whether a
third parameter is needed to fit the data properly or whether
there are separate effects happening for lower intensity pixels. The top plot of Figure 15 shows a trend of increasing q(Imedian)
versus frequency with a sharp increase between 41 and 150 GHz. The two boresight map points per band are close to each other
relative to the error bars, indicating that the general level of
systematic uncertainties is not the dominant uncertainty for
q(Imedian). At higher frequencies where dust emission dominates,
the polarization fraction is above 2.5%, rather than below 1.5%
at a lower frequency where synchrotron emission dominates. The polarization fraction is nearly constant as a function
of frequency in the dust-dominated bands as predicted by
Hildebrand et al. 3.6.2. Model Fit Parameters Figure 15 shows a plot of the fit parameters from
Equation (14) for BICEP’s two boresight maps (so there are two
data points per band) and WMAP’s ten DAs separately (which
can give some idea of possible systematic uncertainty in a
WMAP band). Table 2 lists the average parameters with un-
certainties from three sources and band properties. One type of
uncertainty is from the nonlinear regression covariance matrix,
and these uncertainties have been increased by
√
χ2
reduced to bet-
ter approximate the true parameter uncertainty and include other
noise sources such as genuine spatial variation across the sky. Figure 15 shows a plot of the fit parameters from
Equation (14) for BICEP’s two boresight maps (so there are two
data points per band) and WMAP’s ten DAs separately (which
can give some idea of possible systematic uncertainty in a
WMAP band). Table 2 lists the average parameters with un-
certainties from three sources and band properties. One type of
uncertainty is from the nonlinear regression covariance matrix, g
g
g
p
The bottom plot of Figure 15 shows η as a function of
frequency; however, no model of this function is proposed
in this paper. The two boresight map points per band show a
comparable level of systematic error relative to the statistical
error from the error bars. This is consistent with the discussion
in Section 3.3 but is approaching an unacceptable level. One
important point is that η changes the relative positions of the
points in q versus frequency. For example, since the average η
value at 220 GHz is close to zero, the value of q at 220 GHz is
relatively constant as a function of total intensity. Therefore, if
q were evaluated at a very large value of total intensity and the
plot of q versus frequency remade, then it would appear that the
polarization fraction increases relative to 150 GHz, even though and these uncertainties have been increased by
√
χ2
reduced to bet-
ter approximate the true parameter uncertainty and include other
noise sources such as genuine spatial variation across the sky. Second, there is uncertainty due to the dispersion of differ-
ent maps within a band, the two boresight maps for BICEP,
and the various DAs for WMAP. 3.6. Polarization Fraction vs. Intensity Figure 14 may not sufficiently support the hypothesis that
there is a significant trend of decreasing polarization fraction
with increasing intensity as opposed to a constant model for q. The difficulty is that the error in polarization fraction increases
as the intensity value decreases because the uncertainty in q
is proportional to I −1, weighting the q values measured more
strongly at higher I. However, the fact that there is a slope
detected for all bands from 23 GHz to 150 GHz favors a sloped
model over a flat one (see Table 2). 3.7. Polarization Angles The Galactic magnetic field generally causes polarization
angles to be perpendicular to the Galactic plane in the millimeter
regime. However, BICEP and WMAP measurements show the
magnetic field is not exactly parallel to the plane and changes
direction between the two observing regions (Figure 17). The
analysis area is split in half by region, Gal-bright (27 pixels)
and Gal-weak (26 pixels), and the weighted average polarization
angle for each BICEP boresight maps and WMAP DA is found. The two BICEP boresight maps per band show the general level
of systematic uncertainty due to excess noise and telescope
systematics. WMAP points are from each DA separately, which
can be indicative of possible systematic uncertainty in a given
band. The weighted mean and standard error of η across all bands,
assuming the BICEP data points are corrected for filtering, is
η = −0.47 ± 0.05. A simple, flat polarization model, η = 0, is
ruled out as is the simple toy model of unpolarized embedded
sources in a uniformly polarized background in the Galaxy,
from Section 3.2, η = −1. A more complicated Galactic
magnetic field model is needed to explain the measured value. A comparison of q and η between the Gal-bright and Gal-weak
regions was performed, but there was no detectable difference
between the two regions. g
An inherent problem in analyzing the q versus frequency plot
is that it depends on the intensity value at which q is evaluated. While evaluating q at the median intensity gives a q value at a
moderate level of intensity, other methods, such as computing
the average of q, effectively result in finding q at the weighted
mean intensity, as in Figure 16. The average has two advantages:
a model including η is not needed and no value of I needs to
be chosen at which to evaluate q. For this plot, the average
from all the data is shown, neglecting different boresight angles
and DAs. As opposed to Figure 15, this figure uses only map
pixels from the 220 GHz region, simplifying the comparison of
220 GHz versus the other bands. While the minimum q occurs
near 40 GHz in this plot, depending on what value of intensity
q is evaluated, this frequency can change. The polarization
fraction approximately quadruples from 41 GHz to 95 GHz,
showing a relatively large dependence on frequency. 3.6.2. Model Fit Parameters This uncertainty, especially for
BICEP, indicates the approximate level of systematic contami-
nation from the atmosphere, instrument thermal properties, and
telescope systematics other than spectral gain mismatch. This
type of uncertainty is prevalent at all three bands and hinders
further quantitative analysis of η. 16 The Astrophysical Journal, 741:81 (21pp), 2011 November 10
Bierman et al. Figure 16. Average and error of q from the 220 GHz analysis region pixels
combining all the data at each BICEP (red) and WMAP band (green). This shows
a different method of computing q vs. frequency as compared to Figure 15, which
uses a model to find the value of q, splits the data by boresight angle or DA,
and uses a different number of pixels at 220 GHz. Once again, a general trend
of increasing polarization fraction vs. frequency is found with the minimum q
occurring near 40 GHz. There is a steep increase in polarization fraction between
60 GHz and 100 GHz with the minimum fraction occurring near 40 GHz. (A color version of this figure is available in the online journal.)
Figure 17. Polarization angle as a function of frequency for BICEP (red squares)
and WMAP (green triangles) with the average angle overplotted (blue line)
and the average starlight polarization angle (orange line) and uncertainty (gray
shaded region) for the Gal-weak region and Gal-bright regions. The polarization
angles do not have any trend as a function of frequency in either region showing
consistency between the two experiments and different emission mechanisms. There is a net positive rotation of polarization angle from the Gal-bright to Gal-
weak regions for all millimeter-wave bands as well as the starlight polarization
angles, indicating a large-scale structure in the Galactic magnetic field. (A color version of this figure is available in the online journal.) The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Bierman et al. Figure 17. Polarization angle as a function of frequency for BICEP (red squares)
and WMAP (green triangles) with the average angle overplotted (blue line)
and the average starlight polarization angle (orange line) and uncertainty (gray
shaded region) for the Gal-weak region and Gal-bright regions. The polarization
angles do not have any trend as a function of frequency in either region showing
consistency between the two experiments and different emission mechanisms. 3.6.2. Model Fit Parameters There is a net positive rotation of polarization angle from the Gal-bright to Gal-
weak regions for all millimeter-wave bands as well as the starlight polarization
angles, indicating a large-scale structure in the Galactic magnetic field. (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) the actual polarization fraction value at 220 GHz was nearly
constant. 3.6.2. Model Fit Parameters There is a net positive rotation of polarization angle from the Gal-bright to Gal-
weak regions for all millimeter-wave bands as well as the starlight polarization
angles, indicating a large-scale structure in the Galactic magnetic field. (A color version of this figure is available in the online journal.) Figure 16. Average and error of q from the 220 GHz analysis region pixels
combining all the data at each BICEP (red) and WMAP band (green). This shows
a different method of computing q vs. frequency as compared to Figure 15, which
uses a model to find the value of q, splits the data by boresight angle or DA,
and uses a different number of pixels at 220 GHz. Once again, a general trend
of increasing polarization fraction vs. frequency is found with the minimum q
occurring near 40 GHz. There is a steep increase in polarization fraction between
60 GHz and 100 GHz with the minimum fraction occurring near 40 GHz. (A color version of this figure is available in the online journal.) Figure 16. Average and error of q from the 220 GHz analysis region pixels
combining all the data at each BICEP (red) and WMAP band (green). This shows
a different method of computing q vs. frequency as compared to Figure 15, which
uses a model to find the value of q, splits the data by boresight angle or DA,
and uses a different number of pixels at 220 GHz. Once again, a general trend
of increasing polarization fraction vs. frequency is found with the minimum q
occurring near 40 GHz. There is a steep increase in polarization fraction between
60 GHz and 100 GHz with the minimum fraction occurring near 40 GHz. (A color version of this figure is available in the online journal.) Figure 17. Polarization angle as a function of frequency for BICEP (red squares)
and WMAP (green triangles) with the average angle overplotted (blue line)
and the average starlight polarization angle (orange line) and uncertainty (gray
shaded region) for the Gal-weak region and Gal-bright regions. The polarization
angles do not have any trend as a function of frequency in either region showing
consistency between the two experiments and different emission mechanisms. 3.8. Visual Optical Depth In order to compare underlying astronomical objects from
the optical to millimeter-wave band, the intensity of the emis-
sion can be converted to a common unit used in studies of
the interstellar medium, visual optical depth, AV. Following
Equation (18), the conversion can be calculated as The detection of dust polarization with Archeops, WMAP,
QUaD, and BICEP constrains the degree of order in the
Galactic magnetic field on large scales. An ordered magnetic
field nearly parallel to the plane is detected at all millimeter-
wave frequencies. The mean polarization angles are nearly
constant as a function of frequency, but systematically change
direction between BICEP’s two Galactic regions. This change
in direction is also found in starlight polarization measurements
and confirms structure in the Galactic magnetic field on scales
greater than 60◦in Galactic longitude. dAV
dT
= rdust × dAV
dτ
× dτ
dI × dB
dT
2.725 K
,
(19) (19) where the relationship between the emitted intensity and optical
depth, assuming an optically thin medium, is given by I = B(1 −exp−τ) ≈Bτ. (20) (20) A relationship to millimeter-wave optical depth, τ(λ), derived
by Hildebrand (1983) and Dickman (1978) is The average degree of polarization observed in the integrated
emission from star-forming cores (AV
≳30) p ≲1.5%
(Stephens et al. 2011) is similar to the degree of polarization
observed with BICEP (Section 3.6). However, this coincidence
does not imply that the observed BICEP polarization arises
from a superposition of unresolved star-forming cores, with no
significant polarized component emitted by the diffuse medium. While there is some evidence for coherence in the magnetic field
across star-forming molecular cloud complexes up to 100 pc in
size (Li et al. 2009), as a whole, those complexes and cores
have a nearly random distribution of magnetic field directions
and there is no evidence for coherence in the dense medium
on larger scales (Glenn et al. 1999; Stephens et al. 2011). The contribution from these star-forming complexes to BICEP
maps would consist of polarization with a high angular disorder,
averaging to very low polarization when the beam encompasses
multiple complexes. For example, a BICEP 150 GHz 0.◦6
beam corresponds to 50 pc for a typical Galactic source at
a distance of 5 kpc in the Gal-bright field, and hence poorly AV ≈1900 τ(λ)
λ
250 μm
2
. 4. DISCUSSION Continuum polarimetry results can be interpreted with the aid
of a model in which the magnetic field for a given patch of sky is
nearly constant in magnitude but has an angular structure which
is a superposition of a uniform and a random component (Jones
1989; Miville-Deschˆenes et al. 2007). The very simplest models,
such as a completely uniform magnetic field or a completely
random one, are ruled out by BICEP and WMAP, which show
a statistically significant trend of decreasing Q polarization
fraction versus increasing intensity (Section 3.6). for 100, 150, and 220 GHz, respectively. for 100, 150, and 220 GHz, respectively. for 100, 150, and 220 GHz, respectively. ,
,
,
p
y
BICEP detections span a thermodynamic temperature bright-
ness range from [0.1, 0.3, 0.7] to [6, 8, 25] mK for 100, 150, and
220 GHz, respectively. This corresponds to integrated visual op-
tical depths AV, using Equation (22), from [0.7, 1.1, 1.0] to [42,
30, 36]. On average, BICEP probes a component of the ISM
which is more diffuse than star-forming regions (AV ≳10), but
is more dense than the medium sampled by optical polarimetry
(AV ≲2). Due to the relative beam sizes and dust spectrum,
BICEP measurements probe approximately the same density
medium at local intensity maxima at all three bands. In princi-
ple, experiments such as QUaD and Archeops have the potential
to probe even denser cloud complexes because of their smaller
beam sizes; however, Archeops had higher noise levels than
BICEP and both Archeops and QUaD have so far presented
their polarization data with angular resolution ≈0.◦5, similar to
BICEP. g
The polarization direction seen in all millimeter-wave bands
and by the starlight polarization measurements increases sys-
tematically from the Gal-bright to Gal-weak regions. Since the
Gal-bright and Gal-weak regions are separated by 60◦in Galac-
tic longitude, this indicates the Galactic magnetic field has struc-
ture on very large scales. Further small-scale analysis is possible,
but results are inconclusive due to the uncertainty in BICEP’s
current polarization angle measurements. As opposed to q, there
is no difference in the average polarization angle between pixels
whose intensity is less than the median intensity and greater than
the median intensity. No trend in polarization angle as a func-
tion of frequency is detected, showing consistent, independent
polarization angle measurements from lower frequencies where
synchrotron dominates to high frequency where dust emission
dominates. 3.7. Polarization Angles No trend
in polarization fraction above 100 GHz is visible, although the
error bars do not exclude this possibility. In the end, Figure 15
demonstrates the systematics levels are small compared to the
general trend of q versus frequency, as is evident from either
Figure 15 or Figure 16 (even if the error bars are larger for
Figure 16 because fewer map pixels were used in the average). The average polarization angle in the Gal-bright region from
both BICEP and WMAP is 6.◦2 ± 1.◦7, whereas the average
polarization angle in the Gal-weak region is 20.◦8 ± 2.◦2 for
both BICEP and WMAP. This represents a 5 sigma detection
of a difference in polarization angle between the two regions. Note that the BICEP angles have not been corrected for filtering
effects. BICEP and WMAP polarization angles can also be compared
to starlight polarization data. Millimeter-wave dust polarization
is due to emission from particles that are preferentially aligned
perpendicular to the local magnetic field (Lazarian 2007). A
complimentary process takes place in the optical band due
to absorption, leading to polarization angle that should be
rotated 90◦relative to the millimeter-wave polarization. Heiles
(2000) compiled a table of stellar polarization measurements
and characteristics that can be used to compare polarimetry
from the optical and millimeter-wave bands. Out of the 9286
stars, only those with angle errors less than 10◦that are within
the BICEP observing region were considered. For a direct 17 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Bierman et al. in the values of the constants, wavelengths, and BICEP band
centers, the conversion factors are comparison, the starlight polarization angles have the expected
90◦difference subtracted off. There were 36 stars with starlight
polarization measurements in the Gal-bright region giving a
weighted average polarization angle of −8.◦3 ± 3.◦8, while there
were 24 stars in the Gal-weak region giving a weighted average
polarization angle of 28.◦1 ± 2.◦8. One caveat is that the starlight
polarization measurements do not exactly track BICEP’s and
WMAP’s measurements in space, as there are multiple stars in
some map pixels and none in others. In general, there is better
agreement between optical and millimeter-wave polarization
angles in the Gal-weak region as opposed to the Gal-bright
region. dAV
dT
≈7.14, 3.75, 1.44 AV
mK,
(23) (23) for 100, 150, and 220 GHz, respectively. 3.8. Visual Optical Depth (2002) find an equivalent power-law exponent from starlight
data closer to ηem = −0.25, implying a more ordered mag-
netic field than what is implied from millimeter-wave measure-
ments. A caveat to this comparison is those previous works
analyzed total polarization fraction p, which does not neces-
sarily have the same functional relationship as q. No attempt
to directly model q using magnetic fields is included in this
paper. We especially recognize Andrew Lange whose passing has
deeply affected everyone on the team and who never saw the
culmination of this project. Without his guidance and friendship
this paper would not have been possible. p p
p
BICEP is supported by NSF Grant OPP-0230438, Caltech
Discovery Fund, Caltech President’s Fund PF-471, JPL Re-
search and Technology Fund, and the late J. Robinson. We thank
our colleagues in the ACBAR, Boomerang, QUaD, Bolocam,
POLARBEAR, and SPT collaborations for advice and helpful
discussions, Kathy Deniston for logistical and administrative
support, and the South Pole Station staff for their support. We
gratefully acknowledge support by the NASA Graduate Fel-
lowship program (E.M.B. and H.C.C.), the John B. and Nelly
Kilroy Foundation (J.M.K.), the NSF PECASE Award AST-
0548262 (B.G.K.), the US DOE contract to SLAC No. DE-
AC02-76SF00515 (C.L.K. and J.E.T.), KICP (C.P. and C.S.),
and the NASA Science Mission Directorate via the US Planck
Project (G.R.). We also thank the thorough and comprehensive
work of the referee that has tremendously improved the quality
of the final version of this paper. The detection of statistically significant polarization across
the Galactic plane at all intensity levels shows that there are
aligned dust grains across the entire map. The η parameter
indicates the nature of the Galactic magnetic field and the
disorder within the beam and along the line of sight. The
polarization fraction q increases as a function of frequency,
which was somewhat unexpected; other work has indicated
that the opposite can be true at higher latitudes due to the
much larger polarization fraction intrinsic to the synchrotron
emission compared to dust polarization (Kogut et al. 2007). In
contrast, BICEP has shown that dust emission can have a higher
polarization fraction in the Galactic plane. 3.8. Visual Optical Depth (21) (21) Since this calculation is only valid for dust emission and BICEP
measures, the total emission from all components, a conversion
factor, rdust, must be applied. For example, Section 3.5 showed
that at 96 GHz, 51% of the emission comes from other sources
such as synchrotron radiation. BICEP intensity maps can be
converted to AV for the dust component in the map as Since this calculation is only valid for dust emission and BICEP
measures, the total emission from all components, a conversion
factor, rdust, must be applied. For example, Section 3.5 showed
that at 96 GHz, 51% of the emission comes from other sources
such as synchrotron radiation. BICEP intensity maps can be
converted to AV for the dust component in the map as dAV
dT
≈rdust × 1900
λ
250 μm
2
×
1
B(20 K)
× 2kBν2
c2
z2ez
(ez −1)2 . (22) (22) Using dust conversion factors of rdust = [0.51, 0.87, 0.97] from
Section 3.5, assuming a dust temperature of 20 K, substituting 18 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. regions. Adding 220 GHz capability to BICEP helped to refine
the understanding of in-plane foreground emission. BICEP data
have shown astronomical foregrounds to be complex, and simply
modeling polarization as a percentage of unpolarized intensity is
insufficient. While polarized foreground models in the Galactic
plane are becoming more precise, less is known at higher
latitudes and it is not obvious that one can extrapolate models
from the plane to these latitudes. Future CMB polarimeters are
poised to build upon BICEP’s results. resolves molecular cloud complexes. Consequently, because
BICEP observes a substantial degree of polarization over the
whole Galactic plane at ∼1◦resolution on average, BICEP
must sample a medium outside star-forming cores, one with an
embedded magnetic field that retains a significant component
ordered on the Galactic scale. On the other hand, BICEP rules out a model where no addi-
tional polarization intensity comes from the higher density ISM. The polarization fraction drops somewhat as surface brightness
increases, q ∝I −0.47, but the decline is more shallow than
q ∝I −1 as predicted by the toy model of Section 3.2 having
bright unpolarized sources embedded in a polarized medium. Therefore, BICEP measurements probe aligned grains and mag-
netic fields over the full range of observed column densities
approaching star-forming cores. Jones (1989) and Fosalba et al. BICEP 220 GHz CHANNELS BICEP 220 GHz CHANNELS Prior to the second observing season, two feeds designed to
observe through the 220 GHz atmospheric transmission window
were installed on BICEP. These feeds represent the first attempt
to observe CMB and Galactic polarization in this frequency
band using PSBs. Due to the relative sensitivity of a 220 GHz
channel to thermal dust emission and its polarization over
lower frequency channels, the 220 GHz feeds serve a threefold
purpose. First, to constrain the polarization and intensity of
the three main millimeter-wave sources (synchrotron, thermal
dust, and the CMB) solely from BICEP observations, without
an ad hoc foreground model, requires three frequency bands. Second, thermal dust emission and its polarization increase
understanding of the physics of the Galaxy. Finally, it was
unclear whether the CMB B-modes, BICEP’s primary science
target, would be contaminated by foreground emission, and
would need to be modeled and removed. The 220 GHz feeds
can carry more weight, per feed, than the other two bands
for measurement of dust polarization due to the steep spectral
index of millimeter-wave dust emission. More 220 GHz feeds
were planned to be added in 2008 but logistical constraints
at the South Pole in 2008 ultimately prevented this, limiting
the experiment to using two feeds for the two final observing
seasons. The observations discussed here are consistent with a Galactic
magnetic field whose structure and order vary inversely with
density. The increasing disorder in denser components of the
ISM may be due to gravitational or dynamical accumulation
of gas and/or feedback from star formation. The high angular
resolution and sensitivity of the Planck (Tauber et al. 2010)
350 GHz polarization channels should be able to map this
structure with greater precision to discriminate among more
detailed models for the neutral ISM. 3.8. Visual Optical Depth This could indicate
unpolarized emission mechanisms such as spinning dust play a
more important role in the map regions analyzed here or it could
be an indication that material-emitting synchrotron radiation
exists in more randomized Galactic magnetic field regions on
average, as opposed to dust grains which may lie in more ordered
field regions. APPENDIX B
TELESCOPE CHARACTERIZATION (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) CMB region, located at high Galactic latitude, certainly ex-
hibits minimal dust column density and therefore low-intensity
millimeter-wave emission, this does not imply it will exhibit
low-polarized emission due to the details of magnetic grain
alignment (Lazarian 2007). Little is known about the polariza-
tion properties of thermal dust emission in the high-frequency
bands above 100 GHz used for CMB observations. BICEP’s
220 GHz feeds are a unique link between the low-frequency
CMB polarimetry of WMAP and the high-frequency survey of
the Archeops experiment, from centimeter wavelengths to the
submillimeter. The combination of WMAP, QUaD, BICEP, and
Archeops polarization observations of the Galactic plane covers
more than a decade of frequency. The optical efficiencies (OEs) were derived by taking load
curves while observing blackbody radiation at different tem-
peratures and give the total end-to-end sensitivity on the sky. While this parameter is not used in the mapmaking pipeline, it
is implicitly included in the telescope noise estimates. The OEs
for the last observing season were 20.8%, 19.8%, and 15.8% for
100, 150, and 220 GHz, respectively. HFSS simulations for the
220 GHz feeds predicted a coupling efficiency over 98% (simi-
lar to the 100 and 150 GHz feeds) with 2% reflected power. The
OE of the feeds that were converted from 150 GHz to 220 GHz
declined by an average of 15%, while the other feeds did not
change between seasons. The simulated transmission and re-
flectivity did not include the lenses, which were optimized for
125 GHz operation (midway between 100 and 150 GHz), not
220 GHz. q
y
BICEP PSBs were only fabricated for 100 and 150 GHz
operations. The 220 GHz pixels therefore were modified from
150 GHz PSBs following the first season of observations. The
220 GHz feed installation consisted of replacing two 150 GHz
feedhorn stacks with a set of 220 GHz feedhorn stacks. Each
feedhorn stack consists of three separate feedhorn pieces, all of
which used the same outer-forms as the 150 GHz feedhorns. Two of the feedhorn inner-forms were made with a profile
similar to the 150 GHz feedhorns. The most difficult part of the
design process was to optimize the feedhorn that couples the
radiation to the bolometer. APPENDIX B
TELESCOPE CHARACTERIZATION Summarized here are the characterizations of parameters in
Table 1 not mentioned previously. For more information, see
Takahashi et al. (2010). The detector polarization angle, ψ, is
measured with a 0.◦7 uncertainty across all three bands, while
the relative angle uncertainty in the pair is measured with a
0.◦1 accuracy (Takahashi et al. 2010). Nominally, this is the
mechanical orientation of the bolometer web in the focal plane;
however, in practice, this is a parameter characterized after
deployment for more precise analysis. The ability to measure
this parameter with such low statistical and systematic error is
one of BICEP’s design advantages. g
g
The average cross-polarization response, ϵ, measures the
relative magnitude of the residual signal in the orthogonal
or cross-polarization direction given a purely polarized input
in the co-polar direction. The HFSS simulations predicted the
220 GHz feeds should have an ϵ less than 0.07, similar to
the measured value. Depolarization is larger for the 220 GHz
channel due to the coupling effects between the 220 GHz
coupling feedhorn and the bolometer and housing optimized
for 150 GHz observations. The resulting polarization efficiency,
γ , is the loss of polarization signal compared to the unpolarized
signal used for calibration. γ directly affects the observed
polarization fraction; however, it has been measured to 2%
uncertainty, which is much smaller than other errors in the
measurement. Figure 18. HFSS simulation of the 220 GHz coupling feedhorn to 150 GHz
bolometer. The color scale represents the electric field intensity. The phase was
chosen to maximize the field intensity at the bolometer webs. The shape of the
coupling feedhorn and distance between the last corrugation in the feedhorn
to the position of the bolometer webs is optimized to increase the coupling
efficiency and minimize the cross-polarization response. (A color version of this figure is available in the online journal.) Figure 18. HFSS simulation of the 220 GHz coupling feedhorn to 150 GHz
bolometer. The color scale represents the electric field intensity. The phase was
chosen to maximize the field intensity at the bolometer webs. The shape of the
coupling feedhorn and distance between the last corrugation in the feedhorn
to the position of the bolometer webs is optimized to increase the coupling
efficiency and minimize the cross-polarization response. 5. CONCLUSION BICEP’s Galactic observations have added new information
and insight into Galactic physics, while also confirming previous
measurements. BICEP samples an intermediate optical depth
of the ISM and polarization is detected everywhere within
two degrees of the Galactic plane with values ranging up to
a few percent at 100, 150, and 220 GHz. BICEP detects a
significant trend of decreasing polarization fraction as intensity
increases in the maps and increasing polarization fraction as
a function of frequency. Polarization angles were found to be
consistent from 23 GHz to 220 GHz and in general agreement
with polarization angles measured by stars in our observing Emission from the Galaxy has the potential to contaminate
the faint CMB B-mode signal in all observing fields. Since dust
emission follows a thermal spectrum, by monitoring polarized
interstellar dust at higher frequency than the primary B-mode
bands (100 and 150 GHz), it is possible to monitor dust con-
tamination with higher signal-to-noise per feed. While BICEP’s 19 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Bierman et al. Figure 18. HFSS simulation of the 220 GHz coupling feedhorn to 150 GHz
bolometer. The color scale represents the electric field intensity. The phase was
chosen to maximize the field intensity at the bolometer webs. The shape of the
coupling feedhorn and distance between the last corrugation in the feedhorn
to the position of the bolometer webs is optimized to increase the coupling
efficiency and minimize the cross-polarization response. (A color version of this figure is available in the online journal.) 17 Ansoft’s HFSS: http://www.ansoft.com/products/hf/hfss/ 2006, ApJ, 648, 784 C., Cheng, E. S., Cottingham, D. A., et al. 1994, ApJ, 420, 439 Mather, J. C., Cheng, E. S., Cottingham, D. A., et al. 199 REFERENCES Matthews, B. C., McPhee, C. A., Fissel, L. M., & Curran, R. L. 2009, ApJS,
182, 143 Ade, P. A. R., Pisano, G., Tucker, C., & Weaver, S. 2006, Proc. SPIE, 6275,
62750T Miville-Deschˆenes, M., Lagache, G., Boulanger, F., & Puget, J. 2007, A&A,
469, 595 Amblard, A., Cooray, A., & Kaplinghat, M. 2007, Phys. Rev. D, 75, 083508 Miville-Deschˆenes, M., Ysard, N., Lavabre, A., et al. 2008, A&A, 490, 1093
Novak, G., Chuss, D. T., Renbarger, T., et al. 2003, ApJ, 583, L83 Amblard, A., Cooray, A., & Kaplinghat, M. 2007, Phys. Rev. D, 75, 083508
Bennett, C. L., Halpern, M., Hinshaw, G., et al. 2003, ApJS, 148, 1
Benoˆıt, A., Ade, P., Amblard, A., et al. 2004, A&A, 424, 571
Bock, J., Cooray, A., Hanany, S., et al. 2008, arXiv:0805.4207
Burn, B. J. 1966, MNRAS, 133, 67
Chiang, H. C., Ade, P. A. R., Barkats, D., et al. 2010, ApJ, 711, 1123
Chuss, D. T., Davidson, J. A., Dotson, J. L., et al. 2003, ApJ, 599, 1116 Amblard, A., Cooray, A., & Kaplinghat, M. 2007, Phys. Rev. D, 75, 083508
Bennett, C. L., Halpern, M., Hinshaw, G., et al. 2003, ApJS, 148, 1 Bennett, C. L., Halpern, M., Hinshaw, G., et al. 2003, ApJS, 148, 1 Benoˆıt, A., Ade, P., Amblard, A., et al. 2004, A&A, 424, 571 Page, L., Hinshaw, G., Komatsu, E., et al. 2007, ApJS, 170, 335 Bock, J., Cooray, A., Hanany, S., et al. 2008, arXiv:0805.420 Ponthieu, N., Mac´ıas-P´erez, J. F., Tristram, M., et al. 2005, A&A, 444, 327 Bock, J., Cooray, A., Hanany, S., et al. 2008, arXiv:0805.4207
Burn, B. J. 1966, MNRAS, 133, 67
Chi
H C Ad
P A R B k
D
l 2010 A J 711 1123 Ponthieu, N., Macıas Perez, J. F., Tristram, M., et al. 2005, A&A, 444, 327
Runyan, M. C., Ade, P. A. R., Bhatia, R. S., et al. 2003, ApJS, 149, 265 y
y
Burn, B. J. 1966, MNRAS, 133, 67 Burn, B. J. 1966, MNRAS, 133, 67 Runyan, M. C., Ade, P. A. R., Bhatia, R. S., et al. 2003, ApJS, 149, Chiang, H. C., Ade, P. A. R., Barkats, D., et al. 2010, ApJ, 711, 1123 Rybicki, G. B., & Lightman, A. P. 1979, Radiative Processes in Astrophysics
(New York: Wiley) Chuss, D. T., Davidson, J. A., Dotson, J. L., et al. 2006, ApJ, 648, 784 p
Heiles, C. 2000, AJ, 119, 923 Hildebrand, R., & Kirby, L. 2004, in ASP Conf. Ser. 309, Astrophysics of Dust,
ed. A. N. Witt, G. C. Clayton, & B. T. Draine (San Francisco, CA: ASP),
515 y
p y
ed. A. N. Witt, G. C. Clayton, & B. T. Draine (San Francisco, CA: ASP),
515 Hildebrand, R. H. 1983, QJRAS, 24, 267 Hildebrand, R. H. 1988, Astrophys. Lett. Commun., 26, 263 Hildebrand, R. H., Dotson, J. L., Dowell, C. D., Schleuning, D. A., &
Vaillancourt, J. E. 1999, ApJ, 516, 834 Hiltner, W. A. 1951, ApJ, 114, 241 p
Jarosik, N., Barnes, C., Greason, M. R., et al. 2007, ApJS, Jones, T. J. 1989, ApJ, 346, 728 p
Jones, T. J. 2003, New Astron. Rev., 47, 1123 Jones, W. C., Bhatia, R., Bock, J. J., & Lange, A. E. 2003, Proc. SPIE, 4855,
227 Jones, W. C., Montroy, T. E., Crill, B. P., et al. 2007, A&A, 470, 771 Kamionkowski, M., Kosowsky, A., & Stebbins, A. 199 A miscalibration of the time-domain impulse response, K(t),
would act like a beam size mismatch leaking intensity to
polarization. However, the time-domain response for each of
the three bands is measured to a very high precision and
deconvolved from the raw 50-Hz-sampled timestream. There is
no evidence for time constant mismatch from either the Galaxy
data or CMB data. Keating, B. G., Ade, P. A. R., Bock, J. J., et al. 2003a, Proc. SPIE, 2855, 227 Keating, B. G., Ade, P. A. R., Bock, J. J., et al. 2003a, Keating, B. G., O’Dell, C. W., Gundersen, J. O., et al. 2003b, ApJS, 144, 1 Keating, B. G., O’Dell, C. W., Gundersen, J. O., et al. 2003b, ApJS, 144, 1
Kogut, A., Dunkley, J., Bennett, C. L., et al. 2007, ApJ, 665, 355
Larson, D. L., Eriksen, H. K., Wandelt, B. D., et al. 2007, ApJ, 656, 653 Kogut, A., Dunkley, J., Bennett, C. L., et al. 2007, ApJ, 665, 35 g
y
p
Larson, D. L., Eriksen, H. K., Wandelt, B. D., et al. 2007, ApJ, 656, 653 Lazarian, A. 2007, J. Quant. Spectrosc. Radiat. Transfer, 106, 225 Leach, S. M., Cardoso, J.-F., Baccigalupi, C., et al. 2008, A&A, 491, 597 Li, H., Dowell, C. D., Goodman, A., Hildebrand, R., & Novak, G. 2009, ApJ,
704, 891 Martin, P. G., & Whittet, D. C. B. 1990, ApJ, 357, 113 Mather, J. APPENDIX B
TELESCOPE CHARACTERIZATION 2002, ApJ, 564, 762
Glenn, J., Walker, C. K., & Young, E. T. 1999, ApJ, 511, 812 p
Glenn, J., Walker, C. K., & Young, E. T. 1999, ApJ, 511, 812 g
p
Hamaker, J. P., & Bregman, J. D. 1996, A&AS, 117, 161 Reflections in the optical system created a “ghost image”
opposite to the primary image with respect to the boresight for
each feed. The average ghost image power, as determined by
observations of the Moon, was 0.41%, 0.50%, and 1.3% for
100, 150, and 220 GHz, respectively, relative to the primary
image. The magnitudes of the ghost beam images relative to the
primary image are nearly identical for a given pair of PSBs in a
feed, giving power differences of 0.02%, 0.04%, 0.04% for the
100, 150, and 220 GHz bands, respectively. Since the Moon’s
high intensity lowers the responsivity of the detectors, the ghost
image systematics given here are upper limits. These differences
are below the noise level in the Galactic polarization maps for
all three bands. While this effect has been measured well using
a bright source such as the Moon, there is no evidence for ghost
effects in the Galactic maps. Hansen, F. K., Banday, A. J., Eriksen, H. K., G´orski, K. M., & Lilje, P. B. 2006, ApJ, 648, 784 APPENDIX B
TELESCOPE CHARACTERIZATION In this case, the 220 GHz coupling
feedhorn and corrugation profile had to be matched to the
existing 150 GHz bolometer and housing. Using HFSS,17 the
feedhorn-to-bolometer housing coupling, co-polar beam shape,
total throughput, and cross-polarization beam response were
optimized. Specifically, a straight 220 GHz feedhorn profile
inserted into the 150 GHz housing resulted in the best overall
simulated performance (Figure 18). The lower frequency cutoff
of the 220 GHz band is defined by the feedhorn waveguide
cutoff while the higher cutoff is defined by a set of metal mesh
filters, borrowed from the ACBAR experiment (Runyan et al. 2003). The beam functions, P(Ω), were measured using a circularly
polarized broadband noise source for 100 and 150 GHz feeds
and Jupiter for 220 GHz feeds. The beam response functions
are fit with an elliptical Gaussian giving an average beam
FWHM of 0.◦93, 0.◦60, and 0.◦42 for 100, 150, and 220 GHz,
respectively. The differential beam size and ellipticities are very
small for BICEP and do not affect the results of this paper. Both
polarized and unpolarized sidelobe responses are characterized
by observations of a broadband source and are determined to be
negligible for this analysis. The absolute telescope pointing is calculated from observa-
tions of multiple stars taken by an optical camera mounted to the
telescope. The absolute pointing is the same as used in Chiang
et al. (2010) and is independent of a given feeds transmission
band. Relative radio pointing for each feed is calibrated using
individual maps of CMB temperature anisotropy. The differen-
tial pointing mismatch between PSB pairs has similar values
across all three bands, with a mean of 0.◦0041, 0.◦0046, and
0.◦0047 (1.0%, 1.8%, 2.6% of the beam size) for 100, 150, and
220 GHz, respectively. The 220 GHz intensity maps show some 17 Ansoft’s HFSS: http://www.ansoft.com/products/hf/hfss/ 20 The Astrophysical Journal, 741:81 (21pp), 2011 November 10 Bierman et al. Fosalba, P., Lazarian, A., Prunet, S., & Tauber, J. A. 2002, ApJ, 564, 762
Gl
J W lk
C K & Y
E T 1999 A J 511 812 small evidence for differential pointing between the two PSBs
within a feed and between the two feeds. Fosalba, P., Lazarian, A., Prunet, S., & Tauber, J. A. 2002, ApJ, 564, 762
Glenn, J., Walker, C. K., & Young, E. T. 1999, ApJ, 511, 812 Fosalba, P., Lazarian, A., Prunet, S., & Tauber, J. A. REFERENCES 2003, ApJ, 599, 1116 Culverhouse, T., Ade, P., Bock, J., et al. 2010, ApJ, 722, 1057 Seljak, U., & Zaldarriaga, M. 1997, Phys. Rev. Lett., 78, 2054 Davis, L., Jr., & Greenstein, J. L. 1951, ApJ, 114, 206 Davis, L., Jr., & Greenstein, J. L. 1951, Stephens, I. W., Looney, L. W., Dowell, C. D., Vaillancourt, J. E., & Tassis, K. 2011, ApJ, 728, 99 Dickman, R. L. 1978, ApJS, 37, 407 Dodelson, S., Easther, R., Hanany, S., et al. 2009, in Astronomy, Vol. 2010,
t
2010 Th A t
d A t
h
i
D
d l S
67 Dodelson, S., Easther, R., Hanany, S., et al. 2009, in Astronomy, Vol. 201
astro2010: The Astronomy and Astrophysics Decadal Survey, 67 ,
p ,
,
Takahashi, Y. D., Ade, P. A. R., Barkats, D., et al. 2010, ApJ, 711, 11 o2010: The Astronomy and Astrophysics Decadal Survey, 67 Tauber, J. A., Mandolesi, N., Puget, J.-L., et al. 2010, A&A, 520, A1 y
p y
y
Dotson, J. L., Vaillancourt, J. E., Kirby, L., et al. 2010, ApJS, 186, 406 Tucci, M., Mart´ınez-Gonz´alez, E., Vielva, P., & Delabrouille, J. 2005, MNRAS,
360, 935 Draine, B. T., & Fraisse, A. A. 2009, ApJ, 696, 1 Draine, B. T., & Fraisse, A. A. 2009, ApJ, 696, 1 p
Duband, L., Hui, L., & Lange, A. 1990, Cryogenics, 30, 263 Vaillancourt, J. E. 2007, in Sky Polarisation at Far-Infrared to Radio Wave-
lengths: The Galactic Screen before the Cosmic Microwave Background, ed. M.-A. Miville-Deschˆenes & F. Boulanger (EAS Pub. Ser. Vol. 23; Les Ulis:
EDP Sciences), 147 Dunkley, J., Amblard, A., Baccigalupi, C., et al. 2009, in AIP Conf. Ser. 1141,
CMB Polarization Workshop: Theory and Foregrounds, ed. S. Dodelson et al. (Melville, NY: AIP), 222 Eriksen, H. K., Dickinson, C., Lawrence, C. R., et al. 2006, ApJ, 641, 665 Weiler, K. W. 1973, A&A, 26, 403 p
Eriksen, H. K., Jewell, J. B., Dickinson, C., et al. 2008, ApJ, 676, 10 Eriksen, H. K., Jewell, J. B., Dickinson, C., et al. 2 ,
,
,
,
Whittet, D. C. B. 1992, Dust in the Galactic Environmen Whittet, D. C. B. 1992, Dust in the Galactic Environment (London: Taylor and
Francis) Whittet, D. C. B. 1992, Dust in the Galactic E
Francis) Whittet, D. C. B. 1992, Dust in the Galactic Environment (London: Taylor and
Francis)
Wiebe, D. S., & Watson, W. D. REFERENCES 2004, ApJ, 615, 300
Yoon, K. W., Ade, P. A. R., Barkats, D., et al. 2006, Proc. SPIE, 6275, 62751K Finkbeiner, D. P. 2003, ApJS, 146, 407 ,
,
p
,
,
Finkbeiner, D. P., Davis, M., & Schlegel, D. J. 1999, ApJ, 524, 867
Fixsen, D. J., & Mather, J. C. 2002, ApJ, 581, 817 p
Finkbeiner, D. P., Davis, M., & Schlegel, D. J. 1999, ApJ, 524, 867
Fi sen D J & Mather J C 2002 ApJ 581 817 Finkbeiner, D. P., Davis, M., & Schlegel, D. J. 1999, ApJ, 524, 867 Wiebe, D. S., & Watson, W. D. 2004, ApJ, 615, 300
Yoon, K. W., Ade, P. A. R., Barkats, D., et al. 2006, P Wiebe, D. S., & Watson, W. D. 2004, ApJ, 615, 300
Yoon, K. W., Ade, P. A. R., Barkats, D., et al. 2006, Proc. SPIE, 6275, 62751K Finkbeiner, D. P., Davis, M., & Schlegel, D. J. 1999, ApJ, 524, 867
Fixsen, D. J., & Mather, J. C. 2002, ApJ, 581, 817 Fixsen, D. J., & Mather, J. C. 2002, ApJ, 581, 817 Fixsen, D. J., & Mather, J. C. 2002, A 21
|
W4386256196.txt
|
https://www.researchsquare.com/article/rs-3280374/latest.pdf
|
en
|
The Impact of Digital Inequities on Esophageal Cancer Disparities in the US
|
Research Square (Research Square)
| 2,023
|
cc-by
| 4,290
|
The Impact of Digital Inequities on Esophageal
Cancer Disparities in the US
David J. Fei-Zhang ( david.fei-zhang@northwestern.edu )
Northwestern University Feinberg School of Medicine
Evan R. Edwards
Northwestern University Feinberg School of Medicine
Shravan Asthana
Northwestern University Feinberg School of Medicine
Daniel C Chelius
Baylor College of Medicine
Anthony M. Sheyn
University of Tennessee Health Science Center
Jeffrey C. Rastatter
Northwestern University Feinberg School of Medicine
Research Article
Keywords: Social Determinants of Health, Internet Access, Broadband Service, Technology Infrastructure,
Esophageal Cancer
Posted Date: August 29th, 2023
DOI: https://doi.org/10.21203/rs.3.rs-3280374/v1
License: This work is licensed under a Creative Commons Attribution 4.0 International License.
Read Full License
Page 1/17
Abstract
Objectives: To develop and implement a novel, comprehensive tool called the Digital Inequity Index (DII)
that quantifiably measures modern technology access in the US and to assess the impact of digital
inequity on esophageal cancer (EC) care nationwide.
Methods: A total of15,656 EC patients from 2013-2017 in SEER were assessed for significant regression
trends in long-term follow-up, survival, prognosis, and treatment with increasing overall digital inequity, as
measured by the DII. The DII was calculated based on 17 censustract-level variables derived from the
American Community Survey and Federal Communications Commission. Variables were categorized as
infrastructure-access (i.e., electronic device ownership, type of broadband, internet provider availability,
income-broadband subscription ratio) or sociodemographic (i.e.,education, income, disability status),
ranked and then averaged into a composite score.
Results: With increasing overall digital inequity, significant decreases in the length of long-term follow-up
(p<0.001) and survival (p<0.001) for EC patients were observed. EC patients showed decreased odds of
receivingthe indicated surgical resection (OR 0.90, 95% CI 0.84-96; OR 0.97; 95% CI0.95-1.00, respectively)
with increasing digital inequity. They also showed increased odds of advanced preliminary staging (OR
1.02, 95% CI 1.00-1.05) and decreased odds of receiving the indicated chemotherapy (OR 0.97; 95% CI
0.95-99).
Conclusions: Digital inequities meaningfully contribute to detrimental trends in EC patient care in the US,
allowing discourse for targeted means of alleviating disparities while contextualizing national,
sociodemographic trends of the impact of online access on informed care.
Level of Evidence: III
INTRODUCTION
As esophageal cancers (EC) remain the seventh most prevalent cancer and sixth leading cause of cancerrelated death globally1–3, social determinants of health (SDoH) have long contributed to EC disparities in
care and prognosis, namely, low socioeconomic status, minority race-ethnicity, and increased rurality3–5.
These studies and others have highlighted how SDoH comprises 80–90% of modifiable contributors to
public health outcomes across EC and other diseases6, indicating an urgent need to address such factors
in improving EC burdens.
One potential strategy for tackling this EC burden is the use of the internet for disseminating knowledge
to patients, providers, and the wider general audience. Within the broader area of gastrointestinal cancers,
several investigations have observed how the usage and quality of online information elicits significant
benefits to their diagnosis, treatment, prevention, and prognosis7–9. Although this positive impact has
been thoroughly investigated, measures of how patients gain digital accessibility to these resources
remain seldom investigated among those diagnosed with gastrointestinal cancers, let alone esophageal
Page 2/17
cancers specifically. This is in contrast to there being several national investigations of associating
digital resource inequities with community health disparities in diabetes and obesity prevalence10,11 In
turn, this “digital inequity”, which encompasses a community’s possession of internet-capable electronic
devices, local network infrastructure, or economic broadband service pricing relative to the local income
level, involves modern-day SDoH factors that are sparsely assessed in comparison to the research on
traditional SDoH such as socioeconomic status, race-ethnicity, education, and others on EC disparities.
Presently, there are few initiatives working to characterize this “digital inequity” within health disparities.
State-level efforts, such as the Digital Divide Index (DDI) from the Rural Indiana Stats database, and
national-level efforts, such as the Federal Communications Commission (FCC) Connect2Health
Broadband Map, have been developed for such purposes but fall short in multiple ways. The FCC
Connect2Health Broadband Map is not updated regularly, and the DDI has a very limited geographic
scope.12,13 Furthermore, national assessments of these digital-inequity measures while accounting for
traditional SDoH (i.e., socioeconomic status, race-ethnicity, education, etc.) in association with EC
outcomes remain absent. In turn, we sought to create the Digital Inequity Index (DII) (Fig. 1), a selfdeveloped tool for quantifying access to digital resources across the country while accounting for
nondigital confounders, to assess the impact of “digital inequity” on EC care and prognosis.
METHODS
This retrospective cohort study follows the Strengthening the Reporting of Observational Studies in
Epidemiology (STROBE) reporting guidelines. No prior IRB/ethics committee approval or waiver of
informed consent was needed; the databases queried consist of publicly available, deidentified data. This
data was made available for this study by adhering to data-sharing agreements with the Surveillance,
Epidemiology, and End-Results (SEER) administrators.
Data sources:
The DII was calculated based on 17 census-tract level variables derived from the 2018 American
Community Survey (ACS) 5-year estimates from 2013–2017 and the Federal Communications 14th
Broadband Report. Variables were extracted and grouped into two DII-subcategories of “infrastructureaccess” - comprised of the measures representing “households without a desktop or laptop”, “without
access to nonmobile broadband”, “without access to broadband: DSL”, “without access to broadband:
cable”, “without access to broadband: fiber”, “without access to broadband: terrestrial fixed wireless”,
“without a mobile or nonmobile internet subscription of any type”, “without an internet subscription of
cable, fiber, or DSL”, “without a broadband subscription in households making $20,000 or less”, “without a
broadband subscription in households making $20,000 - $74,999”, “without a broadband subscription in
households making $75,000 or more” – and “sociodemographic” – comprised of “25 + aged people
without high school diploma”, “25 + aged people without an associate’s degree or higher”, “25 + aged
people without a bachelor’s degree or higher”, “below poverty level within the last 12 months”, “below
150% of poverty level within the last 12 months”, and “disability status pertaining to cognitive,
Page 3/17
ambulatory, or self-care difficulties”. For reference, these are tabulated in Supplement Table 1 by DII
subcategory.
Page 4/17
Table 1
Patient Characteristics by DII Score
Total Digital Inequity Index Category
Characteristic
N
Lowest
Total DII, N
= 11032
(70%)
Lower
Total DII,
N = 2328
(15%)
Middle
Total DII, N
= 1195
(7.6%)
Higher
Total DII,
N = 558
(3.6%)
Highest
Total DII, N
= 543
(3.5%)
Age
15,656
20–44 years
255 (2.3%)
42 (1.8%)
27 (2.3%)
15 (2.7%)
10 (1.8%)
45–64 years
3,842
(35%)
870 (37%)
477 (40%)
254 (46%)
242 (45%)
65–84 years
5,882
(53%)
1,237
(53%)
624 (52%)
255 (46%)
270 (50%)
85 + years
1,053
(9.5%)
179 (7.7%)
67 (5.6%)
34 (6.1%)
21 (3.9%)
Male
8,481
(77%)
1,790
(77%)
959 (80%)
465 (83%)
447 (82%)
Female
2,551
(23%)
538 (23%)
236 (20%)
93 (17%)
96 (18%)
White
8,300
(75%)
1,834
(79%)
959 (80%)
434 (78%)
396 (73%)
Black
867 (7.9%)
324 (14%)
161 (13%)
87 (16%)
121 (22%)
Hispanic
1,047
(9.5%)
121 (5.2%)
54 (4.5%)
10 (1.8%)
18 (3.3%)
Asian or Pacific
Islander
709 (6.4%)
34 (1.5%)
11 (0.9%)
23 (4.1%)
0 (0%)
Native American
59 (0.5%)
11 (0.5%)
7 (0.6%)
1 (0.2%)
5 (0.9%)
Unknown
50 (0.5%)
4 (0.2%)
3 (0.3%)
3 (0.5%)
3 (0.6%)
Midwest
823 (7.5%)
700 (30%)
231 (19%)
56 (10%)
6 (1.1%)
Northeast
2,018
(18%)
531 (23%)
85 (7.1%)
0 (0%)
0 (0%)
South
1,669
(15%)
573 (25%)
647 (54%)
440 (79%)
480 (88%)
Sex
Race
Region
15,656
15,656
15,656
Page 5/17
Total Digital Inequity Index Category
West
6,522
(59%)
524 (23%)
232 (19%)
62 (11%)
57 (10%)
Adenocarcinomas
6,696
(61%)
1,392
(60%)
734 (61%)
333 (60%)
290 (53%)
Squamous Cell
Neoplasms
3,455
(31%)
708 (30%)
374 (31%)
178 (32%)
202 (37%)
Epithelial
Neoplasms, NOS
442 (4.0%)
110 (4.7%)
35 (2.9%)
22 (3.9%)
25 (4.6%)
Unspecified
Neoplasms
338 (3.1%)
92 (4.0%)
44 (3.7%)
22 (3.9%)
23 (4.2%)
Complex
Epithelial
Neoplasms
101 (0.9%)
26 (1.1%)
8 (0.7%)
3 (0.5%)
3 (0.6%)
Stage I-III
5,678
(58%)
1,186
(58%)
595 (56%)
254 (53%)
283 (60%)
Stage IV & Above
4,089
(42%)
859 (42%)
466 (44%)
221 (47%)
187 (40%)
1,746
(78%)
898 (78%)
446 (82%)
414 (79%)
2,446
(23%)
503 (22%)
253 (22%)
97 (18%)
113 (21%)
No Surgery
8,114
(76%)
1,676
(75%)
884 (78%)
404 (79%)
409 (81%)
Surgery
2,537
(24%)
547 (25%)
252 (22%)
107 (21%)
97 (19%)
5,073
(46%)
1,068
(46%)
555 (46%)
247 (44%)
251 (46%)
ICD-O-3
Histopathology
TNM Combined
Staging
No. of Primary
Tumors by Dx
15,656
13,818
15,060
8,144
(77%)
2 or more
Primary Surgery
Performed
Radiation
Therapy
Performed
No Therapy
15,027
15,656
Page 6/17
Total Digital Inequity Index Category
Therapy
5,959
(54%)
1,260
(54%)
640 (54%)
311 (56%)
292 (54%)
No Therapy
4,349
(39%)
969 (42%)
501 (42%)
228 (41%)
223 (41%)
Therapy
6,683
(61%)
1,359
(58%)
694 (58%)
330 (59%)
320 (59%)
Alive
4,478
(41%)
875 (38%)
449 (38%)
185 (33%)
172 (32%)
Dead
6,554
(59%)
1,453
(62%)
746 (62%)
373 (67%)
371 (68%)
Chemotherapy
Performed
Vital Status on
Last Follow-up
15,656
15,656
Ranked scores were then assigned to each ACS variable based on their relative value compared to all
other census tracts nationwide. These were then adjusted by tract population to calculate weighted-mean
scores on the county level within their respective DII subcategories. The total composite DII score was
calculated based on the combined means of the two subcategories to account for nondigital,
sociodemographic confounders. DII scores were then arranged into five ordered classes by natural break
(Jenks) classification by comparing the sum of squared deviations between classes to each array mean
and utilizing a goodness of variance fit. These five classes were then labeled “Lowest”, “Lower”, “Middle”,
“Higher”, and “Highest,” where “Highest” is considered the highest measured digital inequity (Fig. 1).
These methods were adapted from the Rural Indiana Stats group at the time our present study was
conducted13.
The National Cancer Institute-Surveillance, Epidemiology, and End Results Program (NCI-SEER) database
contains national datasets of patient variables, pathological characteristics, treatment modalities, and
prognostic outcomes. Months under surveillance represents a length-of-care measurement reflecting the
active follow-up a patient receives for their primary malignancy up until the last provider interaction.
Months-long survival represents active follow-up until the patient suffers a mortal outcome. Staging is
based on SEER-designated variables labeled as “Stage IV”, “distant [expansion]”, or “distal [expansion]”
and recoded under American Joint Committee on Cancer, 6th Edition (AJCC-6) classifications. Primary
surgery occurrence represents whether patients received surgery for their primary malignancy.
DII scores were abstracted and matched to SEER patient data based on the county of residence at the
time of diagnosis. A schematic workflow is provided in Supplement Fig. 1.
Population definitions
Page 7/17
SEER was queried for adult (20 + years) patients diagnosed with EC from 2013 to 2017. Primary sites
were extracted using International Classification of Diseases for Oncology, Third Edition (ICD-O-3)
topographic codes [C150.0 – C159.0].
Statistical Methods: Demographics Tables, Linear and
Logistic Regressions, Boxplots
Demographics tables were grouped by total DII scores delineated by natural break (Jenks) classifications
of “lowest”, “lowest”, “middle”, “highest” and “highest”.
Follow-up time/surveillance period and survival period were analyzed by total DII score and DII
subcategory scores. DII scores were split into relative, equivalently sampled quintiles based on actual DII
scores. The relative-DII quintiles were delineated by “<20”, “20-39.99”, “40-59.99”, “60-79.99”, and “8099.99.” Among these total and DII-theme quintiles, differences between the mean months under
surveillance and survival period for lowest and highest DII-scored quintiles were calculated. Trend
significance was assessed by linear regression across relative-DII quintiles for both continuous measures,
and box plots were generated to assess the median, interquartile range (IQR), and 1.5-times the IQR. Mean
values were also calculated per relative quintile group. Survival months were analyzed similarly as
months under surveillance. However, after separating patients into relative-DII quintiles, patients who were
alive/lost upon last follow-up were excluded to extract patients who were dead upon last follow-up.
Logistic regression was used to assess primary surgery occurrence, advanced staging at the time of
diagnosis, and receipt of radiation therapy or chemotherapy across DII quintiles. A two-sided P value <
0.05 was set as the threshold of statistical significance. All statistical analyses were conducted in R
version 4.2.1.
RESULTS
A total of 15,656 adult patients with primary EC were extracted from SEER. Of those, 65–84 years of age
(n = 8268, 52.8%), male sex (n = 12,142, 77.6%), white race (n = 11,923, 76.2%), and from Western regions
of the US (n = 7397, 47.2%) were the most represented among the study population. Adenocarcinomas (n
= 9445, 60.3%) and squamous cells (n = 4917, 31.4%) were the most represented histology subtypes.
Further demographic and clinical characteristics stratified by total DII classes are noted in Table 1.
Trends in Months under Surveillance and Survival by Relative DII Percentile
The mean time under surveillance stratified by total DII score quintiles is summarized in Fig. 2. Overall,
mean surveillance time was significantly decreased (p < 0.001) when assessing the continuous
regression trends from the lowest DII quintile (i.e., with the least digital inequity) to the highest DII quintile
(i.e., increasing digital inequity) after adjusting for nondigital sociodemographic confounders. The mean
differences between the lowest and highest quintiles were from 11.52 months to 10.44 months for a
Page 8/17
relative reduction of 9.36%. Contributing to this total DII trend, increasing inequity in the subcategories of
infrastructure access and usage and sociodemographic factors showed equivalent impacts (Fig. 2).
The mean survival period stratified by total DII score quintiles is summarized in Fig. 3. Similar to previous
studies, the mean survival time was significantly decreased (p < 0.001) when assessing continuous
regression trends with increasing DII quintiles (i.e., lowest to highest). The mean differences between the
lowest and highest quintiles were from 7.71 to 7.07 months, for a relative reduction of 8.32%.
Contributing to this total DII trend, increasing inequity within the subcategories showed higher
contributions of sociodemographic factors compared to infrastructure-access and usage factors (Fig. 3).
Trends in Staging and Treatment
Logistic regression results for EC staging and treatment variables across all DII score quintiles are
summarized in Table 2. Compared to the lowest quintile, EC were at increased odds of presentation at an
advanced stage (OR 1.02; 95% CI 1.01–1.05), with significant contributions from both infrastructure
access-usage and sociodemographic variable subcategories. The odds of receiving radiation therapy did
not significantly differ for EC patients between the highest and lowest quintiles; however, EC patients were
at decreased odds of receiving chemotherapy (OR 0.97; 95% CI 0.95-1.00). In terms of surgical resection,
EC patients in the highest quintile demonstrated decreased odds of receiving the indicated surgical
intervention (OR 0.97; 95% CI 0.95-99).
Page 9/17
Table 2
DII-based Analyses of Staging and Treatment Receipt. Univariate logistic regressions
across DII quintiles based on first presentation occurrence of Stage IV/distant expansion
and primary treatment (surgery, radiation, chemotherapy) occurrence for increasing totalDII score and subcomponent DII-theme subscores per disease class.
Outcome
DII Characteristic
OR
95% CI
p-value
Advanced Staging
Total
1.02
1.00, 1.05
0.042
Infrastructure Access-Usage
1.04
1.01, 1.06
0.003
Sociodemographic
1.06
1.03, 1.08
0.000
Total
0.97
0.95, 1.00
0.028
Infrastructure Access-Usage
0.96
0.94, 0.99
0.001
Sociodemographic
0.97
0.95, 1.00
0.023
Total
0.98
0.96, 1.00
0.105
Infrastructure Access-Usage
0.98
0.95, 1.00
0.038
Sociodemographic
1.00
0.98, 1.03
0.733
Total
0.97
0.95, 1.00
0.048
Infrastructure Access-Usage
0.95
0.93, 0.98
0.000
Sociodemographic
0.96
0.94, 0.99
0.008
Chemotherapy
Radiation
Surgical Resection
DISCUSSION
To our knowledge, this is the first and largest study to develop and implement a national index as a
comprehensive measure for evaluating digital inequity while accounting for sociodemographic
confounders across EC patients and to evaluate the relationships of digital inequity on EC care and
prognosis while accounting for nondigital, sociodemographic SDoH. Overall, increased digital inequity
measured by total DII and its subcategories showed significant decreases in surveillance and survival
periods, as well as increased odds of late disease staging and decreased odds of surgery receipt for EC
patients.
Given the wide range of DII scores within our study population, the impact of digital inequity and its
overlap with sociodemographic factors on EC disparities is of universal importance. Large-scale analyses
of technology usage and internet access impact have become more crucial to understand their health
impact on EC and other cancer patients, especially within more rural areas with higher digital inequity.
During the late 2000s and early 2010s, investigations were underway in underserved regions, such as
Appalachia and Kentucky, which highlighted the increased cancer burden being connected to lower
broadband access14–16. When digital infrastructure was implemented in these areas, such as added
Page 10/17
telephone and internet-video conferencing for patients and clinic systems, both patients and providers
reported higher satisfaction with cancer symptom management and higher acceptance, usage, and
satisfaction of connected health technologies16. In turn, our study reaffirms these prior results and
showcases unique methodologies for evaluating how such digital deficits can be targeted on a national
scale.
Given the complex nature of the impact of SDoH on EC and other cancers, our Digital Inequity Index
demonstrates the need for developing comprehensive SDoH tools that leverage modern large datasets to
assess the interrelated, real-world impacts of SDoH. Prior efforts in tackling this issue for SDoH-cancer
studies have come in the form of social determinant indices, such as the Social Vulnerability Index and
Area Deprivation Index17–21, to quantifiably characterize the impact of traditional SDoH, such as
socioeconomic status, minority race-ethnicity, and rurality-urbanicity, with real-world valence. Despite
these indices being utilized to identify areas of higher social disadvantage and target prospective
interventions for reducing cancer disparities, they lack the breadth of SDoH needed to assess key,
modern-day factors of digital inequity that affect population health as significantly as traditional SDoH.
Our findings of infrastructure access-usage inequity contributing equivalently to EC disparities while
accounting for nondigital, sociodemographic factors support this assertion. Moreover, this supposition
can be more directly observed within other global-regional studies, which have shown significantly fewer
postoperative complications related to nutrition and quality of life with internet-based dietary
management compared to without for EC patients22. Thus, our study highlights the need for the novel
development of indices accounting for lesser-studied determinant factors, such as those encompassed
by our DII. Ultimately, they allow nuanced, quantifiable characterizations of their impact while
contextualizing the influence of both digital and traditional SDoH on EC health inequities.
The principal strengths of our study are that it utilizes a novel, comprehensive index to assess a wide
variety of digital inequity determinants precisely measured by the American Community Survey and FCC
Broadband reports while accounting for nondigital/sociodemographic variables. It encompasses a large,
contemporary population of EC patients across the US and looks into patient variables as well as level of
care measurements and prognostic outcomes.
However, this study has limitations. The DII and SEER data only overlap from 2013 to 2017, which
necessitates future infrastructure/census and patient data that should be more up to date. Given the
majority white representation of our study populace, future studies revolving around race-ethnicity-based
stratified groups should be performed to assess whether the impact of observed DII differences would
change. The range of clinical characteristics from the standalone SEER database does not contain the
full breadth of variables that would further characterize our findings, which would urge the use of other
paid, SEER-Medicare linked databases to provide additional information on operative details and
treatment modalities.
CONCLUSION
Page 11/17
Using the Digital Inequity Index, this study provides unique quantitative and qualitative contemporary
digital-SDoH-based assessments of the care and prognosis of esophageal cancer patients across the US.
Our results not only reaffirm prior knowledge of past digital resource-disparity studies but also expand
upon them by incorporating a nationwide patient populace and adjusting for the complex interactions
between digital and nondigital SDoH factors. Furthermore, they provide a means of identifying which and,
more importantly, how much digital resource inequity contributes to overall disparity trends in the context
of varied SDoH measures. Ultimately, our use of DII establishes a basis for future inquiry into SDoHrelated esophageal cancer studies and for advising providers which SDoH should be investigated to relay
the most benefit, informing both practice and public policy toward equitable delivery of esophageal
cancer care.
Declarations
Ethics approval and consent to participate: Not applicable
Consent for publication: Not applicable
Availability of data and materials: Due to designated data-sharing agreements with the Surveillance,
Epidemiology, and End-Results (SEER) administrators, we are unable to provide the linked datasets of this
study readily.
Competing interests: We have no competing interests to report.
Funding: We have no funding to report.
Authors' contributions:
David Fei-Zhang: Design, data acquisition, statistical analysis, data interpretation, drafting, and revision
Evan Edwards: Design, data interpretation, drafting, and revision
Shravan Asthana: Data interpretation, drafting, and revision
Daniel Chelius: design, data interpretation, revision, supervision
Anthony Sheyn: Design, data interpretation, revision, supervision
Jeff Rastatter: design, data interpretation, revision, supervision
Acknowledgements (optional): Not applicable
References
Page 12/17
1. Huang J, Koulaouzidis A, Marlicz W, et al. Global Burden, Risk Factors, and Trends of Esophageal
Cancer: An Analysis of Cancer Registries from 48 Countries. Cancers. 2021;13(1).
doi:10.3390/cancers13010141
2. Patel N, Benipal B. Incidence of Esophageal Cancer in the United States from 2001–2015: A United
States Cancer Statistics Analysis of 50 States. Cureus. 10(12):e3709. doi:10.7759/cureus.3709
3. Xie SH, Lagergren J. Social group disparities in the incidence and prognosis of oesophageal cancer.
United European Gastroenterol J. 2018;6(3):343–348. doi:10.1177/2050640617751254
4. Chen HY, Chen IC, Chen YH, Chen CC, Chuang CY, Lin CH. The Influence of Socioeconomic Status on
Esophageal Cancer in Taiwan: A Population-Based Study. J Pers Med. 2022;12(4):595.
doi:10.3390/jpm12040595
5. Sridhar P, Bhatt M, Qureshi MM, et al. Esophageal Cancer Presentation, Treatment, and Outcomes
Vary With Hospital Safety-Net Burden. The Annals of Thoracic Surgery. 2019;107(5):1472–1479.
doi:10.1016/j.athoracsur.2018.11.065
6. Adler KG. Screening for Social Determinants of Health: An Opportunity or Unreasonable Burden?
fpm. 2018;25(3):3–3.
7. Becker D, Grapendorf J, Greving H, Sassenberg K. Perceived Threat and Internet Use Predict
Intentions to Get Bowel Cancer Screening (Colonoscopy): Longitudinal Questionnaire Study. J Med
Internet Res. 2018;20(2):e46. doi:10.2196/jmir.9144
8. Killeen S, Hennessey A, El Hassan Y, et al. Gastric cancer-related information on the Internet:
incomplete, poorly accessible, and overly commercial. Am J Surg. 2011;201(2):171–178.
doi:10.1016/j.amjsurg.2009.12.015
9. Chan DSY, Willicombe A, Reid TD, et al. Relative Quality of Internet-Derived Gastrointestinal Cancer
Information. J Canc Educ. 2012;27(4):676–679. doi:10.1007/s13187-012-0408-2
10. Skevofilakas M, Mougiakakou SG, Zarkogianni K, et al. A communication and information
technology infrastructure for real time monitoring and management of type 1 diabetes patients.
Annu Int Conf IEEE Eng Med Biol Soc. 2007;2007:3685–3688. doi:10.1109/IEMBS.2007.4353131
11. Connect2HealthFCC. Federal Communications Commission. Published October 26, 2015. Accessed
February 11, 2023. https://www.fcc.gov/about-fcc/fcc-initiatives/connect2healthfcc
12. Digital Inclusion | Digital Divide Index. Accessed February 11, 2023.
https://pcrd.purdue.edu/ruralindianastats/broadband/ddi.php?variable=ddi-map&county=Adams
13. Ellison M, Vanderpool R. Preface: Experiencing Cancer in Appalachian Kentucky. Journal of
Appalachian Health. 2020;2(3):71. doi:https://doi.org/10.13023/jah.0203.08
14. Hesse B, Ahern D, Ellison M, et al. Barn-Raising on the Digital Frontier: The L.A.U.N.C.H. Collaborative.
Journal of Appalachian Health. 2020;2(1):8. doi:https://doi.org/10.13023/jah.0201.02
15. Chih MY, McCowan A, Whittaker S, et al. The Landscape of Connected Cancer Symptom
Management in Rural America: A Narrative Review of Opportunities for Launching Connected Health
Interventions. Journal of Appalachian Health. 2020;2(4):66.
doi:https://doi.org/10.13023/jah.0204.08
Page 13/17
16. Fei-Zhang DJ, Chelius DC, Patel UA, Smith SS, Sheyn AM, Rastatter JC. Assessment of Social
Vulnerability in Pediatric Head and Neck Cancer Care and Prognosis in the United States. JAMA Netw
Open. 2023;6(2):e230016. doi:10.1001/jamanetworkopen.2023.0016
17. Kawakatsu Y, Koyanagi YN, Oze I, et al. Association between Socioeconomic Status and Digestive
Tract Cancers: A Case-Control Study. Cancers (Basel). 2020;12(11):3258.
doi:10.3390/cancers12113258
18. Yu KX, Yuan WJ, Huang CH, et al. Socioeconomic deprivation and survival outcomes in patients with
colorectal cancer. Am J Cancer Res. 2022;12(2):829–838.
19. Cheng E, Soulos PR, Irwin ML, et al. Neighborhood and Individual Socioeconomic Disadvantage and
Survival Among Patients With Nonmetastatic Common Cancers. JAMA Network Open.
2021;4(12):e2139593. doi:10.1001/jamanetworkopen.2021.39593
20. Holowatyj AN, Langston ME, Han Y, et al. Community Health Behaviors and Geographic Variation in
Early-Onset Colorectal Cancer Survival Among Women. Clinical and Translational Gastroenterology.
2020;11(12):e00266. doi:10.14309/ctg.0000000000000266
21. Yu Y, Li M, Kang R, et al. The effectiveness of telephone and internet-based supportive care for
patients with esophageal cancer on enhanced recovery after surgery in China: A randomized
controlled trial. Asia Pac J Oncol Nurs. 2022;9(4):217–228. doi:10.1016/j.apjon.2022.02.007
22. Yu Y, Li M, Kang R, et al. The effectiveness of telephone and internet-based supportive care for
patients with esophageal cancer on enhanced recovery after surgery in China: A randomized
controlled trial. Asia Pac J Oncol Nurs. 2022;9(4):217–228. doi:10.1016/j.apjon.2022.02.007
Figures
Page 14/17
Figure 1
Distribution of Total DII ranked scores across the US. Ranked-digital inequity scores were assigned per
county in the (A) total composite DII, (B) infrastructure access-usage, and (C) sociodemographic
categories.
Page 15/17
Figure 2
Relative Decreases in Months Surveyed with Increasing DII Scores. (A) Percentage decreases from lowest
to highest-DII quintiles based on mean months surveyed for total-DII score and subcomponent DII-theme
subscores. EC patients were assigned DII scores and split into relative quintiles. (B) A linear regression
across all the represented values (i.e., not the mean values) in each of the boxplot quintiles was
performed to assess the continuous trend significance of the surveillance period for increasing total DII.
Boxplots = median, IQR, 1.5*IQR; mean months surveyed per quintile = maroon diamonds; outliers = black
dots; P value for regression.
Figure 3
Relative Decreases in Months Survival with Increasing DII Scores. (A) Percentage decreases from lowest
to highest-DII quintiles based on mean months survived for total-DII score and subcomponent DII-theme
subscores. EC patients were assigned DII scores and split into relative quintiles. (B) A linear regression
across all the represented values (i.e., not the mean values) in each of the boxplot quintiles was
performed to assess the continuous trend significance of the survival period for increasing total DII.
Boxplots = median, IQR, 1.5*IQR; mean months survived per quintile = maroon diamonds; outliers = black
dots; P value for regression.
Supplementary Files
Page 16/17
This is a list of supplementary files associated with this preprint. Click to download.
SupplementTable1.docx
SupplementaryFigure1DFZ.docx
Page 17/17
|
|
https://openalex.org/W2163962440
|
https://europepmc.org/articles/pmc2909160?pdf=render
|
English
| null |
Monotonicity, frustration, and ordered response: an analysis of the energy landscape of perturbed large-scale biological networks
|
BMC systems biology
| 2,010
|
cc-by
| 12,561
|
RESEARCH ARTICLE Open Access © 2010 Iacono and Altafini; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Com-
mons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduc-
tion in any medium, provided the original work is properly cited. Abstract Background: For large-scale biological networks represented as signed graphs, the index of frustration measures how
far a network is from a monotone system, i.e., how incoherently the system responds to perturbations. Results: In this paper we find that the frustration is systematically lower in transcriptional networks (modeled at
functional level) than in signaling and metabolic networks (modeled at stoichiometric level). A possible interpretation
of this result is in terms of energetic cost of an interaction: an erroneous or contradictory transcriptional action costs
much more than a signaling/metabolic error, and therefore must be avoided as much as possible. Averaging over all
possible perturbations, however, we also find that unlike for transcriptional networks, in the signaling/metabolic
networks the probability of finding the system in its least frustrated configuration tends to be high also in
correspondence of a moderate energetic regime, meaning that, in spite of the higher frustration, these networks can
achieve a globally ordered response to perturbations even for moderate values of the strength of the interactions. Furthermore, an analysis of the energy landscape shows that signaling and metabolic networks lack energetic barriers
around their global optima, a property also favouring global order. Conclusion: In conclusion, transcriptional and signaling/metabolic networks appear to have systematic differences in
both the index of frustration and the transition to global order. These differences are interpretable in terms of the
different functions of the various classes of networks. amount of information it contains, a signed graph can
already be used to study dynamical systems properties. Among the various approaches that have been used for
this scope, we recall for example the characterizations of
multistationarity of [17], stability [18], and the boolean
network analysis of e.g. [10,19,20]. In particular, in [21]
signed graphs are linked to the theory of monotone
dynamical systems [22] and the latter is used as a para-
digm to explain the highly predictable and ordered
response of biological systems to perturbations. In a bio-
logical network, a response to a perturbation propagating
incoherently through the network may result in an unpre-
dictable or contradictory behavior of the system, see
example in Fig. 1. When its dynamics are always free
from such contradictory responses then the system is said
monotone [21,22], see Methods for a more rigorous defi-
nition. In dynamical systems language, a monotone sys-
tem exhibits an ordered response because it lacks
sustained oscillations and chaotic behavior, thereby ren- * Correspondence: altafini@sissa.it
1 SISSA-ISAS, International School for Advanced Studies, via Beirut 2-4, 34014
Trieste, Italy
Full list of author information is available at the end of the article Research article
Monotonicity, frustration, and ordered response:
an analysis of the energy landscape of perturbed
large-scale biological networks Giovanni Iacono and Claudio Altafini* Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Background
l g
For complex systems such as biological networks, rather
than a precise description of the dynamics, which
requires a quantity of kinetic details rarely accessible in
large scale systems, it is often more reasonable to use a
minimal representation, such as a graph of interactions
between the molecular variables of interest [1-4] and per-
haps a sign describing the mode of the pairwise interac-
tion. Such graphical approaches have been extensively
used in recent years to model transcriptional [5,6] and
signaling networks [7-10]. Apart from biological systems,
signed adjacency graphs have been investigated in several
different contexts, such as economics [11,12], social bal-
ance [13], and in the theory of frustrated spin systems
[14,15], see [16] for a survey. In spite of the minimal * Correspondence: altafini@sissa.it
1 SISSA-ISAS, International School for Advanced Studies, via Beirut 2-4, 34014
Trieste, Italy
Full list of author information is available at the end of the article Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 2 of 16 Figure 1 Yeast cell cycle signed network of [19]. The undirected graph shown is a symmetrization of the one in [19], in which we also dropped the
self-loops. In (a) the application of a gauge transformation to the three nodes in black reduces the number of negative edges (in red) and sσ= 1 be-
comes a ground state. In (b) a typical response to a perturbation is shown for the yeast cell cycle network and for a monotone network on the same
graph: in the second system the order is always maintained in the response (blue trajectories are monotone states). In (c) the probability of being in
the ground state p(sground) (upper plot) and the internal energy (h) (lower plot) are shown for the yeast cell cycle network (red) and for the monotone
network (blue) as a function of β. As the dimension of the system is small, no mean field approximation is necessary in these calculation. The monotone
network achieves order (here p(sground) > 0.8) earlier with growing β and the energy minimum reached is lower. The color bands are meant to highlight
the values of β for which this happens Figure 1 Yeast cell cycle signed network of [19]. The undirected graph shown is a symmetrization of t
self-loops. In (a) the application of a gauge transformation to the three nodes in black reduces the num
comes a ground state. Background
l In (b) a typical response to a perturbation is shown for the yeast cell cycle netwo
graph: in the second system the order is always maintained in the response (blue trajectories are mono
the ground state p(sground) (upper plot) and the internal energy (h) (lower plot) are shown for the yeast c
network (blue) as a function of β. As the dimension of the system is small, no mean field approximation is n
network achieves order (here p(sground) > 0.8) earlier with growing β and the energy minimum reached is
the values of β for which this happens Figure 1 Yeast cell cycle signed network of [19]. The undirected graph shown is a symmetrization of the one in [19], in which we also dropped the
self-loops. In (a) the application of a gauge transformation to the three nodes in black reduces the number of negative edges (in red) and sσ= 1 be-
comes a ground state. In (b) a typical response to a perturbation is shown for the yeast cell cycle network and for a monotone network on the same
graph: in the second system the order is always maintained in the response (blue trajectories are monotone states). In (c) the probability of being in
the ground state p(sground) (upper plot) and the internal energy (h) (lower plot) are shown for the yeast cell cycle network (red) and for the monotone
network (blue) as a function of β. As the dimension of the system is small, no mean field approximation is necessary in these calculation. The monotone
network achieves order (here p(sground) > 0.8) earlier with growing β and the energy minimum reached is lower. The color bands are meant to highlight
the values of β for which this happens Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 3 of 16 work analyzed: it is very low for gene regulatory, net-
works and much higher for signaling and metabolic
networks. In this paper we propose an interpretation of
this different behavior based on the characteristic
"energy" associated to the interactions of a graph. We
assume that the costs of the interactions (i.e., the weights
of the edges) are all comparable on each class of net-
works, but not across classes of networks. Background
l In particular,
transcriptional edges have a much higher cost than the
other classes of interactions, and we can speculate that on
an evolutionary scale this may have strongly disfavored
the development of interactions leading to frustration,
i.e., of incoherent or contradictory transcriptional orders. For the "cheaper" signaling and metabolic interactions,
instead, such a tight control may not be required, espe-
cially since a higher frustration may induce a richer and
more complex dynamical behavior. dering the behavior of the system particularly simple. Hence the investigation of how close a biological system
is to being monotone has been the subject of intense
research in recent years [21,23-26]. From a statistical physics perspective, the problem of
determining monotonicity (or near monotonicity) is
equivalent to checking when an Ising model with signed
interactions has no (or little) frustration [21,23]. In terms
of the signed graph, frustration corresponds to undi-
rected cycles having an odd number of negative edges
[21]. See also [27] for another recent use of Ising models
in the context of complex networks. In this work we are
interested in computing the frustration of biological net-
works of various types: transcriptional, signaling and
metabolic. When modeling these different classes of net-
works as signed graphs, we have to use different levels of
resolution: for signaling and metabolic networks we start
from a set of stoichiometric reactions and obtain the
signed graph by taking the signature of the Jacobian of the
corresponding reaction kinetics, hence an edge repre-
sents the contribution of a molecular specie to a kinetic
reaction, see [8,23,26] and the Methods Section. For tran-
scriptional networks, on the contrary, we model interac-
tions at functional level, i.e., we take an edge to represent
the entire action of activation/inhibition of a transcrip-
tion factor on a target gene, and in doing so we lump
together many important molecular steps, from the bind-
ing of the transcription factor to the promoter region of a
target gene to the final release of the newly synthetized
mRNA molecule. Energetically, such complex process is
various (or many) times more relevant than a signaling
event or a metabolic reaction. Also the corresponding
time scales differ by several orders of magnitude [4,28]. Background
l Of course, we are forced to use this coarser level of reso-
lution because the stoichiometric details are different for
different transcriptional actions, and are not known sys-
tematically (see [29] for the only example we know of in
this direction). Notice that a similar functional represen-
tation, oriented at capturing the "information flow" rather
than the "mass flow", is possible also for signaling net-
works [4,7,9,10]. Although it may elucidate better the
causal transfer of "information" along the pathways, it
seems less appropriate to describe the energetic content
of the biochemical transformations necessary for the
propagation of the signal than the stoichiometric level
which we use in this paper, see Supplementary Notes in
Additional File 1 for a more detailed discussion. In any
case, the qualitative difference in the modeling assump-
tions made should always be kept in mind, and the classes
of networks analyzed should be connotated accordingly
as "transcriptional, at functional level" and "signaling/
metabolic, at stoichiometric level". p
y
We know from the theory of Ising models that it is
energetically favorable for neighbouring spins to be
aligned when the interaction constant is positive and to
be antialigned when it is negative. If we associate to the
frustration index the global optimum of an "energy" func-
tion describing the amount of such unsatisfied interac-
tions, then we can say that networks with low frustration
will have a "ground state" (i.e., a global optimum) of lower
energy than more frustrated networks. In addition, rather
than just focusing on the energy of the optimal configura-
tion, we can average the state of the system over all possi-
ble perturbations, and study what is the average
frustration of a network. In particular, then, if we take the
strength of the interactions of a network as "cooling"
parameter, we can use statistical physics arguments [15]
to describe how the probability of occupancy of the
global minimum of the energy varies with the interaction
strength, and therefore how monotonically a network
behaves in average in response to random perturbations. What we observe is that the more frustrated signaling/
metabolic networks achieve "order" (i.e, tend to populate
their global minimum of energy) in a range of interaction
energies which is lower than for the transcriptional net-
works, meaning that these networks (in average) tend to
respond to perturbations as coherently as they can even
for moderate values of energy. Background
l This behavior partially
compensates for the higher frustration, which, as already
mentioned, might be instrumental to the achievement of
more complex dynamics than those required for the tran-
scriptional networks. The transcriptional networks, on
the other hand, only contain strong interactions and are
therefore not concerned with the lower energetic regime. Coherently, they show a topological structure richer in
tree-like subgraphs, which disfavor the transition to
ordered behavior, and which are absent in the other
classes of networks Under these assumptions, the frustration index we
observe varies considerably according to the type of net- Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 4 of 16 i.e., those contributing to minimizing h(s). A spin system
is said frustrated when not all these constraints Jijsisj > 0
can be satisfied simultaneously by any assignment. Com-
puting how far a given network is from being monotone
corresponds to computing the ground state sground, i.e.,
the spin assignment that globally minimizes (1). It has
been shown [23] that this is an NP-hard problem, equiva-
lent to the MAX-CUT problem or, in terms of the Ising
model, to computing the exact frustration index of the
network [21,30], call it δ. In [26] (see also Supplementary
Notes in Additional File 1 for a quick recap), we proposed
efficient heuristic algorithms providing fairly tight upper
and lower bounds for δ in biological networks of the size
of the thousands nodes. From the theory of monotone
systems (see [21,22] and the Methods),
is monotone if
and only if there exists a diagonal signature matrix Dσ
(i.e., a matrix having on the diagonal the vector σ of ele-
ments σi ∈ {±1}) such that
has all non-
negative entries, see Lemma 2.1 in [22]. σ and
have
different sign patterns but the same frustration index δ, as
Dσ is a change of sign through a cut set of the graph of
and such "gauge transformations" Dσ [31] leave the sign of
each cycle of the graph (and hence δ) unaltered. Results The representation of a biological network as an n-
dimensional signed adjacency matrix is given by a matrix
of elements Jij ∈ {±1, 0}, i, j = 1,..., n. is assumed
symmetric (i.e., the frustrated cycles we seek are in the
underlying undirected graph), and with zero diagonal
(i.e., no self-loops), see [21] and the Methods Section for
details on the formulation of the problem. As explained in
the Methods, for a stoichiometric system we can assume
that
corresponds to the signature of the Jacobian lin-
earization around an equilibrium point. For networks
represented as functional activatory/inhibitory actions,
the interpretation is even more straightforward. Coher-
ently with our choice of model, we assume that also the
perturbations affecting the system around its equilibrium
point are of unit magnitude in each component, si ∈ {±1},
i = 1,..., n. In correspondence of a vector s = [s1 ... sn]T of
such signed perturbations, or "spin" variables, let us con-
sider the "energy" function
J
J
J Let us consider first as an illustrative example the yeast
cell cycle network introduced in [19] in the context of
boolean networks, see Fig. 1. With respect to the original
graph of [19], we drop the self-loops and consider the
underlying undirected graph (only a pair of edges is
incompatible with this symmetrization of the adjacency
matrix). The number of negative signs on the symme-
trized adjacency matrix
is 10. However, a gauge trans-
formation on the three nodes Cib1,2 Clb5,6 and Cln1,2
yields a
σ with only 4 negative edges, which is a global
optimum for the frustration index δ, see Fig. 1(a) . The
presence of frustrated cycles in a network leads to a lack
of coherence in the response of the system to perturba-
tions. J
J h
J s s
ij i j
T
i j
n
( )
,
,
= −
= −
=∑
1
2
1
2
1
J
(1)
s
s
s (1) which expresses the total cost associated to the pertur-
bation s. Background
l J
J
J
s
s
s
= D
D
J
J
J That signaling and metabolic networks may require a
lower energetic content to experience a transition to
ordered behavior is also confirmed by the structure of
their energy landscapes which, unlike for the transcrip-
tional networks, lack high and neat energetic barriers
around the global optima, meaning that reconfiguration
to the ground state can be easily achieved even at modest
energies. Results Assuming that all interactions of a network have
the same strength, |Jij| = 1 whenever Jij ≠ 0, the cost of
each interaction depends on the sign of each nonzero Jij:
for Jij > 0 (activator) the aligned si, sj spin configuration is
more energetically favorable (-Jijsisj = -1 < 0) than the anti-
aligned one (-Jijsisj = 1 > 0) and viceversa for Jij < 0. Of all
2n possible spin assignments, those respecting monoto-
nicity will be such that Jijsisi > 0 on each edge of the graph, Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 5 of 16 This can be observed in Fig. 1(b), where the response of
the yeast cell cycle and of a monotone network built on
the same graph are compared. The behavior of the non-
monotone cell cycle network is less predictable and
potentially contradictory (see also Fig. S2 for analogous
considerations on the simpler feedforward loop example
[5]). It is then important to have an estimate of how close
a true network is to being monotone i.e., frustration-free. Our algorithms allow to obtain a
σ with as low as possi-
ble number of negative signs also for large-scale net-
works. This number is typically close to δ, meaning that it
is now much easier to localize on the graph of
σ the
potentially frustrated edges (or, more properly, the frus-
trated cycles). Another consequence is that the candidate
ground state for
σ that globally minimizes (1) is now
straightforward to identify, as it corresponds to the "all
spins up" configuration, call it 1. Hence, the candidate
ground state for the original
can be found reversing
the gauge transformation: sground = Dσ 1. Approximate val-
ues for the frustration index δ and for the corresponding
energy minimum
not very
far from the true ones can therefore be computed. J
J
J
J
h
ground
ground
T
ground
(
)
s
s
s
= −
J null-model of the networks, obtained by randomly
reshuffling the signs of the edges, while maintaining the
same number of positive and negative edges of the origi-
nal graph, see Supplementary Notes in Additional File 1
for more details. For the Z-score of this null model, a neg-
ative value means that the edges are arranged in order to
decrease frustration. We can observe in Fig. Results 2(b) that all
the transcriptional networks have a negative Z-score, and
only them (p-values of the Z-score in Table 2). The char-
acteristic property of the transcriptional networks that
enhances monotonicity is the tendency of many nodes to
have a skewed distribution of signs in their edges, see Fig. 3. Up to a gauge transformation, in fact, highly asymmet-
ric sign distributions correspond to highly positive sign
concentrations, hence closer to monotone than random
sign distributions. The "packing" of signs on certain
nodes is primarily due to the mode of action of the tran-
scription factors. Although dual role (i.e., both activator
and repressor) transcription factors exist in both
prokaryotes and eukaryotes [32,33], most transcription
factors seem to be playing only one role on their target
genes. The nature of this single role is sometimes associ-
ated to the regulatory domains found on the proteins,
especially for activator domains, which are usually
enriched in proline, glutamine or acidic amino acid resi-
dues [34-36]. The dual role transcription factors are usu-
ally able to perform opposite functions according to
possible different positions of their binding sequence
with respect to the gene sequence, or according to differ-
ent cellular contexts, or simply enhancing only the forma-
tion of the closed complex DNA-RNA polymerase [32]. For example, 71% of the E.coli transcription factors func-
tion only as activators or repressors, Fig. 3(b). The onto-
logical analysis of the dual role transcription factors is
significantly enriched for categories such as interfacing
the cell with its extracellular environment and for the
elaboration of external stimuli (see Table S5). Hence
mixed role transcription factors are more often mediating
signaling events than their single role counterparts. It is
shown in Fig. 3(a) that all transcriptional networks (and
only them) have sign arrangements on the edges that are
more skewed than expected (with respect to a binomial
distribution model, see Supplementary Notes in Addi-
tional File 1 and Table S6) and also this property contrib-
utes to their monotonicity (Fig. S5). Another structural
difference between transcriptional and signaling/meta-
bolic networks is the overrepresentation in these last
classes of short frustrated cycles. As explained in the Sup-
plementary Notes in Additional File 1, this characteristic
is encoded in the level of detail (stoichiometric) that we
choose to represent our networks, and expresses the lack
of global monotonicity of a biochemical reaction involv-
ing multiple reagents, see also [21,23,24,26]. Frustration in large-scale biological networks For the eight large-scale biological networks listed in
Table 1, four transcriptional (E.coli, Yeast, B.subtilis and
Corynebacterium), two signaling (EGFR and Toll-like)
and two metabolic (E.coli and Yeast networks), we con-
sidered the corresponding signed graphs (see Tables S1-
S2 for further details on the networks and the Supple-
mentary Notes in Additional File 1 for the construction
procedure followed) and estimated δ through the algo-
rithms mentioned above, see Table 2. The theory of
signed graphs provides us with a theoretical upper bound
on the frustration index (see Supplementary Notes in
Additional File 1), call it δmax, which is a function only of
the number of nodes, edges and cycles of the networks. The ratio δ/δmax, Fig. 2(a), shows a marked difference
between transcriptional networks and signaling/meta-
bolic networks, with the former exhibiting a consistently
lower level of frustration than the latter. The upper bound
δmax, however, disregards completely the topological
structure and the sign arrangements of a network. To
take into account also these parameters, we constructed a Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 6 of 16 Table 1: Networks used in this study. Network
n
m
leaves
description
transcriptional
level of detail: functional
E.coli
1475
3320
556
gene regulatory network of the E.coli, from RegulonDB database, ([42],
http://regulondb.ccg.unam.mx), version 6.3. Yeast
690
1082
348
gene regulatory network of S.cerevisiae, from [5]
B.subtilis
918
1324
528
gene regulatory network for Bacillus Subtilis, assembled by [43]
Cory
344
366
264
Corynebacteria gene regulatory network (experimental interactions only). Assembled by [44]
signaling
level of detail: stoichiometric
EGRF
330
852
12
Epidermal Growth Factor Receptor pathway. Created by [45]
Toll-like
679
2204
59
Signaling network for the Toll-like-receptor. Assembled by [46]
metabolic
level of detail: stoichiometric
E.coli
757
6116
84
metabolic network of E.coli, from [47]
Yeast
797
4436
17
metabolic network of the yeast S.cerevisiae. Assembled from [48]
n and m are the number of nodes and edges of the directed graph; "leaves" is the number of nodes not involved in any undirected cycle. More
details on the networks are provided in Tables S1-S2. n and m are the number of nodes and edges of the directed graph; "leaves" is the number of nodes not involved in any undirected cycle. More
details on the networks are provided in Tables S1-S2. with
the partition function of
the system, β ∈ R+. Frustration in large-scale biological networks As usual in statistical physics, the par-
tition function Z is the normalization factor that renders
the frequencies of the various spin states true probability
densities. For spin systems, β has the meaning of an
inverse temperature and it is normally used as "cooling"
parameter, i.e., when β→ ∞ the probability of the state s,
p(s), tends to concentrate on the ground states: p(sground)
→ 1 as β → ∞. In the context of biological networks, the
temperature is taken as ~ 298 K and it is not a varying
parameter. However, we can use β to describe the
strength of the interactions of a network. Recall that in
forming the energy (1),
was taken as a signed adja-
cency matrix with all interactions equal to 1, regardless of
the nature of the network studied. As a matter of fact,
metabolic, signaling and transcriptional interactions are
characterized by widely different energetic costs. In par-
ticular, if in our stoichiometric representation a meta-
bolic reaction or a signaling event might have a
Z
e
si
( )=
∈±
∑
-
( )
1
J
β
s
βh Average frustration and ordered response The values of δ and h(sground) alone are not enough to
characterize how monotonically the system behaves in
average. In fact, the energy landscape of frustrated Ising
spin systems is known to be usually rugged [37,38], and
the presence of a single deep minimum in (1) is not
enough to guarantee that the energy averaged over all
configurations s (corresponding to all possible multinode
perturbations) is indeed more negative than in other sys-
tems whose energy landscape is characterized by valleys
which are maybe less deep but with larger basins. In other
words, to characterize how monotone is the response of
the system to arbitrarily complex perturbations we have
to consider the average value that h(s) assumes over all
possible spin assignments, weighted by the probability of
each s. This "internal energy", call it 〈h〉, is an indicator of
how coherently the system is behaving in average: the
more negative 〈h〉 is, the less the responses of the system
to perturbations are "contradictory" at some fan-in node
or along directed cycles. Denote Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 7 of 16 comparable energetic content, a link in a gene regulatory
network describes the entire cascade of events in which
the transcription of a gene can be broken down and over-
all its cost is much higher than in the other networks. Hence, in our fixed temperature context, taking into
account the interaction cost β rescales h(s) to the "abso-
lute" energy βh(s). The probability of a given configura-
tion s, p(s) = e-βh(s)Z(β)-1, is a function of β and is
maximized in the (usually degenerate) ground state
sground. As for spin systems,
, i.e.,
when β is large enough, in average the system will always
be found in the configuration sground which minimizes the
energy (1) and which exhibits the least frustration for the
network. p
ground
(
)
s
b →∞
⎯
→
⎯⎯⎯1 and expresses this simultaneous weighting of the con-
figurations by their degeneracy and energetic content. The more negative 〈h〉 is, the more we expect the system
to respond coherently to a generic perturbation. For any β
> 0, 〈h〉 < 0 and, as β increases, 〈h〉 reaches a stationary
value, see Fig. 1(c). For spin systems, small values of β
represent a regimen where thermal fluctuations are dom-
inant and all states tend to be equally populated. Average frustration and ordered response As β
increases, a spin system usually undergoes a phase transi-
tion characterized by the appearance of long range corre-
lations in the expectation values assumed by the si. For
our biological networks, when β (i.e., the energetic con-
tent of an edge of the network) is too small, the behavior
of the network tends to be random (and all states s
equiprobable) regardless of the monotonicity of the net-
work, a clear obstacle to carrying out any meaningful
task. On the other hand, when β → ∞, the probability
concentrates exclusively on the ground states (Z(β) Using β as a Lagrange multiplier, the internal energy 〈h〉
is defined as the expectation value of h(s), h
Z
= −∂
∂
ln
( ) ,
b
b h
Z
= −∂
∂
ln
( ) ,
b
b Table 2: Data for the frustration index δ. Table 2: Data for the frustration index δ. Table 2: Data for the frustration index δ. Network
δlow
δup
δmax
δnull
σnull
Zscore
Pvalue
transcriptional
E. Coli
365
371
1579
662,86
9,77
29,86
p<< 10-100
Yeast
41
41
401
116,67
5,83
12,98
p = 8 · 10-39
B. Subtilis
71
71
415
139,73
6,53
10,52
p = 3,5 · 10-26
Cory
9
9
48
71,15
2,16
3,76
p = 8,3 · 10-5
signaling
EGFR
183
193
375
149,75
5,01
-8,62
p = 3,3 · 10-18
Toll-like
401
468
873
384,92
7,70
-10,78
p = 2,1 · 10-27
metabolic
Yeast metab
670
747
1421
667,42
10,3
-7,72
p = 5,6 · 10-15
Ecoli metab
912
1017
1944
1006,9
12,73
-0,79
p = 0,21
δlow and δup are the computational lower and upper bounds found for δ by the algorithms described in Supplementary Notes in Additional
File 1; δmax is the theoretical upper bound. The Z-score statistics for the frustration index δ is based on the null model obtained reshuffling the
signs (see Supplementary Notes in Additional File 1). δnull and δnull are mean and standard deviation of the null model. The Z-score compares
this statistics with the "true" δ (here we use δup, more conservative). δlow and δup are the computational lower and upper bounds found for δ by the algorithms described in Supplementary Notes in Additional
File 1; δmax is the theoretical upper bound. Average frustration and ordered response The Z-score statistics for the frustration index δ is based on the null model obtained reshuffling the
signs (see Supplementary Notes in Additional File 1). δnull and δnull are mean and standard deviation of the null model. The Z-score compares
this statistics with the "true" δ (here we use δup, more conservative). Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 8 of 16 Figure 2 Frustration index of the 8 biological networks listed in Table 1. In (a) the ratio δ/δmax is based only on the number of nodes and edges
of a network and shows that the frustration index is much lower for transcriptional than for signaling/metabolic networks, see Table 2. The Z-score in
(b) takes into account also the topology of a network. Again, the transcriptional networks are more monotone (i.e., less frustrated) than expected from
a null model, while metabolic and in particular signaling are less monotone (i.e., more frustrated) than expected. P-values for the Z-score are in Table 2. Figure 2 Frustration index of the 8 biological networks listed in Table 1. In (a) the ratio δ/δmax is based only on the number of nodes and edges
of a network and shows that the frustration index is much lower for transcriptional than for signaling/metabolic networks, see Table 2. The Z-score in
(b) takes into account also the topology of a network. Again, the transcriptional networks are more monotone (i.e., less frustrated) than expected from
a null model, while metabolic and in particular signaling are less monotone (i.e., more frustrated) than expected. P-values for the Z-score are in Table 2. becomes a Dirac delta function) and the behavior of the
system becomes as ordered as its frustration index allows,
i.e., the system response is as coherent and coordinated as
possible, regardless of the type of perturbation, see Fig. 1(c) . It is then important to see how the probabilities of
the various states p(s) and the internal energy (〈h〉) vary
as a function of β on the various categories of networks
under exam. Computing p(s) and 〈h〉 exactly is impossible
for systems larger than a few tens of nodes. For larger net-
works we shall make use of a mean field approximation
for heterogeneous networks [39,40]. This approximation,
see the "Methods" Section for details, allows to estimate
the expectation value 〈sσ〉 in the gauge transformed basis,
and the corresponding mean field energy hmf. Fig. Average frustration and ordered response 4
shows the behavior of 〈sσ〉 and hmf for a transcriptional, a
signaling and a metabolic network as function of β. In all
three cases, the population concentrates in the ground
state when β grows, and, correspondingly, hmf achieves its
global minimum. The true characteristic value of the
interaction strength β at which each of the classes of net-
works should be computed is unknown, except for the
suggestion that βtranscr Ŭ βsignal ~ βmetab. Interestingly, as β
grows, the transcriptional network is slower to reach its
energetic minimum than the other two networks, and
likewise for the other 5 networks, see Table S4 and Fig. S7. This shift of the coherence barrier towards the low
energetic regions is a consequence of the topology of the
networks. In fact, as can be seen on Fig. 4, also the com-
pletely monotone networks built on the same graphs
(blue curves) as well as other networks with random sign
assignment to the same edges as our
(green curves)
present the same characteristic patterns in spite of differ-
ent δ. A feature behind this difference is the already men-
tioned overrepresentation of closed undirected cycles of
short length in the structure of metabolic and signaling
networks. Also the lower dispersion in the number of
connectivity degree classes k in these networks contrib-
utes to the quick convergence of 〈sσ〉 to 1. However, the
main reason behind the different thresholds for β is the
presence or less of leaves in the graph. For example, the
E.coli transcriptional network has 38% of the nodes that
are not involved in any (undirected) cycle, see Table 1. Dropping these nodes and concentrating on the 2-core of
the undirected graph, we obtain mean field plots in which
the threshold for order is lower, and similar to those of
the signaling/metabolic networks, see Fig. S8. All of our
transcriptional networks have a high percentage of nodes
that are leaves, much higher that the signaling/metabolic
networks, see Table 1. The complete lack of feedback,
characteristic of tree-like subnetworks, disfavours the
J Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 9 of 16 Figure 3 (a) Z-score for the sign packing index (see Supplementary Notes in Additional File 1 for a definition). The 4 transcriptional networks
have sign arrangements on the nodes that are significantly asymmetric, hence improving their frustration index. Average frustration and ordered response S9 Figure 4 Computation of the mean field "magnetization" 〈sσ〉 (in the gauge transformed basis) and energy hmf for a transcriptional (E.coli-
transcr, left panel), a signaling (EGFR-signal, middle), and a metabolic (Yeast-metab, right) network as a function of β (interaction strength). The values for the three true networks are depicted in red. In blue and green the same 〈sσ〉 and hmf for two alternative networks built on the same
graph: the exactly monotone network (i.e., with all Jij > 0), and a network with random sign assignments. The gray shaded areas in the upper plot de-
limit the region 〈sσ〉 ≤ 0.8 i.e., the region in which the response of the system to a generic perturbation results in a low-medium 〈sσ〉. 〈sσ〉 ≥ 0.8 means
that in the gauge transformed basis the state sσ"concentrates" sufficiently well at the ground state, and, correspondingly, the energy is in average
sufficiently close to the minimum (lower plots). For the E.coli-transc network the threshold 〈sσ〉 ≥ 0.8 is achieved in correspondence of β = 0.71, higher
than the β = 0.46, 0.45 of EGFR-signal and Yeast-metab. Similar differences are observed in the other networks, see Table S4 and Fig. S7, and are also
confirmed in Metropolis-Montecarlo simulations, see Fig. S9 on of the mean field "magnetization" 〈sσ〉 (in the gauge transformed basis) and energy hmf for a transcriptional (E.coli
signaling (EGFR-signal, middle), and a metabolic (Yeast-metab, right) network as a function of β (interaction strength)
k
d
d
d I bl
d
h
〈〉
d h
f
l
k b l
h uted initial conditions and registered the local and global
minima achieved in the process (see Fig. 3 and Table S3). Fig. 5 shows these distributions of minima as a function
of the relative Hamming distance. For the transcriptional
network of E.coli and the Yeast metabolic network, the
global minima are all localized in a small region, while
EGFR has two broader valleys of global minima. In all
three cases, the global minima are surrounded by many
local minima, thus confirming the ruggedness of the
landscapes. As can be seen on Fig. S11, unlike EGFR and
the metabolic network, the local minima of the transcrip-
tional network of E.coli tend to have an energetic differ-
ence from the global ones which grows linearly with the
distance. Average frustration and ordered response (b) Representation of the sign pack-
ing property on the E.coli transcriptional network. The nodes significantly enriched in either positive or negative edges are shown in green (the size
is proportional to their connectivity). The distribution of negative edges (dashed) is shown in (c). This graph should be compared with the random
sign assignment of Fig. S6. Figure 3 (a) Z-score for the sign packing index (see Supplementary Notes in Additional File 1 for a definition). The 4 transcriptional networks
have sign arrangements on the nodes that are significantly asymmetric, hence improving their frustration index. (b) Representation of the sign pack-
ing property on the E.coli transcriptional network. The nodes significantly enriched in either positive or negative edges are shown in green (the size
is proportional to their connectivity). The distribution of negative edges (dashed) is shown in (c). This graph should be compared with the random
sign assignment of Fig. S6. Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 10 of 16 Figure 4 Computation of the mean field "magnetization" 〈sσ〉 (in the gauge transformed basis) and energy hmf for a transcriptional (E.coli-
transcr, left panel), a signaling (EGFR-signal, middle), and a metabolic (Yeast-metab, right) network as a function of β (interaction strength). The values for the three true networks are depicted in red. In blue and green the same 〈sσ〉 and hmf for two alternative networks built on the same
graph: the exactly monotone network (i.e., with all Jij > 0), and a network with random sign assignments. The gray shaded areas in the upper plot de-
limit the region 〈sσ〉 ≤ 0.8 i.e., the region in which the response of the system to a generic perturbation results in a low-medium 〈sσ〉. 〈sσ〉 ≥ 0.8 means
that in the gauge transformed basis the state sσ"concentrates" sufficiently well at the ground state, and, correspondingly, the energy is in average
sufficiently close to the minimum (lower plots). For the E.coli-transc network the threshold 〈sσ〉 ≥ 0.8 is achieved in correspondence of β = 0.71, higher
than the β = 0.46, 0.45 of EGFR-signal and Yeast-metab. Similar differences are observed in the other networks, see Table S4 and Fig. S7, and are also
confirmed in Metropolis-Montecarlo simulations, see Fig. Sampling the energy landscape Further information, from a different perspective, can be
obtained studying the structure of the energy landscape
of the different networks [37]. In order to have a picture
of how this landscape looks like, we have applied our
frustration minimization algorithms to uniformly distrib- Average frustration and ordered response In addition, the separation between the well of
global minima and its surroundings is much more neat in
E.coli than in the other two networks, as can be seen on
the Montecarlo trajectories of Fig. 6 and even more
clearly on the average gradient of h(s) (bottom part of Fig. 6). See also Figs. S10, S12, and S13 for analogous consid-
eration on the remaining 5 networks. Overall, it appears
that global and local minima in the transcriptional net-
works are separated by high and steep energetic barriers,
while on the other networks there always exist low-
energy routes between random spin configurations and
global minima, possibly passing through low-energy local
minima. This of course facilitates the achievement of the
ground state and the creation of global order even in a
regime of moderate values of β. achievement of a globally ordered behavior, which is
more easily achieved when short cycles, like the 3-node
motifs of signaling/metabolic networks, are abundant. This is expected from the theory of spin systems, where
long-range correlations are more easily obtained in dense
graphs than in sparse ones. Of course adding leaves to a
graph does not change its monotonicity properties (a tree
is always monotone). The qualitative difference in the phase transition to
order between transcriptional and signaling/metabolic
networks suggests an interpretation coherent with the
different energetic content associated to the classes of
networks. In fact, we can say that since βtranscr is high, it is
much less plausible for a transcriptional network to be
operating in a regimen of low β than it is for signaling/
metabolic networks. On the contrary, for these last two
classes of networks, it is not unlikely to have interactions
of medium-low strength. Hence it gets much more
important that 〈sσ〉 T 1 even in correspondence of moder-
ate values of β, because this helps in maintaining a coher-
ent behavior in response to perturbations, as required in
order to carry out correctly a biological task. Discussion For a gene regulatory network, an edge represents the
cost of the entire action of transcription of a gene. This is Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 11 of 16 Figure 5 Relative Hamming distance (number of spin flips over the number of nodes) between pairs of minima found by the algorithms
for a transcriptional, E.coli-transcr, (a), a signaling, EGFR-signal, (b), and a metabolic, Yeast-metab, (c), network. The top plots refer to pairs of
global minima; the middle row to pairs global-local minima and the bottom row to pairs of local minima. In all three networks the red line delimits
the global symmetry axis of the spin assignment (the locations of the minima have a global spin flip symmetry; the different height of the peaks means
that an area has been explored less by the random searches of the algorithm, not that they have different "probabilities"). While for E.coli-transcr and
Yeast-metab the minima are concentrated in a single well, which is quite tight and located near the right margin of the histograms (i.e., short inter-
minimum distances), in EGFR-signal there are two such wells and they are disjoint and quite broad. In all 3 networks, adding the local minima, the
landscape of minima becomes diffuse, with many different local minima located at varying distances from the global ones. Figure 5 Relative Hamming distance (number of spin flips over the number of nodes) between pairs of minima found by the algorithms
for a transcriptional, E.coli-transcr, (a), a signaling, EGFR-signal, (b), and a metabolic, Yeast-metab, (c), network. The top plots refer to pairs of
global minima; the middle row to pairs global-local minima and the bottom row to pairs of local minima. In all three networks the red line delimits
the global symmetry axis of the spin assignment (the locations of the minima have a global spin flip symmetry; the different height of the peaks means
that an area has been explored less by the random searches of the algorithm, not that they have different "probabilities"). While for E.coli-transcr and
Yeast-metab the minima are concentrated in a single well, which is quite tight and located near the right margin of the histograms (i.e., short inter-
minimum distances), in EGFR-signal there are two such wells and they are disjoint and quite broad. Discussion In all 3 networks, adding the local minima, the
landscape of minima becomes diffuse, with many different local minima located at varying distances from the global ones. ing elongation, the release of both the DNA and of the
complete mRNA at the termination phase. The energetic
cost and time constant of such a complex process are rel-
evant for a cell. Hence, especially in lower organisms, it is
natural to expect that in a transcriptional network the a complex, multistep process: for prokaryotes, for exam-
ple, it includes the binding of the transcription factor to
the DNA, the recruitment of a polymerase, the unwind-
ing of the DNA helix, the detachment of the σ -factor and
the conformational changes in the polymerase preceed- Figure 6 Montecarlo trajectories connecting a global minimum to its surrounding local minima. The spin configurations of a global and a local
minimum are randomly chosen among those provided by our minimization procedure. The first is mapped in the second by a number of moves (sin-
gle spin flips) equal to the Hamming distance between the two minima. For visualization purposes, the trajectories are depicted as emanating from
a unique point and radially distributed according to a polar coordinate. The vertical axis (and color code) represents the energy, the two remaining
axes a relative Hamming distance between spin configurations. The three plots essentially confirm the landscape described in Fig. 5. For E.coli-transcr,
global and local minima seem to be always separated by a high and steep barrier. In EGFR-signal and Yeast-metab, the landscape is scattered with
different local minima, many of which have energies similar to the global ones, see Fig. S11. This results in some trajectories never emerging from the
ordered phase while moving from a minimum to the optimal frustration. The lower row shows the average gradient over 1000 Montecarlo trajectories
originating in a global minimum. For E.coli-transcr the barriers of the well of global optima is precisely observable in correspondence of the peak of
the gradient. For Yeast-metab such kinetic traps are less steep. For EGFR-signal no clear boundary at all is observable. This, together with Fig. S11, sug-
gests that in the last two networks also spin configurations that are distant from the optimum have cheap routes to converge to the optimal frustra-
tion through intermediate low-energy local minima. ntecarlo trajectories connecting a global minimum to its surrounding local minima. Discussion Both the
topology and the sign assignments to the nodes of the
transcriptional networks contribute to achieve a degree
of monotonicity which is higher than expected from null
models. On the contrary, incoherent signaling or meta-
bolic actions are energetically much less relevant than a
single transcriptional event and can be easily tolerated by
the cell, especially since nonmonotone patterns favour a
richer dynamical behavior. While the level of detail at
which we model our networks (functional for transcrip-
tional networks, stoichiometric for signaling and meta-
bolic networks) certainly contributes to the systematic
differences in the frustration index, other factors such as
the tendency of the transcriptional networks to have
skewed sign distributions are also crucial in attaining a
low frustration. It is interesting, then, to notice that in
E.coli the transcription factors violating this rule are pri-
marily involved in the mediation of external signaling,
rather than in regulatory or structural functions (Table
S5). A Montecarlo investigation of the energy landscape of
the networks [37,41] suggests that transcriptional net-
works tend to have a more funneled landscape than the
other networks (at least around the global optima), with a
single deep well of global minima delimited by high barri-
ers, while in signaling and metabolic networks the optima
are surrounded by local minima of comparable energy. Order in these classes of networks is favored also by the
lack of neat energetic barriers separating local and global
optima, which enables the reconfiguration to the global
optimum through low-energy paths. Several are the caveat and limitations of our study. First
of all, the different levels of resolution for the different
classes of networks may be a source (or the source) of the
systematic differences we are observing. Hints in this
direction come for example from the observation that
networks at functional level tend to have less cycles than
networks at stoichiometric level (see Supplementary
Notes in Additional File 1 for the origin of this fact), and
that functional models of signaling pathways may also
have asymmetric sign distributions (for example non-
specific kinases catalyzing the phosphorylation of various
proteins will have many positive edges, while non-spe-
cific phosphatases will have multiple negative edges). This is observed to some extent in the functional model
of the hippocampal signaling network proposed in [9]. Discussion Therefore, in spite
of the presence of certain characteristic motifs leading to
frustration (the incoherent feedforward loops mentioned
in [5,6] for the E.coli and Yeast transcriptional networks
are common examples), overall the transcriptional net-
works we analyze are indeed near-monotone. Both the
topology and the sign assignments to the nodes of the
transcriptional networks contribute to achieve a degree
of monotonicity which is higher than expected from null
models. On the contrary, incoherent signaling or meta-
bolic actions are energetically much less relevant than a
single transcriptional event and can be easily tolerated by
the cell, especially since nonmonotone patterns favour a
richer dynamical behavior. While the level of detail at
which we model our networks (functional for transcrip-
tional networks, stoichiometric for signaling and meta-
bolic networks) certainly contributes to the systematic
differences in the frustration index, other factors such as
the tendency of the transcriptional networks to have
skewed sign distributions are also crucial in attaining a
low frustration. It is interesting, then, to notice that in
E.coli the transcription factors violating this rule are pri-
marily involved in the mediation of external signaling,
rather than in regulatory or structural functions (Table
S5). interactions. As such, it helps maintaining coherence of
the response in spite of the higher level of frustration of
these networks (which, again, favors a richer dynamical
behavior). For transcriptional networks, on the other
hand, owing to the strong interactions, the regime of low
energies is less important, hence tree-like motifs, which
hinder the establishment of long-range correlations, are
abundant. genes behave in concert and that the fraction of the gene-
gene interactions that contribute to minimizing the
energy in response to perturbations is substantially larger
than in a metabolic or signaling network, as a frustrated
bond costs much more to the cell and its effect lasts much
longer. In particular, frustrations manifest themselves on
the cycles of the underlying undirected graph of the net-
work as contradictory transcriptional orders. While
changing the transcriptional commands is necessary to
cope with e.g. different environmental conditions, encod-
ing them as frustrated cycles can easily lead to unpredict-
able or erroneous dynamical behavior. Therefore, in spite
of the presence of certain characteristic motifs leading to
frustration (the incoherent feedforward loops mentioned
in [5,6] for the E.coli and Yeast transcriptional networks
are common examples), overall the transcriptional net-
works we analyze are indeed near-monotone. Discussion The spin configurations of a global an
d
l
h
h
d d b
d
h f
d
h
d b
b
f Figure 6 Montecarlo trajectories connecting a global minimum to its surrounding local minima. The spin configurations of a global and a local
minimum are randomly chosen among those provided by our minimization procedure. The first is mapped in the second by a number of moves (sin-
gle spin flips) equal to the Hamming distance between the two minima. For visualization purposes, the trajectories are depicted as emanating from
a unique point and radially distributed according to a polar coordinate. The vertical axis (and color code) represents the energy, the two remaining
axes a relative Hamming distance between spin configurations. The three plots essentially confirm the landscape described in Fig. 5. For E.coli-transcr,
global and local minima seem to be always separated by a high and steep barrier. In EGFR-signal and Yeast-metab, the landscape is scattered with
different local minima, many of which have energies similar to the global ones, see Fig. S11. This results in some trajectories never emerging from the
ordered phase while moving from a minimum to the optimal frustration. The lower row shows the average gradient over 1000 Montecarlo trajectories
originating in a global minimum. For E.coli-transcr the barriers of the well of global optima is precisely observable in correspondence of the peak of
the gradient. For Yeast-metab such kinetic traps are less steep. For EGFR-signal no clear boundary at all is observable. This, together with Fig. S11, sug-
gests that in the last two networks also spin configurations that are distant from the optimum have cheap routes to converge to the optimal frustra-
tion through intermediate low-energy local minima. Page 12 of 16 Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 genes behave in concert and that the fraction of the gene-
gene interactions that contribute to minimizing the
energy in response to perturbations is substantially larger
than in a metabolic or signaling network, as a frustrated
bond costs much more to the cell and its effect lasts much
longer. In particular, frustrations manifest themselves on
the cycles of the underlying undirected graph of the net-
work as contradictory transcriptional orders. While
changing the transcriptional commands is necessary to
cope with e.g. different environmental conditions, encod-
ing them as frustrated cycles can easily lead to unpredict-
able or erroneous dynamical behavior. Discussion Notice that this network has a large fraction (approxi-
mately a third) of interactions representing protein-pro-
tein or protein-ligand bindings, to which it is unclear how
to associate a sign in an unambiguous manner. The ambi-
guity of course also propagates to the level of frustration
one obtains correspondingly. More generally, we are not
aware of any systematic way to map the pathway charts
available at stoichiometric level to the functional level,
allowing to univocally assign a sign to each edge without
at the same time loosing in this process a large part of the
molecular species involved. Notice also that the opposite
option, namely representing transcriptional networks at
stoichiometric level, is de facto impossible with our cur-
rent knowledge. For spin systems, the tendency to satisfy pairwise all
interactions grows when the temperature decreases,
although in a frustrated Ising spin system all the condi-
tions can never be satisfied simultaneously. In this paper,
we consider the strength of the interactions as the key
factor that determines the increase in the probability of
finding the system in its ground state (i.e., in its least frus-
trated/maximally monotone configuration). If we param-
etrize the networks by the interaction strength and study
the probability of finding the system response in the
ground state as a function of this cost, we observe that for
signaling/metabolic networks it is higher than for tran-
scriptional networks in the region of medium/low values
of the interactions. This behavior, which is due to the
topological structure of the networks and to the energy
landscape it determines, could reflect the tendency of sig-
naling/metabolic networks to attain a globally ordered
response in spite of the weaker energetic content of their Another important source of uncertainty comes from
the limited coverage of the biological networks currently
available. In particular, for the transcriptional networks,
the fraction of target genes having at least a transcription
factor is below 50% of the genes. Furthermore, our con-
siderations about an higher than expected monotonicity Page 13 of 16 Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 may very well be overturned once more complex organ-
isms (for whom the regulatory mechanisms are expected
to be much more complex) are taken into account. each of its components zi). Methods Model formulation: the signed adjacency matrix of a
dynamical system For an n-dimensional system of differ-
ential equations
x
x
x
= f
n
( ),
∈
+
(2) (2) consider the linearization around an operating point xo. consider the linearization around an operating point xo. If z = x - xo, If z = x - xo, Conclusion Coherently with Jns,ij {±1,0}, also the magnitude
of the perturbations z is to be considered as unknown
except for its sign: s = sign(z), meaning si {±1} i = 1,... n. J The entries Jns,ij of the matrix
ns represent the effect of
the j-th variable on the i-th variable which can be activa-
tory, Jns,ij > 0, inhibitory, Jns,ij < 0, or inexisting, Jns,ij = 0. In
general, this effect can change of sign with the operating
point xo [21], but we shall not consider this scenario here. J stant sign
. ∀× ∈
+
n If, rather than in the directed graph of adjacency matrix
ns, we are interested in the underlying undirected
graph (resulting by dropping the arrows in the edges),
then this is obtained symmetrizing the matrix
ns
Denote
such symmetric signed adjacency matrix. The
symmetrization operation is always possible as long as
edge pairs Jns,ij and Jns,ji are compatible, i.e., Jns,ij Jns,ji ≥ 0. In
all of our networks, the symmetrization operation leads
to very few or no conflicting signs at all, see Table S1. J
J
J Discussion For a large-scale biological
network it is very difficult to have a precise knowledge of
the functional form of f(·) or even of the Jacobian matrix
. It is often more reasonable to assume that only the
sign pattern is known of
:
A
A Conclusion In conclusion, we have observed that distinct classes of
biological networks seem to be characterizable by differ-
ent features in response to perturbations. At least when
we model transcriptional networks at functional level
(i.e., as activation/inhibition links) and signaling and met-
abolic networks at stoichiometric level, we can observe
that transcriptional networks appear to be less frustrated
than expected and much less frustrated than signaling
and metabolic networks, meaning that they might admit
highly coherent responses to perturbations. On the other
hand, the signaling/metabolic networks seem to have the
ability to achieve an average ordered response in a lower
range of interaction strengths than the transcriptional
networks. We explain the first feature as the need to avoid
as much as possible erroneous or contradictory tran-
scriptional actions which would cost much more to the
cell than analogous incoherent signaling/metabolic
events. The second feature may partially compensate for
the higher frustration of these last networks, by lowering
the interaction strength needed for a transition to
ordered response (in average), and thereby ensuring the
effectiveness of this reduced coherent behavior in an
energetic range more critical for these classes of net-
works. J
A
ns = sign(
) i.e.,
ns of elements Jns,ij {±1,0} is the signed adja-
cency matrix of a directed graph representing our net-
work. Coherently with Jns,ij {±1,0}, also the magnitude
of the perturbations z is to be considered as unknown
except for its sign: s = sign(z), meaning si {±1} i = 1,... n. The entries Jns,ij of the matrix
ns represent the effect of
the j-th variable on the i-th variable which can be activa-
tory, Jns,ij > 0, inhibitory, Jns,ij < 0, or inexisting, Jns,ij = 0. In
general, this effect can change of sign with the operating
point xo [21], but we shall not consider this scenario here. As a matter of fact, it is worth remarking that for com-
mon choices of f(x), such as mass-action or Michaelis-
Menten, the partial derivatives
have indeed con-
stant sign
. J
J
∂( )
∂
fi x
x j
∀× ∈
+
n i.e.,
ns of elements Jns,ij {±1,0} is the signed adja-
cency matrix of a directed graph representing our net-
work. Monotone dynamical system z = AZ z = AZ A partial order in n is a signature vector σ = [σ1 ...σn], σi
{±1}, which defines an order relation among vectors in
n: x' and x'' n are said ordered with respect to the
partial order
. A sys-
tem is monotone with respect to the partial order σ if for
any pair of initial conditions x'(0) ≤σ x''(0) one has that
s
s
s
s
,
,
,
,
′ ≤
′′
′ ≤
′′ =
x
x
x
x i
n
i
i
i
if
i
1 … where
is the Jacobian matrix computed at
A where
is the Jacobian matrix computed at
A where
is the Jacobian matrix computed at
. The
system
is
at
rest
at
, implying that z = 0 is an equilibrium
point. A perturbation around xo is then any vector z
around 0 (assuming both positive and negative values on
A
x
x
x
o
f
o
:
|
( )
A = ∂
∂
=
x x
x
x
z
o,
=
= 0 Page 14 of 16 Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 x'(t) ≤σ x''(t) for every t ≥ 0. In terms of the signature adja-
cency matrix
ns of the Jacobian linearization
, a sys-
tem is monotone if and only if
J
A averaged over all nodes of each degree class. As after pre-
processing with Dσ each node has more positive than
negative edges, we are guaranteed that kpn ≥ k/2. In order
to compute the expectation value of sσ on each degree
class, we use the self-consistency equation for heteroge-
neous networks. Following [39], the self-consistency
equation on the degree class k is given by s s
i
j
ns ij
i j
n
J
,
,
,
,
≥
∀
=
0
1 …
(3) (3) As explained in detail in [21], the non strict inequality
for monotonicity allows to test such conditions (3), rather
than in the original directed graph of (2), on its underly-
ing undirected counterpart, in which we conventionally
drop the self-loops (for which σiσiJns,ii > 0 if and only if
Jns,ii > 0, i.e., the order relations (3) are trivial). Therefore,
from now on we shall consider only the symmetrized ver-
sion of
ns ,with all diagonal elements fixed to 0, i.e., the
matrix
. Monotone dynamical system Practically, this symmetrization operation
means that we are interested not only to "true" directed
cycles and their frustration, but also to multiple directed
paths starting and ending on the same nodes (and form-
ing cycles on the underlying undirected graph). See the
feedforward examples in Supplementary Notes in Addi-
tional File 1 and Fig. S2. J
J s
k
pn
k
J u
=
(
)
tanh
(4)
b
s (4) where where u
kpnpk
k
k
J u
k
pn
=
(
)
∑
tanh b
(5) (5) (5) is the effective "field magnetization" of each node from
its neighboring nodes and the subindex σ in s indicates
that the value is computed in the gauge transformed
basis. The use of kpn instead of the degree k corrects the
equations (4)-(5) for the frustration of the system. In
practice, for our gauge transformed networks the number
of negative signs is at most 20% (often much less), mean-
ing that kpn ~ k for most degree classes. From (4) and (5),
we have an expression for the mean field expectation
value 〈sσ〉 weighted with respect to the degree classes: References 29. Thiele I, Jamshidi N, Fleming RM, Palsson BØ: Genome-scale
reconstruction of Escherichia coli's transcriptional and translational
machinery: a knowledge base, its mathematical formulation, and its
functional characterization. PLoS Comput Biol 2009, 5(3):. 1. Jamshidi N, Palsson B: Formulating genome-scale kinetic models in the
post-genome era. Mol Syst Biol 2008, 4:171. 1. Jamshidi N, Palsson B: Formulating genome-scale kinetic models in the
post-genome era. Mol Syst Biol 2008, 4:171. 2. Kholodenko BN: Cell-signalling dynamics in time and space. Nat Rev
Mol Cell Biol 2006, 7:165-176. 2. Kholodenko BN: Cell-signalling dynamics in time and space. Nat Rev
Mol Cell Biol 2006, 7:165-176. 30. Barahona F: On the computational complexity of Ising spin glass
models. J Phys A Math Gen 1982, 15:3241-3253. 3. Kwon YK, Cho KH: Coherent coupling of feedback loops: a design
principle of cell signaling networks. Bioinformatics 2008,
24(17):1926-1932. 3. Kwon YK, Cho KH: Coherent coupling of feedback loops: a design
principle of cell signaling networks. Bioinformatics 2008,
24(17):1926-1932. 31. Toulouse G: Theory of the frustration effect in spin glasses: I. Communications on Physics 1977, 2:-115. 31. Toulouse G: Theory of the frustration effect in spin glasses: I. Communications on Physics 1977, 2:-115. 4. Papin JA, Hunter T, Palsson BØ, Subramaniam S: Reconstruction of
cellular signalling networks and analysis of their properties. Nat Rev
Mol Cell Biol 2005, 6(2):99-111. 32. Roy S, Garges S, Adhya S: Activation and repression of transcription by
differential contact: two sides of a coin. J Biol Chem 1998,
273(2314059-14062 [http://www.hubmed.org/
display.cgi?uids=9603899]. 5. Milo R, Shen-Orr S, Itzkovitz S, Kashtan N, Chklovskii D, Alon U: Network
motifs: simple building blocks of complex networks. Science 2002,
298(5594):824-827. 33. Ma J: Crossing the line between activation and repression. Trends Genet
2005, 21:54-59 [http://www.hubmed.org/display.cgi?uids=15680515]. 6. Shen-Orr SS, Milo R, Mangan S, Alon U: Network motifs in the
transcriptional regulation network of Escherichia coli. Nat Genet 2002,
31:64-68. 6. Shen-Orr SS, Milo R, Mangan S, Alon U: Network motifs in the
transcriptional regulation network of Escherichia coli. Nat Genet 2002,
31:64-68. 34. Han K, Manley JL: Transcriptional repression by the Drosophila even-
skipped protein: definition of a minimal repression domain. Genes Dev
1993, 7(3491-503 [http://www.hubmed.org/display.cgi?uids=8095483]. 7. Klamt S, Saez-Rodriguez J, Lindquist JA, Simeoni L, Gilles ED: A
methodology for the structural and functional analysis of signaling
and regulatory networks. BMC Bioinformatics 2006, 7:56-56. 7. Mean field approximation in heterogeneous signed
networks s
s
ground
ground
D
P
=
⎯
→
⎯⎯⎯
→∞
s
b
1
1
: (
) state
. Therefore, for
all practical purposes, 〈sσ〉 can be taken as "order parame-
ter" of the spin glass. In fact, since the gauge transforma-
tion minimizes the number of negative edges, it also
maximizes the number of spins whose value is +1 in the
ground state. Hence, just like in a ferromagnet (i.e., in a
spin system in which for all nonzero Jij one has Jij = +1),
the average value of sσ (i.e., the "magnetization") tends to
1 when the system is "cooled". s
s
ground
ground
D
P
=
⎯
→
⎯⎯⎯
→∞
s
b
1
1
: (
) 10. Samaga R, Saez-Rodriguez J, Alexopoulos LG, Sorger PK, Klamt S: The logic
of EGFR/ErbB signaling: theoretical properties and analysis of high-
throughput data. PLoS Comput Biol 2009, 5(8):. 11. Harary F: Graph theoretic methods in the management sciences. Management Sci 1959, 5:387-403. 12. Quirk J, Ruppert R: Qualitative economics and the stability of
equilibrium. Rev Econ Stud 1965, 32:311-326. 12. Quirk J, Ruppert R: Qualitative economics and the stability 12. Quirk J, Ruppert R: Qualitative economics and
equilibrium. Rev Econ Stud 1965, 32:311-326. equilibrium. Rev Econ Stud 1965, 32:311-326. 13. Antal T, Krapivsky PL, Redner S: Dynamics of social balance on networks. Phys Rev E 2005, 72(3):036121. 14. Chowdhury D: Spin Glasses and other frustrated systems. Princeton
University Press; 1986. 15. Fischer K, Hertz J: Spin Glasses. Cambridge University Press; 199 16. Zaslavsky T: Bibliography of signed and gain graphs. Electr J
Combinatorics 1998:DS8. 17. Soulé C: Graphic Requirements for Multistationarity. ComplexUs 2003,
1:123-133. 18. Thieffry D: Dynamical roles of biological regulatory circuits. Brief
Bioinform 2007, 8(4):220-225. 19. Li F, Long T, Lu Y, Ouyang Q, Tang C: The yeast cell-cycle network is
robustly designed. Proc Natl Acad Sci USA 2004, 101(14):4781-4786. Additional material 20. Chaves M, Albert R, Sontag ED: Robustness and fragility of Boolean
models for genetic regulatory networks. J Theor Biol 2005,
235(3):431-449. Additional file 1 Supplementary Material. Supplementary notes, figures
and tables are provided in this additional pdf file. Additional file 1 Supplementary Material. Supplementary notes, figures
and tables are provided in this additional pdf file. 21. Sontag ED: Monotone and near-monotone biochemical networks. Systems and Synthetic Biology 2007, 1:59-87. Authors' contributions 22. Smith HL: Systems of ordinary differential equations which generate an
order preserving flow. A survey of results. SIAM Review 1988, 30:87-113. GI and CA participated in the conceiving of the study, in the statistical analysis
and in the drafting of the manuscript. Both authors read and approved the
final manuscript. 23. DasGupta B, Enciso GA, Sontag E, Zhang Y: Algorithmic and complexity
results for decompositions of biological networks into monotone
subsystems. Biosystems 2007, 90:161-178. Acknowledgements 24. Ma'ayan A, Iyengar R, Sontag E: Proximity of Intracellular Regulatory
Networks to Monotone. IET Systems Biology 2008, 2:103-112. The authors would like to thank K. Nakai for providing the transcriptional net-
work of B.subtilis. This work was sponsored in part by a grant from Illy Caffé, Tri-
este, Italy. 25. Sontag E, Veliz-Cuba A, Laubenbacher R, Jarrah AS: The effect of negative
feedback loops on the dynamics of boolean networks. Biophys J 2008,
95(2):518-526. Received: 24 November 2009 Accepted: 10 June 2010
Published: 10 June 2010
This article is available from: http://www biomedcentral com/1752-0509/4/83
© 2010 Iacono and Altafini; 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 reprod
BMC Systems Biology 2010 4:83 Received: 24 November 2009 Accepted: 10 June 2010
Published: 10 June 2010
This article is available from: http://www biomedcentral com/1752-0509/4/83
© 2010 Iacono and Altafini; 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 reprodu
BMC Systems Biology 2010 4:83 28. Fell D: Understanding the control of metabolism. Portland Press; 1997. Author Details 26. Iacono G, Ramezani F, Soranzo N, Altafini C: Determining the distance to
monotonicity of a biological network: a graph-theoretical approach. IET Systems Biology 2010, 4:223-235. SISSA-ISAS, International School for Advanced Studies, via Beirut 2-4, 34014
Trieste, Italy SISSA-ISAS, International School for Advanced Studies, via Beirut 2-4, 34014
Trieste, Italy 27. Ma'ayan A, Cecchi GA, Wagner J, Rao AR, Iyengar R, Stolovitzky G: Ordered
cyclic motifs contribute to dynamic stability in biological and
engineered networks. Proc Natl Acad Sci USA 2008, 105(49):19235-19240. Mean field approximation in heterogeneous signed
networks =∑pk
k
k
s
s
σ
σ =∑pk
k
k
s
s
σ
σ Mean field approximations [15] are necessary to compute
estimates of quantities such as Z, p(s) and 〈h〉. The
approximation described here is suitable for heteroge-
neous networks, i.e., networks in which the connectivity
of the nodes is not constant. It extends the approach pro-
posed in [39,40] to systems with frustration. For a given
signed network
, apply first the gauge transformation
Dσ required to minimize the overall number of negative
signs on the edges, while maintaining the frustration
index δ invariant. Denote then k(1),..., k(£) the £ different
connectivity degrees of the nodes of
σ, of probabilities
pk(1),...,pk(£), and 〈k〉 the average connectivity degree of
. The nodes having degree k will have a certain distri-
bution of positive and negative edges. Let kpn(1),..., kpn(£)
be the differences between positive and negative edges
J
J
J and, neglecting fluctuations around each 7sσ8 the mean
field Hamiltonian is h
n
k
p
mf
pn k
k
k
= −∑
2 . (6)
sσ (6) As
, the energy is invariant to the gauge trans-
formation Dσ. In fact, from sσ = Dσs, we have
. Hence
the
mean field calculations for
σ are valid also in the origi-
nal
. In addition, however, as sσ,ground = 1, in the gauge
transformed system we have that, as β → ∞, 〈sσ〉 → 1, a
property which is in general not verified in the original
basis, which will instead concentrate at its own ground
D
I
s
2 =
−
= −
= −
T
T
T
D
D
D
J
J
J
(
)
(
)
J
J
s
s
s
s
s
σ
σ
σ
σ
σ
σ Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Page 15 of 16 state
. Therefore, for
all practical purposes, 〈sσ〉 can be taken as "order parame-
ter" of the spin glass. In fact, since the gauge transforma-
tion minimizes the number of negative edges, it also
maximizes the number of spins whose value is +1 in the
ground state. Hence, just like in a ferromagnet (i.e., in a
spin system in which for all nonzero Jij one has Jij = +1),
the average value of sσ (i.e., the "magnetization") tends to
1 when the system is "cooled". References Klamt S, Saez-Rodriguez J, Lindquist JA, Simeoni L, Gilles ED: A
methodology for the structural and functional analysis of signaling
and regulatory networks. BMC Bioinformatics 2006, 7:56-56. 35. Rhodius VA, Busby SJ: Positive activation of gene expression. Curr Opin
Microbiol 1998, 1(2152-159 [http://www.hubmed.org/
display.cgi?uids=10066477]. 8. Fages F, Soliman S: From reaction models to influence graphs and back:
a theorem. Formal Methods in Systems Biology 2008:90-102. Springer-
Verlag LNBI 5054 36. Stepchenko A, Nirenberg M: Mapping activation and repression
domains of the vnd/NK-2 homeodomain protein. Proc Natl Acad Sci USA
2004, 101(3613180-13185 [http://www.hubmed.org/
display.cgi?uids=15340160]. 9. Ma'ayan A, Jenkins SL, Neves S, Hasseldine A, Grace E, Dubin-Thaler B,
Eungdamrong NJ, Weng G, Ram PT, Rice JJ, Kershenbaum A, Stolovitzky
GA, Blitzer RD, Iyengar R: Formation of regulatory patterns during signal
propagation in a Mammalian cellular network. Science 2005,
309:1078-1083. 37. Brooks CL, Onuchic JN, Wales DJ: Statistical thermodynamics. Taking a
walk on a landscape. Science 2001, 293:612-613. 38. Seyed-allaei H, Seyed-allaei H, Ejtehadi MR: Energy-landscape networks
of spin glasses. Physical Review E 2008, 77(3):031105. Page 16 of 16 Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 Iacono and Altafini BMC Systems Biology 2010, 4:83
http://www.biomedcentral.com/1752-0509/4/83 39. Leone M, Vázquez A, Vespignani A, Zecchina R: Ferromagnetic ordering
in graphs with arbitrary degree distribution. Eur Phys J B 2002,
28(2):191-197. 40. Bianconi G: Mean field solution of the Ising model on a Barabási-Albert
network. Phys Lett A 2002, 303(2-3):166-168. 41. Wang J, Huang B, Xia X, Sun Z: Funneled landscape leads to robustness
of cell networks: yeast cell cycle. PLoS Comput Biol 2006, 2:e147. 42. Salgado H, Gama-Castro S, Peralta-Gil M, Diaz-Peredo E, Sanchez-Solano F,
Santos-Zavaleta A, Martinez-Flores I, Jimenez-Jacinto V, Bonavides-
Martinez C, Segura-Salazar J, Martinez-Antonio A, Collado-Vides J:
RegulonDB (version 5.0): Escherichia coli K-12 transcriptional regulatory
network, operon organization, and growth conditions. Nucleic Acids
Res 2006:D394-D397. 43. Sierro N, Makita Y, de Hoon M, Nakai K: DBTBS: a database of
transcriptional regulation in Bacillus subtilis containing upstream
intergenic conservation information. Nucleic Acids Res 2008, 36:D93-96. 44. Baumbach J: CoryneRegNet 4.0 - A reference database for
corynebacterial gene regulatory networks. BMC Bioinformatics 2007,
8:429. 45. Oda K, Matsuoka Y, Funahashi A, Kitano H: A comprehensive pathway
map of epidermal growth factor receptor signaling. Mol Syst Biol 2005,
1:2005. 46. Oda K, Kitano H: A comprehensive map of the toll-like receptor
signaling network. Mol Syst Biol 2006, 2:2006-0015. 47. Reed JL, Vo TD, Schilling CH, Palsson BØ: An expanded genome-scale
model of Escherichia coli K-12 (iJR904 GSM/GPR). Genome Biol 2003,
4(9):R54. 48. Förster J, Famili I, Fu P, Palsson BØ, Nielsen J: Genome-scale
Reconstruction of the Saccharomyces cerevisiae Metabolic Network. Genome Res 2003, 13(2):244-253. 48. Förster J, Famili I, Fu P, Palsson BØ, Nielsen J: Genome-scale doi: 10.1186/1752-0509-4-83
Cite this article as: Iacono and Altafini, Monotonicity, frustration, and
ordered response: an analysis of the energy landscape of perturbed large-
scale biological networks BMC Systems Biology 2010, 4:83
|
https://openalex.org/W2587116719
|
https://bmjopen.bmj.com/content/bmjopen/7/2/e014127.full.pdf
|
English
| null |
Specifying the content of home-based health behaviour change interventions for older people with frailty or at risk of frailty: an exploratory systematic review
|
BMJ open
| 2,017
|
cc-by
| 8,191
|
To cite: Gardner B, Jovicic A,
Belk C, et al. Specifying the
content of home-based
health behaviour change
interventions for older people
with frailty or at risk of frailty:
an exploratory systematic
review. BMJ Open 2017;7:
e014127. doi:10.1136/
bmjopen-2016-014127 Received 1 September 2016
Revised 14 December 2016
Accepted 17 January 2017 Research Research Open Access Specifying the content of home-based
health behaviour change interventions
for older people with frailty or at risk of
frailty: an exploratory systematic review Specifying the content of home-based
health behaviour change interventions
for older people with frailty or at risk of
frailty: an exploratory systematic review on October 23, 2024 by guest. Protected by copyright. http://bmjopen.bmj.com/
t published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Benjamin Gardner,1 Ana Jovicic,2 Celia Belk,2 Kalpa Kharicha,2 Steve Iliffe,2
Jill Manthorpe,3 Claire Goodman,4 Vari M Drennan,5 Kate Walters2 Benjamin Gardner,1 Ana Jovicic,2 Celia Belk,2 Kalpa Kharicha,2 Steve Iliffe,2
Jill Manthorpe,3 Claire Goodman,4 Vari M Drennan,5 Kate Walters2 Strengths and limitations of this study Objectives: To identify trials of home-based health
behaviour change interventions for frail older people,
describe intervention content and explore its potential
contribution to intervention effects. Objectives: To identify trials of home-based health
behaviour change interventions for frail older people,
describe intervention content and explore its potential
contribution to intervention effects. ▪This is the first systematic review to document
the discrete behaviour change content of home-
based health behaviour change interventions for
frail older people, and explore whether interven-
tion content is related to any potential changes
in behavioural, health and well-being outcomes. Design: 15 bibliographic databases, and reference lists
and citations of key papers, were searched for
randomised controlled trials of home-based behavioural
interventions reporting behavioural or health outcomes. Setting: Participants’ homes. on October 23, 2024 by guest. Protecte
http://bmjopen.bmj.com/
ruary 2017. Downloaded from ▪Interventions were coded for their content, using
state-of-the-art tools from behavioural science,
and for any evidence of potential effectiveness
on at least one measure of behaviour, health
and/or well-being. Participants: Community-dwelling adults aged
≥65 years with frailty or at risk of frailty. Primary and secondary outcome measures: Trials
were coded for effects on thematically clustered
behavioural, health and well-being outcomes. Intervention content was described using 96 behaviour
change techniques, and 9 functions (eg, education,
environmental restructuring). ▪The main study limitation is that published inter-
vention descriptions lacked detail, such that data
entered into the review may be unreliable. ▪Nonetheless, our approach points to strategies
that may show promise for developers of new
home-based health promotion interventions for
frail older adults. Physical functioning was most commonly
assessed (19 interventions). Behavioural outcomes were
assessed for only 4 interventions. Effectiveness on most
outcomes was limited, with at most 50% of interventions
showing potential positive effects on behaviour, and
42% on physical functioning. 3 techniques (instruction
on how to perform behaviour, adding objects to
environment, restructuring physical environment) and 2
functions (education and enablement) were more
commonly found in interventions showing potential
than those showing no potential to improve physical
function. Intervention content was not linked to
effectiveness on other outcomes. ▸Prepublication history and
additional material is
available. To view please visit
the journal (http://dx.doi.org/
10.1136/bmjopen-2016-
014127). INTRODUCTION Studies were eligible where
they reported primary quantitative outcome data on
frailty-relevant behavioural, health or well-being out-
comes. Eligible study types were peer-reviewed, English
full texts published between 1980 and 2014. Single trials
reported across multiple sources were treated as single
studies. showed no impact on service use12 13 and others noted
increased long-term service use.14 There are two main
reasons why such interventions may fail to achieve
intended outcomes: behaviour changes do not translate
into health and related outcomes, or the behaviour
change strategies are ineffective, such that intervention
recipients do not modify their behaviour. Past systematic
reviews10
15–17 have prioritised the former, estimating
effectiveness for multiple frailty-related outcomes, though
the contribution of particular behaviours (eg, physical
activity) to effectiveness was not assessed. To the best of
our knowledge, no review has yet described discrete behav-
iour change strategies or assessed their impact on behav-
ioural
and
health
outcomes. Identifying
the
‘active
ingredients’ of interventions shifts research emphasis from
the question of how effective are interventions towards
understanding what determines their effectiveness.18 on October 23, 2024 by guest. Protected by copyright. http://bmjopen.bmj.com/
lished as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from g
Identifying intervention components that change behav-
iour and improve health among frail older adults can
guide
intervention
development. Behavioural
science
offers tools for categorising and systematically comparing
intervention content across studies. A comprehensive tax-
onomy of behaviour change techniques (BCTs) describes
discrete approaches that may be used to potentially
change any behaviour (eg, providing information on
health consequences, self-monitoring, giving feedback on
behaviour19), together with nine separate functions that
any intervention may serve (eg, education, training, model-
ling 20). Intervention functions (IFs) represent ‘broad cat-
egories of means by which an intervention may change
behaviour’ (ref. 20, p. 109), and BCTs the irreducible com-
ponents that deliver these functions. Applying these frame-
works to identify strategies that have been used to change
behaviour has three potential benefits. First, it creates a
standardised description of intervention methods, enabling
replication.19 Second, the taxonomy links techniques to
theory, so that documenting techniques used in previous
interventions may reveal implicit assumptions about the
causes of behaviour and behaviour change where explicit
theory use is rare.21 For example, an intervention offering
instructions for healthy eating assumes that poor diet is
attributable to lack of knowledge. INTRODUCTION Meeting the health and social care needs
of an ageing population presents a consider-
able challenge because of the rising preva-
lence of frailty, a state of multisystem failure
and loss of physiological reserve.1 Worldwide,
around 11% of people aged 65 or above
meet criteria for frailty,2 and an estimated
42% have mild frailty or ‘prefrailty’.1 Frailty is
linked to increased risk of disability, hospital
or care home admission, and mortality.3–6
Frailty is not inevitable, and may be amen-
able to intervention.2 r 23, 2024 by guest. Protected by copyright. Conclusions: Interventions appeared to have greatest
impact on physical function where they included
behavioural instructions, environmental modification
and practical social support. Yet, mechanisms of effects
are unclear, because impact on behavioural outcomes
has rarely been considered. Moreover, the robustness of
our findings is also unclear, because interventions have
been poorly reported. Greater engagement with
behavioural science is needed when developing and
evaluating home-based health interventions. PROSPERO registration number:
ID=CRD42014010370 Many
home-delivered
interventions
de-
signed to reduce functional decline in frail
and prefrail populations have focused on
behavioural targets, such as dietary change,
physical activity and medication adherence.7–9
Such interventions can impact positively on
health and mortality,10 but effects have been
mixed: for example, some trials have reported
reduced care home admissions,8
11 some uest. Protected by copyright. For numbered affiliations see
end of article. Correspondence to
Dr Kate Walters;
k.walters@ucl.ac.uk 1 Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 Open Access above with, or at risk of, frailty. Those in residential or
nursing homes, and hospital inpatients, were excluded. Studies of people aged 50 years or above were eligible
where
the
sample
mean
age
was
65
or
above.11
Participants were deemed to have or be at risk of frailty
were assessed with a validated frailty measure, or consid-
ered to be at risk of hospitalisation, or with functional or
mobility difficulties, or aged 75 years or above with mul-
tiple morbidities. Eligible interventions aimed to change
health-related behaviours, as delivered in person, solely
or primarily within the home, by a health professional,
but for which specialist expertise was not required. We
included any intervention with a behavioural compo-
nent, regardless of whether behaviour change was expli-
citly acknowledged as an intervention target. Studies
employing a randomised controlled trial (RCT) design,
to compare at least one intervention against no treatment
or usual care, were included. Search results and screening Search results and screening
Searches were run by AJ. Two independent researchers
(a health psychologist (AJ), and a general practitioner
(CB)) screened de-duplicated titles (for obviously irrele-
vant records), abstracts, and then full texts. Titles and
abstracts were rejected where both coders independently
deemed them ineligible. Two incidences of coder dis-
agreement
over
full
texts
were
resolved
by senior INTRODUCTION Finally, comparing
techniques and functions in effective versus ineffective
interventions can highlight content that may contribute to
intervention success.22 Data sources and search strategy gy
Two
search
strategies
were
used. First,
electronic
searches were run in September 2014 of 15 health and
medical databases: MEDLINE; MEDLINE in Process and
Other Non-Indexed Citations; EMBASE; Scopus; Science
Citation
Index
Expanded;
Cochrane
Database
of
Systematic
Reviews;
Cochrane
Central
Register
of
Controlled Trials; EPOC; PsycINFO; Health Technology
Assessment;
National
Health
Service
Economic
Evaluation
Database;
Health
Economics
Evaluations
Database; CINAHL; BiblioMap; and Health Promis. For
EPOC and Health Promis, automated search functions
were unavailable, so articles were sought via manually
searching all publications on the database. For all other
databases, an electronic search string specified elder
populations, health or behavioural interventions, home
settings, and RCT designs, with filters to restrict by date
and language (see online supplemental table S1). on October 23, 2024 by guest. Protected by copyright. mjopen.bmj.com/ Second, backwards, forward and lateral citation track-
ing was conducted on records identified via the elec-
tronic
search
where
they
were
systematic
reviews
retained following abstract screening, or intervention
trials retained following full-text screening. ber 23, 2024 by guest. Protected by copyright. This review adopts a behavioural science approach to
the question: What behaviour change components have
been used in home-based health interventions, and how
might these components be associated with intervention
effectiveness? This review is registered on PROSPERO
(CRD42014010370). A published protocol reports finer
methodological detail.23 guest. Protected by copyright. Data extraction All available material was coded by AJ, with independent
second coding (bias risk: CB; all other characteristics:
BG) for 6 (32%) records. Coder agreement was assessed,
using
percentage
agreement
and
κ
for
all
study
characteristics combined, each intervention characteris-
tic (behaviour(s) targeted, BCTs, IFs) in isolation, and
all outcome data combined. Discrepancies were resolved
through discussion. Study characteristics were extracted for description
only. Methodological data extracted included country,
design, number of arms and interventions, number of
follow-up points, time to first follow-up, theory basis, and
study-level risk of bias. Theory basis was coded according
to whether a named theory of behaviour or behaviour
change24 was mentioned in the abstract, introduction or
method. The Cochrane Collaboration tool was used to
assess risk of bias (high, low, unclear) on seven criteria.25
Sample characteristics extracted were study eligibility cri-
teria and, within each condition, baseline and follow-up
sample size, gender, ethnicity, and health conditions. For one paper in which summary (follow-up) sample
sizes were not reported,12 the largest recorded total
follow-up N was extracted. Reliability for study character-
istics was perfect (100% agreement, κ=126). intervention, in what setting (home only vs home and
other), for which reliability was perfect (100%, κ=1). Control treatment characteristics were not extracted
because
they
were
rarely
reported;
14/19
studies
described control treatment only as ‘usual care’. on October 23, 2024 by guest. Protected by copyr
http://bmjopen.bmj.com/
7. Downloaded from Outcome data related to all behavioural, health or
well-being measures at baseline and first follow-up. P
values for mean changes between baseline and follow-up
were extracted, with group means and effect sizes, where
available. In two trials, p values were taken from trend
analyses because outcomes were evaluated only across
multiple time points.27 28 In one trial,13 subgroup ana-
lysis (those at least risk of home admission) data were
extracted because no other analyses were available. Outcome data reliability was perfect (100% agreement,
κ=1). p
g
Intervention characteristics extracted were: behaviour(s)
targeted, BCTs and IFs, and delivery methods. We in-
tended to code intervention fidelity, but this was not
reported in any paper. Behaviours were coded only
where explicitly mentioned; reliability was substantial
(79%, κ=0.73). BCTs, identified using an adaptation of
the BCT Taxonomy v1,19 were coded as absent or, where
unequivocal reporting of their administration to at least
some intervention recipients, present. on October 23, 2024 by
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from researchers experienced in ageing and frailty (KK and
KW), and behaviour change (BG). researchers experienced in ageing and frailty (KK and
KW), and behaviour change (BG). Table 1
Summary of study characteristics (19 studies)
Study characteristics (19 studies)
Sample size
(at first
follow-up)
Combined
number of
participants
N=5084
N range 92–477
Median N=254
Study design
RCT
16/19 (84%)
Cluster RCT
2/19 (11%)
Pseudo-cluster RCT
1/19 (5%)
Number of arms
2-arm
(1 intervention, 1
control)
16/10 (84%)
3-arm (2
interventions,
1 control)
3/19 (16%)
Time to first
follow-up
Range 1 month–
2 years
Median 6 months
Theory
mentioned
3/19 (16%)
RCT, randomised controlled trial. Additional materials Corresponding authors of eligible records were emailed
and asked to provide all available additional material. Of
19 authors approached, email addresses were non-
functional for 4, 1 had retired and 1 had died. Of 9 who
responded, 7 provided additional material, including 14
linked publications (eg, protocols). on October 23, 2024 by guest. Protected by copyright. http://bmjopen.bmj.com/
as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Data extraction Three of 93 BCTs
within the taxonomy—practical, emotional and unspeci-
fied social support—were each split into two, to differen-
tiate social support from intervention providers versus
from friends, family or caregivers. Prior to coding,
coders had undertaken (AJ) or administered (BG) BCT
coding training (http://www.bct-taxonomy.com). BCT
reliability, coded only for techniques deemed present by
at least one coder, was almost perfect (90%, κ=0.81). An
intervention was coded as performing one or more of
nine discrete functions (eg, education, persuasion, train-
ing; for definitions, see table 1, footnote).20 Function
reliability was substantial (88% agreement, κ=0.75). Delivery
methods
related
to
who
delivered
the METHODS METHODS
Identifying sources for review
Eligibility criteria
Included studies met the following PICOS criteria. Participants were community-dwelling, aged 65 years or METHODS
Identifying sources for review
Eligibility criteria
Included studies met the following PICOS criteria. Participants were community-dwelling, aged 65 years or 2 Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 Open Access RESULTS on October 23, 2024 by guest. Protected by copy
http://bmjopen.bmj.com/
Downloaded from Description of data set Three BCTs and two functions showed potential for
improving physical functioning outcomes (table 3). The
BCTs were: providing instruction on how to perform the
behaviour
(eg,
how
to
use
medication;9
IP=75%);
adding objects to the environment (eg, medication dis-
penser;27 IP=60%) and restructuring the physical envir-
onment (eg, making housing modifications to reduce
fall risks;9 IP=60%). Functions showing potential were
education (IP=86%) and enablement (IP=53%). Database searches identified 25 617 records, and citation
tracking 12 further records. Of these, 24 056 were
removed following de-duplication and title screening,
946 following abstract screening, and 248 following full-
text screening. The final data set comprised 22 records,
reporting 19 trials of 22 eligible interventions (figure 1). p
g
g
g
Tables 1 and 2 summarise study and intervention
characteristics, and online supplemental table S2 reports
further study detail. No single BCT or function showed potential for modi-
fying outcomes relating to behaviour, health and social
service use (table 3), mental health and functioning,
social functioning and well-being, or generic health and
well-being (table 4). The behaviours targeted showed no
potential for any outcome. y
Of 19 trials, 9 were undertaken in Europe (4 the
Netherlands), 8 in North America (4 USA, 4 Canada),
and 1 each in Central America (Mexico) and Australasia
(Japan). Sixteen (16/19) trials were individually rando-
mised, 2 cluster randomised and 1 ‘pseudo-cluster’ ran-
domised, whereby those delivering the intervention were
randomised to conditions determining participant ran-
domisation ratios. Sixteen trials used two-arm designs
and three three-arm designs, all of which evaluated two
interventions. Time to first follow-up ranged from 1 to
36 months (median 6 months). Comparing effective and ineffective interventions Of the 19 interventions assessed on physical health and
functioning outcomes, 8 showed evidence of potential
effectiveness (tables 3 and 4). Potential effectiveness was
shown for: 2 of 4 interventions assessed on behavioural
outcomes; 2 of 11 on health and social service use; 3 of
11 on mental health and functioning; 1 of 7 on social
functioning and well-being; and 3 of 11 on generic
health and well-being. Open Access interventions were delivered solely within the home, and
2 in home and hospital settings. Most (21/22) were
delivered by nurses. Intervention effectiveness was assessed for each cluster. A dichotomous ‘effectiveness’ variable was created. An
intervention was deemed to ‘show evidence of potential
effectiveness’ for targeting an outcome where a statistic-
ally significant (p<0.05) between-group change in at
least one outcome within the cluster favoured the inter-
vention group. Interventions showed ‘no evidence of
effectiveness’ where there was no between-group change
in any outcome within the cluster, or where statistically
significant changes favoured the control group. on October 23, 2024 by guest. Protected by copyright. http://bmjopen.bmj.com/
pen: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from y
Of the 96 possible BCTs, 21 were each identified in at
least 1 intervention (see online supplementary table S4). Number of BCTs per intervention ranged from 1 to 9
(median 4.5; mean 4.4; mode 5). The most frequently
used were monitoring of behaviour by others with-
out feedback, and practical and unspecified social
support from intervention providers (each in 13/22
interventions). g
g
g
p
The potential contribution to effectiveness of interven-
tion content (ie, behaviour(s) targeted, BCTs, IFs) was
assessed by computing an ‘index of potential’ (IP) for
each component. This represented, of all interventions
in which a component had been used, the percentage
found to show ‘evidence of potential effectiveness’. To
avoid overinterpreting scant data, indices of potential
were calculated only for components in four or more
interventions within an outcome cluster. Intervention
components were deemed to ‘show potential’ where the
IP was above 50%, indicating that the component was
present in more effective than ineffective interventions. Components with indices of potential of 50% or less
were deemed to show no potential. Five functions were each coded in at least one inter-
vention. The number of functions per intervention
ranged from 1 to 3 (median 2; mean 1.5; mode 2),
though functions could not be coded for five interven-
tions. Common functions
were enablement
(16/22
interventions) and education (7/22). Analysis Two analyses were run. First, discrete components of pre-
vious interventions were described. Second, the effective-
ness of interventions, and links between components
and effectiveness were estimated. 23, 2024 by guest. Protected by copyright. Each extracted outcome variable was inductively classi-
fied (by BG) into only one of six mutually exclusive clus-
ters
(independently
verified
by
KW):
behavioural
outcomes, representing behaviours or necessarily contin-
gent outcomes (eg, medication adherence, nutritional
status); health and social service use (eg, hospital admis-
sions); mental health and functioning (eg, depression);
physical functioning (eg, activities of daily living); social
functioning and well-being (eg, loneliness); and generic
health and well-being indicators not captured by other
clusters (eg, quality of life). Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 3 Open Access on October 23, 2024 by guest.
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Figure 1
PRISMA flow chart:
search strategy and screening
procedure. RCT, randomised
controlled trial. p
http://b
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Figure 1
PRISMA flow chart:
search strategy and screening
procedure. RCT, randomised
controlled trial. Figure 1
PRISMA flow chart:
search strategy and screening
procedure. RCT, randomised
controlled trial. on October 23, 2024 by guest. Prote
http://bmjopen.bmj.com/
February 2017. Downloaded from developing and evaluating these interventions appeared
limited:
behavioural
outcomes
were
rarely assessed,
explicit theory use scant and intervention components
poorly reported. Nonetheless, findings offer tentative
guidance to intervention developers as to which compo-
nents most warrant further investigation in future home-
based health promotion initiatives. of whether studies were powered to detect changes. Some interventions had effects only at later follow-up.31
In the absence of a common follow-up duration across
all trials however, we anticipated that most change would
be observed at initial follow-up, with behaviour and
health gains dissipating over time, which is the typical
change trajectory for behavioural interventions.32 p
Our definition of interventions as ‘showing potential’
where positive effects were found in at least one
measure of a given outcome may have overestimated
effectiveness. For example, one intervention ‘showing
potential’ changed only two of four health and social
service use indicators.11 Additionally, we coded but did
not weight results for risk of bias. These crude analysis
techniques were used to identify interventions and com-
ponents showing any potential, however small or poten-
tially biased, to improve behaviour, health or well-being. Consequently, the lack of effects observed in trials where
multiple outcome measures were employed is notable,
as it indicates a comprehensive absence of effects.12 28–30
On the other hand, our effectiveness estimates were con-
servative, based on changes at first follow-up, irrespective g
j
y
We applied state-of-the-art coding technologies to
describe interventions, but coding validity depends on
the clarity of intervention descriptions, which we found
to be poorly specified. This may in part be because
many of the interventions reviewed were not conceived
by their authors as behavioural interventions, such as
case-management strategies targeting aimed at modify-
ing
the
behaviour or organisation
of
professionals
involved in care provision.12 31 33 However, all interven-
tions sought to modify health-related behaviours of frail
older people, which may potentially have contributed to
effectiveness. DISCUSSION 23, 2024 by guest. Protected by copyright. Twenty-two home-delivered health behaviour change
interventions for older people who are frail or at risk of
frailty showed mixed effects on behavioural, health or
well-being
outcomes:
8
of
11
showed
potential
to
improve physical function, 2 of 4 interventions changed
behaviour and no more than 27% of interventions
showed any potential to improve mental health and
functioning,
social
functioning
and
well-being,
or
generic health and well-being, or reduce service use. Three BCTs and two IFs were more common in inter-
ventions showing potential to enhance physical function-
ing, though no components were consistently linked to
other outcome types. Use of behavioural science in Behaviour change theories were mentioned in only 3
(3/19) trials. All trials showed low bias risk on at least
four of seven criteria, with three trials at low risk on all
criteria (see online supplemental table S3). guest. Protected by copyright. In total, data for 5084 participants were available at
first
follow-up
(N
range
92–477;
median
N=254). Interventions most commonly targeted one behaviour
(11/22 interventions). The most commonly targeted
behaviours were medication adherence or management
(16/22), and physical activity (11/22). Most (21/22) Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 4 on October 23, 2024 by guest. Protected by copyrigh
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Open Access Table 2
Summary of intervention characteristics (22 interventions)
Intervention
characteristics
Number of interventions
(total 22 interventions) (%)
Number of behaviours targeted
One behaviour
11 (50%)
Two behaviours
5 (23%)
Three behaviours
4 (18%)
Four behaviours
1 (5%)
Six behaviours
1 (5%)
Specific behaviours targeted
Alcohol consumption
1 (5%)
Dietary consumption
8 (36%)
Medication adherence/management
16 (73%)
Nutritional supplement intake
1 (5%)
Physical activity
11 (50%)
Self-care
1 (5%)
Sleeping
2 (9%)
Smoking
2 (9%)
Vaccination uptake
1 (5%)
Intervention functions*
Education
7 (32%)
Environmental restructuring
4 (18%)
Persuasion
2 (9%)
Training
2 (9%)
Enablement
16 (73%)
(No intervention functions identified)
5 (23%)
Setting
Home-only
21 (95%)
Home and hospital
1 (5%)
Delivered by
Care manager
3 (12%)
Dietitian
1 (4%)
Health visitor
1 (4%)
Home helper
1 (4%)
Nurse
21 (95%)
Occupational therapist
4 (16%)
Physician
1 (4%)
Physiotherapist
4 (16%)
Psychologist
1 (4%)
Social worker
4 (16%)
Sociologist
1 (4%)
Evidence of potential effectiveness,
by outcome cluster
Behavioural
(N=4)
Effectiveness: n=2
No effectiveness: n=2
Health and social service use
(N=11)
Effectiveness: n=2
No effectiveness: n=9
Mental health and functioning
(N=11)
Effectiveness: n=3
No effectiveness: n=8
Physical health and functioning
(N=19)
Effectiveness: n=8
No effectiveness: n=11
Social functioning and well-being
(N=7)
Effectiveness: n=1
No effectiveness: n=6
Generic health and well-being
(N=11)
Effectiveness: n=3
No effectiveness: n=8
*Definitions of intervention functions. Education: ‘increasing knowledge or understanding’; environmental restructuring: ‘changing the physical
or social context’; persuasion: ‘using communication to induce positive or negative feelings or stimulate action’; training: ‘imparting skills’;
enablement: ‘increasing means/reducing barriers to increase capability (beyond education and training) or opportunity (beyond environmental *Definitions of intervention functions. Education: ‘increasing knowledge or understanding’; environmental restructuring: ‘changing the physical
or social context’; persuasion: ‘using communication to induce positive or negative feelings or stimulate action’; training: ‘imparting skills’;
enablement: ‘increasing means/reducing barriers to increase capability (beyond education and training) or opportunity (beyond environmental
restructuring)’ (ref. 20, p. 7). *Definitions of intervention functions. Education: ‘increasing knowledge or understanding’; environmental restructuring: ‘changing the physical
or social context’; persuasion: ‘using communication to induce positive or negative feelings or stimulate action’; training: ‘imparting skills’;
enablement: ‘increasing means/reducing barriers to increase capability (beyond education and training) or opportunity (beyond environmental
restructuring)’ (ref. 20, p. 7). *Definitions of intervention functions. on October 23, 2024 by guest.
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from While intercoder reliability was good, our
findings are based on our post hoc interpretations of
intervention content, rather than comprehensive reports
of true content written by intervention developers. er 23, 2024 by guest. Protected by copyright. guest. Protected by copyright. On the other hand, our effectiveness estimates were con-
servative, based on changes at first follow-up, irrespective Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 5 on October 23, 2024 by guest. Protected by copyrigh
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Open Access Table 3
Intervention effectiveness in the outcome clusters physical functioning, behavioural outcomes, and health and social
service use according to behaviour targeted, intervention functions and behaviour change techniques* standardising description.19 20 We estimated the contri-
significant
effects
with
those
with
no
effects. Table 3
Intervention effectiveness in the outcome clusters physical functioning, behavioural outcomes, and health and social
service use according to behaviour targeted, intervention functions and behaviour change techniques*
Physical functioning outcomes
Evidence of potential
effectiveness (κ=8)
No evidence of
effectiveness (κ=11)
All
(κ=19)
Index of
potential†
Behaviours targeted
Dietary consumption
3
4
7
43%
Medication adherence/management
5
8
13
38%
Physical activity
3
7
11
27%
Intervention functions
Education
5
1
6
83%
Enablement
7
6
13
54%
Environmental restructuring
2
3
5
40%
(None identified)
1
4
5
−
Behaviour change techniques
Adding objects to the environment
3
2
5
60%
Goal setting (outcome)
4
5
9
44%
Instruction on how to perform
behaviour
3
1
4
75%
Monitoring of behaviour by others
without feedback
2
2
4
50%
Monitoring of outcomes of behaviour
by others without feedback
3
9
12
25%
Restructuring the physical
environment
3
2
5
60%
Social support from intervention
provider (practical)
5
5
10
50%
Social support from intervention
provider (unspecified)
4
7
11
36%
Behavioural outcomes
Evidence of potential
effectiveness (κ=2)
No evidence of
effectiveness (κ=2)
All
(κ=4)
Index of
potential†
Behaviour change techniques
Monitoring of outcomes of behaviour
by others without feedback
2
2
4
50%
Health and social service use outcomes
Evidence of potential
effectiveness (κ=2)
No evidence of
effectiveness (κ=9)
All
(κ=11)
Index of
potential†
Behaviours targeted
Dietary consumption
1
3
4
25%
Medication adherence/management
2
7
9
22%
Physical activity
1
4
5
20%
Intervention functions
Enablement
2
4
6
33%
Behaviour change techniques
Monitoring of outcomes of behaviour
by others without feedback
1
9
10
10%
Social support from intervention
provider (practical)
2
3
5
40%
Social support from intervention
provider (unspecified)
2
7
9
22%
*Only characteristics identified in at least four interventions within each cluster are reported for that cluster. †‘Index of potential’ refers to the percentage of studies, of all those featuring the focal intervention characteristic, found to show evidence of
potential effectiveness on at least one variable within the relevant outcome cluster. Rows in bold denote components found to show promise
(index of potential >50%). on October 23, 2024 by guest. Protected by copyrigh
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Education: ‘increasing knowledge or understanding’; environmental restructuring: ‘changing the physical
or social context’; persuasion: ‘using communication to induce positive or negative feelings or stimulate action’; training: ‘imparting skills’;
enablement: ‘increasing means/reducing barriers to increase capability (beyond education and training) or opportunity (beyond environmental
restructuring)’ (ref. 20, p. 7). guest. Protected by copyright. Consequently, several interventions could not be coded
for functions. Additionally, intervention effectiveness is
partly dependent on the control conditions against
which it has been compared;34 techniques that are
present in intervention and control arms cannot be said
to independently contribute to intervention effective-
ness. Yet, we were unable to code the content of control treatments due to lack of information, so our analysis
will have overestimated the potential of any technique
that was included in the intervention and control
arms.34 Intervention developers must describe carefully
the behavioural components of intervention and control
treatments to permit more accurate evidence syntheses. The BCT Taxonomy v1 and IF list are useful for 6 Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 on October 23, 2024 by guest. Protected by copyrigh
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from on October 23, 2024 by guest. Protected by c
http://bmjopen.bmj.com/
MJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from y guest. Protected by copyright. *Only characteristics identified in at least four interventions within each cluster are reported for that cluster. †‘Index of potential’ refers to the percentage of studies, of all those featuring the focal intervention characteristic, found to show evidence of
potential effectiveness on at least one variable within the relevant outcome cluster. Rows in bold denote components found to show promise
(index of potential >50%). significant
effects
with
those
with
no
effects. Notwithstanding the lack of information on comparison
treatments for assessing effectiveness at the within-study standardising description.19 20 We estimated the contri-
bution of intervention components to potential effects
through comparing interventions yielding statistically Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 7 Open Access on October 23, 2024 by guest. Protected by copyright.
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Table 4
Intervention effectiveness in the outcome clusters mental health and functioning, social functioning/well-being, and
generic health and well-being according to behaviour targeted, intervention functions and behaviour change techniques*
Mental health and functioning outcomes
Evidence of potential
effectiveness (κ=3)
No evidence of
effectiveness (κ=8)
All
(κ=11)
Index of
potential†
Behaviours targeted
Medication adherence/management
2
5
7
29%
Intervention functions
Enablement
2
3
5
40%
Environmental restructuring
1
3
4
25%
(None identified)
1
5
6
−
Behaviour change techniques
Goal setting (outcome)
3
3
6
50%
Monitoring of outcomes of behaviour
by others without feedback
2
7
9
22%
Social support from intervention
provider (practical)
2
2
4
50%
Social support from intervention
provider (unspecified)
2
5
7
29%
Social functioning and well-being outcomes
Evidence of potential
effectiveness (κ=1)
No evidence of
effectiveness (n=6)
All
(κ=7)
Index of
potential†
Behaviours targeted
Physical activity
0
4
4
0%
Intervention functions
(None identified)
0
3
3
−
Behaviour change techniques
Goal setting (outcome)
1
4
5
20%
Monitoring of outcomes of behaviour
by others without feedback
1
6
7
14%
Social support from intervention
provider (unspecified)
1
5
6
17%
Generic health and well-being outcomes
Evidence of potential
effectiveness (κ=3)
No evidence of
effectiveness (κ=8)
All
(κ=11)
Index of
potential†
Behaviours targeted
Dietary consumption
2
3
5
40%
Medication adherence/management
3
5
8
38%
Physical activity
2
3
5
40%
Intervention functions
Enablement
3
6
9
33%
Behaviour change techniques
Goal setting (outcome)
1
3
4
25%
Monitoring of outcomes of behaviour
by others without feedback
0
6
6
0%
Social support from intervention
provider (practical)
3
3
6
50%
Social support from intervention
provider (unspecified)
0
7
7
0%
*Only characteristics identified in at least four interventions within each cluster are reported for that cluster. †‘Index of potential’ refers to the percentage of studies, of all those featuring the focal intervention characteristic, found to show evidence of
potential effectiveness on at least one variable within the relevant outcome cluster. Rows in bold denote components found to show promise
(index of potential >50%). on October 23, 2024 by guest. Protec
http://bmjopen.bmj.com/
MJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Table 4
Intervention effectiveness in the outcome clusters mental health and functioning, social functioning/well-being, and
generic health and well-being according to behaviour targeted, intervention functions and behaviour change techniques* by guest. Protected by copyright. on October 23, 2024 by guest. Protected by copyright.
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from Behaviour change theories provide hypotheses
around the processes that generate behaviour, and offer
targets for behavioural interventions.39 For example, the
‘COM-B’ model proposes that behaviour (B) is deter-
mined by capability (C), opportunity (O) and motivation
(M).20 In applying this model, for those who are already
sufficiently motivated—for example, an underweight frail
older person is motivated to eat a more calorie-dense,
protein-rich diet—behaviour change thus depends on
enhancing perceptions of capability and opportunity to
act, for example, in this instance buying and preparing
suitable food. In the absence of explicit theory use, com-
monly employed techniques and IFs can reveal implicit
theoretical
assumptions
underpinning
interventions. The most commonly used BCTs were monitoring of
behaviour without feedback, and practical or unspecified
social support from the intervention provider, and
common functions were enablement and education. These strategies indicate that intervention developers have
implicitly touched on all three COM-B domains, conceiv-
ing of health promotion among frail older people as
dependent on enhancing motivation via education about
the importance of health behaviour, and targeting capa-
bility and opportunity via social support to enable behav-
iour change. Nonetheless, we encourage developers to
articulate and assess the theoretical mechanisms through
which health promotion is expected to impact on health,
thereby improving understanding of how interventions
take effect. Practical guidance is available for moving from
assumptions about what needs to change, to selection of
theory-based intervention methods.39 40 p
g
Interventions most commonly sought to promote
health by targeting improved medication management,
greater physical activity or a healthier diet, and effects
were assessed against six types of behavioural, health
and well-being outcomes. Such diverse content demon-
strates the importance of asking whether interventions are
effective, and what makes them effective, and against
which outcomes.18 Physical functioning outcomes were
most frequently assessed. Interventions showing poten-
tial for improving physical functioning were more likely
to seek to educate frail older people in why and how to
make behavioural changes, or to increase their capability
or opportunity for change. These interventions more
frequently included techniques based on instructions on
how to perform recommended behaviours, and environ-
mental modifications to support change (eg, removing
physical obstacles in the home to permit walking9). Given the methodological limitations of our review, we
cannot conclude that these techniques are uniformly
effective for improving physical functioning among frail
older adults. on October 23, 2024 by guest. Protected by copyright.
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from *Only characteristics identified in at least four interventions within each cluster are reported for that cluster. †‘Index of potential’ refers to the percentage of studies, of all those featuring the focal intervention characteristic, found to show evidence of
potential effectiveness on at least one variable within the relevant outcome cluster. Rows in bold denote components found to show promise
(index of potential >50%). with more homogeneous outcomes, than were available. Our analysis assumed that BCTs represent the ‘active
ingredients’ of interventions,19 so focused on interven-
tion content, but effects may depend on complex level, more sophisticated methods are available for quan-
tifying relationships between content and between-study
variation in effectiveness.35 Yet, powering such analyses
requires larger sample sizes and the validity of results level, more sophisticated methods are available for quan-
tifying relationships between content and between-study
variation in effectiveness.35 Yet, powering such analyses
requires larger sample sizes and the validity of results Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 8 Open Access did not yield health benefits, or failed to prompt behav-
iour change. Evaluating change only in health and
related outcomes (eg, number of falls29 37), rather than
behaviour that may prompt such changes (eg, physical
activity38), limits understanding of reasons for interven-
tion effects, or lack thereof. Behaviour change interven-
tions should be evaluated against behavioural criteria in
addition to important outcomes for frail older people,
such as functional ability. interactions
between
content,
delivery,
format
and
setting.36 More fundamentally, our analysis focused on
behavioural elements of interventions that were in many
cases multifaceted, such that modifying the behaviour of
frail older people was only one of the multiple strategies
employed to improve health. Nonetheless, our findings
offer a step towards documenting the behaviour-related
content of home-based health behaviour change inter-
ventions for prefrail and frail older people, highlighting
content that appears to show promise, across contexts,
for improving health. y
Changing behaviour requires understanding of the
determinants of behaviour.39 Yet, only 3 of 22 interven-
tions were explicitly based on theories of behaviour
change. Twitter Follow Benjamin Gardner @drbengardner 16. Stuck AE, Egger M, Hammer A, et al. Home visits to prevent nursing
home admission and functional decline in elderly people: systematic
review and meta-regression analysis. JAMA 2002;287:1022–8. Contributors BG and KW conceived and designed the study. KK, SI, JM, CG
and VMD contributed to the design of the study. AJ ran the systematic
searches. AJ, CB and BG extracted data. BG, KK and KW resolved
discrepancies between coders in data extraction. BG analysed all data and
drafted the manuscript, which was iteratively refined by all authors. All
authors have read and approved the final manuscript. 17. Gustafsson S, Edberg A-K, Johansson B, et al. Multi-component
health promotion and disease prevention for community-dwelling frail
elderly persons: a systematic review. Eur J Ageing 2009;6:315–29. y p
y
g
g
18. Michie S, Abraham C. Interventions to change health behaviours:
evidence-based or evidence-inspired? Psychol Health
2004;19:29–49. Funding This work is funded by the National Institute for Health Research
(NIHR) Health Technology Assessment (HTA), grant reference number 12/
192/10, and will be published in full in Health Technology Assessment. 19. Michie S, Richardson M, Johnston M, et al. The behaviour change
technique taxonomy (v1) of 93 hierarchically clustered techniques:
building an international consensus for the reporting of behaviour
change interventions. Ann Behav Med 2013;46:81–95. Disclaimer The views and opinions expressed are those of the authors and
do not necessarily reflect those of the Health Technology Assessment
programme, NIHR, NHS or the Department of Health. 20. Michie S, Van Stralen MM, West R. The behaviour change wheel: a
new method for characterising and designing behaviour change
interventions. Implement Sci 2011;6:42. p
21. Gardner B, Whittington C, McAteer J, et al. Using theory to
synthesise evidence from behaviour change interventions: the
example of audit and feedback. Soc Sci Med 2010;70:1618–25. Competing interests None declared. Competing interests None declared. Provenance and peer review Not commissioned; externally peer reviewed. Provenance and peer review Not commissioned; externally peer reviewed. 22. Gardner B, Smith L, Lorencatto F, et al. How to reduce sitting time? A review of behaviour change strategies used in sedentary
behaviour reduction interventions among adults. Health Psychol Rev
2016;10:89–112. Data sharing statement The data set is available on request from the
corresponding author (KW). Data sharing statement The data set is available on request from the
corresponding author (KW). 23. Jovicic A, Gardner B, Belk C, et al. REFERENCES ;
26. Landis JR, Koch GG. The measurement of observer agreement for
categorical data. Biometrics 1977;33:159–74. 1. Collard RM, Boter H, Schoevers RA, et al. Prevalence of frailty in
community-dwelling older persons: a systematic review. J Am Geriatr
Soc 2012;60:1487–92. 27. Marek KD, Stetzer F, Ryan PA, et al. Nurse care coordination and
technology effects on health status of frail older adults via enhanced
self-management of medication: randomized clinical trial to test
efficacy. Nurs Res 2013;62:269–78. 2. Ward RA. Change in perceived age in middle and later life. Int J Age
Hum Dev 2013;76:251–67. y
28. van Hout HPJ, Jansen APD, van Marwijk HWJ, et al. Prevention of
adverse health trajectories in a vulnerable elderly population through
nurse home visits: a randomized controlled trial [ISRCTN05358495]. J Gerontol A Biol Sci Med Sci 2010;65:734–42. 3. Clegg A, Young J, Iliffe S, et al. Frailty in elderly people. Lancet
2013;381:752–62. 4. Fried LP, Tangen CM, Walston J, et al. Frailty in older adults:
evidence for a phenotype. J Geront A Biol Sci Med Sci 2001;56:
M146–156. 29. Markle-Reid M, Browne G, Gafni A, et al. The effects and costs of a
multifactorial and interdisciplinary team approach to falls prevention
for older home care clients ‘at risk’ for falling: a randomized
controlled trial. Can J Aging 2010;29:139–61. 5. Rockwood K, Howlett SE, MacKnight C, et al. Prevalence, attributes,
and outcomes of fitness and frailty in community-dwelling older
adults: report from the Canadian study of health and aging. J Geront
A Biol Sci Med Sci 2004;59:1310–17. 30. Bouman A, van Rossum E, Ambergen T, et al. Effects of a home
visiting program for older people with poor health status: a
randomized, clinical trial in the Netherlands. J Am Geriatr Soc
2008;56:397–404. 6. Gill TM, Gahbauer EA, Allore HG, et al. Transitions between frailty
states among community-living older persons. Arch Intern Med
2006;166:418–23. 31. Metzelthin SF, Van Rossum E, De Witte LP, et al. Effectiveness of
interdisciplinary primary care approach to reduce disability in
community dwelling frail older people: cluster randomised controlled
trial. BMJ 2013;347:f5264. 7. Avlund K, Jepsen E, Vass M, et al. Effects of comprehensive
follow-up home visits after hospitalization on functional ability and
readmissions among old patients. A randomized controlled study. Scan J Occup Ther 2002;9:17–22. 32. Jeffery RW, Drewnowski A, Epstein LH, et al. Long-term maintenance
of weight loss: current status. Health Psychol 2000;19:5–16. 8. Twitter Follow Benjamin Gardner @drbengardner Identifying the content of
home-based health behaviour change interventions for frail older
people: a systematic review protocol. Syst Rev 2015;4:151. Open Access This is an Open Access article distributed in accordance with
the terms of the Creative Commons Attribution (CC BY 4.0) license, which
permits others to distribute, remix, adapt and build upon this work, for
commercial use, provided the original work is properly cited. See: http://
creativecommons.org/licenses/by/4.0/ y
y
24. Davis R, Campbell R, Hildon Z, et al. Theories of behaviour and
behaviour change across the social and behavioural sciences: a
scoping review. Health Psychol Rev 2015;9:323–44. creativecommons.org/licenses/by/4.0/ p g
y
25. Higgins JPT, Altman DG, Gøtzsche PC, et al. The Cochrane
Collaboration’s tool for assessing risk of bias in randomised trials. BMJ 2011;343:d5928. on October 23, 2024 by guest. Protected by copyright.
http://bmjopen.bmj.com/
BMJ Open: first published as 10.1136/bmjopen-2016-014127 on 9 February 2017. Downloaded from All three techniques were present in both
interventions that showed evidence of potential effective-
ness for improving physical functioning and those that
did not. Moreover, 75 of 96 possible techniques were not
used in any intervention, so their potential for changing
behaviour and health of frail older people cannot be
ruled out. Nonetheless, given the centrality of physical
functioning as a frailty marker,3 future interventions
should consider adopting these strategies. Some studies
within this review excluded those likely to be the most
frail (eg, those with severe dementia, or receiving home
nursing services) and we excluded studies based exclu-
sively within nursing or care home settings, and our
findings may not apply to these populations. on October 23, 2024 by guest. Protected by copyright. bmj.com/ Interventions that instruct and inform frail older
people in how and why to change their behaviour, or
support physical environment modifications, appear to
show promise for improving physical function. Yet, the
robustness of these findings is unclear. Some compo-
nents were identified in few interventions. Any poten-
tially eligible study published since we conducted our
review41–43 that used these components may alter rela-
tionships with potential effectiveness. Moreover, it is pre-
mature to form conclusions about what makes effective
home-based
health
behaviour
change
interventions,
because behaviour change is rarely assessed, and inter-
vention content poorly reported. Developers should
engage with behavioural science in designing, evaluating
and reporting interventions. r 23, 2024 by guest. Protected by copyright. Surprisingly, across most outcomes, most of the com-
ponents that we identified were more commonly found
in interventions that had no impact. For example, moni-
toring outcomes of participants’ behaviour without pro-
viding
feedback
(eg,
assessing
but
not
informing
participants of their physical health7) was more consist-
ently found in interventions with no effect on mental,
physical or generic health indices, nor social function-
ing. This need not mean these techniques are inherently
less effective for health promotion among frail older
people. Notably few trials assessed effectiveness against
behavioural
outcomes. Consequently,
it
is
unclear
whether components prompted behaviour changes that 9 Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 Author affiliations Author affiliations
1 12. Siu AL, Kravitz RL, Keeler E, et al. Postdischarge geriatric
assessment of hospitalized frail elderly patients. Arch Intern Med
1996;156:76–81. Author affiliations
1Department of Psychology, Institute of Psychiatry, Psychology and
Neuroscience, King’s College London, London, UK
2Department of Primary Care and Population Health, University College
London, Royal Free Hospital, London, UK
3Social Care Workforce Research Unit, King’s College London, London, UK
4Centre for Research in Primary and Community Care, University of
Hertfordshire, Hertfordshire, UK
5Centre for Health and Social Care Research, Kingston University & St
George’s, University of London, London, UK 13. Stuck AE, Minder CE, Peter-Wüest I, et al. A randomized trial of
in-home visits for disability prevention in community-dwelling older
people at low and high risk for nursing home admission. Arch Intern
Med 2000;160:977–86. 14. Kono A, Kanaya Y, Fujita T, et al. Effects of a preventive home visit
program in ambulatory frail older people: a randomized controlled
trial. J Gerontol A Biol Sci Med Sci 2012;67:302–9. 15. Elkan R, Kendrick D, Dewey M, et al. Effectiveness of home based
support for older people: systematic review and meta-analysis. BMJ
2001;323:719–24. REFERENCES Boult C, Leff B, Boyd CM, et al. A matched-pair cluster-randomized
trial of guided care for high-risk older patients. J Gen Intern Med
2013;28:612–21. g
y
33. Melis RJG, van Eijken MIJ, Teerenstra S, et al. A randomized study
of a multidisciplinary program to intervene on geriatric syndromes in
vulnerable older people who live at home (Dutch EASYcare Study). J Gerontol Med Sci 2008;63A:283–90. 9. Gustafsson S, Wilhelmson K, Eklund K, et al. Health-promoting
interventions for persons aged 80 and older are successful in the
short term-results from the randomized and three-armed elderly
persons in the risk zone study. J Am Geriatr Soc 2012;60:447–54. 34. de Bruin M, Viechtbauer W, Hospers HJ, et al. Standard care quality
determines treatment outcomes in control groups of
HAART-adherence intervention studies: implications for the
interpretation and comparison of intervention effects. Health Psychol
2009;28:668–74. p
y
10. Tappenden P, Campbell F, Rawdin A, et al. The clinical
effectiveness and cost-effectiveness of home-based, nurse-led
health promotion for older people: a systematic review. Health
Technol Assess 2012;16:1–71. 35. Michie S, Abraham C, Whittington C, et al. Effective techniques in
healthy eating and physical activity interventions: a meta-regression. Health Psychol 2009;28:690–701. 11. Levine S, Steinman BA, Attaway K, et al. Home care program for
patients at high risk of hospitalization. Am J Manag Care 2012;18:
e269–276. 10 Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 Open Access Open Access Open Access 40. Michie S, Atkins L, West R. The behaviour change wheel: a guide to
designing interventions. London: Silverback Publishing, 2014. 36. Davidson KW, Goldstein M, Kaplan RM, et al. Evidence-based
behavioural medicine: what is it and how do we achieve it? Ann
Behav Med 2003;26:161–71. g
g
g
41. Bleijenberg N, Drubbel I, Scuurmans MJ, et al. Effectiveness of a
proactive primary care program on preserving daily functioning of
older people: a cluster randomized controlled trial. J Am Geriatr Soc
2016;64:1779–88. 37. Luck T, Motzek T, Luppa M, et al. Effectiveness of preventive
home visits in reducing the risk of falls in old age: a
randomized controlled trial. Clin Interv Aging 2013;8:
697–702. 42. Hoogendijk EO, van der Horst HE, van de Ven PM, et al. Effectiveness of a geriatric care model for frail older adults in primary
care: results from a stepped wedge cluster randomized trial. Eur
J Intern Med 2016;28:43–51. 38. Gregg EW, Pereira MA, Caspersen CJ. Physical activity, falls, and
fractures among older adults: a review of the epidemiologic
evidence. J Am Geriatr Soc 2000;48:883–93. ;
39. Bartholomew LK, Parcel GS, Kok G, et al. Planning health
promotion programs: An intervention mapping approach. 3rd edn. Chichester: John Wiley & Sons, 2011. 43. Suijker JJ, van Rijn M, Buurman BM, et al. Effects of nurse-led
multifactorial care to prevent disability in community-living older
people: cluster randomized trial. PLoS ONE 2016;11:e0158714. 43. Suijker JJ, van Rijn M, Buurman BM, et al. Effects of nurse-led
multifactorial care to prevent disability in community-living older
people: cluster randomized trial. PLoS ONE 2016;11:e0158714. Gardner B, et al. BMJ Open 2017;7:e014127. doi:10.1136/bmjopen-2016-014127 11
|
https://openalex.org/W2100698787
|
https://jeatdisord.biomedcentral.com/track/pdf/10.1186/2050-2974-1-44
|
English
| null |
Psychosocial outcomes of a non-dieting based positive body image community program for overweight adults: a pilot study
|
Journal of eating disorders
| 2,013
|
cc-by
| 10,198
|
© 2013 Bloom 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. Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Abstract Background: The limited success of traditional diet focused obesity interventions has led to the development of
alternative non-dieting approaches. The current study evaluated the impact of a community based non-dieting
positive body image program for overweight/obese people on a range of psychosocial outcomes. The characteristics
of this real-world sample presenting for a non-dieting weight management intervention are also described. Method: Overweight and obese participants enrolled in the eight week ‘No More Diets’ (NMD) group program
completed self-report questionnaires assessing disordered eating thoughts and behaviours, body image, motivation for
exercise and psychopathology pre- and post-treatment. Results: Participants (n = 17; 16 female) were aged between 19 and 78 years, with a BMI ranging from 25.2 kg/m2
(Overweight) to 55.9 kg/m2 (Severely Obese). They reported elevated levels of eating disorder pathology, body shape
preoccupation, depression, anxiety and stress compared to community norms (p < .05). Following treatment there were
significant improvements in reported body shape preoccupation, shape concern and eating attitudes (p < .05), and
clinically significant changes (small to medium effect sizes; 0.3-0.35) for improvements in reported weight concern,
eating competence, stress and health evaluation. There were no changes in reported dietary restraint, emotional eating
and uncontrolled eating, or eating concern (p > .05). Conclusion: Individuals presenting for the NMD program demonstrated increased eating disorder pathology and more
generalised psychopathology compared to community norms. The NMD program was particularly beneficial for body
image and shape concern. Addressing these body image factors may help to address some of the perpetuating factors
of obesity and disordered eating, which are often not addressed in the traditional diet-based weight loss interventions. Keywords: Obesity, Non-dieting, Community, Body image, Intervention, Disordered eating Psychosocial outcomes of a non-dieting based
positive body image community program for
overweight adults: a pilot study Lisa Bloom1, Beth Shelton2,3, Melissa Bengough3 and Leah Brennan4* * Correspondence: leah.brennan@acu.edu.au
4School of Psychology, Australian Catholic University, Melbourne, Australia
Full list of author information is available at the end of the article Background reduction in excess body fat, and these approaches often
fail to address the perpetuating factors common to both
obesity and eating disorders. This emphasis on weight loss
is driven by beliefs that excess weight increases morbidity
and mortality, sustainable weight loss is possible, and the
risks associated with obesity will decrease when weight is
lost [7]. Eating disorders, obesity and unhealthy dieting practices
share common psychopathology, and can have serious ad-
verse effects on psychological and physical health [1-3], For
example, there is evidence that obesity can eventuate in
people with bulimic eating disorders and Binge Eating Dis-
order [4] and levels of body dissatisfaction can be higher in
obese populations compared to populations with Anorexia
Nervosa [5,6]. Regardless of the method, the goal of trad-
itional obesity interventions, including diet, exercise, be-
havioural, pharmacological and surgical weight loss, is a The link between obesity and mortality and morbidity is
generally accepted [8], however, recent research suggests
that this relationship may not be as strong as once thought
in the mild to moderately obese [9]. It has also been pro-
posed that some obesity related co-morbidities may be the
result of ineffective dieting rather than excess weight [10]. High levels of dietary restraint have been linked to weight Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Page 2 of 12 purpose of pleasure and health acceptance of bodies at dif-
ferent shapes and sizes are encouraged [35]. gain [11] and to weight cycling [12]. Weight cycling (the
repeated gains and losses of weight over time) has been
shown to increase risk for cardiovascular disease, de-
pression, and mortality [13-15]. Efficacy studies of non-dieting interventions have dem-
onstrated improvements in eating behaviours and attitudes,
including decreases in dietary restraint, disinhibition, over-
all eating disorder risk, and binge eating, and greater
awareness of hunger and satiety cues [5,36-41]. They have
also shown physiological changes, including improvements
in metabolic fitness (e.g., pulse reading, blood pressure,
cholesterol) without significant weight loss [5,36-40]. In a
recent review, in four of seven studies, these improvements
in the non-dieting group were significantly better than
traditional weight control groups [42]. These studies have
all examined the efficacy of non-dieting interventions, in
controlled efficacy studies [42]. Effectiveness trials (inter-
ventions implemented in real-world clinical and commu-
nity settings) of non-dieting approaches are still required. Background Dietary restraint has also been associated with psy-
chological distress, including anxiety, food and weight
preoccupation, disordered eating and eating disorders,
particularly binge eating [16-18]. It is believed that diet-
ing creates a vulnerability to binge eating and problems
with eating regulation [19]. Research is not clear about
what comes first, dieting or binge-eating in obese indi-
viduals [20]. Despite this, levels of binge eating and diet-
ary restraint are positively correlated [21] and binge
eating, not overall weight, has been found to be a pre-
dictor of psychopathology amongst obese treatment-
seeking individuals [22]. Additionally, levels of dietary
restraint have been found to be comparable between
populations with obesity and populations with Anorexia
Nervosa [5,19]. The ‘No More Diets’ (NMD) program is an example of
a non-dieting community intervention. The program tar-
gets those experiencing weight cycling and disordered
eating patterns with the goal of achieving a range of health
improvements. It targets health behaviours such as; healthy
normalised eating patterns based on cues of hunger and
satiety, positive body image, and maintained physical
movement that is practical, sustainable and enjoyable. The
current pilot study will provide an opportunity to examine
the effectiveness of the NMD program delivered to over-
weight and obese adults in a community setting. The
current study aimed to examine (1) the psychosocial char-
acteristics of NMD participants, (2) differences in pre-
treatment characteristics of participants who did and did
not complete the program, and (3) the impact of NMD on
psychosocial outcomes of participants. Failure to achieve desired weight loss may also lead to
further psychological distress [17,18]. Most people enrol-
ling in a weight loss interventions expect to lose up to
30% of their body weight, however short-term weight loss
goals of 5-10% are more commonly achieved [21]. A 5-
10% weight loss is considered to be clinically significant
and is recommended by most expert bodies [23-25]. There
are few studies available examining the impact of long-
term weight loss on obesity related risk. Those that are
available indicate that long-term maintenance of weight
loss is rare [26,27] and that the majority of participants are
likely to have returned to baseline weight or higher at 2–
5 year follow-up [28,29]. There is also increasing evidence
that health improvements can occur without significant
weight loss in mild to moderately overweight individuals. Participants Participants were recruited to the NMD program via adver-
tisements distributed by MonashLink Community Health
Centre, an article in the local newspaper, or through re-
ferral from participants’ current health professional at
MonashLink. There were no formal exclusion criteria. Background For example, cardiovascular fitness, blood pressure im-
provement and reduction in medical symptoms have been
shown to occur in response to health behaviour change in-
dependently of weight loss [7,30]. Individuals can also im-
prove a number of health outcomes (e.g., recommended
physical activity levels, healthy blood pressure, reduced
mortality and morbidity rates), whilst still being classified
as overweight or obese [31]. Procedure
Th
d This study was approved by the Monash University Hu-
man Research Ethics Committee and the RMIT University
Human Research Ethics committee prior to commence-
ment. The program was delivered at MonashLink Com-
munity Health Service, a non-profit organization funded
by a variety of government programs, providing a range of
health and well-being services to people living and work-
ing within the City of Monash, Melbourne, Victoria,
Australia. Participants approached the community centre
for the purposes of attending the NMD program. ecSatter Inventory [47]. This 16-item scale measures
eating competence. Items are rated on a 5-point Likert
scale. The four subscales are Contextual Skills (measur-
ing skills relate to selecting, preparing and planning
meals), Eating Attitude (measuring levels of comfort as-
sociated with food and eating), Food Acceptance (open-
ness to a wide range of foods) and Internal Regulation
(eating behaviours in response to internal satiety cues),
and a total Eating Competence score. It has adequate
construct validity and internal consistency (α = .79, .82,
.70, .71 and .85 respectively) [47,48]. A psychologist (BS) and a dietician (MB) from Mon-
ashLink Community Health’s Disordered Eating Service
adapted the NMD program from the Set Your Body Free
programs of Paxton and colleagues [55-57]. The pro-
gram consisted of 8 weekly 2 hour sessions; session con-
tent is outlined in Table 1. The program ran twice over a
6 month period. The first program was facilitated by a
psychologist and dietician, and the second by a dietician
and mental health counsellor. The initial group had 12
participants; the second group had 9 participants. Multidimensional
Body
Self-Relations
Questionnaire
(MBSRQ) [49]. This 69-item questionnaire measures body
image and attitudes towards the self. The Appearance
Evaluation (measuring self-ratings and attitudes towards
one’s appearance), Fitness Evaluation (self-ratings and atti-
tudes towards fitness levels) and Health Evaluation (self-
ratings of feelings of healthiness) subscales were used for
the current study. Items are rated on a 5-point scale ran-
ging from ‘definitely disagree’ to ‘definitely agree’. The
scales have adequate internal consistency (α = .88, .77 and
.83 respectively) [49]. In the first week of the program, participants com-
pleted the questionnaire booklet as part of the program
evaluation. A plain language statement and consent form
invited the participants to allow the data in the question-
naires to be used in the current study. Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Page 3 of 12 Page 3 of 12 Exercise Motivations Inventory - version 2 (EMI-2) [54]. This 51-item questionnaire measures reasons for exercise. The subscales used in the current study were Enjoyment
and Weight Management (e.g., Personally I exercise, or
might exercise to stay slim). Items are rated on a 5-point
scale. It has adequate reliability (α = .89 and .91) and con-
vergent and discriminant validity for both exercisers and
non-exercisers [54]. are Restraint (e.g., avoidance of food, dietary rules), Eat-
ing Concern (e.g., food preoccupation), Weight Concern
and Shape Concern (e.g., preoccupation and dissatisfac-
tion with weight and shape). It has adequate internal
consistency (α = .70, .73, .72 and .83 respectively) and
convergent and discriminant validity (r = .79-.81 and
.78-.85) [43,44]. Three Factor Eating Questionnaire - Revised 21 Items
(TFEQ-21) [45]. This revised version of the Three Factor
Eating Questionnaire measures eating behaviour in three
domains [46]. Twenty-one items comprise the revised
scale; Cognitive Restraint (restricting food intake in order
to influence weight), Emotional Eating (eating in response
to negative mood states) and Uncontrolled Eating (over-
eating behaviours). Items are rated on a 4-point scale. The scales have adequate internal consistency (α = .76, .83
and .85 respectively) and convergent and discriminant
validity [45]. Three Factor Eating Questionnaire - Revised 21 Items
(TFEQ-21) [45]. This revised version of the Three Factor
Eating Questionnaire measures eating behaviour in three
domains [46]. Twenty-one items comprise the revised
scale; Cognitive Restraint (restricting food intake in order
to influence weight), Emotional Eating (eating in response
to negative mood states) and Uncontrolled Eating (over-
eating behaviours). Items are rated on a 4-point scale. The scales have adequate internal consistency (α = .76, .83
and .85 respectively) and convergent and discriminant
validity [45]. Procedure
Th
d During the final
session, all participants were given the questionnaire
booklet to complete after the program and post back to
the NMD facilitators. Missing data was collected via
telephone contact with participants following the return
of their questionnaires. The researcher was provided
with the data of those participants who had consented
for their data to be used in research. Body Shape Questionnaire (BSQ) [50]. This 36-item scale
measures body shape preoccupations and levels of body
dissatisfaction and associated distress over a 4 week period. Items are rated on a 6-point Likert scale ranging from
‘Never’ to ‘Always’. It has adequate reliability (α = .88) and
good concurrent validity for clinical and non-clinical sam-
ples [51]. Materials Considering that the prevalence of obesity is rising [32],
weight loss is difficult to maintain long-term [26,27], and
health outcomes can improve in some individuals without
weight loss [7,30], alternatives to the traditional obesity
treatment paradigm are being explored. Such alternatives
include non-dieting programs. Non dieting approaches
view weight management from a health-centred approach,
with health outcomes as goals rather than weight loss per
se. This philosophy is based on the belief that biopsycho-
social outcomes can improve without significant weight
loss [33,34]. Healthy eating patterns in response to in-
ternal satiety and hunger cues, physical activity for the Participants completed a number of self-report questionnaires: Participants completed a number of self-report questionnaires:
Demographic Questionnaire This questionnaire was de-
veloped for the purpose of the NMD program. It includes
information about height and weight, family structure,
educational level, employment status, eating and activity
history. Eating Disorder Examination - Questionnaire (EDE-Q)
[43]. This 28-item questionnaire measures four aspects
of the psychopathology of eating disorders. The items
are rated on a 6-point scale with higher scores reflecting
greater severity of psychopathology. The four subscales Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Results exploratory nature of this study both statistically signifi-
cant and clinically significant results are discussed. Effect
sizes are also presented using the following range: r = .2
small, r = .5 medium, and r = .8 large effect size [58]. Non-
parametric tests were used due to the small sample size. In line with the requirements of non-parametric tests, me-
dians are reported instead of means for analyses where
appropriate. Of the 21 participants who enrolled in the NMD program,
17 (81%) consented to participate in the study, as outlined
in Figure 1. The participants (16 females, 1 male) were
aged between 19 and 78 years (M = 56.45, SD = 16.19). The majority were born in Australia (71%) and 82% iden-
tified Australian as their ethnicity. Thirty-five per cent The psychosocial characteristics of the sample were de-
scribed by comparing scores on the measures to published
norms from normal and clinical samples using a Wilcoxon
Signed Rank test. Normative comparative samples were
selected on the basis that they used the appropriate mea-
sures, and participant characteristics (e.g., sex) could be
matched where possible. The EDE-Q normal sample
consisted of females aged over 16 years [59]. The TFEQ
sample consisted of middle-aged females [60]. The EcSat-
ter sample consisted of overweight and physically active
adults [47]. The MBSRQ sample consisted of females aged
over 18 years [49]. The BSQ normal sample consisted of
female university students [50] and the DASS 21 normal
sample consisted of males and females aged over 17 years
[52]. For clinical samples, a diagnosis of an eating disorder
and the relevant measure was required, as well as
matching characteristics where possible. The EDE-Q clin-
ical sample consisted of females with Anorexia Nervosa
[59]. The BSQ sample consisted of females with Bulimia
Nervosa [50]. The DASS 21 sample consisted of adoles-
cents and adults with Anorexia Nervosa [61]. The sample
was also compared to clinical cut-offs where available. Par-
ticipants who completed the program were compared with
data from participants who dropped out using a Mann–
Whitney test. Pre- and post-scores on the outcome mea-
sures were compared using related samples Wilcoxon
Signed Rank tests. Table 1 NMD weekly session outline Movement sequences and improvisation with
reflection Movement sequences and improvisation with
reflection nutritional
Linking movement with community options: guest instructor to demonstrate available exercise programs Statistical analyses All statistical analyses were completed using the software
package Statistical Package for Social Sciences (SPSS;
Version 20). Data screening, missing data analysis and as-
sumption testing were conducted prior to commencement
of data analysis. There was no missing data. As this was a
study of a ‘real-world’ intervention taking place in the
community, power analysis was not completed. Similarly,
as this was an exploratory study alpha levels were not ad-
justed to account for inflation in Type 1 error due to mul-
tiple comparisons. Given the small sample size and the Depression, Stress and Anxiety Scale (DASS) [52]. This
42-item questionnaire measures symptoms of depression,
anxiety and stress. The three subscales (Depression, Anxiety
and Stress) are answered on a 4-point severity/frequency
scale of symptoms over the last week. It has adequate in-
ternal consistency (α = .81, .73 and .81 respectively) [42]
and convergent and discriminant validity [53]. Page 4 of 12 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Table 1 NMD weekly session outline
Week Food & eating topics
Body image topics
Movement activity
1
Why diets do not work
Looking at spine and identifying basic spinal movements to music
2
Regular eating pattern
Exploration of pros and cons of body acceptance and body
dissatisfaction
Introduction to image-based movement
improvisation
3
Hunger Scale
Introduction of concept of overvaluation of shape & weight
Integration of a learnt sequence in pairs and
improvisation
4
Hungry eating vs non-
hungry eating
Introduction of concepts of extreme &/or unhelpful
cognitions regarding body image
Continued integration of learnt sequences and
reflection of effects of movement
5
How to reduce non-
hungry eating
Coping with extreme &/or unhelpful cognitions regarding
body image
Movement composition to music
6
Eating with awareness
Review of concepts & effects of overvaluation of shape &
weight, avoidance & body checking
Movement sequences and improvisation with
reflection
7
Fine tuning nutritional
knowledge
Linking movement with community options: guest instructor to demonstrate available exercise programs
8
Overview and reflection
Note: Each session ran for 2 hours. Discussion The study aimed to describe the characteristics of partici-
pants in the community attending the NMD program and
to investigate characteristics that were predictors of treat-
ment retention. The primary aim of the current study was
to evaluate the NMD program on a range of health out-
comes in an uncontrolled pilot study. Scale scores obtained from the study sample were com-
pared to the most appropriate community and clinical
samples (Table 3). Severity of eating disorder pathology
was compared to a normal [43] and a clinical eating dis-
order female sample [59]. Participants reported signifi-
cantly higher scores compared to the community sample
on levels of eating concern, shape concern and weight
concern. Participants obtained lower scores compared to a
sample of females with Anorexia Nervosa on levels of re-
straint, eating concern, and weight concern. Compared to community samples, participants enrolled
in the NMD reported elevated levels on all eating behav-
iour and psychosocial outcomes, except for subscales of
the ecSatter Inventory, the restraint scale from the EDE-Q,
and subjective feelings of fitness (Fitness Evaluation
subscale), although a medium to large effect size for this
difference (r = −.47) was observed. These findings are con-
sistent with previous research that has indicated that al-
though obese individuals do not exhibit a greater level of
psychopathology than the normal population, treatment-
seeking individuals are more likely to exhibit a greater
level of psychological disturbance and disordered eating
patterns [8,62,63]. Compared to clinical eating disorder
samples, participants scored lower on eating disorder
pathology (restraint, weight and eating concern), depres-
sion, anxiety, stress and body preoccupation. NMD partic-
ipants had similar levels of shape concern to the clinical
sample, highlighting the need for obesity treatment to
tackle body image problems. Level of preoccupations and concerns about body image
were also compared to a community sample of women
and a clinical sample of women with Bulimia Nervosa
[50]. Participants scored significantly higher on the BSQ
than the community sample, and lower than the clinical
sample. Compared to a normal sample of adult females
[52], participants scored significantly higher on measures
of depression, anxiety and stress. Participants scored sig-
nificantly lower compared to an Australian sample of fe-
males with Anorexia Nervosa [61]. Eating behaviour was compared to a normal sample of
middle-aged adults [60]. Results Consented to study
n = 17
Pre questionnaires
completed
n = 17
Did not complete NMD
program
n = 4
Reasons for drop out
(Concerned about weight gain
n =1; Unable to commit to
weekly attendance n = 1,
Unknown n =2)
Post-questionnaire completed
n = 10
Completed NMD program
n = 13
Commenced NMD program
n = 17
Figure 1 Data collection process from consent stage to return
of post-questionnaire. Did not complete NMD
program
n = 4
Reasons for drop out
(Concerned about weight gain
n =1; Unable to commit to
weekly attendance n = 1,
Unknown n =2) Did not complete NMD
program
n = 4
Reasons for drop out
(Concerned about weight gain
n =1; Unable to commit to
weekly attendance n = 1,
Unknown n =2) Figure 1 Data collection process from consent stage to return
of post-questionnaire. Figure 1 Data collection process from consent stage to return
of post-questionnaire. Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Page 5 of 12 were married, 6% defacto, 18% divorced or separated, 18%
never married, and 23% widowers. Almost half (47.1%)
had trade or tertiary qualifications. Twenty-four percent
were employed (12% part-time; 12% full-time), 35% were
retired and 41% were either unemployed, unable to work,
or not working due to caring/parenting commitments. Participants’ self-reported weight ranged between 69.8 to
156.0 kg (M = 92.69, SD = 20.88) and their body mass
index (BMI; kg/m2), calculated based on self-reported
height and weight, ranged between 25.2 (Overweight) to
55.9 (Severely Obese) (M = 34.17, SD = 8.57). management as a motivator for exercise was the only sta-
tistically significant difference between NMD completers
and non-completers. Completers endorsed weight manage-
ment for exercise significantly more than non-completers. Small to medium effect sizes were observed for differences
between completers and non-completers on shape con-
cern, cognitive restraint and health evaluation; completers
scoring higher than non-completers on these subscales. Table 5 illustrates results of statistical testing for differ-
ences between pre- and post-intervention variables. There
were statistically significant improvements in scores on
shape concern and attitudes towards eating. Concerns and
preoccupation with the body image also significantly de-
creased from pre- to post-intervention. Small to moderate
effect sizes were observed for improvements in levels of
restraint, weight concern, stress, food acceptance, and the
health evaluation and fitness evaluation subscales. Results Table 2 illustrates the means and standard deviations
for each variable, and clinical-cut offs where appropriate. Over a third (35.4%) of participants scored within the
clinical range for concerns about weight. More than half
(59%) the participants scored within the clinical range
on levels of depression, while almost half scored within
the clinical range on levels of stress (41%) and anxiety
(47%). Participants reported that binge eating episodes
occurred on a mean of 4.65 days (SD = 6.23) in the past
28 days. Discussion Participants obtained significantly
higher scores compared to the normal sample on levels of
eating restraint, emotional eating, and uncontrolled eating. Attitudes towards the self and body image scales were
compared to a normal sample of female adults aged over
18 years [49]. Participants obtained significantly lower
scores on the Appearance Evaluation subscale (feelings of
attractiveness) and the Health Evaluation subscale (feel-
ings of health). Pre-treatment characteristics were generally not predict-
ive of treatment retention or treatment outcomes. The
exception was reasons for exercise; completers endorsed
weight management as a motivator for exercise significantly
more than non-completers. There were small to medium
effect sizes for differences between completers and non-
completers on levels of shape concern, cognitive restraint
and health evaluation, with a trend for completers to have
greater shape concern, higher cognitive restraint and
higher ratings of feelings of healthiness. These findings are Table 4 illustrates the results examining predictive
characteristics of treatment retention and outcome. At
pre-intervention, the level of endorsement of weight Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Page 6 of 12 consistent with a recent review of predictors of attrition in
obesity interventions, which found that while there were no
i
di
f
i i
h
health [64]. Lack of significant predictors is likely due, at
least in part, to the small sample size. F ll
i
h
l i
f h
NMD
h
Table 2 Descriptive statistics and clinical cut-offs for all variables
Variable
M
SD
Range
Clinical cut-off score
% in
clinical
range
Self-report weight (kg)
92.69
20.88 69.8 – 156.0
N/A
N/A
Body Mass Index
34.17
8.57
25.2 - 55.9
Above 25 = Overweight, Above 30 = Obese
29.470.6
Eating Disorders Examination -
Questionnaire
Binge Eating Frequency
(per 28 days)
4.65
6.24
0- 23
Restraint
1.51
0.94
0 - 6
≥4
0
Eating Concern
1.71
1.44
0 - 6
≥4
11.8
Shape Concern
3.67
1.63
0 - 6
≥4
59.0
Weight Concern
3.24
1.50
0 - 6
≥4
35.4
Three Factor Eating
Questionnaire - Revised
Cognitive Restraint
2.50
0.68
0 - 4
N/A. Higher scores indicate higher cognitive restraint. N/A
Emotional Eating
2.76
0.89
0 - 4
N/A. Higher scores indicate higher levels of emotional eating. N/A
Uncontrolled Eating
2.56
0.52
0 - 4
N/A. Higher scores indicate higher levels of uncontrolled eating and
impulsivity. Discussion Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Page 7 of 12 Page 7 of 12 Table 3 Results of Wilcoxon Signed Rank test comparing the pre-test study sample to normal and clinical samples
Variable
Study sample (n = 17)
Normal sample
Clinical sample
Mdn (Interquartile range;
IQR)
M (SD)
Wilcoxin T & effect
size (r)
M (SD)
Wilcoxin T & effect
size (r)
Eating Disorders Examination -
Questionnaire
(n = 243)a
(n = 60)b
Restraint
1.2 (1.4)
1.3 (1.3)
T = 93, p = .434, r = .19
4.7 (1.6)
T < .01, p < .001, r = −.88
Eating Concern
1.4 (2.1)
0.6 (0.9)
T = 130, p = .011, r = .61
4 (1.3)
T = 2, p < .001, r = −.83
Shape Concern
4.4 (3.0)
2.2 (1.6)
T = 138, p = ,004, r = .71
4.6 (1.4)
T = 39, p = .076, r = .78
Weight Concern
3.4 (2.8)
1.6 (1.4)
T = 141, p = .002, r = .74
4.8 (1.2)
T = 9, p = .001, r = −.78
Three Factor Eating Questionnaire - Revised
(n = 284)c
Cognitive Restraint
2.5 (1.2)
1. 6 (0.8)
T = 150, p < .001, r = .85
N/A
N/A
Emotional Eating
2.8 (1. 3)
1.7 (1.2)
T = 146, p = .001, r = .80
N/A
N/A
Uncontrolled Eating
2.77 (.8)
1.1 (0.8)
T = 153, p < .001, r = .88
N/A
N/A
ecSatter Inventory
(n = 832)d
Eating Attitudes
9.0 (4.0)
11.1 (3.0)
T = 45, p = .135, r = −.36
N/A
N/A
Food Acceptance
6.0 (3.5)
4.9 (2.2)
T = 73, p = .868, r = −.04
N/A
N/A
Internal Regulation
7.0 (3.5)
6.7 (1.8)
T = 85, p = .686, r = .01
N/A
N/A
Contextual Eating Skills
9.0 (4.5)
8.5 (3.3)
T = 76, p = .981, r = −.01
N/A
N/A
Eating Competence
29.0 (13.5)
31.1 (7.5)
T = 59, p = .407, r = −.20
N/A
N/A
Multidimensional Body Self-Relations
Questionnaire
(n = 1070)e
Appearance Evaluation
2.0 (1.1)
3.4 (0.9)
T = 7, p = .001, r = −.80
N/A
N/A
Fitness Evaluation
2. 7 (1. Discussion 7)
3.5 (1.0)
T = 36, p = .055, r = −.47
N/A
N/A
Health Evaluation
3.7 (1.2)
3.9 (0.8)
T = 15, p = .004, r = −.71
N/A
N/A
(n = 535)f
(n = 38)g
Body Shape Questionnaire
112.0 (57.5)
81.5 (28.4)
T = 128, p = .015, r = .59
136.9 (22.5)
T = 17, p = .005, r = −.68
DASS-21
(n = 592)h
(n = 27)i
Depression
14.0 (18.0)
6.3 (7.0)
T = 132, p = .009, r = .64
21.6 (10.7)
T = 28, p = .022, r = −.58
Anxiety
18.0 (10.0)
4.7 (4.9)
T = 131, p = .010, r = .63
16.2 (9.1)
T = 8, p = .001, r = −.79
Stress
16.0 (17.0)
10.1 (7.9)
T = 122, p = .031, r = .52
24.8 (9.3)
T = 26, p = .017, r = −.58
Note: N/A: analysis not completed as no appropriate comparable sample available. afemales over 16 years [59]. bfemales with Anorexia Nervosa [59].cmiddle-aged females [60]. doverweight and physically active adults [47]. efemales over 18 years
[49]. ffemale university students and family planning clinic attendees [50]. gfemales with Bulimia Nervosa [50]. hmales and females, aged over 17 years, in the
community [52]. iadolescents and adults with Anorexia Nervosa [61]. Table 3 Results of Wilcoxon Signed Rank test comparing the pre-test study sample to normal and clinical samples Table 3 Results of Wilcoxon Signed Rank test comparing the pre-test study sample to normal and clinical samples
Variable
Study sample (n = 17)
Normal sample
Clinical sample Note: N/A: analysis not completed as no appropriate comparable sample available. afemales over 16 years [59]. bfemales with Anorexia Nervosa [59].cmiddle-aged females [60]. doverweight and physically active adults [47]. efemales over 18 years
[49]. ffemale university students and family planning clinic attendees [50]. gfemales with Bulimia Nervosa [50]. hmales and females, aged over 17 years, in the
community [52]. iadolescents and adults with Anorexia Nervosa [61]. towards food and eating, and a decrease in body shape pre-
occupation, dissatisfaction and shape concern. This finding
is consistent with previous research [5,6,38,65-67]. For
example, Tanco and colleagues found that a non-dieting
intervention resulted in improvements in eating related
psychopathology compared to a dieting intervention des-
pite similar weight loss. Non-dieting interventions, such
as NMD may be particularly beneficial for treating the
psychological correlates of obesity including body image
dissatisfaction. Discussion N/A
ecSatter Inventory
Eating Attitudes
8.94
3.88
0 - 15
N/A. Higher scores indicate more relaxed and open attitudes to eating
N/A
Food Acceptance
4.71
2.37
0 - 9
N/A. Higher scores indicate higher levels of cognitive and behavioural food
acceptance. N/A
Internal Regulation
6.47
2.79
0 - 9
N/A. Higher scores indicate stronger endorsement of the experiential
processes of hunger, appetite and satiety. N/A
Contextual Eating Skills
8.35
3.71
0 - 15
N/A. Higher scores indicate more behaviours related to managing the
patterns and opportunities for eating and planning meals. N/A
Eating Competence
28.47
10.94
0 - 48
≥32 = Eating competent
47.1
Multidimensional Body Self-
Relations Questionnaire
Appearance Evaluation
2.18
0.98
0 - 5
N/A. High scores indicate more positive feelings about appearance. N/A
Fitness Evaluation
2.94
0.95
0 - 5
N/A. Higher scores indicate greater feelings of fitness. N/A
Health Evaluation
3.14
0.84
0 - 5
N/A. Higher scores indicate greater feelings of being in good health. N/A
Body Shape Questionnaire
106.29 33.20
34 - 204
N/A. Higher scores indicate greater concern and preoccupation with
appearance and shape. N/A
DASS-21
Depression
14.47
10.04
0 - 42
N/A. Moderate, Severe and Extremely Severe range. 59.0
Anxiety
9.41
6.24
0 - 42
N/A. Moderate, Severe and Extremely Severe range. 47.1
Stress
17.06
10.47
0 - 42
N/A. Moderate, Severe and Extremely Severe range. 41.3
Exercise Motivations Inventory - 2
Reasons for exercise:
Enjoyment
2.01
1.82
0 - 5
N/A. Higher scores indicate more endorsement of enjoyment as a
motivator for exercise. N/A
Reasons for exercise: Weight
management
3.69
1.21
0 - 5
N/A. Higher scores indicate more endorsement of weight management as
a motivator for exercise. N/A
Note: The clinical range for the DASS-21 consists of scores in the Moderate range and above. Table 2 Descriptive statistics and clinical cut-offs for all variables health [64]. Lack of significant predictors is likely due, at
least in part, to the small sample size. consistent with a recent review of predictors of attrition in
obesity interventions, which found that while there were no
consistent predictors of treatment attrition, there were sev-
eral factors associated with attrition, including greater body
dissatisfaction, more dieting attempts and poor mental Following the completion of the NMD program, there
were improvements on several biopsychosocial health out-
comes. There was a significant increase in positive attitudes Bloom et al. Discussion towards food and eating, and a decrease in body shape pre-
occupation, dissatisfaction and shape concern. This finding
is consistent with previous research [5,6,38,65-67]. For
example, Tanco and colleagues found that a non-dieting
intervention resulted in improvements in eating related
psychopathology compared to a dieting intervention des-
pite similar weight loss. Non-dieting interventions, such
as NMD may be particularly beneficial for treating the
psychological correlates of obesity including body image
dissatisfaction. significant improvements which were not statistically sig-
nificant as a result of the small sample size. There was also
a small to medium effect for improvements in overall eat-
ing competence (which incorporates the factors of eating
attitudes, food acceptance, internal regulation and con-
textual eating skills), which suggest there may have been
some clinically meaningful change in eating attitudes. De-
scriptively, the pre-treatment median (29) falls outside of
the Eating Competent range, whereas the post-treatment
median (36.5) falls within the Eating Competent range,
suggesting a trend for a meaningful improvement in eating
competence. The results for improvements in restraint, weight con-
cern, stress, food acceptance, and the health evaluation
and fitness evaluation subscales were not statistically sig-
nificant, however small to medium effect sizes were ob-
served. These results suggest there have been clinically Despite changes in these eating and body image factors,
there were no differences post-intervention on levels of
dietary restraint, emotional eating and uncontrolled eating, Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Discussion Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Page 8 of 12 Table 4 Results of Mann–Whitney tests domparing completers and non-completers for all variables
Variable
Completion n = 13
Mdn (IQR)
Non-completion n = 4
Mdn (IQR)
Mann–Whitney U & effect size
(r)
Self - reported weight (kg)
91 (28.3)
85 (56.5)
U = 27, p = 1.00, r = −.03
Body Mass Index
32 (8.7)
31.55 (23.6)
U = 26, p = 1.00, r < .01
Eating Disorders Examination - Questionnaire
Restraint
1.4 (1.5)
1.1 (1.4)
U = 21.5, p = .624, r = −0.12
Eating Concern
1.4 (2.7)
1.2 (2.0)
U = 18, p = .412, r = −0.22
Shape Concern
4.4 (2.1)
2.4 (3.4)
U = 12, p = .130, r = −0.39
Weight Concern
3.4 (1.9)
2.4 (3.4)
U = 17.5, p = .350, r = −0.23
Three Factor Eating Questionnaire - Revised
Cognitive Restraint
2.9 (1.2)
2.2 (1.0)
U = 14.5, p = .201, r = −0.32
Emotional Eating
2.8 (1.6)
2.4 (1.2)
U = 20.5, p = .549, r = −0.15
Uncontrolled Eating
2.33 (0.9)
2.8 (0.9)
U = 18.5, p = .412, r = −0.21
ecSatter Inventory
Eating Attitudes
9 (5.0)
10 (8.8)
U = 25, p = 1.00, r = −0.03
Food Acceptance
6 (4.5)
4 (2.5)
U = 20, p = .549, r = −0.17
Internal Regulation
7 (3.5)
7 (6.8)
U = 23, p = .785, r = −0.08
Contextual Eating Skills
9 (5.0)
7 (5.5)
U = 17, p = .350, r = −0.25
Eating Competence
29 (18.0)
28.5 (22.5)
U = 21, p = .624, r = −0.14
Multidimensional Body Self-Relations Questionnaire
Appearance Evaluation
2.0 (0.71)
2.6 (2.0)
U = 22.5, p = .703, r = −0.1
Fitness Evaluation
2. 7 (1.8)
2.67 (1.4)
U = 19, p = .477, r = −0.19
Health Evaluation
3.1 (1.4)
2.8 (1.1)
U = 14, p = .202, r −0.33
Body Shape Questionnaire
112.0 (42.0)
104.0 (92.5)
U = 25.5, p = .956, r = −0.01
DASS - 21
Depression
14 (17.0)
9 (24.5)
U = 20, p = .549, r = −0.17
Anxiety
8 (10.0)
10 (18.5)
U = 23.5, p = .785, r = −0.07
Stress
16 (15.0)
20 (27)
U = 20.5, p = .549, r = −0.15
Exercise Motivations Inventory - 2
Reasons for exercise: Enjoyment
1.5 (3.6)
1.1 (2. Discussion 6)
U = 18.5, p = .412, r = −0.21
Reasons for exercise: Weight management
4.5 (1.4)
2.8 (2.4)
U = 5.5, p = .015, r = −0.57 Table 4 Results of Mann–Whitney tests domparing completers and non-completers for all variables completers and non-completers for all variables changes to achieve significant improvements in eating
behaviours. The degree of endorsement of weight manage-
ment and enjoyment as motivators for exercise also did
not change following the intervention. As people who seek
treatment are likely to be more motivated than non-
treatment seekers, this may account for why the NMD
participants’ positive endorsement of exercise did not
change post-intervention. or eating concern [43]. Given that non-dieting approaches
encourage intuitive eating and normalised eating as a sus-
tainable approach to healthy eating, rather than a short-
term weight loss solution [10], and that level of restraint
was elevated in the current sample, it would be expected
there would be improvements in measures of eating be-
haviours and attitudes in the current NMD intervention. Studies have shown improvements in disordered eating
post-intervention [5,6,37-39]. The programs from these
studies ranged in length from 10 to 24 sessions, with an
average length of 14 sessions. The current NMD program
ran for 8 weeks, and it may be that eating behaviours (re-
straint, uncontrolled eating and emotional eating) are more
resistant to change, and therefore require a longer time
period (more sessions) or more targeted intervention for Small (non significant) effects were observed for changes
in levels of depression and anxiety, suggesting there
was little improvement following the intervention. As the
NMD program had no exclusion criteria, it is possible that
some participants were experiencing co-morbid disorders. The baseline characteristics are consistent with this ex-
planation, with more 50% of participants scoring within Bloom et al. Discussion This is consistent with
previous research indicating elevated levels of depression
and anxiety in obese treatment seekers. The presence of
co-morbid mood disorders and mood regulation difficul-
ties was not a target of treatment. These would be com-
mon phenomena in real-world obesity interventions that
may not be reflected in efficacy studies, as participants
with co-morbid disorders are typically excluded from such
studies. maintenance is similar to previous findings in non-dieting
interventions [36,38,39,66]. Some healthcare professionals
fear that this approach will lead to weight gain [38], how-
ever, the current results add to previous research demon-
strating an absence of significant weight gain following
non-dieting interventions [10]. The frequency of binge ep-
isodes did not decrease significantly, but there was a trend
for a reduction in the frequency post-intervention. Bacon
and Aphramor’s review evaluates the evidence and ration-
ale for a shift from the traditional weight-focused treat-
ment paradigm, which induces only short-term weight
loss, and little benefits of improved morbidity and mortal-
ity. Together, the results of the current study add further
support for a paradigm shift in the treatment of over-
weight and obesity [10]. the clinical range of depression, and over 40% within the
clinical range for anxiety and stress. This is consistent with
previous research indicating elevated levels of depression
and anxiety in obese treatment seekers. The presence of
co-morbid mood disorders and mood regulation difficul-
ties was not a target of treatment. These would be com-
mon phenomena in real-world obesity interventions that
may not be reflected in efficacy studies, as participants
with co-morbid disorders are typically excluded from such
studies. maintenance is similar to previous findings in non-dieting
interventions [36,38,39,66]. Some healthcare professionals
fear that this approach will lead to weight gain [38], how-
ever, the current results add to previous research demon-
strating an absence of significant weight gain following
non-dieting interventions [10]. The frequency of binge ep-
isodes did not decrease significantly, but there was a trend
for a reduction in the frequency post-intervention. Bacon
and Aphramor’s review evaluates the evidence and ration-
ale for a shift from the traditional weight-focused treat-
ment paradigm, which induces only short-term weight
loss, and little benefits of improved morbidity and mortal-
ity. Together, the results of the current study add further
support for a paradigm shift in the treatment of over-
weight and obesity [10]. Weight and BMI was maintained post-intervention. Discussion Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Page 9 of 12 Page 9 of 12 Table 5 Results of related samples Wilcoxon Signed Ranks test for differences between pre- and post-intervention for
all variables
Variables
Pre Mdn (IQR)
Post Mdn (IQR)
Wilcoxon T and effect size (r)
Self - reported weight (kg)
90.5 (23.3)
90.0 (25.7)
T = 21, p = .507, r = −.16
Body Mass Index
31.2 (8.6)
31.8 (7.2)
T = 23, p = .646, r = −.11
Eating Disorders Examination - Questionnaire
Binge Eating Frequency (per 28 days)
2.0 (6.2)
0.0 (3.6)
T = 15 , p = .176, r = −.33
Restraint
1.2 (1.4)
0.6 (2.3)
T = 15, p = .202, r = −.31
Eating Concern
1.4 (2.1)
0.5 (2)
T = 10.5, p = .153, r = −.35
Shape Concern
4.4 (3)
2.3 (2.8)
T = 0, p = .005, r = −.68
Weight Concern
3.4 (2.8)
2.8 (3.2)
T = 9.5, p = .066, r = −.44
Three Factor Eating Questionnaire - Revised
Cognitive Restraint
2.5 (1.2)
2.5 (0.6)
T = 16, p = .439, r = −.19
Emotional Eating
2.8 (1.3)
2.5 (2.0)
T = 23, p = .646, r = −.11
Uncontrolled Eating
2.7 (0.8)
2.4 (1.5)
T = 29.5, p = .838, r = −.05
ecSatter Inventory
Eating Attitudes
9.0 (4)
11.5 (6)
T = 33.5, p = .028, r = −.53
Food Acceptance
6.0 (3.5)
7.0 (2)
T = 13, p = .131, r = −.37
Internal Regulation
7.0 (3.5)
7.0 (3)
T = 11, p = .334, r = −.23
Contextual Eating Skills
9.0 (4.5)
9.5 (6.3)
T = 20.5, p = .725, r = −.09
Eating Competence
29.0 (13.5)
36.5 (19.3)
T = 36, p = .108, r = −.39
Multidimensional Body Self-Relations Questionnaire
Appearance Evaluation
2.0 (1.1)
2.4 (1.3)
T = 39.5, p = .220, r = −.30
Fitness Evaluation
2.7 (1.7)
4.2 (1.6)
T = 22, p = .161, r = −.34
Health Evaluation
3.0 (1.2)
3.5 (1.5)
T = 36.5, p = .095, r = −.40
Body Shape Questionnaire
112.0 (57.5)
89.0 (73.5)
T = 1, p = .007, r = −.66
DASS-21
Depression
14 (18.0)
5 (15.0)
T = 15.5, p = .398, r = −.20
Anxiety
8 (10.0)
3 (8.5)
T = 13.5, p = .284, r = −.26
Stress
16 (17.0)
10 (14.5)
T = 7, p = .121, r = −.38
Exercise Motivations Inventory - 2
Reasons for exercise: Enjoyment
1.5 (3.4)
3.4 (4.4)
T = 18, p = .490, r = −.17
Reasons for exercise: Weight management
4 (1.4)
3.9 (2.3)
T = 6, p = .172, r = −.33 Table 5 Results of related samples Wilcoxon Signed Ranks test for differences between pre- and post-intervention for the clinical range of depression, and over 40% within the
clinical range for anxiety and stress. Discussion This was expected as weight loss was not a goal of the
current intervention. The non-dieting approach posits
that weight loss is not required for health improvements
(unless at extreme ends of the spectrum) and this weight Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Page 10 of 12 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 This study has a number of strengths. The major strength
is that it is an effectiveness study with high external validity. These participants are representative of treatment-seeking
individuals from the community, accepted without exclu-
sion criteria unlike some other studies of non-dieting inter-
ventions. In comparison, with the goal of achieving high
internal validity, efficacy trials typically require participants
to meet strict inclusion criteria, often excluding those with
common mental health conditions and/or or medical com-
plications. In comparison to some other non-dieting inter-
ventions, the NMD program also has a large focus on
movement that is practised in session. This movement does
not require specialist skills, as opposed to exercise or mod-
erate physical activity promoted in other studies. The
movements were demonstrated in session, and were aimed
at people of all ages, all sizes, and those with limited mobil-
ity. Furthermore, much of the previous research into obes-
ity treatment focuses on medical and surgical interventions
or traditional diet-based weight loss programs; this is one
of few evaluations of non-dieting approaches. This study
examines an intervention that is easily accessible, easily de-
livered within the community, and may potentially be
suited to a wider range of treatment-seekers. current understanding of obesity and associated character-
istics, and how to best target these factors in treatment. Competing interests
h
h
d
l
h Competing interests
The authors declare that they have no competing interests. A number of limitations should be considered when
interpreting the results of the current study. Firstly, as this
is an effectiveness study without a control group, internal
validity is limited. In addition, as the sample size is small
the conclusions drawn from the statistical analyses should
be interpreted with caution, as a larger sample size is re-
quired to confirm results, and determine if results are able
to be generalised to the population. Additionally, the im-
pact of self-selection bias cannot be ruled out. Participants
that selected into the study may be different to partici-
pants who completed the NMD program but did not elect
to take part in the current study, and this needs to be con-
sidered when interpreting the results. Received: 19 June 2013 Accepted: 30 November 2013
Published: 17 December 2013 A significant limitation which is common to other stud-
ies of non-dieting interventions is that physiological health
indicators (e.g., cholesterol, blood pressure, metabolic rates)
were not included in the outcome measures. Evidence of
changes in physiological outcomes are important in order
to understand the role of physiological health improve-
ments independent of significant weight loss and should be
assessed in future non-dieting interventions. Authors’ contributions LB, a research student, contributed to the design of the study, was
responsible for data collection, analysis and interpretation and lead the
manuscript development. BS and MB adapted and delivered the intervention
and provided feedback on study design, measure selection and manuscript
development. LB supervised LB and was responsible for the design of the
study, measure selection, planning of statistical analyses, and overseeing
manuscript development. All authors read and approved the final
manuscript. Conclusion The current study provides preliminary evidence of the ef-
fectiveness of the NMD program for improvements in body
shape preoccupation and dissatisfaction and attitudes to-
wards eating. The study has also highlighted the physical,
psychosocial and behavioural characteristics of a treatment-
seeking overweight/obese sample in a non-dieting based
community program. As obesity has been associated with
several disordered eating maintaining factors (binge eating,
emotional eating, body image dissatisfaction, weight cyc-
ling, disordered eating [10]), these factors need to be in-
corporated as part of treatment. They are not addressed
entirely through weight loss focused interventions, and
alternative approaches, such as the NMD program, may be
a viable alternative treatment paradigm which focus on
health outcomes, including normalised eating, body self-
acceptance and sustainable and realistic physical activity. Author details
1 1School of Health Sciences, RMIT University, Melbourne, Australia. 2MonashLink Community Health Service, Melbourne, Australia. 3Southern
Health Wellness Recovery Adult Outpatient Eating Disorder Service,
Melbourne, Australia. 4School of Psychology, Australian Catholic University,
Melbourne, Australia. 1School of Health Sciences, RMIT University, Melbourne, Australia. 2MonashLink Community Health Service, Melbourne, Australia. 3Southern
Health Wellness Recovery Adult Outpatient Eating Disorder Service,
M lb
A
li
4S h
l
f P
h l
A
li
C h li U i
i Melbourne, Australia. 4School of Psychology, Australian Catholic University,
Melbourne, Australia. Received: 19 June 2013 Accepted: 30 November 2013
Published: 17 December 2013 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Lohse B, Satter E, Horacek T, Gebereslassi T, Oakland MJ: Measuring Eating
Competence: Psychometric Properties and Validity of the ecScatter
Inventory. J Nutr Educ Behav 2007, 39(5):141–198. 22. Telch CF, Agras WS: Obesity, binge eating and psychopathology. Are they
related? Int J Eat Disord 1994, 15(1):53–61. 23. Foster G, Wadden T, Vogt R, Brewer G: What is a reasonable weight loss? Patient’s expectations and evaluations of obesity treatment outcomes. J Consult Clin Psychol 1997, 65:79–85. 48. Stotts JL, Lohse B: Reliability of the ecSatter Inventory as a tool to measure
eating competence. J Nutr Educ Behav 2007, 39(5 SUPPL):s167–s170. 49. Cash TF: MBSRQ User’s Manual. 3rd edition. Norfolk, VA: Old Dominion
Univer. Press; 2000. 24. Dalle Grave R, Calugi S, Molinari E, Petroni ML, Bondi M, Compare A,
Marchesini G, Group QS: Weight loss expectations in obese patients and
treatment attrition: an observational multicenter study. Obes Res 2005,
13(11):1961–1969. 50. Cooper PJ, Tayor MJ, Cooper Z, Fairburn CG: The development and
validation of the Body Shape Questionnaire. Int J Eat Disord 1987,
6(4):485–494. 25. National Health and Medical Research Council: Clinical practice guidelines for
the management of overweight and obesity in adults. Melbourne, VIC:
National Health and Medical Research Council; 2003. 51. Rosen JC, Jones A, Ramirez E, Waxman S: Body Shape Questionnaire:
Studies of validity and reliability. Int J Eat Disord 1996, 20(3):315–319. 52. Lovibond PF, Lovibond SH: Manual for the depression, anxiety, and stress
scales. Sydney: Psychology Foundation; 1995. 26. Miller WC: How effective are traditional dietary and exercise
interventions for weight loss? Med Sci Sports Exerc 1999, 31(8):1129–1134. 53. Crawford JR, Henry JD: The Depression Anxiety Stress Scale (DASS):
Normative data and latent structure in a large non-clinical sample. Br J Clin Psychol 2003, 42:111–131. 27. Wadden TA, Crerand CE, Brock JB: Behavioral Treatment of Obesity. Psychiatr Clin N Am 2005, 28:151–170. 28. Reinehr T, Widhalm K, L’Allemand D, Wiegand S, Wabitsch M, Holl RW:
Two-year follow-up in 21,784 overweight children and adolescents with
lifestyle intervention. Obesity 2009, 17(6):1196–1199. 54. Markland DA, Ingledew DK: The measurement of exercise motives:
Factorial validity and invariance across gender of a revised Exercise
Motivations Inventory. Br J Health Psychol 1997, 2(4):361–376. 29. Wadden TA, Sternberg JA, Letizia KA: Treatment of obesity by very low
calorie diet, behavior therapy, and their combination. A five-year
perspective. Int J Obes (Lond) 1989, 51:167–172. 55. Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Goodrick GK, Poston WSC II, Kimball KT, Reeves RS, Foreyt JP: Nondieting
versus dieting treatment for overweight binge-eating women. J Consult
Clin Psychol 1998, 66(2):363–368. 15. Petroni ML, Vilanova N, Aragnina S, Fusco MAGF, Compare A, Marchesini G:
Psychological distress in morbid obesity in relation to weight history. Obes Surg 2007, 17(3):391–399. 41. Tanco S, Linden W, Earle T: Well-being and morbid obesity in women: a
controlled therapy evaluation. Int J Eat Disord 1998, 23(3):325–339. 16. Carrier K, Steinhardt M, Bowman S: Rethinking traditional weight
management programs: A 3 year follow-up evaluation of a new
approach. J Psychol 1994, 128(5):517. 42. Clarke GN: Improving the transition from basic efficacy research to
effectiveness studies: Methodological issues and procedures. J Consult
Clin Psychol 1995, 63(5):718–725. 17. McFarlane T, Polivy J, McCabe RE: Help, not harm: Psychological
foundation for a non dieting approach toward health. J Soc Issues 1999,
55(2):261–276. 43. Fairburn CG, Beglin SJ: Assessment of eating disorders: Interview of self-
report questionnaire? Int J Eat Disord 1994, 16(4):363–370. 18. Stice E: A prospective test of the dual-pathway model of bulimic
pathology: Mediating effects of dieting and negative affect. J Abnorm
Psychol 2001, 110(1):124–135. 44. Peterson CB, Crosby RD, Wonderlich SA, Joiner T, Crow SJ, Mitchell JE,
Bardone-Cone AM, Klein M, Le Grange D: Psychometric properties of the
eating disorder examination-questionnaire: Factor structure and internal
consistency. Int J Eat Disord 2007, 40(4):386–389. 19. Polivy J: Psychological consequences of food restriction. J Am Diet Assoc
1996, 96(6):589–592. 45. Karlsson J, Persson LO, Sjostrom K, Sullivan M: Psychometric properties and
factor structure of the Three-Factor Eating Questionnaire (TFEQ) in obese
men and women. Results from the Swedish Obese Subjects (SOS) study. Int J Obes (Lond) 2000, 24(12):1715–1725. 20. Yanovski SZ, Billington CJ, Epstein LH, Goodwin NJ, Hill JO, Pi-Sunyer FX,
Rolls BJ, Stern JS, Wadden TA, Weinsier RL, Wilson GT, Wing RR, Van
Hubbard S, Hoofnagle JH, Everhard J, Harrison B: Dieting and the
development of eating disorders in overweight and obese adults. Arch Intern Med 2000, 160(17):2581–2589. 46. Stunkard AJ, Messick S: The three-factor eating questionnaire to measure
dietary restraint, disinhibition and hunger. J Psychosom Res 1985,
29(1):71–83. 21. Leon GR, Fulkerson JA, Perry CL, Cudeck R: Personality and behavioral
vulnerabilities associated with risk status for eating disorders in
adolescent girls. J Abnorm Psychol 1993, 102(3):438–444. 47. Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 34. Provencher V, Begin C, Tremblay A, Mongeau L, Boivin S, Lemieux S: Short-
term effects of a “health at every size” approach on eating behaviors
and appetite ratings. Obesity 2007, 15(4):957–966. 9. Flegal KM, Graubard BI, Williamson DF, Gail MH: Excess deaths associated
with underweight, overweight, and obesity. JAMA 2005, 293(15):1861–1867. 10. Bacon L, Aphramor L: Weight science: Evaluating the evidence for a
paradigm shift. Nutr J 2011, 10(9):2–13. 35. Robison J: Weight, health and culture: Shifting the paradigm for
alternative health care. Complement Health Pract Rev 1999, 5(1):45–69. 36. Hawley G, Horwath C, Gray A, Bradshaw A, Katzer L, Joyce J, O’Brien S:
Sustainability of health and lifestyle improvements following a non-dieting
randomised trial in overweight women. Prev Med 2008, 47(6):593–599. 35. Robison J: Weight, health and culture: Shifting the paradigm for
alternative health care. Complement Health Pract Rev 1999, 5(1):45–69. 11. Drapeau V, Provencher V, Lemieux S, Després JP, Bouchard C, Tremblay A: Do
6-y changes in eating behaviors predict changes in body weight? Results
from the Quebec Family Study. Int J Obes (Lond) 2003, 27(7):808–814. 36. Hawley G, Horwath C, Gray A, Bradshaw A, Katzer L, Joyce J, O’Brien S:
Sustainability of health and lifestyle improvements following a non-dieting
randomised trial in overweight women. Prev Med 2008, 47(6):593–599. 12. Marchesini G, Cuzzolaro M, Mannuci E, Dalle Grave R, Gennaro M, Tomasi F,
Barantani EG, Melchionda N: Weight cycling in treatment-seeking obese
persons: data from the QUOVADIS study. Int J Obes (Lond) 2004,
28(11):1456–1462. 37. Provencher V, Begin C, Tremblay A, Mongeau L, Corneau L, Dodin S, Boivin
S, Lemieux S: Health-at-every-size and eating behaviors: 1-year follow-up
results of a size acceptance intervention. Am Diet Assoc 2009, 109:1854–1861. 13. Diaz CA, Mainous AG III, Everett CJ: The association between weight
fluctuation and mortality: Results from a population-based cohort study. J Community Health 2005, 30(3):153–165. 38. Bacon L, Stern JS, Van Loan MD, Keim NL: Size acceptance and intuitive
eating improve health for obese, female chronic dieters. J Am Diet Assoc
2005, 105(6):929–936. 39. Rapaport L, Clark M, Wardle J: Evaluation of a modified cognitive-
behavioural programme for weight management. Int J Obes (Lond) 2000,
24(12):1726–1737. 14. Lissner L, Odell PM, D’Agostino RB, Stokes J III, Kreger BE, Belanger AJ,
Brownell KD: Variability of body weight and health outcomes in the
Framingham population. N Engl J Med 1991, 324(26):1839–1844. 40. References
b 1. Fairburn CG: Cognitive Behavior Therapy and Eating Disorders. New York: The
Guilford Press; 2008. 1. Fairburn CG: Cognitive Behavior Therapy and Eating Disorders. New York: The
Guilford Press; 2008. 1. Fairburn CG: Cognitive Behavior Therapy and Eating Disorders. New York: The
Guilford Press; 2008. 2. Neumark-Sztainer D, Wall M, Guo J, Story M, Haines J, Eisenberg M: Obesity
disordered eating, and eating disorders in a longitudinal study of
adolescents: How do dieters fare 5 years later? J Am Diet Assoc 2006,
106(4):559–568. 3. Fairburn CG, Brownell KD: Eating Disorders and Obesity. 2nd edition. New
York: The Guilford Press; 2002. The limitations could be addressed in future research by
conducting larger-scale studies with larger sample sizes
within the community. Follow-up data would also provide
useful information. In addition, as obesity is associated
with a number of physical, psychological and behavioural
profiles, in order to understand the effectiveness and sus-
tainability of alternative obesity treatments evaluations of
future interventions should incorporate physiological,
psychological and behavioural (including eating and exer-
cise behaviours) outcome measures. This will add to the 4. Fairburn C, Cooper Z, Doll H: PN, O’Connor M: The natural course of
bulimia nervosa and binge eating disorder in young women. Arch Gen
Psychiatry 2000, 57(7):659–665. 5. Ciliska D: Evaluation of two nondieting interventions for obese women. West J Nurs Res 1998, 20(1):119–135. 6. Polivy J, Herman CP: Undieting: A program to help people stop dieting. Int J Eat Disord 1992, 11(3):261–268. 7. Ernsberger P, Koletsky RJ: Biomedical rationale for a wellness approach to
obesity: An alternative to a focus on weight loss. J Soc Issues 1999,
55(2):221–260. 8. Wilfley DE, Vannucci A, White EK: Early intervention of eating- and weight-
related problems. J Clin Psychol Med Settings 2010, 17(4):285–300. Page 11 of 12 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Gollings EK, Paxton SJ: Comparison of internet and face-to-face delivery
of a group body image and disordered eating intervention for women:
A pilot study. Eat Disord: J Treat Prev 2006, 14:1–15. 30. Guagnano MT VP-P, Carrans C, Merlittli D, Sensi S: Weight fluctuations
could increase blood pressure in android obese women. Clin Sci 1999,
96:677–680. 56. Paxton SJ, McLean SA, Gollings EK, Faulkner C, Wertheim EH: Comparison
of face-to-face and internet interventions for body image and eating
problems in adult women: an RCT. Int J Eat Disord 2007, 40:692–704. 31. Harrington M, Gibson S, Cottrell RC: A review and meta-analysis of the
effect of weight loss on all-cause mortality risk. Nutr Res Rev 2009,
22(1):93–108. 57. McLean SA, Paxton SJ, Wertheim EH: A body image and disordered eating
intervention for midlife women: A randomised controlled trial. J Consult
Clin Psychol 2011, 79(6):751–758. y
58. Cohen JW: Statistical power analysis for the behavioral sciences 2nd ed. Hillsdale, NJ: Lawrence Erlbaum Associates; 1988. 32. Pal S, Egger G, Wright G: Dealing with obesity: An Australian perspective. Asia Pac J Public Health 2003, 15:33–36. Asia Pac J Public Health 2003, 15:33–36. 33. Miller WC: The weight-loss-at-any-cost environment: How to thrive with a
health-centred focus. J Nutr Educ Behav 2005, 37(SUPPL. 2):s89–s93. 59. Wolk SL, Loeb KL, Walsh BT: Assessment of patients with anorexia
nervosa: Interview versus self-report. Int J Eat Disord 2005, 37:92–99. Page 12 of 12 Page 12 of 12 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 Bloom et al. Journal of Eating Disorders 2013, 1:44
http://www.jeatdisord.com/content/1/1/44 60. de Lauzon B, Romon M, Deschamps V, Lafay L, Borys J, Karlsson J,
Ducimetiere P, Charles MA, Group FLVSS: The three-factor eating
questionnaire-R18 is able to distinguish among different eating patterns
in a general population. J Nutr 2004, 134:2372–2380. in a general population. J Nutr 2004, 134:2372–2380. 61. Moor S, Vartanian LR, Touyz SW, Beuamont PJV: Psychopathology of
EDNOS patients: To whom do they compare? Clin Psychol 2004, 8(2):70–75. p
y
p
y
62. Friedman MA, Brownell KD: Psychological Correlates of Obesity: Moving
to the next research generation. Psychol Bull 1995, 117(1):3–20. 63. Hrabosky JI, Thomas JJ: Elucidating the relationship between obesity and
depression: Recommendations for future research. Clin Psychol Sci Pract
2008, 15(1):28–34. 64. Moroshko I, Brennan L, O’Brien P: Predictors of dropout in weight loss
interventions: a systematic review of the literature. Obes Rev 2011,
12:912–934. 64. Moroshko I, Brennan L, O’Brien P: Predictors of dropout in weight loss
interventions: a systematic review of the literature. Obes Rev 2011,
12:912–934. 65. Nauta H, Hospers H, Jansen A: One-year follow-up effects of two obesity
treatments on psychological well-being and weight. Br J Health Psychol
2001, 6(3):271–284. 66. Crerand CE, Ta W, Foster GD, Sarwer DB, Paster LM, Berkowitz RI: Changes
in obesity-related attitudes in women seeking weight reduction. Obesity 2007, 15:740–747. 67. Jackson EG: Eating Order: A 13-Week Trust Model Class for Dieting
Casualties. J Nutr Educ Behav 2008, 40(1):43–48. doi:10.1186/2050-2974-1-44
Cite this article as: Bloom et al.: Psychosocial outcomes of a non-dieting
based positive body image community program for overweight adults:
a pilot study. Journal of Eating Disorders 2013 1:44. Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit
|
https://openalex.org/W3112382671
|
https://trialsjournal.biomedcentral.com/counter/pdf/10.1186/s13063-020-04913-y
|
English
| null |
Correction to: BCG revaccination of health workers in Brazil to improve innate immune responses against COVID-19: A structured summary of a study protocol for a randomised controlled trial
|
Trials
| 2,020
|
cc-by
| 559
|
CORRECTION Open Access Correction to: BCG revaccination of health
workers in Brazil to improve innate
immune responses against COVID-19: A
structured summary of a study protocol for
a randomised controlled trial Ana Paula Junqueira-Kipnis1*, Laura Raniere Borges dos Anjos1, Lília Cristina de Souza Barbosa1,
Adeliane Castro da Costa2, Kellen Christina Malheiros Borges1, Amanda da Rocha Oliveira Cardoso3,
Kaio Mota Ribeiro1, Sarah Brena Aparecida Rosa1, Carine de Castro Souza1, Rogério Coutinho das Neves1,
Guylherme Saraiva3, Sueli Meira da Silva1, Erika Aparecida Silveira3, Marcelo Fouad Rabahi3,
Marcus Barreto Conte4 and André Kipnis1 © The Author(s). 2020 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if
changes were made. The images or other third party material in this article are included in the article's Creative Commons
licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons
licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain
permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.
The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the
data made available in this article, unless otherwise stated in a credit line to the data. Reference Originally published name: Erika Aparecida da
Silveira Correct name: Erika Aparecida Silveira After publication of the original article [1], we were
notified of a mistake in one of the author’s names. The original article can be found online at https://doi.org/10.1186/s13063-
020-04822-0. The original article can be found online at https://doi.org/10.1186/s13063-
020-04822-0. * Correspondence: ana_kipnis@ufg.br
1Institute of Tropical Pathology and Public Health, Federal University of Goiás,
Goiânia, Goiás, Brazil
Full list of author information is available at the end of the article Author details
1
f 1Institute of Tropical Pathology and Public Health, Federal University of Goiás,
Goiânia, Goiás, Brazil. 2Faculdade Estácio de Sá de Goiás – FESGO, Goiânia,
Goiás, Brazil. 3Faculty of Medicine, Federal University of Goiás, Goiânia, Goiás,
Brazil. 4Centro Universitário Arthur Sá Earp Neto, UNIFASE- Petrópolis, Rio de
Janeiro, Brazil. Junqueira-Kipnis et al. Trials (2020) 21:967
https://doi.org/10.1186/s13063-020-04913-y Junqueira-Kipnis et al. Trials (2020) 21:967
https://doi.org/10.1186/s13063-020-04913-y © The Author(s). 2020 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if
changes were made. The images or other third party material in this article are included in the article's Creative Commons
licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons
licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain
permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the
data made available in this article, unless otherwise stated in a credit line to the data.
|
https://openalex.org/W4385215656
|
https://www.researchsquare.com/article/rs-3187267/latest.pdf
|
English
| null |
An Auto-Encoder of Inscription Character Inpainting based on Branch Convolutional Channel Attention Module
|
Research Square (Research Square)
| 2,023
|
cc-by
| 7,124
|
An Auto-Encoder of Inscription Character Inpainting
based on Branch Convolutional Channel Attention
Module Long Zhao ( zhaolong@qlu.edu.cn ) Long Zhao ( zhaolong@qlu.edu.cn )
Qilu University of Technology (Shandong Academy of Sciences)
Zonglong Yuan
Qilu University of Technology (Shandong Academy of Sciences)
Yuhao Lou
Qilu University of Technology (Shandong Academy of Sciences)
Qingyu Xu
Qilu University of Technology (Shandong Academy of Sciences)
Xinxiao Qiao
Qilu University of Technology (Shandong Academy of Sciences) Research Article License: This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License Additional Declarations: No competing interests reported. Keywords: inscription character inpainting, branch convolutional channel attention
module, U-Net, character auto-encoder Long Zhao1*, Zonglong Yuan1, Yuhao Lou1, Qingyu Xu1,
Xinxiao Qiao1 1*Faculty of Computer Science and Technology, Qilu University of
Technology (Shandong Academy of Sciences),Jinan, 250353,China. 1*Faculty of Computer Science and Technology, Qilu University of
Technology (Shandong Academy of Sciences),Jinan, 250353,China. *Corresponding author(s). E-mail(s): zhaolong@qlu.edu.cn;
Contributing authors: 10431210659@stu.qlu.edu.cn; ricklou@163.com;
10431210676@stu.qlu.edu.cn; qxxyn@qlu.edu.cn; *Corresponding author(s). E-mail(s): zhaolong@qlu.edu.cn;
Contributing authors: 10431210659@stu.qlu.edu.cn; ricklou@163.com;
10431210676@stu.qlu.edu.cn; qxxyn@qlu.edu.cn; An Auto-Encoder of Inscription Character
Inpainting based on Branch Convolutional
Channel Attention Module Long Zhao1*, Zonglong Yuan1, Yuhao Lou1, Qingyu Xu1,
Xinxiao Qiao1 Abstract Many inscriptions suffer severe damage as a result of artificial or natural causes,
necessitating computer repair and protection. There isn’t a publicly accessible
dataset of inscriptions, and the majority of character inpainting algorithms that
are currently in use are directly derived from common image inpainting algo-
rithms, which have insufficient feature extraction capabilities for the character of
inscriptions and don’t have metrics for the weights of obscured and unobscured
regions. We developed a Character Auto-Encoder (CAE) to improve the inpaint-
ing capabilities of inscription characters and solve the aforementioned issues. The
down-sampling module is replaced by the Branch Convolutional Channel Atten-
tion Module (BCCAM), which employs a branching structure to enhance the
model’s capacity for representation and weights various areas of the character. First, we compared other inpainting models using the inscription dataset, and
the CAE’s peak signal-to-noise ratio (PSNR) and structural similarity (SSIM)
increased by 0.82 and 0.016, respectively, compared to the baseline model. Next,
we compared the Handwritten Chinese Character Inpainting Generative Adver-
sarial Network (HCCI-GAN) with the handwritten Chinese character dataset,
and the CAE’s design was relatively more ingenious and simpler. 1 1 Intruction Chinese inscribed characters are a kind of writing method, applicable to monuments
or other hard surface materials, with a long history and rich cultural connotations [1]. Nowadays, Chinese inscriptions have become an important carrier of cultural heritage
and historical information, and are widely used in the fields of archaeology, historical
research, cultural inheritance as well as social education, etc., which has an important
role that cannot be ignored [2]. As an important cultural heritage, inscriptions have
attracted much attention because of their unique historical, humanistic and artistic
values [3]. Due to environmental corrosion and lack of protection, a large number of
inscriptions have been damaged, and digital preservation of inscriptions is imminent. The Diamond Sutra inscription, shown in Fig.1, shows many scratches on the surface
and the character is barely recognisable. Fig. 1 The Diamond Sutra inscription. Fig. 1 The Diamond Sutra inscription. Existing inscription restoration mainly includes manual restoration, geometric
image-based inpainting and neural network-based intelligent inpainting. The large
number of damaged inscriptions makes the manual repair process time-consuming and
inefficient. The traditional geometric image inpainting method cannot intelligently
generate the content of the missing area. Therefore, this paper selects the neural
network method for inscription inpainting. Existing character inpainting models are
mainly classified into two categories: one is based on Generative Adversarial Networks
(GANs), and the other is based on Auto-Encoding Variational Bayes (VAE) [4, 5]. Classical models based on GANs include the terminal-based intelligent image
restoration technique proposed by Yu et al. and a dual discriminator GAN for 2 ancient Yi characters inpainting proposed by Chen et al [6, 7]. The terminal-based
intelligent image inpainting technique transforms the characters to be restored into
one-dimensional vectors as conditional inputs into Conditional Generative Adversarial
Networks (CGAN) for character generation [8].The dual discriminator GAN method
introduces a character filter based on the Deep Convolutional Generative Adversarial
Networks (DCGAN) to screen the noise and then uses the screened noise to generate
characters to complete the Yi character inpainting task [9]. Typical models based on VAE include the method proposed by Song et al. that
utilises a self-attention mechanism and residual blocks to process the feature maps
between the encoder and decoder and introduces a classification adversarial loss to
train the generator [10]. In addition, Jo et al. 1 Intruction used a shape restriction technique to
constrain the latent variables between the encoder and decoder to ensure that the
Chinese characters generated by the decoder are consistent in shape with the original
Chinese characters [11]. Furthermore, Su et al. used two separate VAE to deal with
the character shape and texture aspects separately [12]. U-Net is also often applied as a generator for character inpainting [13]. To improve
the effect of character inpainting, Lv et al. improved the up-sampling method of U-Net
[14]. In addition, Wang et al. and Liu et al. also used U-Net for character inpaintng,
with the difference that Wang et al. introduced semantic information prediction and
cosine embedding loss by BERT, while Liu et al. used style loss computed by VGG-16
[15–17]. The character inpaintng models based on GANs do not learn the features of the
character to be repaired, while the character inpainting models based on VAE and U-
Net do not sufficiently strengthen the feature learning ability of the encoder. Compared
to the GANs, the character generated by the VAE and U-Net-based models is closer to
the original character. However, the GANs-based models can generate many different
results, thus providing us with more options. The encoder of VAE and U-Net has two main problems. On the one hand, its
feature extraction capability is insufficient, and on the other hand, it does not solve
the problem of weighting between the occluded and unoccluded parts of the character. Unlike normal images, the character does not have colourful information but complex
structural information. Therefore, the structural features of the character cannot be
accurately extracted using the down-sampling module for image inpainting. Before
model input, it is usually necessary to mask the dam-aged area. When performing
feature extraction, masked and unmasked regions have different weights in the feature
map, and the masked regions have no value for character reconstruction. Another key challenge in using neural networks for inscription character inpainting
is that there is no publicly available dataset of inscriptions, which plays an indispens-
able role in model training. To address this issue, we constructed a smaller inscription
dataset for model training. The main contributions made in this paper are as follows: 1. 1 Intruction In this paper, we propose a module called Branch Convolutional Channel Attention
Module (BCCAM), which seeks to resolve the issues of restricted feature extraction
capabilities of the down-sampling module and weight as-signment when the encoder
learns character structure. 3 2. Instead of using the down-sampling module, we created a CAE character inpainting
model using BCCAM to enhance the character inpainting model. This model’s
generator employs the U-Net framework and intro-duces dilation convolution in the
encoder section. 2. Instead of using the down-sampling module, we created a CAE character inpainting
model using BCCAM to enhance the character inpainting model. This model’s
generator employs the U-Net framework and intro-duces dilation convolution in the
encoder section. 2. Instead of using the down-sampling module, we created a CAE character inpainting
model using BCCAM to enhance the character inpainting model. This model’s
generator employs the U-Net framework and intro-duces dilation convolution in the
encoder section. 3. Since there isn’t a publicly accessible dataset of inscriptions, we created one on
a smaller scale by basing it on the Occult Tower Monument and Diamond Sutra
inscriptions from Liu Gongquan’s works. 3. Since there isn’t a publicly accessible dataset of inscriptions, we created one on
a smaller scale by basing it on the Occult Tower Monument and Diamond Sutra
inscriptions from Liu Gongquan’s works. This paper is divided into four main parts, where Part 1 aims to present an overview
of character inpainting techniques, related problems, and solutions in the introduc-
tion. Section 2 details the model architecture proposed in this paper, including CAE,
BCCAM, and the loss function used for model training. Part 3 covers the experimental
part, including the description of the dataset, ablation experiments and comparison
experiments. The last part is the conclusion section, which summarises the work of
this paper and discusses future research directions. Fig. 2 The structure of the Character Auto-Encoder. Fig. 2 The structure of the Character Auto-Encoder. 2.1 The structure of Character Auto-Encoder CAE is a full output end-to-end inscription character inpainting framework proposed
in this paper, which consists of 3 parts, encoder, decoder and discriminator. Fig.2
shows the structure of CAE, the upper part is the encoder and decoder, and the lower
part is the discriminator. Among them, the encoder and decoder are in a cooperative 4 relationship, both of them share the work, the encoder is responsible for learning
character features and the decoder is responsible for decoding and reconstructing the
character. The generator and the discriminator are in an adversarial relationship,
both of them are adversarial to each other, the generator’s goal is to generate the
character that the discriminator can’t discriminate, and the discriminator’s goal is to
discriminate the input character and supervise the generator to learn. The CAE’s generator is a U-Net structure with U-Net skip-connections that allow
the encoder to pass learned global and local features to the decoder, which can decode
and reconstruct the character by combining the global and local features. Compared to
VAE, the U-Net decoder can reconstruct characters with more details. However, both
U-Net and VAE encoders suffer from limited character feature extraction capability,
so we use BCCAM to replace the down-sampling module of the U-Net encoder. Since
the input to the generator is randomly occluded character and the encoder is unable to
learn the complete character structure, we add 4 layers of dilated convolution in front
of the encoder, and the dilation rates of the 4 layers of dilated convolution are increased
in order, which is 2, 4, 8, and 16, respectively [18]. The dilated convolution has a larger
receptive field than the conventional convolution, which can help the encoder capture
the contextual information in a wider range of the occluded character, and thus better
understand the relationship between the character and the feature map. The generator is the most important component of the CAE and performs the
task of character inpainting. The occluded character of size 64x64 is fed into the
generator, which first extracts feature information from the character through one
layer convolution operation. Next, further feature extraction is done through 4 layers
of dilated convolution. The features are then further processed and extracted by the
encoder to map the character features to a feature distribution space of length 128. Finally, the decoder decodes the reconstructed character based on the learnt feature
distribution combining overall and local features. 2.1 The structure of Character Auto-Encoder CAE’s discriminator consists of simple down-sampling modules that extract fea-
tures of the inscription character and the generated character and discriminates
between true and false. The adversarial loss uses least squares adversarial loss and the
output of the discriminator is a 4x4 feature matrix and does not use a Sigmoid layer
[19]. 2.2 Branch Convolutional Channel Attention Module
(BCCAM) BCCAM consists of a two-branch convolution module and a channel attention module,
and the specific structure of BCCAM is shown in Fig.3. The BCCAM in Fig.3(b),
compared with the down-sampling module in Fig.3(a), not only strengthens the feature
extraction capability of the module but also adds an attention module for feature map
weight adjustment. Since only BCCAM with step size 2 is used in CAE, Fig.3(b) also
shows only BCCAM with step size 2. BCCAM with step size 1 has three branches. The position of the BCCAM module in the CAE framework is shown as a grey box
in Fig.2. BCCAM and the down-sampling module have the same functionality, and
it can replace the down-sampling module in any network. The adaptive convolution
kernel formula for BCCAM in Fig.3(b) is: 5 ψ(C) =
log2(C)
γ
+ b
γ
odd
Fig. 3 Up-sampling module(a) and BCCAM(b). log2(C) (1) Fig. 3 Up-sampling module(a) and BCCAM(b). where |t|odd denotes the nearest odd number to t, C is the number of input feature
map channels, and b and γ are constant terms. The branching convolution in BCCAM is borrowed from RepVGG’s RepVGG
Block [20]. RepVGG was proposed by Zhou et al. to improve VGG [17]. RepVGG out-
performs ResNet both in terms of image recognition accuracy and testing speed [21]. The multi-branch structure used by RepVGG improves the model’s representational
ability, which gives RepVGG a stronger feature extraction capability than ResNet. RepVGG reconstructs the parameters of the model by reconstructing the two or three-
branch network into a single-branch network, which speeds up the inference of the
model. Overall, RepVGG has the advantages of simplicity, efficiency and scalability. g
y
y
y
ECA-Net is the channel attention part of BCCAM, ECA-Net is proposed by Wang
et al. who improved SE-Net [22, 23]. SE-Net was the winner network of the last
ImageNet classification task. ECA-Net uses an adaptive convolution kernel, which
determines the size of the convolution kernel based on the number of input feature
map channels, and replaces the SE-Net’s two fully-connected layers are replaced with a
single convolutional layer. ECA-Net works better than SE-Net on the feature weighting
problem. 6 2.3 Loss function Two loss functions are used for training the CAE, the least squares adversarial loss
and the pixel reconstruction loss, and each of the two loss functions serves a different
purpose. 2.3.3 Total loss The generative loss optimisation objective of the generator is to minimise the two
loss functions and optimise the generator to produce a character that is closer to the
original character. Therefore, the total loss of the generator is defined as follows: LG(x) = λ1LG + λ2Lpixel
(6) (6) where λ1 and λ2 denote the weights of the two losses in the generated loss,
respectively, setting λ1 = 1, λ2 = 100 when training the model. 2.3.1 Least-Squares Adversarial loss Adversarial loss is proposed in GANs, the role of this loss function is to assist and
supervise the generator to produce images that are more like the training set, so that
the generator produces ground images that are more realistic and more in line with
human vision [4]. Of course, the adversarial loss has a more important role is to prevent
the generator from generating a non-existent character, which is meaningless. The adversarial loss function of Least Squares Adversarial Generative Network
(LSGAN) is as follows [19]: minD VLSGAN(D) = 1
2Ex−pdata(x)
(D(x) −1)2
+ 1
2Ez−pz(z)
(D(G(z)) + 1)2
minG VLSGAN(G) = 1
2Ez−pz(z)
(D(G(z)))2
(2) (2) where D(·) and G(·) denote the discriminator and generator of the model, respec-
tively, and x and z are the training dataset and random noise. The least squares
adversarial loss we use is slightly different from that of LSGAN in that our input
is occluded character rather than random noise. The least squares adversarial loss
function is as follows: where D(·) and G(·) denote the discriminator and generator of the model, respec-
tively, and x and z are the training dataset and random noise. The least squares
adversarial loss we use is slightly different from that of LSGAN in that our input
is occluded character rather than random noise. The least squares adversarial loss
function is as follows: minD VLSGAN(D) = 1
2Ex−pdata(x)
(D(x) −1)2
+ 1
2Ex−pdata(x)
(D(G(M(x)) + 1)2
minG VLSGAN(G) = 1
2Ex−pdata(x)
(D(G(M(x))))2
(3) (3)
d where M(·) is the masking function used to perform the task of masking the random
position of the character in the training dataset. Before inputting the character into
the encoder, it is necessary to perform a masking operation on it, as shown in Fig.5. In the upper left 25% region of the character, a coordinate point is randomly selected
and a square is drawn with this coordinate point as a vertex, and the square region is
set as the masking region. Fig. 4 Masking functions and the inputs and outputs of masking functions. Fig. 4 Masking functions and the inputs and outputs of masking functions. 7 2.3.2 Pixel Reconstruction loss Pixel reconstruction loss is a common loss in VAE, and pixel reconstruction loss
measures the difference between the reconstructed image and the original image [5]. Minimising the pixel reconstruction loss allows the generator to learn to represent a
normal or uniform distribution of the data while retaining enough image information
to complete the image inpainting task. The pixel reconstruction loss can be expressed
as: MSE = 1
n ∥xi −f(g(xi))∥2
(4) (4) where xi denotes the ith input sample, g(·) denotes the encoder function, f(·)
denotes the decoder function, ∥·∥denotes the squared paradigm, and n denotes the
total number of samples. The pixel reconstruction loss we use is the same as the pixel
reconstruction loss of VAE, and the use of pixel reconstruction loss reduces the pixel
difference between the generated missing regions and the original character. Our pixel
reconstruction loss function is shown below: Lpixel (x) = ∥x −G(M(x))∥2
(5) (5) (5) 3.1 Dataset Two datasets are used for CAE model training, one is our collected dataset of inscrip-
tions and the other is CASIA-HWDB1.1, a publicly available dataset for handwritten
Chinese character recognition [24]. The original inscription images are from Liu Gongquan’s Occult Tower Monument
and Diamond Sutra, and we have completed the character screenshot extraction and
preprocessing work. The preprocessing uses OpenCV to denoise and reset the size of
individual characters, the denoising operation can filter out part of the noise on the
surface of the character, and reset the size so that it meets the input size of the model. The preprocessed dataset is shown in Fig.5. After preprocessing, we first select the
defective character for final model testing and then divide the remaining character
into training and testing sets. The training set has about 4100 character images. The CASIA-HWDB1.1 dataset is publicly available, just unzip and reset the char-
acter size after downloading. The size of the character image is related to the character 8 Fig. 5 Example of preprocessed inscription dataset. Fig. 5 Example of preprocessed inscription dataset. structure and varies in size. Before training, we also use OpenCV to reset the size,
and the preprocessed handwritten Chinese character dataset is shown in Fig.6. structure and varies in size. Before training, we also use OpenCV to reset the size,
and the preprocessed handwritten Chinese character dataset is shown in Fig.6. structure and varies in size. Before training, we also use OpenCV to reset the size,
and the preprocessed handwritten Chinese character dataset is shown in Fig.6. Fig. 6 Example of preprocessed handwritten Chinese character dataset. Fig. 6 Example of preprocessed handwritten Chinese character dataset. 3.2 Ablation study We did three sets of ablation experiments, namely, attentional mechanism ablation
experiments, adversarial loss ablation experiments, and ablation experiments of kinds
of models. The first two groups were to select suitable attention mechanisms and
adversarial loss respectively, and the last group was to demonstrate the effectiveness
of our addition of kinds of modules. 3.2.1 Self-attention mechanism ablation experiments As shown in Fig.7, the change curves of SSIM and PSNR with the addition of SE-Net,
ECA-Net and CBAM [22, 23, 25]. These two evaluation metrics are the evaluation
metrics of image inpainting, which are slightly different from human vision, but these
two metrics are relatively the closest to human vision. The change curve of SSIM in 9 the figure can hardly see any difference, but the change of PSNR in the figure can
clearly show that the effect of SE-Net and ECA-Net is better than that of CBAM. Fig. 7 Test results of CAE’s introduction of three self-attention mod-ules, SE-Net, ECA-Net and
CBAM. Fig. 7 Test results of CAE’s introduction of three self-attention mod-ules, SE-Net, ECA-Net and
CBAM. CBAM uses a set of parallel channel attention and spatial attention operations
to optimise feature representations. In addition to having the functionality of feature
representation tuning used in SE-Net, CBAM can also display the spatial correlation
of the modelled feature maps, improving the generalisation of the model. Compared to SE-Net, CBAM adds spatial attention and the model converges better
in the previous period, as can be seen from the change in PSNR in Fig.7. However, as
the model continues to be trained, the effect of CBAM is slightly worse than SE-Net
and ECA-Net, and the model may be overfitting. The reason for overfitting may be
that the self-attention mechanism of CBAM is too complex. CBAM not only combines
channel attention and spatial attention but also CBAM’s channel attention and spatial
attention are weighted with maximum pooling and average pooling, which is equivalent
to 4 times the workload of SE-Net. CBAM does not converge well in the late stage of model training and is not suitable
for CAE because of the complexity of the module, the large number of parameters, and
the long training time. ECA-Net is an improved version of SE-Net, which is naturally
superior to SE-Net, and ECA-Net uses a convolutional layer instead of the two fully
connected layers of SE-Net, which accelerates the training speed of the model. 3.2.2 Adversarial loss ablation experiments The changes in SSIM and PSNR when we train the model using the three adversarial
losses, max-min logarithmic loss, least squares adversarial loss and Wasserstein loss,
are shown in Fig.8 [4, 19, 26]. Both from the change of SSIM and the change of
PSNR in the figure, the training effect of the max-min logarithmic loss and the least
squares adversarial loss are better than that of the Wasserstein loss. Looking only at
the change in SSIM in the graph, the training effect of the max-min logarithmic loss
and the least squares adversarial loss is about the same, but it can be seen from the
change in PSNR in the graph that the least squares adversarial loss is still better than
the max-min logarithmic loss. 10 Fig. 8 CAE test results using max-min logarithmic loss, least squares adversarial loss and Wasser-
stein loss training. Fig. 8 CAE test results using max-min logarithmic loss, least squares adversarial loss and Wasser-
stein loss training. Least squares adversarial loss is the process of making the discriminator output 1
for the real sample while letting it output 0 for the generated sample, and hoping that
the generator can trick the discriminator so that its output for the generated sample
is close to 1. Max-min logarithmic loss is a multilayer iterative process, in which the
generator and the discriminator engage in a game of two, iteratively adjusting their
parameters to seek Nash equilibrium points and achieve the final generation result. In general, the max-min logarithmic loss is more effective in generating high-fidelity
images or dealing with complex data distributions, while the least squares adversarial
loss is more suitable for use when the number of models is small, the data distribution
is simple, or stable patterns appear in the training samples. Fig.8 PSNR variation plots in which the least squares adversarial loss and the max-
min logarithmic loss are not comparable. The training is divided into three phases,
the beginning, the middle and the end, and the two adversarial losses reach the Nash
equilibrium and the steady state with different numbers of training epochs. At the
beginning, the max-min logarithmic loss does not reach the Nash equilibrium and the
training is not as effective as the least squares adversarial loss. 3.2.2 Adversarial loss ablation experiments In the middle, the max-
min logarithmic loss reaches the Nash equilibrium after several iterations of training,
and the training effect is slightly better than the least squares adversarial loss. In
the late stage, the least squares adversarial loss training tends to be stable, and the
convergence effect exceeds the max-min logarithmic loss. Wassersterin loss makes the loss function smoother and more controllable by intro-
ducing the concept of Wassersterin distance, thus avoiding problems such as pattern
collapse. However, the distribution of the inscription dataset used in this paper is
relatively simple, so the advantages brought by using Wasserstein loss are not obvious. 3.2.3 Ablation experiments in various models To validate the effectiveness of the various components of our design, we conducted
ablation experiments to validate our designed CAE. The ablation experiments included
the introduction of dilated convolution, BCCAM, and the use of least squares adversar-
ial loss training in the model. We compared the model after adding different modules
with the base model and Table 1 shows the PSNR and SSIM values after adding
different modules. 11 Table 1 Test results of PSNR and SSIM for each models Table 1 Test results of PSNR and SSIM for each models
Models
PSNR(dB)
SSIM
(1) U-Net
21.82
0.900
(2) U-Net + Dilate convolution
22.52
0.920
(3) U-Net + Dilated convolution
+ BCCAM
23.08
0.929
(4) U-Net + Dilated convolution
+ BCCAM + LS loss
23.50
0.935 Table 1, (1) is the base model, a separate U-Net is also capable of the inscription
character inpainting task, but the encoder of the U-Net has deficiencies and the char-
acter inpainting is not effective. While model (2) after adding dilated convolution in
front of the encoder, the index of the model is improved, which is mainly due to the
dilated convolution increasing the receptive field. The main reason for adding dilated
convolution is that the input of CAE is the occluded character, and a large receptive
field can help the encoder learn a wider range of contextual information, which helps
the encoder learn the overall structure of the character. Secondly, the dilated convo-
lution also keeps the resolution of the original input feature map unchanged, which
also improves the performance of the model to some extent. Model (3) replacing the down-sampling module of the encoder with BCCAM with
improved PSNR and SSIM. BCCAM can compensate for the shortcomings of the
encoder, one is the problem of the limited capability of ordinary convolutional feature
extraction, and the other is the possibility of adjusting the weights of the character
occlusion region and the unoccluded region in feature extraction. The pixels in the
character occlusion region are 0. The channel attention of BCCAM shares the channel
weights, and if the extracted features in a channel contain occluded regions, the channel
mean pooling weights are small. This operation somehow reduces the value of channel
features containing occluded regions to solve the problem of adjusting the weights of
character occluded and unoccluded regions. The feature extraction capability of the
encoder is also improved by adding the BCCAM module. 3.2.3 Ablation experiments in various models Model (4) is the least squares adversarial loss involved in the training of the model
during model training, the least squares adversarial loss using the mean square devi-
ation as an error measure can alleviate the gradient explosion problem and promote
the stable training of the CAE. When the least squares adversarial loss participates in
CAE training, it can more accurately guide the optimiser to optimise the CAE, thus
helping the CAE to find the local optimal solution and better character inpainting. 3.3 Results of CAE The training of CAE is convergent and we can find a locally optimal solution within
300 epochs. As shown in Fig. 9, SSIM stabilises after the 100th epoch of training and
is smooth around 0.93. And PSNR also fluctuates back and forth between 22dB and
23dB after the 100th epoch. In comparison experiments, we did two groups, one using the inscriptions dataset
and one using the CASIA-HWDB1.1 dataset. In this paper, the inscriptions dataset
aims at restoring ancient documents, digital restoration and preservation of traditional 12 Fig. 9 CAE’s SSIM and PSNR changes on the test set. Fig. 9 CAE’s SSIM and PSNR changes on the test set. Fig. 9 CAE’s SSIM and PSNR changes on the test set. culture. CASIA-HWDB1.1 aims at improving the accracy of handwritten Chinese
character recognition. 3.3.1 Comparative experiments with inscriptional dataset The comparison results of the inscriptions dataset are shown in Fig.10. There are four
models, the first one is Context Encoders(CE), the second one is Pix2pix, the third
one is the model from the literature[14], and the last one is our model CAE [14, 27, 28]. The first row of Fig.10 is the input of the model, and the last row is the real character. The CE in the second row generates the middle missing region to fill in the original
character, and the other three models generate the whole character. The inpainting
area of CE is blurred and the filled area is not smooth with the original area; the
inpainting results of Pix2pix and literature[14] are about the same, although it is also
a bit blurred for the missing area; the inpainting results of CAE are slightly better,
with some differences in details with the real character. Comparisons of SSIM and PSNR for the four models are shown in Table 2, with
the two metrics being relatively higher for CAE. We only compared the inpainting
results for the 25% area of the centre occlusion, comparing the random occlusion area,
the results are random. Except for CE, the other three models generate the whole
character, which is theoretically possible to repair the character in any position and
patch size. Table 2 Comparison results of PSNR and SSIM for different models
Input
CE
Pix2pix
[14]
CAE
Real
SSIM
0.738
0.852
0.919
0.791
0.935
1.0
PSNR(dB)
17.16
20.61
22.68
15.43
23.50
100.0 Table 2 Comparison results of PSNR and SSIM for different models All the data in Table 2 are normal except for the metric PSNR of literature[14]
which is lower than the model input. The model of literature[14] is generating out the
whole character, which is effective in repairing the missing regions of the character, as
can be seen in Fig.10. However, the generation of the original part of the character is
defective, which results in the generated whole character having a lower PSNR than
the model input. 13 Fig. 10 Comparison of inpainting results from CE, Pix2pix, [14] and CAE. Fig. 10 Comparison of inpainting results from CE, Pix2pix, [14] and CAE. The gap between the inpainting effects of the four models we can analyse from two
aspects: the generator of the model and the loss function. 3.3.1 Comparative experiments with inscriptional dataset The generator of the model
has two tasks, character feature extraction and character reconstruction, and we can
evaluate the generator of the model from these two tasks. Except for CE which uses VAE-structure, the other three models are U-Net-
structure, and U-Net can be regarded as an improvement of VAE. U-Net has VAE’s
character generation in addition to skip-connections, and the decoder can generate a
more delicate character. And the character reconstruction method of literature[14] is
different from that of CAE. Both Pix2pix and CAE have character reconstruction by
first deconvolution and then skip-connections, while character reconstruction of liter-
ature[14] has skip-connections followed by deconvolution, and there is no explanation
in the paper as to why it is up-sampled in this way. The generator framework of the model using U-Net is superior to VAE in general. Although Pix2pix and CAE use the same character reconstruction method, the encoder
of U-Net is different and there is a gap in the feature extraction capability. CAE uses
BCCAM instead of the down-sampling module, the feature extraction capability is
improved, and the weights of the feature maps are processed. In addition, the CAE
encoder is preceded by 4 dilated convolutions, which assist the encoder in learning
the contextual features of the occluded character. Feature extraction is the basis for
the decoder to reconstruct the text, and only when the encoder learns the accurate
character features, the decoder can reconstruct the character closer to the original
character. 14 The loss function is essential for model training and it is the goal of the optimiser. It evaluates the difference between the model output results and the real values and
guides the learning and optimisation of the model parameters. Choosing an appropri-
ate loss function can lead to more accurate and higher-quality generated results. The
pixel reconstruction loss and the adversarial loss are used for the training of the four
models. The max-min logarithmic loss is used by CE and literature[14], and the least
squares adversarial loss is used by Pix2pix and CAE. The difference between these
two adversarial losses was analysed in the previous ablation experiments, and the least
squares adversarial loss is more suitable for training on small datasets. 3.3.2 Handwritten Chinese character dataset comparison
experiments In the second set of control experiments we compared HCCI-GAN using the CASIA-
HWDB1.1 dataset, and the comparison results are shown in Fig.11, rows 2 and 3
are the inpainting results of HCCI-GAN and CAE respectively [10]. Because the two
models have different character inpainting goals and use different evaluation metrics,
we roughly compare the inpainting results and model structures of the two models. HCCI-GAN uses confidence, entropy, and FID scores to evaluate handwritten Chinese
characters at the inpainting site. Fig. 11 Comparison of CAE and HCCI-GAN handwritten Chinese character inpainting effects. Fig. 11 Comparison of CAE and HCCI-GAN handwritten Chinese character inpainting effects. As can be seen in Fig.11, the inpainting results of CAE and HCCI-GAN are simi-
lar. However, our model is designed to be a bit simpler, and our training cost is much
lower than that of HCCI-GAN. HCCI-GAN is a VAE-constructed generator, and the
generator is not complicated. However, the discriminator of HCCI-GAN has to com-
pute the classification adversarial loss, and the discriminator has three fully connected
layers, and two fully connected layers are fully connected from 1024 neurons to 4096
neurons and from 4096 neurons to 3756 neurons, respectively, which are very expensive
to train. 15 The second is that HCCI-GAN is trained for 600,000 epochs, and each epoch has
to train 3755 character categories, with a total of more than 900,000 characters, and
the scale of this training is very large. CAE has only been trained for 300 epochs,
and CAE has also been trained for 1,000 epochs, and the locally optimal solution is
in the first 300 epochs. If we want to find another local optimal solution, we need to
train more epochs, and other local optimal solutions are not necessarily better than
the current local optimal solution. 3.3.3 CAE inscription character inpainting tes Finally, we tested the CAE for character inpainting by inputting inscriptions with
missing strokes into the model for inpainting testing, and the results are shown in
Fig.12. Although the CAE is trained to mask the square block, it can repair the
character in any position and patch size. Fig.12 can prove that CAE can repair the
realistic inscription character with missing strokes. Fig. 12 CAE character inpainting test. It is worth noting that there is an over-reliance on occluded regions when the model
repairs character. The model can only complete the inpainting task if the masking
region and the missing region of the stroke match, which is because the model does not
recognise the missing region of the character, but only treats the masking region as the
missing region of the character. The model cannot complete the character inpainting
task without masking the missing regions artificially, which is also a problem of the
current character inpianting model. Fig. 12 CAE character inpainting test. Fig. 12 CAE character inpainting test. Fig. 12 CAE character inpainting test. It is worth noting that there is an over-reliance on occluded regions when the model
repairs character. The model can only complete the inpainting task if the masking
region and the missing region of the stroke match, which is because the model does not
recognise the missing region of the character, but only treats the masking region as the
missing region of the character. The model cannot complete the character inpainting
task without masking the missing regions artificially, which is also a problem of the
current character inpianting model. It is worth noting that there is an over-reliance on occluded regions when the model
repairs character. The model can only complete the inpainting task if the masking
region and the missing region of the stroke match, which is because the model does not
recognise the missing region of the character, but only treats the masking region as the
missing region of the character. The model cannot complete the character inpainting
task without masking the missing regions artificially, which is also a problem of the
current character inpianting model. 16 Declaration of competing interest This manuscript is the authors’ original work and has not been published nor has
it been submitted simultaneously elsewhere.The authors declare that they have no
known competing financial interests or personal relationships that could have appeared
to influence the work reported in this paper. Author Contributions Long
Zhao:Methodology,Supervision. Zonglong
Yuan:Software,Writing-
Editing. Yuhao
Lou:Writing-Review. Qingyu
Xu:Methodology. Xinxiao
Qiao:Conceptualization. Long
Zhao:Methodology,Supervision. Zonglong
Yuan:Software,Writing-
Editing. Yuhao
Lou:Writing-Review. Qingyu
Xu:Methodology. Xinxiao
Qiao:Conceptualization. 4 Conclution In this study, we propose the Branch Convolutional Channel Attention Module
(BCCAM), and we utilize BCCAM to develop Character Auto-Encoder (CAE), replac-
ing the down-sampling module with BCCAM. The pretrained CAE can restore the
inscription character with missing strokes. The experiments in this paper do, how-
ever, have some drawbacks. The inscription dataset is small compared to the dataset
of handwritten Chinese characters, and we need to keep improving it. Additionally,
the model overly relies on the occluded region when actual character inpainting. The identification of missing character regions may be the focus of future research. Using an analogy to the way humans think, we execute targeted character inpainting
by first determining the category of the character and then determining the missing
regions of the character based on the category of the character. Network models for
character identification and inpainting already exist, however, it is still challenging to
identify missing character. Acknowledgments This paper was partly supported by the National Natural Science Foundation of
China (61806105, 62076143 and 61906104) and the Shandong Province Natural Science
Foundation(ZR2019BF018 and ZR2021QF059). China (61806105, 62076143 and 61906104) and the Shandong Province Natural Science
Foundation(ZR2019BF018 and ZR2021QF059). References [1] Shi, Q.: A brief discussion on the application of inscriptions in historical and
cultural documentary films. China Radio, Film, and Television (07), 90–92 (2021) [2] Wan, M.: A review of tibetan buddhist inscriptions in the beijing region. Tibet
Studies (06), 88–95 (2022) [3] QIu, Y.: Appreciation of ouyang xun’s ”ninety percent palace feels ashamed
springs inscription retraces reprint instructions” inscription. Beauty and Times
(Medium) (03), 132–134 (2023) https://doi.org/10.16129/j.cnki.mysdz.2023.03. 018 17 [4] Goodfellow, I., Pouget-Abadie, J., Mirza, M., Xu, B., Warde-Farley, D., Ozair,
S., Courville, A., Bengio, Y.: Generative adversarial networks. Communications
of the ACM 63(11), 139–144 (2020) [5] Kingma, D.P., Welling, M.: Auto-encoding variational bayes. arXiv preprint
arXiv:1312.6114 (2013) [6] Chen, S., Zhu, S., Xiong, H., Zhao, F., Wang, D., Liu, Y.: A method of inpainting
ancient yi characters based on dual discriminator generative adversarial networks. ACTA AUTOMATICA SINICA (03), 853–864 (2022) https://doi.org/10.16383/
j.aas.c190752 [7] Weng, Y., Zhou, H., Wan, J.: Image inpainting technique based on smart terminal:
A case study in cps ancient image data. IEEE Access 7, 69837–69847 (2019)
https://doi.org/10.1109/ACCESS.2019.2919326 [8] Mirza, M., Osindero, S.: Conditional generative adversarial nets. arXiv preprint
arXiv:1411.1784 (2014) [9] Radford,
A.,
Metz,
L.,
Chintala,
S.:
Unsupervised
representation
learn-
ing with deep convolutional generative adversarial networks. arXiv preprint
arXiv:1511.06434 (2015) [10] Song, G., Li, J., Wang, Z.: Occluded offline handwritten chinese character
inpainting via generative adversarial network and self-attention mechanism. Neurocomputing 415, 146–156 (2020) [11] Jo, I.-s., Choi, D.-b., Park, Y.B.: Chinese character image completion using a
generative latent variable model. APPLIED SCIENCES-BASEL 11(2) (2021)
https://doi.org/10.3390/app11020624 [12] Su, B., Liu, X., Gao, W., Yang, Y., Chen, S.: A restoration method using dual
generate adversarial networks for chinese ancient characters. Visual Informatics
6(1), 26–34 (2022) [13] Ronneberger, O., Fischer, P., Brox, T.: U-net: Convolutional networks for biomed-
ical image segmentation. In: Medical Image Computing and Computer-Assisted
Intervention–MICCAI 2015: 18th International Conference, Munich, Germany,
October 5-9, 2015, Proceedings, Part III 18, pp. 234–241 (2015). Springer [14] Lv, D., Liu, Y.: The restoration of style chinese characters based on deep learn-
ing. In: 2018 International Conference on Network, Communication, Computer
Engineering (NCCE 2018), pp. 426–430 (2018). Atlantis Press [15] Wang, J., Pan, G., Sun, D., al.: Chinese character inpainting with contextual
semantic constraints. In: Proceedings of the 29th ACM International Conference
on Multimedia, pp. 1829–1837 (2021) 18 [16] Liu, R., Wang, X., Lu, H., al.: Sccgan: Style and characters inpainting based on
cgan. [28] Isola, P., Zhu, J.-Y., Zhou, T., Efros, A.A.: Image-to-image translation with condi-
tional adversarial networks. In: Proceedings of the IEEE Conference on Computer
Vision and Pattern Recognition, pp. 1125–1134 (2017) References Mobile Networks and Applications 26, 3–12 (2021) [17] Simonyan, K., Zisserman, A.: Very deep convolutional networks for large-scale
image recognition. arXiv preprint arXiv:1409.1556 (2014) [18] Yu, F., Koltun, V.: Multi-scale context aggregation by dilated convolutions. arXiv
preprint arXiv:1511.07122 (2015) [19] Mao, X., Li, Q., Xie, H., Lau, R.Y., Wang, Z., Paul Smolley, S.: Least squares
generative adversarial networks. In: Proceedings of the IEEE International
Conference on Computer Vision, pp. 2794–2802 (2017) [20] Ding, X., Zhang, X., Ma, N., Han, J., Ding, G., Sun, J.: Repvgg: Making vgg-style
convnets great again. In: Proceedings of the IEEE/CVF Conference on Computer
Vision and Pattern Recognition, pp. 13733–13742 (2021) [21] He, K., Zhang, X., Ren, S., Sun, J.: Deep residual learning for image recogni-
tion. In: Proceedings of the IEEE Conference on Computer Vision and Pattern
Recognition, pp. 770–778 (2016) [22] Hu, J., Shen, L., Sun, G.: Squeeze-and-excitation networks. In: Proceedings of the
IEEE Conference on Computer Vision and Pattern Recognition, pp. 7132–7141
(2018) [23] Wang, Q., Wu, B., Zhu, P., Li, P., Zuo, W., Hu, Q.: Eca-net: Efficient chan-
nel attention for deep convolutional neural networks. In: Proceedings of the
IEEE/CVF Conference on Computer Vision and Pattern Recognition, pp. 11534–11542 (2020) [24] Liu, C.L., Yin, F., Wang, D.H., al.: Casia online and offline chinese handwrit-
ing databases. In: 2011 International Conference on Document Analysis and
Recognition, pp. 37–41 (2011). IEEE [25] Woo, S., Park, J., Lee, J.-Y., Kweon, I.S.: Cbam: Convolutional block atten-
tion module. In: Proceedings of the European Conference on Computer Vision
(ECCV), pp. 3–19 (2018) [26] Arjovsky, M., Chintala, S., Bottou, L.: Wasserstein gan. In: International Confer-
ence on Machine Learning (2017). https://proceedings.icml.cc/static/paper files/
icml/2017/4703-Arjovsky.pdf [27] Pathak, D., Krahenbuhl, P., Donahue, J., Darrell, T., Efros, A.A.: Context
encoders: Feature learning by inpainting. In: Proceedings of the IEEE Conference
on Computer Vision and Pattern Recognition, pp. 2536–2544 (2016) 19 20 20
|
https://openalex.org/W2623352127
|
https://ora.ox.ac.uk/objects/uuid:6d813413-994f-4a17-a2a4-2f68660f3bd7/files/m28608aaddf4336f8312fa65fe09ae198
|
English
| null |
A Highly Efficient Human Pluripotent Stem Cell Microglia Model Displays a Neuronal-Co-culture-Specific Expression Profile and Inflammatory Response
|
Stem cell reports
| 2,017
|
cc-by
| 11,112
|
SUMMARY Microglia are increasingly implicated in brain pathology, particularly neurodegenerative disease, with many genes implicated in
Alzheimer’s, Parkinson’s, and motor neuron disease expressed in microglia. There is, therefore, a need for authentic, efficient
in vitro models to study human microglial pathological mechanisms. Microglia originate from the yolk sac as MYB-independent
macrophages, migrating into the developing brain to complete differentiation. Here, we recapitulate microglial ontogeny by highly
efficient differentiation of embryonic MYB-independent iPSC-derived macrophages then co-culture them with iPSC-derived cortical
neurons. Co-cultures retain neuronal maturity and functionality for many weeks. Co-culture microglia express key microglia-specific
markers and neurodegenerative disease-relevant genes, develop highly dynamic ramifications, and are phagocytic. Upon activation
they become more ameboid, releasing multiple microglia-relevant cytokines. Importantly, co-culture microglia downregulate path-
ogen-response pathways, upregulate homeostatic function pathways, and promote a more anti-inflammatory and pro-remodeling
cytokine response than corresponding monocultures, demonstrating that co-cultures are preferable for modeling authentic microglial
physiology. Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017 j ª 2017 The Author(s).
1727
This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). A Highly Efficient Human Pluripotent Stem Cell Microglia Model Displays a
Neuronal-Co-culture-Specific Expression Profile and Inflammatory Response A Highly Efficient Human Pluripotent Stem Cell Microglia Model Displays a
Neuronal-Co-culture-Specific Expression Profile and Inflammatory Response Walther Haenseler,1,11 Stephen N. Sansom,2,11 Julian Buchrieser,1 Sarah E. Newey,3 Craig S. Moore,4
Francesca J. Nicholls,5 Satyan Chintawar,6 Christian Schnell,7 Jack P. Antel,8 Nicholas D. Allen,7
M. Zameel Cader,6 Richard Wade-Martins,9,10 William S. James,1 and Sally A. Cowley1,10,*
1Sir William Dunn School of Pathology, University of Oxford, South Parks Road, Oxford OX1 3RE, UK
2Kennedy Institute of Rheumatology, University of Oxford, Roosevelt Drive, Headington, Oxford OX3 7FY, UK
3Department of Pharmacology, University of Oxford, Oxford OX1 3QT, UK
4Division of BioMedical Sciences, Faculty of Medicine, Memorial University of Newfoundland, St. John’s, NL A1B 3V6, Canada
5Department of Psychiatry, University of Oxford, Warneford Hospital, Oxford OX3 7JX, UK
6Weatherall Institute of Molecular Medicine, University of Oxford, Oxford OX3 9DS, UK
7School of Biosciences, College of Biomedical and Life Sciences, Cardiff University, Cardiff CF10 3AT, UK
8Montreal Neurological Institute, McGill University, Montreal, QC H3A 2B4, Canada
9Department of Physiology Anatomy and Genetics University of Oxford, South Parks Road, Oxford OX1 3QX, U *Correspondence: sally.cowley@path.ox.ac.uk
http://dx.doi.org/10.1016/j.stemcr.2017.05.017 A Highly Efficient Human Pluripotent Stem Cell Microglia Model Displays a
Neuronal-Co-culture-Specific Expression Profile and Inflammatory Response
Walther Haenseler,1,11 Stephen N. Sansom,2,11 Julian Buchrieser,1 Sarah E. Newey,3 Craig S. Moore,4
Francesca J. Nicholls,5 Satyan Chintawar,6 Christian Schnell,7 Jack P. Antel,8 Nicholas D. Allen,7
M. Zameel Cader,6 Richard Wade-Martins,9,10 William S. James,1 and Sally A. Cowley1,10,*
1Sir William Dunn School of Pathology, University of Oxford, South Parks Road, Oxford OX1 3RE, UK
2Kennedy Institute of Rheumatology, University of Oxford, Roosevelt Drive, Headington, Oxford OX3 7FY, UK
3Department of Pharmacology, University of Oxford, Oxford OX1 3QT, UK
4Division of BioMedical Sciences, Faculty of Medicine, Memorial University of Newfoundland, St. John’s, NL A1B 3V6, Canada
5Department of Psychiatry, University of Oxford, Warneford Hospital, Oxford OX3 7JX, UK
6Weatherall Institute of Molecular Medicine, University of Oxford, Oxford OX3 9DS, UK
7School of Biosciences, College of Biomedical and Life Sciences, Cardiff University, Cardiff CF10 3AT, UK
8Montreal Neurological Institute, McGill University, Montreal, QC H3A 2B4, Canada
9Department of Physiology, Anatomy and Genetics INTRODUCTION Study of microglia has been largely restricted to non-
human models (mostly mouse), since availability of fresh
primary human microglia is very limited and they cannot
be propagated. Moreover, microglia rapidly lose their
unique identity when removed from the brain environ-
ment and cultured in monoculture in vitro (Butovsky
et al., 2014). Transformed microglial-like cell lines are by
definition highly proliferative and therefore not a good
model for understanding a predominantly non-prolifer-
ating, differentiated cell type. There is therefore a need
for practical, authentic human microglial cellular models. However, only recently has the ontogeny of microglia
been established to inform appropriate modeling. Microglia are brain-resident macrophages, with important
homeostatic functions that provide a supportive environ-
ment to neurons. This includes pruning incompetent syn-
apses during development, and clearance of dead cells,
misfolded proteins, and other cellular debris (Ransohoff,
2016). However, they can become activated by inflamma-
tory stimuli, producing a battery of cytokines, including
the potentially damaging tumor necrosis factor a (TNFa). If not satisfactorily resolved, this response can lead to a
chronically damaging cycle of activation and neuronal
destruction. Numerous genes associated with Alzheimer’s
disease (AD), Parkinson’s disease (PD), motor neuron dis-
ease/amyotrophic lateral sclerosis (MND/ALS), and fronto-
temporal dementia (FTD) are expressed in microglia,
including TREM2, CD33, LRRK2, and C9orf72 (O’Rourke
et al., 2016; Russo et al., 2014; Villegas-Llerena et al.,
2016), prompting a growing interest in microglia biology
and their relevance to neurodegenerative disease. In mice, two waves of embryonic macrophages are pro-
duced in the yolk sac blood islands at embryonic day 7.5
(E7.5) and E8.25, and the first wave migrate into the
developing brain and differentiate to microglia (Ginhoux
et al., 2010; Gomez Perdiguero et al., 2015; Hoeffel et al.,
2015; Palis et al., 1999). These yolk sac-derived macro-
phages are Myb independent but dependent on PU.1 and Irf8 (Kierdorf et al., 2013; Schulz et al., 2012). Hemato-
poietic stem cells (HSCs), in contrast, derive from the
aorto-gonado-mesonephros region at day E10.5, populate
the fetal liver and bone marrow, and give rise to adult blood
cells from HSCs in bone marrow niches, which are depen-
dent on Myb for their renewal. Myb independence, there-
fore, distinguishes yolk sac-derived macrophages from
adult, definitive, blood monocyte-derived macrophages. RESULTS In humans there are few opportunities to investigate the
ontogeny of microglia, but it is assumed that the processes
are analogous to those in mice. Yolk sac-derived macro-
phages appear at E17 (Tavian and Peault, 2005), enter the
brain from E31 onward (Rezaie et al., 2005; Monier et al.,
2007), and mature together with neurons to fully functional
ramified microglia (Figure 1A). Human cortical neurons
show spontaneous electrical activity after microglia inva-
sion, from gestation week 20 onwards (Moore et al., 2011). We aimed to recapitulate the in vivo developmental
pathway of microglia in vitro, using human induced
pluripotent stem cells (iPSCs). These have the advantages
of limitless self-renewal and normal karyotype, and can
be directed to terminally differentiated cell types. They
can be derived from patients (retaining the patient’s
genetic background) and are amenable to gene editing,
enabling sophisticated interrogation of genes of interest. To recapitulate the development of yolk sac-derived
macrophages, we use our previously established, straight-
forward, highly efficient, serum- and feeder-free protocol
for deriving PSC macrophages (Karlsson et al., 2008; van
Wilgenburg et al., 2013). We have recently directly demon-
strated that these derive from MYB-independent, RUNX1-
and PU.1-dependent precursors, characteristic of yolk
sac-derived macrophages (Buchrieser et al., 2017; Vanhee
et al., 2015). Here, we co-culture them with iPSC cortical
neurons (Shi et al., 2012), in medium optimized for sur-
vival and functionality of both neurons and microglia. The resulting co-cultures are stable for many weeks, express
relevant microglia markers (including key disease-related
genes), upregulate pathways relating to homeostatic func- ,
g
(
,
)
We aimed to recapitulate the in vivo developmental
pathway of microglia in vitro, using human induced
pluripotent stem cells (iPSCs). These have the advantages
of limitless self-renewal and normal karyotype, and can
be directed to terminally differentiated cell types. They
can be derived from patients (retaining the patient’s
genetic background) and are amenable to gene editing,
enabling sophisticated interrogation of genes of interest. To recapitulate the development of yolk sac-derived
macrophages, we use our previously established, straight-
forward, highly efficient, serum- and feeder-free protocol
for deriving PSC macrophages (Karlsson et al., 2008; van
Wilgenburg et al., 2013). We have recently directly demon-
strated that these derive from MYB-independent, RUNX1-
and PU.1-dependent precursors, characteristic of yolk
sac-derived macrophages (Buchrieser et al., 2017; Vanhee
et al., 2015). INTRODUCTION Microglia in the developing brain proliferate locally at a
low rate and are not normally replaced by other monocytes
and macrophages from outside the brain, in contrast
to most other tissue-resident macrophages (which also
initially originate from yolk sac-derived macrophages, but
are partially or fully replaced by fetal liver- or blood mono-
cyte-derived macrophages [Bain et al., 2014; Calderon
et al., 2015; Epelman et al., 2014; Guilliams et al., 2014;
Hoeffel and Ginhoux, 2015; Tamoutounour et al., 2013]). In the brain, interleukin-34 (IL-34) is an alternative
CSF1R ligand supporting microglia survival and differenti-
ation (Greter et al., 2012), and microglia adopt an increas-
ingly ramified morphology and continued maturation far
beyond birth. tions, and downregulate pathogen-response pathways. They are phagocytic, display highly dynamic ramifications,
respond to activation by clustering and adoption of
ameboid morphology, and produce cytokine profiles that
are specific to co-culture versus monoculture. RESULTS iPSC-Derived Embryonic Macrophages Co-cultured
with iPSC-Derived Neurons Recapitulate Microglial
Development in the Embryo iPSC-Derived Embryonic Macrophages Co-cultured
with iPSC-Derived Neurons Recapitulate Microglial
Development in the Embryo p
y
To recapitulate the development of microglia in the em-
bryo (Figure 1A), we used our previously established pro-
tocol (van Wilgenburg et al., 2013) to generate embry-
onic-like, MYB-independent macrophage precursors from
iPSCs from four different donors (Table S1). Defined-
size embryoid bodies (EBs) are formed using Aggrewells
(STEMCELL Technologies), cultured with bone morphoge-
netic protein 4 (BMP4; to induce mesoderm), vascular
endothelial growth factor (VEGF; endothelial precursors),
and stem cell factor (SCF; hematopoietic precursors), then
plated into large-format flasks with IL-3 and macrophage
colony-stimulating factor (M-CSF) to promote myeloid
differentiation. Most EBs adhere, put out surrounding
adherent stromal cells, and develop cystic, yolk-sac-like
structures. After 3–4 weeks, embryonic-like macrophage
precursors emerge into the supernatant as a uniform popu-
lation of large, round cells with obvious filopodia and ruf-
fles. Originally termed ‘‘monocytes’’ (Karlsson et al., 2008;
van Wilgenburg et al., 2013), we now understand their
ontogeny to be MYB-independent primitive myeloid cells
(Buchrieser et al., 2017), so they are more accurately termed
macrophage precursors (pMacpre, Figure 1B). These can
simply be harvested by collecting the supernatant without
disrupting the EBs and replenishing flasks with fresh me-
dium for many subsequent weekly harvests. The cumula-
tive yield of pMacpre for the lines used in this study was
10- to 43-fold higher than the number of input iPSCs,
consistent with yields previously reported for this protocol
(van Wilgenburg et al., 2013), similar to a recently pub-
lished hiPS-microglia protocol (typically 40-fold) (Abud
et al., 2017), and 10-fold higher than two other recently
published hiPS-microglia protocols (0.5- to 4-fold and
0.8- to 3-fold yields relative to input iPSCs, respectively)
(Muffat et al., 2016; Pandya et al., 2017). h
b
d
f
b In humans there are few opportunities to investigate the
ontogeny of microglia, but it is assumed that the processes
are analogous to those in mice. Yolk sac-derived macro-
phages appear at E17 (Tavian and Peault, 2005), enter the
brain from E31 onward (Rezaie et al., 2005; Monier et al.,
2007), and mature together with neurons to fully functional
ramified microglia (Figure 1A). Human cortical neurons
show spontaneous electrical activity after microglia inva-
sion, from gestation week 20 onwards (Moore et al., 2011). RESULTS Here, we co-culture them with iPSC cortical
neurons (Shi et al., 2012), in medium optimized for sur-
vival and functionality of both neurons and microglia. The resulting co-cultures are stable for many weeks, express
relevant microglia markers (including key disease-related
genes), upregulate pathways relating to homeostatic func- To mimic the subsequent seeding of embryonic macro-
phages into the developing brain, we co-cultured harvested
pMacpre with iPSC-derived cortical neurons (Shi et al.,
2012) (Figure 1C). We designed the co-culture medium to
maintain microglia survival, which is dependent on
signaling through the tyrosine kinase receptor CSF1, so
we included the CSF1R ligand IL-34 (the alternative CSF1 1728
Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017 ure 1. iPSC-Derived Microglia-Neuron Co-culture Recapitulates Microglial Development in the Embryo
Human microglia originate from the yolk sac as primitive macrophages, migrating into the fetal brain before the formatio Figure 1. iPSC-Derived Microglia-Neuron Co-culture Recapitulates Microglial Development in the Embryo
(A) Human microglia originate from the yolk sac as primitive macrophages, migrating into the fetal brain before the formation of the
blood-brain barrier, and completing their maturation in the brain environment. (B) Acronyms used for the cell types in this study. (C) Co-culture of iPSC embryonic macrophages and iPSC-cortical neurons with IL-34 (and, optionally, low level GM-CSF) recapitulates
development of microglia in the brain. White arrows: highly ramified cells most evident in dense neuron clusters. (D) Ramified microglia after 2 weeks of co-culture. Black scale bars, 200 mm; white scale bars, 50 mm. See also Figures S1 and S2; Movie S1. Figure 1. iPSC-Derived Microglia-Neuron Co-culture Recapitulates Microglial Development in the Embryo
(A) Human microglia originate from the yolk sac as primitive macrophages, migrating into the fetal brain before the formation of the
blood-brain barrier, and completing their maturation in the brain environment. (B) Acronyms used for the cell types in this study. (C) Co-culture of iPSC embryonic macrophages and iPSC-cortical neurons with IL-34 (and, optionally, low level GM-CSF) recapitulates
development of microglia in the brain. White arrows: highly ramified cells most evident in dense neuron clusters. (D) Ramified microglia after 2 weeks of co-culture. Black scale bars, 200 mm; white scale bars, 50 mm. See also Figures S1 and S2; Movie S1. Black scale bars, 200 mm; white scale bars, 50 mm. See also Figures S1 and S2; Movie S1. Stem Cell Reports j Vol. Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017
1729 microglia (n = 1, technical PCR triplicates). A second set of bloodMono were also differentiated to macrophages and assessed for these
markers, alongside a second batch of pMac (three genetic backgrounds each). Mean ± SEM, one-way ANOVA, Dunnett’s multiple com-
parisons test versus bloodMono. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001.
See Figures S3 and S4 for further transcriptomic analyses. RESULTS 8 j 1727–1742 j June 6, 2017
1729 A
C
D
B
Figure 2. iPSC Co-culture Microglia Express Consensus Microglia Markers
Illumina HT12v4 transcriptome analysis of blood monocytes (bloodMono), iPSC-derived macrophage precursors (pMacpre), iPSC-derived A D
B A B C D D C Figure 2. iPSC Co-culture Microglia Express Consensus Microglia Markers Illumina HT12v4 transcriptome analysis of blood monocytes (bloodMono), iPSC-derived macrophage precursors (pMacpre), iPSC-derived
macrophages (pMac), iPSC macrophages in microglia medium (pMGL), iPSC co-culture microglia isolated from co-culture (co-pMG), and
freshly isolated human primary fetal microglia (fetalMG) (three genetic backgrounds each). (A) Principal component (PC) analysis of samples based on protein coding gene expression. Numbers in parentheses indicate the per-
centage variance. (B) Cell type analysis. Samples are hierarchically clustered by their expression of metagenes defined by non-negative matrix factorization
from a previously published expression dataset for human cortex myeloid cells, cortical oligodendrocytes, astrocytes, neurons, and
endothelial cells (Zhang et al., 2016). Red asterisks indicate significant clusters (pvclust, approximately unbiased). (
g
)
g
(p
pp
y
)
(C) Expression of consensus human microglia/monocyte markers. Genes found by Melief et al. (2012) to be highest in microglia are
highlighted in green on left-hand bar; six genes identified as being differentially expressed in microglia versus blood monocytes by
Butovsky et al. (2014) are magenta, and TMEM119 (Bennett et al., 2016), is azure. Rows are hierarchically clustered. y
(
)
g
(
)
y
(D) Expression of key microglia markers by qRT-PCR. Fold change was calculated using the DDCT method, with 18S RNA as an endogenous
control and normalization to bloodMono. Three genetic backgrounds for all conditions, as per transcriptome samples, with additional
comparison with cultured adult human microglia (n = 1, with technical PCR triplicates) and with directly isolated/processed adult human (legend continued on next page) (legend continued on next page) 1730
Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017 ligand produced in the brain, M-CSF being the main
ligand in the periphery). We also sought compatibility
with iPSC cortical neurons in culture, but aimed to reduce
the presence of components in neuronal media that
might compromise microglia function, so the neuronal
supplement B27 was not included as it contains corticoste-
rone, superoxide dismutase (SOD), and catalase. RESULTS Finally, in
pilot experiments, we tested the ability of different media
and growth factors to induce ramified microglia-like
morphology in our macrophages, following previous evi-
dence that astrocyte-derived granulocyte M-CSF (GM-
CSF), M-CSF, and transforming growth factor b (TGFb)
can each induce ramified morphology in microglia (Schil-
ling et al., 2001), and that IL-34 and GM-CSF can ramify
blood monocytes (Etemad et al., 2012; Ohgidani et al.,
2014). Advanced DMEM/F12 with N2 and 100 ng/mL IL-
34 satisfied the requirement for CSF1R engagement and
neuronal compatibility, while IL-34 with (optional) low-
dose GM-CSF (10 ng/mL) induced the most ramified
morphology (Figures S1A–S1D), so this microglia medium
was used for all subsequent experiments (Table S2). In
microglia medium and in co-culture with iPSC cortical neu-
rons (pNeurons), pMacpre adopted ramified microglial
morphology with secondary branching within 2 weeks
(Figures 1C and 1D). They are referred to hereafter as co-cul-
ture PSC microglia, or co-pMG. PSC macrophages are
termed pMac, unless cultivated in microglia medium (as
monocultures), when they are termed PSC microglia-like
cells, pMGL. culture medium for persistence in co-culture, as withdrawal
of IL-34 led to depletion of co-pMG (data not shown). Finally, co-culture neurons expressed both deep-layer
(TBR1) and upper-layer (SatB2) cortical identity markers
(Figure S2). Together, these observations indicate that co-
culture conditions were compatible for co-pMG and had
no detrimental effect on the maturity and functionality
of the neurons. Co-culture Is Compatible with iPSC Cortical Neuronal
Maturation and Function Co-culture Is Compatible with iPSC Cortical Neuronal
Maturation and Function Transcriptome Analysis Demonstrates a Microglial
Signature in iPSC Co-culture Microglia Transcriptome Analysis Demonstrates a Microglial
Signature in iPSC Co-culture Microglia To assess to what extent the co-cultured cells resembled
microglia, we isolated co-pMG from the neuronal culture
using CD11b magnetic beads and compared their tran-
scriptome with human fetal microglia (fetalMG), pMGL,
pMac, pMacpre, and fresh adult blood-derived monocytes
(bloodMono). Based on their first two principal components, the sam-
ples separated into three distinct groups comprised of (1)
bloodMono, (2) pMacpre, and (3) pMac, pMGL, co-pMG,
and fetalMG (Figure 2A). The bloodMono and pMacpre
samples showed an orthogonal separation from the
macrophage and microglia samples that is in line with
the different developmental origins of these cells. To
investigate this possibility, we identified the set of genes
significantly differentially expressed between these two
populations (Figure S3 and Table S3). FLT3, a marker of
definitive hematopoiesis, showed higher expression in
the bloodMono samples (5.5-fold, adjusted p < 2.4 3
108), along with several HLA genes, in agreement with
blood monocytes exposure to priming cytokines in the
blood and their role in antigen presentation to T cells. Meanwhile MAF, a known marker of primitive hematopoi-
esis, showed higher expression in pMacpre (21.7-fold,
adjusted p < 7.8 3 107). APOE, variants of which are major
risk factors for AD, was among the most strongly differen-
tially expressed genes, being very low in bloodMono and
high in all other populations (Figure S3A). Co-culture Is Compatible with iPSC Cortical Neuronal Co-culture Is Compatible with iPSC Cortical Neuronal Maturation and Function Maturation and Function (2014), MERTK,
GPR34, PROS1, C1QA, GAS6, and P2RY12, were all
strongly expressed in co-pMG, whereas bloodMono poorly
expressed most of these markers (highlighted in magenta,
Figure 2C) These expression profiles were confirmed by
qRT-PCR (Figure 2D), which also showed that co-pMG
had comparable levels of expression of these microglial
genes with cultured adult human microglia and with
directly processed adult human microglia, and that while
blood monocyte-derived macrophages also upregulated
several of these genes, they mostly did not reach the
same expression level. Notably, pMacpre, pMac, and
pMGL also expressed high levels of most of these genes,
along with many of those identified by Melief et al. (2012). Co-culture Microglia Express Genes Associated with
Major Neurodegenerative Disease Co-culture Microglia Express Genes Associated with
Major Neurodegenerative Disease j
g
Because numerous genes associated with AD, PD, MND/
ALS, and FTD (through acquisition of mutations or SNP
variants) have been found to be expressed in microglia,
we examined the expression of these genes in our transcrip-
tome dataset (Figure 3). FERMT2, TREM2, APOE, and
UCHL1 were expressed in fetalMG and co-pMG but not
in bloodMono (although TREM2 was upregulated in blood-
Mono-derived macrophages, Figure 2D). Other key AD-
related genes expressed in fetalMG and co-pMG (and
bloodMono) included APP, PICALM, and CD33; PD-related
genes included PARK15, PINK1, SNCA, and DJ-1; and MND-
related genes included C9orf72, TDP43, and SOD1. Note
that almost all of these genes were also expressed in
pMacpre, pMac, and pMGL. Together, this shows that our
co-culture system is a relevant model to study the effects
of numerous genes associated with neurodegenerative dis-
ease, and that monoculture pMac or pMGL can be useful
for answering specific disease gene-related questions where
co-culture is impractical. g
y
y
(
)
Next, we investigated the difference between the iPSC-
derived macrophage and microglia populations. A tar-
geted principal components analysis of these samples re-
vealed a weak neural cell signature in the co-cultured
pMG isolated with CD11b beads, but otherwise demon-
strated the close similarity of these cells to fetal microglia
(Figures S4A and S4B). We then sought to better under-
stand the transcriptional differences between the differen-
tiated PSC-derived samples pMac, pMGL, and co-pMG. We focused on genes with high and significantly variable
expression using k-means clustering to identify five
distinct
signatures
of
gene
expression
(Figure
S4C). Maturation and Function Gene ontology analysis identified biological processes
with significant enrichment in these gene sets, demon-
strating that co-pMG downregulate genes in pathways
associated with type I interferon responses (involved in
antiviral responses), Toll-like receptor 1 (TLR1) and TLR2
signaling (bacterial and yeast recognition), and antigen
presentation, relative to the monoculture populations. This implies that co-culture with neurons downregulates
responses to external pathogens. Meanwhile, genes upre-
gulated in co-pMG were enriched for biological processes
including differentiation, chemotaxis/migration, regula-
tion
of
cell-cell
adhesion,
and
metal
ion
response
(Hancock et al., 2014), all of which would be important
for microglia to carry out their homeostatic surveillance
and clearing functions. 1732
Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017 Maturation and Function A tar-
geted principal components analysis of these samples re-
vealed a weak neural cell signature in the co-cultured
pMG isolated with CD11b beads, but otherwise demon-
strated the close similarity of these cells to fetal microglia
(Figures S4A and S4B). We then sought to better under-
stand the transcriptional differences between the differen-
tiated PSC-derived samples pMac, pMGL, and co-pMG. We focused on genes with high and significantly variable
expression using k-means clustering to identify five
distinct
signatures
of
gene
expression
(Figure
S4C). Gene ontology analysis identified biological processes
with significant enrichment in these gene sets, demon-
strating that co-pMG downregulate genes in pathways
associated with type I interferon responses (involved in
antiviral responses), Toll-like receptor 1 (TLR1) and TLR2
signaling (bacterial and yeast recognition), and antigen
presentation, relative to the monoculture populations. This implies that co-culture with neurons downregulates
responses to external pathogens. Meanwhile, genes upre-
gulated in co-pMG were enriched for biological processes
including differentiation, chemotaxis/migration, regula-
tion
of
cell-cell
adhesion,
and
metal
ion
response
(Hancock et al., 2014), all of which would be important
for microglia to carry out their homeostatic surveillance
and clearing functions. Taken together, these results show the transcriptomic
similarity of co-pMG with primary microglia, with expres-
sion of key microglial markers and genes in relevant and fetalMG. Most notably, the six key microglia-specific
genes identified by Butovsky et al. (2014), MERTK,
GPR34, PROS1, C1QA, GAS6, and P2RY12, were all
strongly expressed in co-pMG, whereas bloodMono poorly
expressed most of these markers (highlighted in magenta,
Figure 2C) These expression profiles were confirmed by
qRT-PCR (Figure 2D), which also showed that co-pMG
had comparable levels of expression of these microglial
genes with cultured adult human microglia and with
directly processed adult human microglia, and that while
blood monocyte-derived macrophages also upregulated
several of these genes, they mostly did not reach the
same expression level. Notably, pMacpre, pMac, and
pMGL also expressed high levels of most of these genes,
along with many of those identified by Melief et al. (2012). and fetalMG. Most notably, the six key microglia-specific
genes identified by Butovsky et al. Maturation and Function Co-culture could be extended for at least 42 days, during
which time neurons maintained spontaneous electrical
activity at least as well as neurons cultured alone (Fig-
ure S1E), and calcium flux was observable upon addition
of potassium ions (Movie S1). Pre- and postsynaptic
markers (Synaptophysin and PSD95) were observable in
neuronal monocultures and in co-cultures (Figures S1F
and S1G). Neuronal progenitors present in the cultures
continued to proliferate, leading to an increase in the den-
sity of the cultures, whereas proliferation, as assessed by Ki-
67 staining, was very low in co-pMG (similar to pMGL and
pMac, Figures S1H–S1K). For this reason, most assays were
conducted after 2 weeks of co-culture. Nonetheless, co-
pMG persisted within the extended-duration cultures,
maintaining expected density to at least day 39 (Figure S2). Co-pMG were dependent on CSF1R ligand delivery in the Comparison with a previously published expression da-
taset for cells derived from human brain tissue (Zhang
et al., 2016) showed that all the cell types in the current
study cluster with human cortex myeloid cells and not
with cortical oligodendrocytes, astrocytes, neurons, or
endothelial cells (Figure 2B). As a set, genes previously identified to be associated spe-
cifically with microglia but not with blood monocytes
(Bennett et al., 2016; Butovsky et al., 2014; Melief et al.,
2012) (Figure 2C) showed similar expression in co-pMG Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017
1731 and fetalMG. Most notably, the six key microglia-specific
genes identified by Butovsky et al. (2014), MERTK,
GPR34, PROS1, C1QA, GAS6, and P2RY12, were all
strongly expressed in co-pMG, whereas bloodMono poorly
expressed most of these markers (highlighted in magenta,
Figure 2C) These expression profiles were confirmed by
qRT-PCR (Figure 2D), which also showed that co-pMG
had comparable levels of expression of these microglial
genes with cultured adult human microglia and with
directly processed adult human microglia, and that while
blood monocyte-derived macrophages also upregulated
several of these genes, they mostly did not reach the
same expression level. Notably, pMacpre, pMac, and
pMGL also expressed high levels of most of these genes,
along with many of those identified by Melief et al. (2012). Next, we investigated the difference between the iPSC-
derived macrophage and microglia populations. Co-culture Microglia Express Macrophage-/Microglia-
Relevant Proteins Co-pMG moved constantly, most
of them roughly maintaining their territories. Quantifica-
tion of movement of co-pMG, pMGL, and pMac over
5 hr showed co-pMG moved a significantly greater accu-
mulated distance (251 ± 21 mm; mean ± SEM; n = 6) than
pMGL (119 ± 6 mm; n = 5) and pMac (53 ± 11 mm; n = 5),
bloodMono_1
bloodMono_2
bloodMono_3
pMacpre_1
pMacpre_2
pMacpre_3
pMac_1
pMac_2
pMac_3
pMGL_1
pMGL_2
pMGL_3
co-pMG_1
co-pMG_2
co-pMG_3
fetalMG_1
fetalMG_2
fetalMG_3
APOE
PLD3
CD33
PICALM
BIN1
TREM2
FERMT2
CTSF
RIN3
PTK2B
PSEN1
CELF1
CR1
MS4A1
EPHA1
CLU
HLA-DRB5
CASS4
MAPT
DSG2
ABCA7
SLC24A4
SORL1
NME8
MEF2C
TRIP4
Alzheimers
10
100
10000
Gene expression level
PARK7 (DJ-1)
SNCA
PINK1
FBXO7 (PARK15)
UCHL1
HTRA2 (PARK13)
GIGYF2 (PARK11)
ATP13A2
LRRK2
PLA2G6 (PARK14)
PARK2 (PARKIN)
SOD1
TARDBP (TDP43)
C9orf72
SMN1
Parkinsons
Motor
neuron Parkinsons Motor
neuron (Figures 1B and 1C). These results show that co-pMG and
their primitive precursors express expected microglia and
myeloid-associated proteins, although PSC macrophages
and microglia have not been exposed to the cytokine
milieu of the body and thus have low basal levels of pro-
teins such as MHC antigens. (Figures 1B and 1C). These results show that co-pMG and
their primitive precursors express expected microglia and
myeloid-associated proteins, although PSC macrophages
and microglia have not been exposed to the cytokine
milieu of the body and thus have low basal levels of pro-
teins such as MHC antigens. (Figures 1B and 1C). These results show that co-pMG and
their primitive precursors express expected microglia and
myeloid-associated proteins, although PSC macrophages
and microglia have not been exposed to the cytokine
milieu of the body and thus have low basal levels of pro-
teins such as MHC antigens. RFP gene under the control of the constitutively active
EF-1a
promoter. Co-pMG
roughly
‘‘tile’’
within
the
neuronal culture, making direct contacts with the neurons
(Figure 5A). Live imaging revealed a dynamically remod-
eled ramified morphology, every 5-min and even 12-s
frame revealing changes to primary and secondary branch-
ing (Movies S2 and S3). Co-pMG moved constantly, most
of them roughly maintaining their territories. Quantifica-
tion of movement of co-pMG, pMGL, and pMac over
5 hr showed co-pMG moved a significantly greater accu-
mulated distance (251 ± 21 mm; mean ± SEM; n = 6) than
pMGL (119 ± 6 mm; n = 5) and pMac (53 ± 11 mm; n = 5), Co-culture Microglia Express Macrophage-/Microglia-
Relevant Proteins Co-culture Microglia Express Macrophage-/Microglia-
Relevant Proteins We next sought evidence for the functional protein pro-
ducts of key microglia genes. Flow cytometry with directly
conjugated antibodies showed CD11b (integrin alpha M, a
marker for mature myeloid cells and a subunit of the com-
plement receptor, CR3, also known as Mac-1), CD14 (a
component of the receptor for bacterial lipopolysaccharide
[LPS]), and CD45 (a pan-leukocyte marker and tyrosine
phosphatase which dephosphorylates several receptor
tyrosine kinases), were expressed on all PSC-derived macro-
phage and microglia (Figures 4A and 4B). CD11c (integrin
alpha X, part of the inactivated-C3b receptor 4, CR4), was
well expressed in monoculture cells, but weakly expressed
in co-pMG. HLA-DR (a major histocompatibility complex
[MHC] class II antigen) was undetectable in any PSC-
derived myeloid lineages, reflecting the unprimed culture
conditions. The microglia-associated protein MERTK was
expressed highly on all PSC-derived macrophage and mi-
croglia conditions, while the AD-associated protein CD33
was detected albeit at low levels. An unconjugated poly-
clonal antibody to TMEM119 gave modest staining of
pMGL but background staining was evident in co-culture
cells, and an unconjugated antibody to the purinergic re-
ceptor P2YR12 showed strong staining of pMGL although
background staining was similarly evident in co-culture
(Figure S5). These markers did not increase in a consistent
way during the time course of the co-cultures (Figures
S5C–S5E). IBA1 (a cytoplasmic calcium-binding protein
associated with myeloid cells, particularly microglia) was
readily detectable in co-pMG by immunocytochemistry Taken together, these results show the transcriptomic
similarity of co-pMG with primary microglia, with expres-
sion of key microglial markers and genes in relevant
homeostatic pathways, and downregulation of antimicro-
bial pathways in co-pMG. However, these results also high-
light a previously unappreciated detail, which is that genes
that have been previously identified as being specific to
microglia versus blood monocytes are not necessarily
exclusive to microglia, but a subset of them are more likely
correlates of primitive macrophages, since they are also
highly expressed in pMac. 1732
Stem Cell Reports j Vol. Co-culture Microglia Express Macrophage-/Microglia-
Relevant Proteins 8 j 1727–1742 j June 6, 2017 bloodMono_1
bloodMono_2
bloodMono_3
pMacpre_1
pMacpre_2
pMacpre_3
pMac_1
pMac_2
pMac_3
pMGL_1
pMGL_2
pMGL_3
co-pMG_1
co-pMG_2
co-pMG_3
fetalMG_1
fetalMG_2
fetalMG_3
APOE
PLD3
CD33
PICALM
BIN1
TREM2
FERMT2
CTSF
RIN3
PTK2B
PSEN1
CELF1
CR1
MS4A1
EPHA1
CLU
HLA-DRB5
CASS4
MAPT
DSG2
ABCA7
SLC24A4
SORL1
NME8
MEF2C
TRIP4
APP
PSEN2
ZCWPW1
CD2AP
HLA-DRB1
Alzheimers
10
100
10000
Gene expression level
PARK7 (DJ-1)
SNCA
PINK1
FBXO7 (PARK15)
UCHL1
HTRA2 (PARK13)
GIGYF2 (PARK11)
ATP13A2
LRRK2
PLA2G6 (PARK14)
PARK2 (PARKIN)
SOD1
TARDBP (TDP43)
C9orf72
SMN1
Parkinsons
Motor
neuron
Figure 3. Expression of Genes Associated
with Major Neurodegenerative Disorders
Samples and expression dataset as per
Figure 2. APOE
PLD3
CD33
PICALM
BIN1
TREM2
FERMT2
CTSF
RIN3
PTK2B
PSEN1
CELF1
CR1
MS4A1
EPHA1
CLU
HLA-DRB5
CASS4
MAPT
DSG2
ABCA7
SLC24A4
SORL1
NME8
MEF2C
TRIP4
APP
PSEN2
ZCWPW1
CD2AP
HLA-DRB1
Alzheimers
Figure 3
with Ma
Samples
Figure 2 Figure 3. Expression of Genes Associated
with Major Neurodegenerative Disorders
Samples and expression dataset as per
Figure 2. bloodMono_1
bloodMono_2
bloodMono_3
pMacpre_1
pMacpre_2
pMacpre_3
pMac_1
pMac_2
pMac_3
pMGL_1
pMGL_2
pMGL_3
co-pMG_1
co-pMG_2
co-pMG_3
fetalMG_1
fetalMG_2
fetalMG_3
APOE
PLD3
CD33
PICALM
BIN1
TREM2
FERMT2
CTSF
RIN3
PTK2B
PSEN1
CELF1
CR1
MS4A1
EPHA1
CLU
HLA-DRB5
CASS4
MAPT
DSG2
ABCA7
SLC24A4
SORL1
NME8
MEF2C
TRIP4
APP
PSEN2
ZCWPW1
CD2AP
HLA-DRB1
Alzheimers
10
100
10000
Gene expression level
PARK7 (DJ-1)
SNCA
PINK1
FBXO7 (PARK15)
UCHL1
HTRA2 (PARK13)
GIGYF2 (PARK11)
ATP13A2
LRRK2
PLA2G6 (PARK14)
PARK2 (PARKIN)
SOD1
TARDBP (TDP43)
C9orf72
SMN1
Parkinsons
Motor
neuron
Figure 3. Expression of Gen
with Major Neurodegenerat
Samples and expression da
Figure 2. (Figures 1B and 1C). These results show that co-pMG and
their primitive precursors express expected microglia and
myeloid-associated proteins, although PSC macrophages
and microglia have not been exposed to the cytokine
milieu of the body and thus have low basal levels of pro-
teins such as MHC antigens. Co-culture Promotes Microglial Ramification and
Motility
To identify and image microglia live in co-culture, we used
co-pMG differentiated from an iPSC line containing mul-
tiple copies of an integrated lentivector containing the
RFP gene under the control of the constitutively active
EF-1a
promoter. Co-pMG
roughly
‘‘tile’’
within
the
neuronal culture, making direct contacts with the neurons
(Figure 5A). Live imaging revealed a dynamically remod-
eled ramified morphology, every 5-min and even 12-s
frame revealing changes to primary and secondary branch-
ing (Movies S2 and S3). Co-culture Promotes Microglial Ramification and
Motility To identify and image microglia live in co-culture, we used
co-pMG differentiated from an iPSC line containing mul-
tiple copies of an integrated lentivector containing the Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017
1733 (legend on nex
Stem Cell Reports j Vol 8 j 1727–1742 j June 6 2017 (legend on next page) (legend on next page) 1734
Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017 investigation using Luminex multiplex array, with super-
natants from pMac, pMGL, co-pMG, and pNeuron, with
or without LPS/IFNg stimulation (Figure 7). There was
broad correspondence across Proteome Profiler and Lumi-
nex
platforms. Unstimulated
neurons
secreted
only
macrophage
migration
inhibitory
factor
(MIF)
and
VEGF-A, and when stimulated secreted IL-6, IL-8, and a
subset of chemokines. pMac secreted very few cytokines
constitutively
(macrophage
inflammatory
protein
1a
[MIP1a] and MIPb, CXCL1 and CXCL10, IL-8, and MIF),
but secreted the entire panel of 22 cytokines upon stimu-
lation, in concordance with our previous publication
(which also includes comparison with blood monocyte-
derived macrophages [Jiang et al., 2012]). pMGL had a
higher baseline number of cytokines secreted, and upregu-
lated most cytokines upon stimulation (except IL-23A). GM-CSF did not account for this difference, as its absence
did not significantly change the cytokine profile of pMGL
(Figure S6). which hardly moved at all (Figures 5B–5F). Together, these
results show that co-pMG display the morphology and dy-
namic behavior expected of microglia, continually sensing
and responding to their neuronal environment. These fea-
tures were a direct result of physical contact with neurons,
as cells monocultured on tissue-culture plastic did not
display such dynamic microglial characteristics. Co-culture Microglia Are Phagocytically Competent
We have previously demonstrated that pMac are compe-
tent at phagocytosing particles, progressive acidification
of the maturing phagosome being detectable using par-
ticles coupled to pH-sensitive fluorophores (Kapellos
et al., 2016). pH-sensitive fluorescent zymosan particles
added to co-cultures became visible inside co-pMG,
within 1 hr, comparable with pMac (Movie S4), indi-
cating the competent development of mature phago-
somes in co-pMG. Co-pMG displayed an overall dampened secretion of
chemokines and cytokines versus pMGL, both constitutive
and induced. Interestingly, SerpinE1 (a serine protease in-
hibitor that inhibits fibrinolysis) and VEGF-A (stimulates
angiogenesis) were significantly higher in activated co-
culture versus monoculture, suggesting that tissue remod-
eling factors are specifically induced in co-culture. Figure 4. iPSC Co-culture Microglia Express Relevant Protein Markers
(A) Flow cytometry of cells differentiated from one line (SFC856-03-04, black line is surface marker, filled gray area is isotype control).
pMacPre were differentiated for 14 days to pMac, pMGL, or co-cultured with neurons to obtain co-pMG, which were either stained in single-
cell suspension of the co-culture or isolated with CD11b beads before staining.
(B) Expression of surface markers (three genetic backgrounds, lines SBAD3-01, SFC840-03-03, SFC856-03-04) in pMacpre, pMac, pMGL, and
co-cultures at 2, 7, 10, and 14 days. To remove obviously non-myeloid cells from MFI analysis, we set a gate to FL1, FL2, and FL4 for all
cytometry data. Error bars denote SEM.
See Figure S7 for FSC/SSC gating and additional cytometry data. iPSC Microglia Display Co-culture-Specific
Inflammatory Responses To explore the ability of co-pMG to respond physically to
inflammatory signals, we stimulated co-cultures with LPS
and imaged them over the next 20 hr. Unstimulated co-
pMG retained roughly territorial surveillance behavior
over the whole imaging period (Movie S5), suggesting no
imaging-induced activation. In contrast, within 5 hr LPS-
stimulated co-pMG migrated to form clusters, and some
microglia had reduced ramifications and increased area-
to-perimeter ratio, indicative of transition to activated,
ameboid microglia (Figures 6A–6C and Movie S5). Clus-
tering was measured as distance to nearest neighbor,
showing a leftward shift (i.e., smaller distance) in curves
for LPS-treated cultures, indicative of the clustering clearly
observable by eye (Figure 6D). Blinded morphology scoring
showed a significant increase in the proportion of cells
with activated morphology in LPS-treated cultures in six
analyzed videos (time point mean ± SEM: 0 hr, 4.1 ± 0.6;
10 hr, 7.6 ± 1.1; 20 hr, 8.1 ± 0.8; Figure 6E). Co-culture Promotes Microglial Ramification and
Motility Mean-
while, IL-10, which is anti-inflammatory, was significantly
increased in activated co-culture versus monocultures. Together, these results indicate that co-culture induces spe-
cific anti-inflammatory and pro-remodeling responses not
seen in corresponding monocultures. y
y
See Figure S7 for FSC/SSC gating and additional cytometry data. DISCUSSION We have established a highly efficient in vitro human iPSC-
derived microglia-neuron co-culture model, which recapitu-
lates the ontogenetic development of microglia in vivo. Co-pMG
can be maintained
in co-culture,
retaining
neuronal maturity and functionality for many weeks. They
express key human microglia-specific markers and neurode-
generative disease-relevant genes, upregulate homeostatic
pathways,
downregulate
pathogen-response
pathways,
and exhibit a transcriptional profile similar to that of fetal To examine the cytokine responses of co-pMG, we
compared co-pMG and pMac using Proteome Profiler for
102 cytokines with and without maximal activation
(LPS/interferon-g
[IFNg],
Table
S2). Differentially
ex-
pressed cytokines were then selected for a more detailed Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017
1735 igure 5. Co-culture with Neurons Promotes iPSC-Microglial Motility
Macrophages and co-culture microglia were imaged every 5 min for 5 hr (two videos each of three cultures i.e., six replicates
ondition). A) co-pMG expressing RFP to enable identification in co-culture. Scale bar, 200 mm. B–D) Tracks of co-culture microglia (co-pMG; B), compared with cells on tissue-culture plastic: pMGL (C) and pMac (D). (E) A
l t d di t Figure 5. Co-culture with Neurons Promotes iPSC-Microglial Motility Figure 5. Co-culture with Neurons Promotes iPSC-Microglial Motility
Macrophages and co-culture microglia were imaged every 5 min for 5 hr (two videos each of three cultures i.e., six replicates per
condition). g
g
y
Macrophages and co-culture microglia were imaged every 5 min for 5 hr (two videos each of three cultures i.e., six replicates per
condition). (A) co-pMG expressing RFP to enable identification in co-culture. Scale bar, 200 mm. (B–D) Tracks of co-culture microglia (co-pMG; B), compared with cells on tissue-culture plastic: pMGL (C) and pMac (D). j pressing RFP to enable identification in co-culture. Scale bar, 200 mm. f co-culture microglia (co-pMG; B), compared with cells on tissue-culture plastic: pMGL (C) and pMac (D). t d di t ( )
(
g
,
)
Error bars represent SD. Statistical analysis by Tukey’s multiple comparisons test. *p < 0.05, ***p < 0.001, ****p < 0.0001; n.s., not
significant. See also Movies S2, S3, andS4. microglia. Co-pMG are phagocytic, adopt a highly dynamic
ramified microglia-like morphology, upon activation dis-
play an activated morphology, and release a battery of
microglia-relevant cytokines, with co-culture promoting a more anti-inflammatory and pro-remodeling cytokine res-
ponse than corresponding monocultures. DISCUSSION This shows the
relevance of using co-culture to examine direct and para-
crine microglia-neuronal interactions. 1736
Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017 Since primary human microglia can only be obtained
from fresh brain material, previous efforts have been
made by others to develop methods for deriving microglia
in vitro. Etemad and colleagues used human blood mono-
cytes as the starting point (Etemad et al., 2012; Ohgidani
et al., 2014), but it is now known that this pathway poorly
recapitulates microglia ontogenesis and that blood is not a
limitless source of cells, unlike PSCs. Beutner et al. (2013)
described a method for deriving microglia from mouse em-
bryonic stem cells, and, using the same methodology,
Almeida et al. (2012) derived microglia from human iPSCs. However, this method directs the EBs through a neuronal
differentiation pathway and thus does not replicate yolk
sac myelopoiesis. Moreover, these cells do not express a
convincing microglia signature (Butovsky et al., 2014; Me-
lief et al., 2012). Schwartz et al. (2015) recently successfully
seeded iPSC macrophages into 3D iPSC-neuronal structures
for toxicity testing, but did not characterize the resulting
cells extensively. microglia medium avoids B27, which contains cortisone,
SOD, and catalase (likely to compromise microglia func-
tion). Muffat et al. (2016) characterized their iPSC micro-
glia in monoculture, briefly assessing co-culture, and Pan-
dya et al. (2017) characterized their iPSC microglia in
monoculture following isolation from astrocytes. We
have extensively characterized iPSC microglia in co-cul-
ture with iPSC cortical neurons, where cells have highly
ramified, dynamic characteristics, and compared directly
to the intermediate and parallel monoculture stages of dif-
ferentiation. This reveals that while key microglia genes
are expressed in co-pMG, they are often also expressed
in pMacpre, pMac, and pMGL, indicating that such genes
may be features of primitive macrophages rather than be-
ing microglia specific, and that comparison only with
blood monocytes/macrophages does not give a complete
interpretation. Finally, we show that co-culture induces
a unique cytokine profile which is not the sum of
monocultures. There is a fast-growing interest in microglia, as they
are increasingly implicated in neurodegenerative disease,
neurodevelopmental disorders, and in neuropathic pain. Our iPSC microglia transcribe key genes involved in AD,
PD, and MND. Several other disease-associated genes,
including LRRK2, would be expected to be upregulated
upon microglial stimulation (reviewed in Lee et al.,
2017). DISCUSSION Many of these genes are likely involved in phago-
cytosis and processing of misfolded proteins and of dying
neurons (common features of these diseases), and in
generating
inappropriate
chronic
cytokine
responses
that exacerbate neuronal damage, creating a destructive
cycle. Human iPSC microglia models enable study of
these gene products at their correct gene dosage, in an
authentic human in vitro system. Some of these func-
tions and disease-relevant genes can be studied in the
monoculture
conditions
detailed
here,
but
others,
involving crosstalk between microglia
and neurons,
such as paired receptor engagement, paracrine signaling,
damage responses, synaptic surveillance, and pruning,
will be better studied using the co-culture model we
have described. The system is also amenable to scaling
for the development of drug-screening assays to identify
compounds that can improve microglial homeostatic
clearance functions and dampen chronically activated
microglia. In 2008, we derived human PSC macrophages using a
very simple methodology without OP9 feeders (Karlsson
et al., 2008), which we subsequently adapted to a fully
defined, robust serum-free protocol (van Wilgenburg
et al., 2013), now widely used by others (Aflaki et al.,
2014; Alasoo et al., 2015; Gupta et al., 2016). Our own
work (Buchrieser et al., 2017) and that of others (Hoeffel
et al., 2015) indicates that this protocol produces MYB-in-
dependent myeloid cells, recapitulating an embryonic
ontogeny, and lineage-tracking studies in mouse have
demonstrated that microglia derive from primitive, yolk
sac macrophages that migrate into the developing brain
(Ginhoux et al., 2010, 2013). Together, this provides a
rationale for deriving PSC microglia, using PSC macro-
phages as a starting point and then skewing them toward
a microglial phenotype. During the drafting of this manu-
script, three protocols along these general principles have
been published (Abud et al., 2017; Muffat et al., 2016;
Pandya et al., 2017). Where our analyses overlap, there
is broad consensus. However, only our protocol has direct
evidence by gene knockout for producing MYB-indepen-
dent primitive macrophages (Buchrieser et al., 2017). It is robust and efficient: time frame 1 month, versus
2 months for Muffat et al. (2016); yield 10–43 per starting
iPSC for our protocol, versus 0.5–4 for Muffat et al. (2016)
and Pandya et al. (2017); manipulation consisting of
once-weekly feeding of differentiation cultures in flasks,
simple supernatant harvest of pure precursors, and mul-
tiple harvests possible, versus sequential trituration/re-
plating steps for Muffat et al. DISCUSSION (2016), fluorescence-acti-
vated cell (FAC) sorting/plating on astrocytes/second
FAC sorting for Pandya et al. (2017), and low oxygen con-
centrations/several replatings/five different cytokine cock-
tails/FAC sorting progenitors for Abud et al. (2017). Our EXPERIMENTAL PROCEDURES (legend continued on next page) Statistics GraphPad Prism was used for statistical analysis. One-way ANOVA
and Dunnett’s multiple comparisons, Tukey’s multiple compari-
sons, or paired two-tailed t test (for single comparisons) were
used as indicated. Values are indicated in figures as *p < 0.05,
**p < 0.01, ***p < 0.001, ****p < 0.0001, and n.s. (not significant). Numbers in parentheses are (mean ± SEM, n). EXPERIMENTAL PROCEDURES Consent for Use of Human Material
All human material (iPSCs, adult blood, fetal and adult microglia)
was obtained with informed consent and with the approval of
the relevant institutions (see Supplemental Information for full
details). Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017
1737 gure 6. LPS Induces Inflammatory Morphology and Clustering in Co-culture Microglia
A–D) Microglial morphology displayed as inverted LUT black and white images of RFP-iPSC microglia in co-culture. (A) Images (co-cu
ay 12) every 5 min for 10 hr. Representative images of LPS-stimulated co-pMG are shown at 0, 5, and 10 hr. (B) co-pMG clustering on
imulation shown by cell tracking. (C–E) Quantitative analysis (two videos each of three cultures, i.e., six replicates per conditi
mages were taken on co-culture on day 14 every 5 min for 20 hr. (C) Representative images of 0-hr and 20-hr time points; Bottom pa
ea in the black square magnified to show microglial morphology: unstimulated co-pMG show no obvious changes in morphology du
maging period, but on LPS stimulation some microglia cluster, adopting more ameboid morphology with shorter processes and hi
ea-to-perimeter ratio, representative of a pro-inflammatory phenotype (black arrows). (D) Distance between microglia clustering u
(legend continued on next p
738
Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017 Figure 6. LPS Induces Inflammatory Morphology and Clustering in Co-culture Microglia Figure 6. LPS Induces Inflammatory Morphology and Clustering in Co-culture Microglia (A–D) Microglial morphology displayed as inverted LUT black and white images of RFP-iPSC microglia in co-culture. (A) Images (co-culture
day 12) every 5 min for 10 hr. Representative images of LPS-stimulated co-pMG are shown at 0, 5, and 10 hr. (B) co-pMG clustering on LPS
stimulation shown by cell tracking. (C–E) Quantitative analysis (two videos each of three cultures, i.e., six replicates per condition). Images were taken on co-culture on day 14 every 5 min for 20 hr. (C) Representative images of 0-hr and 20-hr time points; Bottom panel:
area in the black square magnified to show microglial morphology: unstimulated co-pMG show no obvious changes in morphology during
imaging period, but on LPS stimulation some microglia cluster, adopting more ameboid morphology with shorter processes and higher
area-to-perimeter ratio, representative of a pro-inflammatory phenotype (black arrows). (D) Distance between microglia clustering upon (legend continued on next page) 1738
Stem Cell Reports j Vol. ACCESSION NUMBERS The accession number for the Illumina HT12v4 expression array
datasets reported in this paper is GEO: GSE89795. EXPERIMENTAL PROCEDURES 8 j 1727–1742 j June 6, 2017 6-well plate, or Ibidi 8-well slide) at 100,000 cells/cm2 and cultured
for 14 days in NMM. pMacpre were resuspended in microglia me-
dium, added at 100,000 cells/cm2 to neurons, and co-cultured for a
minimum 14 days before assaying. Macrophage Differentiation Macrophage Differentiation
See Supplemental Experimental Procedures for details of cells and
assays used. iPSCs were differentiated to macrophages as previ-
ously described (van Wilgenburg et al., 2013). In short, 3 3 106
iPSCs were seeded into an Aggrewell 800 well (STEMCELLTechnol-
ogies) to form EBs, in mTeSR1 and fed daily with medium plus
50 ng/mL BMP4 (Peprotech), 50 ng/mL VEGF (Peprotech), and
20 ng/mL SCF (Miltenyi Biotec). Four-day EBs were then differen-
tiated in either 6-well plates (15 EBs/well), T75 (75 EBs), or T175
flasks (150 EBs) in X-VIVO15 (Lonza), supplemented with
100 ng/mL M-CSF (Invitrogen), 25 ng/mL IL-3 (R&D), 2 mM Glu-
tamax (Invitrogen), 100 U/mL penicillin and 100 mg/mL strepto-
mycin (Invitrogen), and 0.055 mM b-mercaptoethanol (Invitro-
gen), with fresh medium added weekly. pMacpre emerging into
the supernatant after approximately 1 month were collected
weekly and differentiation cultures replenished with fresh me-
dium. Harvested cells were strained (40 mm, Corning) and used:
either directly as pMacpre; or plated onto tissue-culture treated
plastic or glass coverslips at 100,000 per cm2 and differentiated
for 7 days or more to pMac in X-VIVO15 with 100 ng/mL M-CSF,
2 mM Glutamax, 100 U/mL penicillin, and 100 mg/mL strepto-
mycin; or co-cultured with iPSC-derived neurons. AUTHOR CONTRIBUTIONS iPSCs were differentiated to cortical neuron progenitors (NPCs)
(Shi et al., 2012) with the following modifications: feeder-free
iPSCs were plated onto Matrigel-coated 6-well plates, with neural
induction for 12 days using dual SMAD inhibition; after replating
the neuroepithelial sheet at day 12 using dispase, 20 ng/mL fibro-
blast growth factor 2 (FGF2) was added to neural maintenance me-
dium (NMM) on days 13–17, newly formed rosettes were dispased
on days 17–18, and stocks of NPC were frozen at days 25–30. Conceptualization, S.A.C., W.S.J., and W.H.; Methodology, S.E.N.,
S.C., W.H., S.A.C., and S.N.S.; Investigation, W.H.; Formal Analysis,
W.H. and S.N.S.; Writing, W.H. and S.A.C.; Writing – Original
Draft, W.H., S.N.S., and S.A.C.; Writing – Review & Editing,
S.A.C., R.W.-M., M.Z.C., and W.S.J.; Funding Acquisition, S.A.C.,
R.W.-M., M.Z.C., W.H., and W.S.J.; Resources, N.D.A., S.E.N.,
C.S., F.J.N., C.S.M., J.P.A., S.C., S.N.S., and J.B.; Supervision,
S.A.C. and W.S.J. Conceptualization, S.A.C., W.S.J., and W.H.; Methodology, S.E.N.,
S.C., W.H., S.A.C., and S.N.S.; Investigation, W.H.; Formal Analysis,
W.H. and S.N.S.; Writing, W.H. and S.A.C.; Writing – Original
Draft, W.H., S.N.S., and S.A.C.; Writing – Review & Editing,
S.A.C., R.W.-M., M.Z.C., and W.S.J.; Funding Acquisition, S.A.C.,
R.W.-M., M.Z.C., W.H., and W.S.J.; Resources, N.D.A., S.E.N.,
C.S., F.J.N., C.S.M., J.P.A., S.C., S.N.S., and J.B.; Supervision,
S.A.C. and W.S.J. stimulation is evidenced by a leftward shift of the plot after 10 hr and 20 hr. (E) Micrographs were scored blind by three independent
assessors for number of microglia with activated morphology. Statistical analysis by Dunnett’s multiple comparison test. n.s., not
significant; *p < 0.05.
Scale bars 200 mm See also Movie S5 ACKNOWLEDGMENTS In pilot experiments, macrophages were differentiated in three
different basal media (XVIVO15, RPMI, or Advanced DMEM/
F12 + N2 supplement) supplemented with 2 mM Glutamax,
100 U/mL penicillin and 100 mg/mL streptomycin, and 0.055 mM
b-mercaptoethanol, with combinations of 100 ng/mL M-CSF (Invi-
trogen), 100 ng/mL IL-34 (Peprotech or Biolegend), and 10 ng/mL
GM-CSF (Invitrogen). ADMEM/F12 + N2 supplement +100 ng/mL
IL-34 + 10 ng/mL GM-CSF microglia medium was used for all
further experiments (for details see Table S2). Financial support: The Wellcome Trust WTISSF121302 and the Ox-
ford Martin School LC0910-004 (James Martin Stem Cell Facility
Oxford, W.H., S.A.C.); the MRC Dementias Platform UK Stem
Cell Network Capital Equipment MC_EX_MR/N50192X/1, Part-
nership MR/N013255/1 (W.H., S.A.C., N.A., R.W.-M.) and Mo-
mentum MC_PC_16034 (W.H., S.A.C., M.Z.C.) Awards; the Swiss
National Foundation Early Postdoc Mobility, 148607, and ARUK
Oxford pilot grant (W.H.); the Kennedy Institute of Rheumatology
Trust (S.N.S.); Royal Society Dorothy Hodgkin Fellowship (S.E.N.);
Medical Research Council, Heatley Merck Sharpe and Dohme
studentship (J.B.); seventh Framework Program, RepairHD (C.S.). The work was supported by the Innovative Medicines Initia-
tive Joint Undertaking under grant agreement number 115439,
resources of which are composed of financial contribution
from the European Union’s Seventh Framework Program (FP7/
2007e2013) and EFPIA companies’ in kind contribution. We thank SUPPLEMENTAL INFORMATION Supplemental Information includes Supplemental Experimental
Procedures, six figures, three tables, and five movies and can be
found with this article online at http://dx.doi.org/10.1016/j. stemcr.2017.05.017. Microglia-Neuron Co-culture NPCs were thawed, centrifuged (200 3 g, 10-fold volume NMM),
and plated onto Matrigel in NMM supplemented with 10 mmol/L
Y-27632 and 20 ng/mL FGF2. Medium was replaced the next day
and every other day thereafter with NMM. After 7 days they were
dissociated to single cells with StemPro Accutase (STEMCELL),
added to their final Matrigel-coated format (Corning 96-well or Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017
1739 Figure 7. Cytokine Profiles of Co-culture versus Monocultures
Eighteen-hour supernatants from cells stimulated with or without LPS/IFNg were assayed with a Luminex multiplex assay. DMEM/F12/N
based microglia medium was used for monoculture (pMGL), co-culture (co-pMG), and neuron-only culture (pNeuron); standard XVIVO1
based macrophage medium was used for pMac. Medium alone contained negligible levels of all cytokines tested. Supernatants from line
SBAD3-01 neurons ± SFC180-01-01, SFC840-03-03, and SFC856-03-04 macrophages/microglia. (A) Unstimulated cells. (B) LPS/IFNg-stimulated cells. h
b
k
d
k
d
fi
d ff
b
d
b
l d
d Figure 7. Cytokine Profiles of Co-culture versus Monocultures Eighteen-hour supernatants from cells stimulated with or without LPS/IFNg were assayed with a Luminex multiplex assay. DMEM/F12/N2-
based microglia medium was used for monoculture (pMGL), co-culture (co-pMG), and neuron-only culture (pNeuron); standard XVIVO15-
based macrophage medium was used for pMac. Medium alone contained negligible levels of all cytokines tested. Supernatants from lines:
SBAD3-01 neurons ± SFC180-01-01, SFC840-03-03, and SFC856-03-04 macrophages/microglia. Eighteen-hour supernatants from cells stimulated with or without LPS/IFNg were assayed with a Luminex multiplex assay. DMEM/F12/N2-
based microglia medium was used for monoculture (pMGL), co-culture (co-pMG), and neuron-only culture (pNeuron); standard XVIVO15-
based macrophage medium was used for pMac. Medium alone contained negligible levels of all cytokines tested. Supernatants from lines:
SBAD3-01 neurons ± SFC180-01-01, SFC840-03-03, and SFC856-03-04 macrophages/microglia. (A) Unstimulated cells. ( )
/
g
Mean ± SD, three genetic backgrounds. Asterisks indicate significant difference between co-pMG and pMGL by two-tailed paired t test. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. See Table S2 for further factors tested with pMac and co-pMG, and Figure S6 for effect
of additional media and growth factor combinations on cytokine secretion. ( )
/
g
Mean ± SD, three genetic backgrounds. Asterisks indicate significant difference between co-pMG and pMGL by two-tailed paired t test. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. REFERENCES Ginhoux, F., Greter, M., Leboeuf, M., Nandi, S., See, P., Gokhan, S.,
Mehler, M., Conway, S., Ng, L., Stanley, R., et al. (2010). Fate map-
ping analysis reveals that adult microglia derive from primitive
macrophages. Science 330, 841–845. Abud, E., Ramirez, R., Martinez, E., Healy, L., Nguyen, C., Newman,
S., Yeromin, A., Scarfone, V., Marsh, S., Fimbres, C., et al. (2017). Abud, E., Ramirez, R., Martinez, E., Healy, L., Nguyen, C., Newman,
S., Yeromin, A., Scarfone, V., Marsh, S., Fimbres, C., et al. (2017). iPSC-derived human microglia-like cells to study neurological dis-
eases. Neuron 94, 278–293.e9. Ginhoux, F., Lim, S., Hoeffel, G., Low, D., and Huber, T. (2013). Origin and differentiation of microglia. Front. Cell Neurosci. 7, 45. Aflaki, E., Stubblefield, B., Maniwang, E., Lopez, G., Moaven, N.,
Goldin, E., Marugan, J., Patnaik, S., Dutra, A., Southall, N., et al. (2014). Macrophage models of Gaucher disease for evaluating
disease pathogenesis and candidate drugs. Sci. Transl. Med. 6,
240ra73. Gomez Perdiguero, E., Klapproth, K., Schulz, C., Busch, K., Azzoni, Gomez Perdiguero, E., Klapproth, K., Schulz, C., Busch, K., Azzoni,
E., Crozet, L., Garner, H., Trouillet, C., de Bruijn, M.F., Geissmann,
F., et al. (2015). Tissue-resident macrophages originate from yolk-
sac-derived erythro-myeloid progenitors. Nature 518, 547–551. Alasoo, K., Martinez, F.O., Hale, C., Gordon, S., Powrie, F., Dougan,
G., Mukhopadhyay, S., and Gaffney, D.J. (2015). Transcriptional
profiling of macrophages derived from monocytes and iPS cells
identifies a conserved response to LPS and novel alternative tran-
scription. Sci. Rep. 5, 12524. Greter, M., Lelios, I., Pelczar, P., Hoeffel, G., Price, J., Leboeuf, M.,
Kundig, T.M., Frei, K., Ginhoux, F., Merad, M., et al. (2012). Stroma-derived interleukin-34 controls the development and
maintenance of Langerhans cells and the maintenance of micro-
glia. Immunity 37, 1050–1060. Almeida, S., Zhang, Z., Coppola, G., Mao, W., Futai, K., Karydas, A.,
Geschwind, M.D., Tartaglia, M.C., Gao, F., Gianni, D., et al. (2012). Induced pluripotent stem cell models of progranulin-deficient
frontotemporal dementia uncover specific reversible neuronal de-
fects. Cell Rep. 2, 789–798. Guilliams, M., Ginhoux, F., Jakubzick, C., Naik, S., Onai, N.,
Schraml, B., Segura, E., Tussiwand, R., and Yona, S. (2014). Den-
dritic cells, monocytes and macrophages: a unified nomenclature
based on ontogeny. Nat. Rev. Immunol. 14, 571–578. Bain, C.C., Bravo-Blas, A., Scott, C.L., Gomez Perdiguero, E., Geiss-
mann, F., Henri, S., Malissen, B., Osborne, L.C., Artis, D., and
Mowat, A.M. (2014). REFERENCES Constant replenishment from circulating
monocytes maintains the macrophage pool in the intestine of
adult mice. Nat. Immunol. 15, 929–937. Gupta, R., Meissner, T., Cowan, C., and Musunuru, K. (2016). Genome-edited human pluripotent stem cell–derived macro-
phages as a model of reverse cholesterol transport—brief report. Arterioscler. Thromb. Vasc. Biol. 36, 15–18. Hancock, S., Finkelstein, D., and Adlard, P. (2014). Glia and zinc in
ageing and Alzheimer’s disease: a mechanism for cognitive
decline? Front. Aging Neurosci. 6, 137. Bennett, M., Bennett, C., Liddelow, S., Ajami, B., Zamanian, J.,
Fernhoff, N., Mulinyawe, S., Bohlen, C., Adil, A., Tucker, A., et al. (2016). New tools for studying microglia in the mouse and human Bennett, M., Bennett, C., Liddelow, S., Ajami, B., Zamanian, J.,
Fernhoff, N., Mulinyawe, S., Bohlen, C., Adil, A., Tucker, A., et al. (2016). New tools for studying microglia in the mouse and human
CNS. Proc. Natl. Acad. Sci. USA 113, E1738–E1746. Fernhoff, N., Mulinyawe, S., Bohlen, C., Adil, A., Tucker, A., et al. (2016). New tools for studying microglia in the mouse and human
CNS. Proc. Natl. Acad. Sci. USA 113, E1738–E1746. Hoeffel, G., and Ginhoux, F. (2015). Ontogeny of tissue-resident
macrophages. Front. Immunol. 6, 486. Beutner, C., Linnartz-Gerlach, B., Schmidt, S.V., Beyer, M., Mall-
mann, M.R., Staratschek-Jox, A., Schultze, J.L., and Neumann, H. (2013). Unique transcriptome signature of mouse microglia. Glia
61, 1429–1442. Hoeffel, G., Chen, J., Lavin, Y., Low, D., Almeida, F.F., See, P.,
Beaudin, A.E., Lum, J., Low, I., Forsberg, E.C., et al. (2015). C-Myb(+) erythro-myeloid progenitor-derived fetal monocytes
give rise to adult tissue-resident macrophages. Immunity 42,
665–678. Buchrieser, J., James, W., and Moore, M. (2017). Human induced
pluripotent stem cell-derived macrophages share ontogeny with
MYB-independent tissue-resident macrophages. Stem Cell Rep. 8,
334–345. Jiang, Y., Cowley, S., Siler, U., Melguizo, D., Tilgner, K., Browne, C.,
Dewilton, A., Przyborski, S., Saretzki, G., James, W., et al. (2012). Derivation and functional analysis of patient-specific induced
pluripotent stem cells as an in vitro model of chronic granuloma-
tous disease. Stem Cells 30, 599–611. Butovsky, O., Jedrychowski, M.P., Moore, C.S., Cialic, R., Lanser,
A.J., Gabriely, G., Koeglsperger, T., Dake, B., Wu, P.M., Doykan,
C.E., et al. (2014). Identification of a unique TGF-beta-dependent
molecular and functional signature in microglia. Nat. Neurosci. 17, 131–143. Kapellos, T., Taylor, L., Lee, H., Cowley, S., James, W., Iqbal, A., and
Greaves, D. (2016). A novel real time imaging platform to quantify
macrophage phagocytosis. Biochem. Pharmacol. 116, 107–119. Microglia-Neuron Co-culture See Table S2 for further factors tested with pMac and co-pMG, and Figure S6 for effect
of additional media and growth factor combinations on cytokine secretion. Screening Center for instrument support. Samples and associated
clinical data were supplied by the Oxford Parkinson’s Disease Cen-
ter (OPDC) study, funded by the Monument Trust Discovery
Award from Parkinson’s UK, a charity registered in England and
Wales (2581970) and in Scotland (SC037554), with the support Screening Center for instrument support. Samples and associated
clinical data were supplied by the Oxford Parkinson’s Disease Cen-
ter (OPDC) study, funded by the Monument Trust Discovery
Award from Parkinson’s UK, a charity registered in England and
Wales (2581970) and in Scotland (SC037554), with the support the High-Throughput Genomics Group at the Wellcome Trust
Center for Human Genetics, Oxford (Funded by Wellcome Trust
grant reference 090532/Z/09/Z and MRC Hub grant G0900747
91070) for the generation of Illumina genotyping and transcrip-
tome data. We would also like to thank the National Phenotypic 1740
Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017 1740 of the National Institute for Health Research (NIHR) Oxford
Biomedical Research Center based at Oxford University Hospitals
NHS Trust and University of Oxford, and the NIHR Comprehen-
sive Local Research Network. origin and properties of resident macrophages. J. Exp. Med. 212,
1497–1512. of the National Institute for Health Research (NIHR) Oxford
Biomedical Research Center based at Oxford University Hospitals
NHS Trust and University of Oxford, and the NIHR Comprehen-
sive Local Research Network. Epelman, S., Lavine, K.J., Beaudin, A.E., Sojka, D.K., Carrero, J.A.,
Calderon, B., Brija, T., Gautier, E.L., Ivanov, S., Satpathy, A.T.,
et al. (2014). Embryonic and adult-derived resident cardiac macro-
phages are maintained through distinct mechanisms at steady
state and during inflammation. Immunity 40, 91–104. Received: November 7, 2016
Revised: May 15, 2017
Accepted: May 15, 2017
Published: June 6, 2017 Etemad, S., Zamin, R.M., Ruitenberg, M.J., and Filgueira, L. (2012). A novel in vitro human microglia model: characterization of
human monocyte-derived microglia. J. Neurosci. Methods 209,
79–89. REFERENCES Calderon, B., Carrero, J.A., Ferris, S.T., Sojka, D.K., Moore, L.,
Epelman, S., Murphy, K.M., Yokoyama, W.M., Randolph, G.J.,
and Unanue, E.R. (2015). The pancreas anatomy conditions the Karlsson, K., Cowley, S., Martinez, F., Shaw, M., Minger, S., and
James, W. (2008). Homogeneous monocytes and macrophages Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017
1741 Russo, I., Bubacco, L., and Greggio, E. (2014). LRRK2 and neu-
roinflammation: partners in crime in Parkinson’s disease? J. Neuroinflammation 11, 52. from human embryonic stem cells following coculture-free differ-
entiation in M-CSF and IL-3. Exp. Hematol. 36, 1167–1175. from human embryonic stem cells following coculture-free differ-
entiation in M-CSF and IL-3. Exp. Hematol. 36, 1167–1175. Kierdorf, K., Erny, D., Goldmann, T., Sander, V., Schulz, C., Perdi-
guero, E.G., Wieghofer, P., Heinrich, A., Riemke, P., Ho¨lscher, C.,
et al. (2013). Microglia emerge from erythromyeloid precursors
via Pu.1- and Irf8-dependent pathways. Nat. Neurosci. 16,
273–280. Schilling, T., Nitsch, R., Heinemann, U., Haas, D., and Eder, C. (2001). Astrocyte-released cytokines induce ramification and out-
ward K+ channel expression in microglia via distinct signalling
pathways. Eur. J. Neurosci. 14, 463–473. Lee, H., James, W., and Cowley, S. (2017). LRRK2 in peripheral and
central nervous system innate immunity: its link to Parkinson’s
disease. Biochem. Soc. Trans. 45, 131–139. Schulz, C., Perdiguero, E., Chorro, L., Szabo-Rogers, H., Cagnard,
N., Kierdorf, K., Prinz, M., Wu, B., Sten, E., Pollard, J., et al. (2012). A lineage of myeloid cells independent of Myb and he-
matopoietic stem cells. Science 336, 86–90. Melief, J., Koning, N., Schuurman, K., Van De Garde, M., Smolders,
J., Hoek, R., Van Eijk, M., Hamann, J., and Huitinga, I. (2012). Phenotyping primary human microglia: tight regulation of LPS
responsiveness. Glia 60, 1506–1517. Schwartz, M.P., Hou, Z., Propson, N.E., Zhang, J., Engstrom, C.J.,
Santos Costa, V., Jiang, P., Nguyen, B.K., Bolin, J.M., Daly, W.,
et al. (2015). Human pluripotent stem cell-derived neural con-
structs for predicting neural toxicity. Proc. Natl. Acad. Sci. USA
112, 12516–12521. Monier, A., Adle-Biassette, H., Delezoide, A.L., Evrard, P., Gressens,
P., and Verney, C. (2007). Entry and distribution of microglial cells
in human embryonic and fetal cerebral cortex. J. Neuropathol. Exp. Neurol. 66, 372–382. Shi, Y., Kirwan, P., and Livesey, F.J. (2012). Directed differentiation
of human pluripotent stem cells to cerebral cortex neurons and
neural networks. Nat. Protoc. 7, 1836–1846. Moore, A.R., Zhou, W.L., Jakovcevski, I., Zecevic, N., and Antic,
S.D. (2011). REFERENCES Spontaneous electrical activity in the human fetal
cortex in vitro. J. Neurosci. 31, 2391–2398. Tamoutounour, S., Guilliams, M., Montanana Sanchis, F., Liu, H.,
Terhorst, D., Malosse, C., Pollet, E., Ardouin, L., Luche, H.,
Sanchez, C., et al. (2013). Origins and functional specialization
of macrophages and of conventional and monocyte-derived den-
dritic cells in mouse skin. Immunity 39, 925–938. Muffat, J., Li, Y., Yuan, B., Mitalipova, M., Omer, A., Corcoran, S.,
Bakiasi, G., Tsai, L.-H., Aubourg, P., Ransohoff, R., et al. (2016). Effi-
cient derivation of microglia-like cells from human pluripotent
stem cells. Nat. Med. 22, 1358–1367. O’Rourke, J.G., Bogdanik, L., Ya´n˜ez, A., Lall, D., Wolf, A.J., Muham-
mad, A.K., Ho, R., Carmona, S., Vit, J.P., Zarrow, J., et al. (2016). C9orf72 is required for proper macrophage and microglial func-
tion in mice. Science 351, 1324–1329. Tavian, M., and Peault, B. (2005). Embryonic development of the
human hematopoietic system. Int. J. Dev. Biol. 49, 243–250. van Wilgenburg, B., Browne, C., Vowles, J., and Cowley, S. (2013). Efficient, long term production of monocyte-derived macrophages
from human pluripotent stem cells under partly-defined and fully-
defined conditions. PLoS One 8, e71098. Ohgidani, M., Kato, T.A., Setoyama, D., Sagata, N., Hashimoto, R.,
Shigenobu, K., Yoshida, T., Hayakawa, K., Shimokawa, N., Miura, D., et al. (2014). Direct induction of ramified microglia-like cells
from human monocytes: dynamic microglial dysfunction in
Nasu-Hakola disease. Sci. Rep. 4, 4957. Vanhee, S., De Mulder, K., Van Caeneghem, Y., Verstichel, G., Van
Roy, N., Menten, B., Velghe, I., Philippe, J., De Bleser, D., Lam-
brecht, B.N., et al. (2015). In vitro human embryonic stem cell
hematopoiesis mimics MYB-independent yolk sac hematopoiesis. Haematologica 100, 157–166. Palis, J., Robertson, S., Kennedy, M., Wall, C., and Keller, G. (1999). Development of erythroid and myeloid progenitors in the yolk sac
and embryo proper of the mouse. Development 126, 5073–5084. Villegas-Llerena, C., Phillips, A., Garcia-Reitboeck, P., Hardy, J., and
Pocock, J. (2016). Microglial genes regulating neuroinflammation
in the progression of Alzheimer’s disease. Curr. Opin. Neurobiol. 36, 74–81. Pandya, H., Shen, M., Ichikawa, D., Sedlock, A., Choi, Y., Johnson,
K., Kim, G., Brown, M., Elkahloun, A., Maric, D., et al. (2017). Dif-
ferentiation of human and murine induced pluripotent stem cells
to microglia-like cells. Nat. Neurosci. 20, 753–759. Ransohoff, R. (2016). Neuroinflammation: surprises from the san-
itary engineers. Nature 532, 185–186. REFERENCES Zhang, Y., Sloan, S., Clarke, L., Caneda, C., Plaza, C., Blumenthal,
P., Vogel, H., Steinberg, G., Edwards, M., Li, G., et al. (2016). Puri-
fication and characterization of progenitor and mature human
astrocytes reveals transcriptional and functional differences with
mouse. Neuron 89, 37–53. Rezaie, P., Dean, A., Male, D., and Ulfig, N. (2005). Microglia in the
cerebral wall of the human telencephalon at second trimester. Cereb. Cortex 15, 938–949. 1742
Stem Cell Reports j Vol. 8 j 1727–1742 j June 6, 2017
|
https://openalex.org/W1974135294
|
http://hrcak.srce.hr/file/150268
|
English
| null |
Applicability of Liquid Chromatography with Time-of-Flight Mass Spectrometric Detection for Determination of Cyanuric Acid in Soil
|
Croatica chemica acta
| 2,013
|
cc-by
| 7,793
|
† This article belongs to the Special Issue devoted to the 85th anniversary of Croatica Chemica Acta.
‡ Present address: Hospira Zagreb d.o.o., Prilaz baruna Filipovića 27/D, Zagreb HR-10000, Croatia
* Author to whom correspondence should be addressed. (E-mail: vdreven@imi.hr) RECEIVED JUNE 20, 2012; REVISED JANUARY 29, 2013; ACCEPTED FEBRUARY 7, 2013 Abstract. Cyanuric acid (2,4,6-trihydroxy-1,3,5-triazine, CA) is a highly polar and hydrophilic degrada-
tion product of symmetric triazine herbicides, fairly stable under environmental conditions. We investi-
gated the applicability of reversed-phase liquid chromatography coupled to time-of-flight mass spectrome-
try (LC-ToF-MS) for qualitative and quantitative determination of CA in soils of different origin and pe-
dological characteristics. CA was ultrasonically extracted from soils either with a mixture of acetone and
n-hexane (volume ratio = 2:1) or with methanol and analysed on a LiChrospher 100 CN column with
ψ(acetonitrile,water) = 50:50 as the mobile phase for isocratic elution. The efficiency and selectivity of
LC-ToF-MS determination, using the electrospray ionisation in negative mode and selective monitoring of
deprotonated CA molecule (m/z 128), was evaluated with respect to injection volume, extracting solvent,
and possible soil matrix interferences. The advantage of LC-ToF-MS over conventional HPLC with UV-
diode array detection was the high ion detection selectivity minimising the interferences of coeluting spe-
cies and the unambiguous identification of CA in soil extracts by accurate mass measurements of deproto-
nated molecule. (doi: 10.5562/cca2109) Keywords: cyanuric acid, soil, liquid chromatography, time-of-flight mass spectrometry, soil matrix inter-
ferences CROATICA CHEMICA ACTA
CCACAA, ISSN 0011-1643, e-ISSN 1334-417X
Croat. Chem. Acta 86 (1) (2013) 95–102. http://dx.doi.org/10.5562/cca2109 CROATICA CHEMICA ACTA
CCACAA, ISSN 0011-1643, e-ISSN 1334-417X
Croat. Chem. Acta 86 (1) (2013) 95–102. http://dx.doi.org/10.5562/cca2109 Original Scientific Article Applicability of Liquid Chromatography with Time-of-Flight Mass
Spectrometric Detection for Determination of Cyanuric Acid in Soil†
Sanja Stipičević,a Gordana Mendaš,a Marko Vuletić,b,‡ Sanja Fingler,a and Vlasta Drevenkara,*
aInstitute for Medical Research and Occupational Health, Ksaverska c. 2, Zagreb, HR-10000, Croatia
bPLIVA-Research & Development Ltd., Prilaz baruna Filipovića 25, Zagreb, HR-10000, Croatia aInstitute for Medical Research and Occupational Health, Ksaverska c. 2, Zagreb, HR-10000, Croatia
bPLIVA-Research & Development Ltd., Prilaz baruna Filipovića 25, Zagreb, HR-10000, Croatia INTRODUCTION Adding H2O2 to the photocatalytic system signifi-
cantly enhanced the atrazine degradation. This proce-
dure, integrated with microbial degradation of the
formed CA, led to the complete degradation and detoxi-
fication of atrazine.13 Degradation of atrazine partly
depended on its reactivity with soil minerals.14 The
major products of atrazine degradation on birnessite
(delta-MnO2), a common soil component, were hy-
droxylated and mono- and didealkylated atrazine, but
ammeline (4,6-diamino-2-hydroxy-1,3,5-triazine) and
CA were also detected. pool water, surface water, simulated air filter samples,
and human urine.27 CA silyl derivatives have been used
for GC-MS determination of CA in extracts of animal
feed28 and GC-MS/MS determination in extracts of milk
and milk products.29 There are also several mass spectrometric methods
developed for direct determination of CA without a
previous chromatographic separation step. CA extracted
from water has been determined by stable association
complex electrospray mass spectrometry using a solid
probe technique.30 Matrix-assisted laser desorption
ionisation/Time-of-flight mass spectrometry (MAL-
DI/ToF-MS) has been demonstrated as a potential
screening technique for the determination of melamine
and related compounds including CA in biological ma-
trices.31 A fast semi-automated method employing direct
analysis in real time (DART) ion source coupled to
ToF-MS has been developed for the determination of
melamine and CA in milk powder and milk based prod-
ucts.32 Besides mass spectrometry methods, a surface
enhanced Raman spectroscopy (SERS) method has also
been tested for detection and quantification of melamin
and CA extracted from milk.33 Analytical methods developed for the determina-
tion of CA in different environmental, biological, and
food matrices mostly employ the high-performance
liquid chromatography (HPLC) coupled with UV or
mass spectrometric (MS) detection. The HPLC-UV
methods using the modified silica or porous graphitic
carbon columns, phosphate buffer eluents, and UV
detection at wavelengths of 200 nm to 220 nm have
been developed for determining CA in water,1,15,16 ce-
real flours,17 pet food,18 and animal feed samples.19 The
UV-detection has also been applied for the determina-
tion of free CA in nylon by ion-exclusion chromatogra-
phy.20 However, due to the coeluting interferences ab-
sorbing UV light below 220 nm, UV detection of CA is
often not sufficiently selective. Most of the recent stud-
ies dealing with the determination of CA have used
different modes of the more selective MS detection
allowing an unambiguous identification and more accu-
rate quantification of target analyte. INTRODUCTION potentially harmful adulterants deliberately incorporated
in pet food, animal feed, and human food (including
infant formula, milk, and milk products). Their role in
the mentioned foodstuffs was to increase the calculated
apparent protein level by increasing the food total nitro-
gen content.4 When combined, CA and melamine can
form crystals of insoluble melamine cyanurate via hy-
drogen bonding, whose deposition in kidneys leads to
renal failure.4–6 Cyanuric acid (2,4,6-trihydroxy-1,3,5-triazine, CA) is a
highly polar, hydrophilic compound, fairly stable under
many environmental conditions. In solution, it occurs as
a mixture of keto (isocyanuric acid) and enol tautomers,
the latter form being stable under alkaline conditions
(pH > 7.2) (Figure 1).1 CA is an industrial chemical whose derivatives are
widely used as disinfectants, sanitizers, and bleaches
(chloroisocyanurates), cross-linking and curing agents
(triallyl and tris(hydroxyethyl) isocyanurates), ingredi-
ents of weather resistant powder coatings (tris(epoxy-
propyl)isocyanurate), and fire retardants in plastics
(melamine cyanurate).2 CA is used to stabilize the chlo-
rine disinfectant in swimming pools because it is able to
form N-chlorinated isocyanurates and prevent the rapid
photolytic degradation of residual chlorine. CA is also a
by-product of melamine (2,4,6-triamino-1,3,5-triazine)
production, another industrial chemical, and one of the
melamine microbial metabolites.3 In the recent years,
both compounds have attracted remarkable attention as In water and soil, CA can be regarded as a marker
of symmetric triazine herbicide's degradation because Figure 1. Structure of enol (cyanuric acid) and keto (iso-
cyanuric acid) tautomers. N
N
N
OH
HN
N
H
NH
O
O
O
pH < 7
pH > 7
OH
HO
Cyanuric acid Isocyanuric acid N
N
N
OH
HN
N
H
NH
O
O
O
pH < 7
pH > 7
OH
HO
Cyanuric acid Isocyanuric acid Isocyanuric acid Isocyanuric acid Cyanuric acid Figure 1. Structure of enol (cyanuric acid) and keto (iso-
cyanuric acid) tautomers. S. Stipičević et al., LC-ToF-MS Determination of Cyanuric Acid in Soil 96 it is the ultimate hydroxylated metabolite in their degra-
dation pathway to ring cleavage. CA is formed by
microbial degradation,7–10 chemical oxidation,11 and
photooxidation12,13 of parent triazine compounds. Héquet et al.12 demonstrated an efficient degradation of
atrazine, the best known member of the group of tria-
zine herbicides, during photolysis in a photoreactor or a
photocatalytic system with titanium dioxide and a re-
duced range of irradiation. The main degradation path-
way was dehalogenation with CA as the ultimate prod-
uct. Croat. Chem. Acta 86 (2013) 95. EXPERIMENTAL Gas chromatographic (GC) methods that have
been reported for the determination of CA in different
matrices are based on its conversion to a more volatile
derivative. Capillary GC coupled with flame thermionic
specific detection and MS detection of methylated CA
has been applied for CA determination in swimming INTRODUCTION Liquid chromatog-
raphy coupled with mass spectrometry (LC-MS)21 or
tandem mass spectrometry using the triple quadrupole
mass analysers (LC-MS/MS) has been employed as a
sensitive technique for determination of CA residues in
pet food22 and infant formula samples,23 fish and shrimp
tissues,24 kidney tissue,25 and human urine.21,26 CA
was detected using the electrospray ionisation21–24,26
or atmospheric pressure chemical ionisation25 in nega-
tive ion mode. The literature reviewed has shown that analytical
methods developed so far for the determination of CA
mostly focus on food and feed matrices, swimming pool
water, and biological samples such as kidney tissue and
human urine. To the best of our knowledge, at this time
no method has been proposed for the determination of
CA in soil where it can occur as a degradation product
of symmetric triazine herbicides. As a highly water
soluble compound, CA involves a high risk of leaching
from the soil into the surface and ground waters. The
aim of this study was to test the applicability of the
ToF-MS to the LC determination of CA in extracts of
soils/sediments of different origin and pedological char-
acteristics. The potential of this technique for analysing
different pesticides and their polar metabolites in water
and complex food matrices was extensively described
and discussed in two recently published reviews.34,35 In
this paper, we evaluated the efficiency and selectivity of
LC-ToF-MS determination of CA in soil/sediment ex-
tracts with respect to extracting solvent and possible
soil/sediment matrix interferences. We also reported the
mass fractions of CA found in industrial soils that were
long contaminated with triazine herbicides. Chemicals Cyanuric acid anhydrous ( 98 %) was purchased from
Fluka (Buchs, Switzerland). Chlorotriazine herbicides
atrazine (6-chloro-N 2-ethyl-N 4-isopropyl-1,3,5-triazine-
2,4-diamine), simazine (6-chloro-N 2,N 4-diethyl-1,3,5- S. Stipičević et al., LC-ToF-MS Determination of Cyanuric Acid in Soil 97 ed from 200 nm to 300 nm and the working wavelength
was 213 nm. One chromatographic column was Hypersil
ODS (Thermo Hypersil-Keystone LLC, Bellefonte, PA,
USA) and the other was LiChrospher 100 CN (Merck,
Darmstadt, Germany); both were 250 mm 4.6 mm i.d. and of 5 μm particle size. The isocratic elution was carried
out either with ψ(acetonitrile,water) = 5 : 95 or 50 : 50, or
with ψ(acetonitrile, 0.01 mol L–1 phosphate buffer pH =
7.2) = 5 : 95 mobile phase at a flow-rate of 1 mL min–1. triazine-2,4-diamine), propazine (6-chloro-N 2,N 4-diiso–
propyl-1,3,5-triazine-2,4-diamine), and terbuthylazine
(6- chloro - N 2
- tert - butyl - N 4
- ethyl - 1,3,5 - triazine - 2,4 - di-
amine), all of 99 % purity, were from Riedel de Haën
(Seelze, Germany). Formic acid min. 98 %, p.a.,
LiChrosolv acetonitrile gradient grade for liquid chro-
matography and SupraSolv acetone, methanol, and
n-hexane for gas chromatography, were supplied by
Merck KGaA (Darmstadt, Germany). Leucin enkepha-
lin synthetic, 98 %, was purchased from Sigma-Aldrich
(St. Louis, USA). All other chemicals were products of
analytical reagent grade of Kemika (Zagreb, Croatia). LC-grade water was prepared by purifying distilled
water with a Milli-Q water purification system from
Millipore (Bedford, MA, USA). For the LC-ToF-MS determination of CA, a Wa-
ters LC system (Waters, Milford, MA, USA) was cou-
pled with a Micromass quadrupole-time of flight mass
spectrometer, Q-TOF Micro, equipped with a lock-spray
option (Micromass, Manchester, UK). The LC system
was built-up of a Waters 2795 autosampler and pump
and a Waters 2996 photodiode-array detector. The col-
umn was LiChrospher 100 CN, 250 mm 4.6 mm i.d.,
of 5 μm particle size (Merck, Darmstadt, Germany). The column temperature was 30 °C. The CA water
solutions were injected into a 1 mL min–1 flow of
ψ(acetonitrile,water) = 50 : 50 used as the mobile phase
for isocratic elution. Soil Samples Four top-layered industrial soil samples, Ind Soil 1–4,
were collected in an agrochemical factory at the loca-
tions exposed to repeated spills of effluent from atrazine
synthesis. Industrial soils were stored at 4 C and ana-
lysed for CA and triazine herbicides within 24 hours
after sampling without previous drying and sieving. Forest surface soil, Forest Soil (0 cm to 20 cm),
was sampled in a park located in the residential area of
the city of Zagreb. Agricultural surface soil, Agr Soil
(0 cm to 25 cm), and three subsurface sediments: Agr
Sed 1 (25 cm to 55 cm), Agr Sed 2 (30 cm to 50 cm),
and Agr Sed 3 (22 cm to 50 cm) were collected in an
agricultural area of north-east Croatia. For the method
development experiments, all soil and sediment samples
were air-dried at room temperature and sieved through a
1-mm sieve. The pH of soil/sediment samples was
measured in the supernatant after overnight equilibra-
tion of 0.5 g air-dried samples with 3 mL of deionized
water. The characteristics of forest and agricultural
soil/sediments are shown in Table 1. Prior to the LC-MS analysis, all samples were fil-
trated through 0.45 μm PTFE filters (Waters, Milford,
MA, USA). LC Determination of Cyanuric Acid The HPLC-UV determination of CA was performed on
a Varian liquid chromatograph (Varian, Walnut Creek,
CA, USA) equipped with a Varian ProStar 230 SDM
pump, Varian ProStar 410 autosampler employing a
100 μL sample loop, and a Varian ProStar 330 photodi-
ode-array detector (DAD). The UV spectra were record- Chemicals CA was detected in the negative
electrospray ionisation (ESI) mode under the following
conditions: capillary voltage 2800 V, sample cone volt-
age 50 V, extraction cone voltage 1 V, ion energy 2 V,
multichannel plates (MCP) detector 2700 V, desolvation
temperature 150 C, source temperature 80 C, cone gas
flow 0 L min–1, desolvation gas flow 550 L min–1, colli-
sion energy 10 V. Lock-spray: scan frequency was 5 s
and cone voltage 50 V. Leucine enkephalin was used as
a reference mass. Calibration was performed using a
calibration mixture of 10 %-formic acid, 0.1 mol L–1
sodium hydroxide, and acetonitrile in the volume ratio
1 :1 :8. The mass spectra were acquired by scanning
over a mass range of m/z 80 to m/z 600. CA was de-
tected, identified and quantitated using the extracted ion
chromatograms for the target ion of deprotonated mole-
cule (m/z 128). Croat. Chem. Acta 86 (2013) 95. Standard Solutions of Cyanuric Acid and Triazine
Herbicides The extraction recovery of CA from dry soil/sediment
was tested by spiking the air-dried and sieved Forest
Soil and Agr Sed 3 with CA at 15.3 mg kg–1 level. The
samples (3 g) were moistened with 1 mL of acetone and
then spiked with 1.0 mL of 45.8 mg L–1 methanolic
solution of CA. The samples were made homogeneous
by manual shaking and then left at room temperature for
24 hours for the solvent to evaporate. The spiked
soils/sediments underwent ultrasonic extraction first
with 15 mL, and then with another 10 mL of methanol
or mixture of acetone and n-hexane (volume ratio = 2 : 1)
following the procedure described for determination of
CA in industrial soils. For the LC-ToF-MS determina-
tion, dry residues that remained after evaporation of
Forest Soil and Agr Sed 3 extracts were dissolved in 1.0
mL of LC-grade water. Two stock standard solutions of cyanuric acid were
prepared: a 1 g L–1 in ethanol and a 400 mg L–1 in LC-
grade water. Aqueous stock solution was sonicated to
facilitate dissolution of CA. For spiking the soil/sediment
samples, stock solutions were further diluted with
acetone or methanol. The CA standards for HPLC-
UV(DAD) and LC-ToF-MS determination were pre-
pared by diluting the aqueous stock solution with 0.01
mol L–1 phosphate buffer pH = 7.2 and LC-grade water,
respectively. Acetonic stock solutions of 1 g L–1 of triazine her-
bicides were diluted with ethyl acetate to prepare the
standards for gas chromatographic determination of
compounds extracted from industrial soils. GC Determination of Triazine Herbicides Detector
temperature was 300 C. Carrier gas was helium with
a flow rate of 1.2 mL min–1. Detector hydrogen, air,
and nitrogen (make-up) flow rates were 4 mL min–1,
175 mL min–1, and 28 mL min–1, respectively. Helium
(purity > 99.9999 %), air (purity > 99.999 %), and ni-
trogen (purity > 99.999 %) were supplied by SIAD Spa
(Bergamo, Italy). Hydrogen was produced with the
Parker ChromGas Hydrogen Generator 9150 (Parker
Hannifin Corporation, Haverhill, MA, USA). The in-
jected sample volume was 1 L. portion of the same solvent mixture. For the GC deter-
mination of triazine herbicides, the combined extracts
were evaporated under a stream of nitrogen to the water
residue (≈ 0.2 mL). After adding anhydrous sodium
sulphate (≈ 0.2 g), the mixture was extracted twice by
vortexing the sample with 1 mL of ethyl acetate for
1 min. The extracts were combined and reduced under a
stream of nitrogen to 1.0 mL. To minimize the solvent-
matrix effect on the GC detector response to triazine
herbicides, the matrix-matched standards were prepared
by adding increasing volumes of a standard mixture of
triazine compounds in acetone to 5 mL aliquots of blank
extract of Forest Soil.36 For the LC determination of cyanuric acid, industrial
soil samples were extracted with ψ(acetone, n-hexane) =
2 : 1 mixture as described above. The extract was evapo-
rated to dryness under a stream of nitrogen and the
residue was redissolved in 1.0 mL of 0.01 mol L–1
phosphate buffer, pH = 7.2, for the HPLC-UV(DAD)
determination or in 1.0 mL of LC-grade water for the
LC-ToF-MS determination. The identity of triazine herbicides extracted from
industrial soils was confirmed by analysing soil extracts
on a Varian Saturn II GC-MS system, which consisted
of a Varian 3400 gas chromatograph fitted with SPI and
ion trap detector (ITD). The samples were analysed on
an Rtx-5MS column (Restek, Bellefonte, PA, USA)
under the same conditions as described earlier.36 For calculating the mass fractions of triazine com-
pounds on a dry mass basis, soil moisture content was
determined by weighing 5 g portions of each industrial
soil before and after drying at 100 C for ≈ 3 hours, i.e. until reaching the constant mass. GC Determination of Triazine Herbicides Triazine herbicides extracted from industrial soils were
analysed on a Varian Star 3400Cx gas chromatograph
(Varian, Walnut Creek, CA, USA) with a septum- Croat. Chem. Acta 86 (2013) 95. Table 1. Pedological properties of soils and sediments
Sample
pH (water)
Organic matter / %
Clay / %
Silt / %
Sand / %
Forest Soil
3.93
4.6
12.4
31.0
56.6
Agr Soil
4.70
1.9
23.2
25.8
51.0
Agr Sed 1
5.34
4.1
53.0
26.2
20.8
Agr Sed 2
7.74
1.6
23.0
29.8
47.2
Agr Sed 3
6.60
1.6
22.6
31.2
46.2 Table 1. Pedological properties of soils and sediments S. Stipičević et al., LC-ToF-MS Determination of Cyanuric Acid in Soil 98 equipped programmable injector (SPI) and a thermionic
sensitive detector (TSD). The GC column was a Supelco
SPB-1701 fused silica capillary column (Supelco, Belle-
fonte, PA, USA), 30 m 0.25 mm i.d., film thickness
0.25 μm. The column temperature was programmed
from 90 C (with 1 min hold) up to 200 C at 15 C
min–1, and then up to 220 C at 2 C min–1; the total
run time was 18 min. The injector temperature was
programmed from 110 C (with hold of 0.1 min) up to
270 C at 200 C min–1 with a hold of 3 min. Detector
temperature was 300 C. Carrier gas was helium with
a flow rate of 1.2 mL min–1. Detector hydrogen, air,
and nitrogen (make-up) flow rates were 4 mL min–1,
175 mL min–1, and 28 mL min–1, respectively. Helium
(purity > 99.9999 %), air (purity > 99.999 %), and ni-
trogen (purity > 99.999 %) were supplied by SIAD Spa
(Bergamo, Italy). Hydrogen was produced with the
Parker ChromGas Hydrogen Generator 9150 (Parker
Hannifin Corporation, Haverhill, MA, USA). The in-
jected sample volume was 1 L. equipped programmable injector (SPI) and a thermionic
sensitive detector (TSD). The GC column was a Supelco
SPB-1701 fused silica capillary column (Supelco, Belle-
fonte, PA, USA), 30 m 0.25 mm i.d., film thickness
0.25 μm. The column temperature was programmed
from 90 C (with 1 min hold) up to 200 C at 15 C
min–1, and then up to 220 C at 2 C min–1; the total
run time was 18 min. The injector temperature was
programmed from 110 C (with hold of 0.1 min) up to
270 C at 200 C min–1 with a hold of 3 min. Croat. Chem. Acta 86 (2013) 95. Determination of Triazine Herbicides and Cyanuric
Acid in Industrial Soils To test the extraction recovery of CA with
ψ(acetone, n-hexane) = 2 : 1 mixture from wet industrial
soils, the wet Ind Soil 1 was spiked with CA at level
corresponding to the highest CA mass fractions found in
industrial soils that were analysed in this work. The soil
samples spiked with 400 mg kg–1 of CA were prepared
by adding 2.0 mL of ethanolic 1.0 g L–1 CA solution and
0.5 mL of acetone to 5 g of wet soil. The samples were
left at room temperature until the solvent evaporated Ultrasonic extraction of triazine herbicides and CA from
industrial soils was based on a procedure described and
discussed earlier.36 Briefly, a 5 g portion of wet indus-
trial soil (Ind Soil 1–4) was sonicated with 20 mL of
ψ(acetone, n-hexane) = 2 : 1 mixture for 5 min. After
being centrifuged at 425 g, the supernatant was decant-
ed and the extraction was repeated with a new 10 mL Croat. Chem. Acta 86 (2013) 95. 99 S. Stipičević et al., LC-ToF-MS Determination of Cyanuric Acid in Soil Figure 2. HPLC-UV(DAD) chromatograms (λ = 213 nm) and
corresponding UV-spectra of CA standard solutions on two
columns of different polarity (Hypersil ODS and LiChrospher
100 CN): 1.0 μg mL–1 standard solution of CA in phosphate
buffer (pH = 7.2), mobile phase ψ(acetonitrile, phosphate buffer,
pH = 7.2) = 5 : 95 (─); 1.0 μg mL–1 standard solution of CA in
LC-grade water, mobile phase ψ(acetonitrile, phosphate buff-
er, pH = 7.2) = 5 : 95 (─); 1.0 μg mL–1 standard solution of
CA in LC-grade water, mobile phase ψ(acetonitrile, water) =
5 : 95 (─); 3.4 μg mL–1 standard solution of CA LC-grade water,
mobile phase ψ(acetonitrile, water) = 50 : 50 (─). Injection
volume: 100 µL. RESULTS AND DISCUSSION To optimise the HPLC-UV(DAD) conditions for the
determination of CA in soil extracts, the performance of
two LC columns of different polarity was compared by
analysing CA standard solutions prepared either in LC-
grade water or in phosphate buffer (pH = 7.2). One
column was a non-polar hydrophobic Hypersil ODS
(octadecyl-bonded silica) and the other a less hydropho-
bic LiChrospher 100 CN (cyano-bonded silica). Both
columns were of equal dimensions and particle sizes. The isocratic elution of CA was carried out either with a
mixture of acetonitrile and water or with a mixture of
acetonitrile and phosphate buffer. The resulting chroma-
tograms are shown in Figure 2. For the determination of
CA on Hypersil ODS column, both the mobile phase
and the analysed sample had to be buffered at pH > 7 in
order to avoid the CA peak splitting because of keto-
enol tautomerism.1 Unlike octadecyl-column, when
analysed on the cyano-column and with the use of non-
buffered acetonitrile/water mobile phases, CA dissolved
in LC-grade water was detected as a single peak of good
shape. With the mobile phase consisting of acetonitrile
and water mixture (volume ratio = 5 : 95), the efficiency
of cyano-column for the determination of CA was com-
parable to that of the octadecyl-column with the buff-
ered mobile phase (number of theoretical plates ≈ 1000). However, the efficiency of the former column was dou-
bled (number of theoretical plates ≈ 2200) when the mobile phase consisting of equal proportions of organic
solvent and water was used. The linearity of UV(DAD) response was tested by
analysing CA standards in phosphate buffer and LC-
grade water on Hypersil ODS and LiChrospher 100 CN
column, respectively. For both columns, the detector
response was linear at CA mass concentrations ranging
from 0.5 µg mL–1 to 4.5 µg mL–1 (i.e., from 50 ng to 450
ng of injected CA) with correlation coefficient r ≥ 0.996. At an injection volume of 100 µL, the CA detection limit
was 0.3 µg mL–1, based on a signal to noise ratio of 3:1. The advantage of Hypersil ODS column over the
cyano-column was 1 minute longer CA retention time,
which should allow better resolution of CA peak from
chromatographic void volume and early-eluting polar
interferences that possibly appear in the HPLC-
UV(DAD) chromatograms of soil extracts. Determination of Triazine Herbicides and Cyanuric
Acid in Industrial Soils Time / min
Detector response
1
3
4
5
6
2
7
8
0
LiChrospher 100 CN
0
50
100
150
200
200
210
220
230
240
Wavelength / nm
Absorbance
Hypersil ODS
0
25
50
75
200
210
220
230
240
Absorbance
Wavelength / nm Time / min
1
3
4
5
6
2
7
8
0
LiChrospher 100 CN
0
50
100
150
200
200
210
220
230
240
Wavelength / nm
Absorbance
Hypersil ODS
0
25
50
75
200
210
220
230
240
Absorbance
Wavelength / nm (≈ 24 h) and then were extracted as described for deter-
mination of CA in industrial soils. Dry residue of ex-
tracts evaporated under a stream of nitrogen was
dissolved in 1.0 mL of 0.01 mol L–1 phosphate buffer,
pH = 7.2 and analysed by HPLC-UV(DAD). Influence of Sample Matrix on the LC-ToF-MS
Determination of Cyanuric Acid To test the influence of sample matrix on mass spectro-
metric response in the LC-ToF-MS determination of
CA, the 5 g air-dried and sieved soil/sediment samples
(Forest Soil, Agr Soil, Agr Sed 1, and Agr Sed 2) were
ultrasonically extracted with 20 mL of either methanol
or mixture of acetone and n-hexane (volume ratio = 2 : 1)
for 5 min. After centrifugation at 425 g for 10 min, the
supernatant was decanted and the extraction of
soil/sediment repeated with a new 10 mL portion of the
same solvent. The extracts were combined and then
divided into 6 mL aliquots so that each aliquot corre-
sponded to 1 g of soil. The extract aliquots were re-
duced under a gentle stream of nitrogen to dryness. The
residue was reconstituted in 1.0 mL of aqueous CA
standard solutions of mass concentrations ranging from
0.25 mg L–1 to 2.57 mg L–1. The samples were analysed
by LC-ToF-MS immediately after preparation. Figure 2. HPLC-UV(DAD) chromatograms (λ = 213 nm) and
corresponding UV-spectra of CA standard solutions on two
columns of different polarity (Hypersil ODS and LiChrospher
100 CN): 1.0 μg mL–1 standard solution of CA in phosphate
buffer (pH = 7.2), mobile phase ψ(acetonitrile, phosphate buffer,
pH = 7.2) = 5 : 95 (─); 1.0 μg mL–1 standard solution of CA in
LC-grade water, mobile phase ψ(acetonitrile, phosphate buff-
er, pH = 7.2) = 5 : 95 (─); 1.0 μg mL–1 standard solution of
CA in LC-grade water, mobile phase ψ(acetonitrile, water) =
5 : 95 (─); 3.4 μg mL–1 standard solution of CA LC-grade water,
mobile phase ψ(acetonitrile, water) = 50 : 50 (─). Injection
volume: 100 µL. Croat. Chem. Acta 86 (2013) 95. RESULTS AND DISCUSSION CA was detected in three of these soils in mass frac-
tions ranging from 4.31 mg kg–1 to 380 mg kg–1 of dry
mass (d.m.). The highest herbicide and CA mass frac-
tions were measured in Ind Soil 4 collected closest to a
former old plant for the production of herbicides. shape was dependent on the sample volume injected. Symmetric and sharp peaks were obtained with injec-
tion volumes not exceeding 30 μL. The injection vol-
umes also affected the linearity of the multichannel
plate detector response. To investigate this effect, we
compared the calibration curves constructed by inject-
ing either varying volumes (2 μL to 30 μL) of a 4.59
μg mL–1 CA standard solution or a fixed volume (20
μL or 30 μL) of the CA standards of concentrations shape was dependent on the sample volume injected. Symmetric and sharp peaks were obtained with injec-
tion volumes not exceeding 30 μL. The injection vol-
umes also affected the linearity of the multichannel
plate detector response. To investigate this effect, we
compared the calibration curves constructed by inject-
ing either varying volumes (2 μL to 30 μL) of a 4.59
μg mL–1 CA standard solution or a fixed volume (20
μL or 30 μL) of the CA standards of concentrations Figure 3. Determination of CA extracted from Ind Soil 4:
HPLC-UV(DAD) chromatogram on Hypersil ODS column (a);
LC-ToF-MS total ion current chromatogram (bottom) and
extracted ion chromatogram for m/z 128 (top) on LiChrospher
100 CN (b); identification of CA by LC-ToF-MS – mass
spectrum and accurate mass measurement (c). 2.00
4.00
6.00
8.00
10.0
15
100
%
0
100
%
1: TOF MS ES‐
128.019
297
2.44
1: TOF MS ES‐
TIC
3.98e3
1.86
2
4
6
8
t / min
128.0096 -0.4 -3.0 4.5 C3H2N3O3
b)
c)
Detector response
m/z
CA
10
15
20
25
Detector response
CA
a)
5
t / min b)
CA
10
15
20
25
Detector response
CA
a)
5
t / min 2.00
4.00
6.00
8.00
10.0
15
100
%
0
100
%
1: TOF MS ES‐
128.019
297
2.44
1: TOF MS ES‐
TIC
3.98e3
1.86
2
4
6
8
t / min
b)
c)
Detector response The efficiency of the applied ultrasonic procedure
for the extraction of CA from industrial soil was tested
by analysing wet Ind Soil 1 fortified with CA at a level
of 400 mg kg–1. RESULTS AND DISCUSSION Therefore,
this column in isocratic elution mode with the mixture
of phosphate buffer (pH = 7.2) and acetonitrile was
chosen for quantitating CA extracted from industrial Croat. Chem. Acta 86 (2013) 95. S. Stipičević et al., LC-ToF-MS Determination of Cyanuric Acid in Soil 100 Table 2. Mass fractions of triazine herbicides and CA in industrial soils collected in an agrochemical factory
Compound
Mass fraction, w / mg kg–1 d.m. Ind Soil 1
Ind Soil 2
Ind Soil 3
Ind Soil 4
CA
< 0.50
7.52
4.31
380
Atrazine
0.14
2.22
1.10
417
Simazine
0.08
0.08
24.98
761
Propazine
0.03
0.08
3.81
1166
Terbuthylazine
< 0.01
0.04
0.25
315 Table 2. Mass fractions of triazine herbicides and CA in industrial soils collected in an agrochemical factory Table 2. Mass fractions of triazine herbicides and CA in industrial soils collected in an agrochemical factory soils that were long contaminated with triazine herbi-
cides. CA and four triazine herbicides were simultane-
ously extracted from soils under the same conditions
using a mixture of acetone and n-hexane (volume ratio =
2 : 1) as the extracting solvent. This ultrasonic proce-
dure was previously found efficient for extracting
chlorotriazine
herbicides
from
different
soils.36
Atrazine, simazine, propazine, and terbuthylazine were
quantified by GC-TSD analysis of industrial soil ex-
tracts and their identity was additionally verified by GC-
ITD-MS. The mass fractions of triazine herbicides and
CA in four industrial soil samples are presented in Table
2. CA was detected in three of these soils in mass frac-
tions ranging from 4.31 mg kg–1 to 380 mg kg–1 of dry
mass (d.m.). The highest herbicide and CA mass frac-
tions were measured in Ind Soil 4 collected closest to a
former old plant for the production of herbicides. soils that were long contaminated with triazine herbi-
cides. CA and four triazine herbicides were simultane-
ously extracted from soils under the same conditions
using a mixture of acetone and n-hexane (volume ratio =
2 : 1) as the extracting solvent. This ultrasonic proce-
dure was previously found efficient for extracting
chlorotriazine
herbicides
from
different
soils.36
Atrazine, simazine, propazine, and terbuthylazine were
quantified by GC-TSD analysis of industrial soil ex-
tracts and their identity was additionally verified by GC-
ITD-MS. The mass fractions of triazine herbicides and
CA in four industrial soil samples are presented in Table
2. RESULTS AND DISCUSSION As shown
in Figure 4, with the increasing injection volume of the
same CA standard solution (injected CA masses ranging
from 9 ng to 138 ng) the number of theoretical plates
clearly decreased, which resulted in a calibration curve
better fitting to a non-linear second degree polynomial
function (r = 0.995) than to a linear function (r = 0.987). However, when injecting a fixed volume of 20 μL or 30
µL of CA standard solutions of varying concentrations,
the detector response was linear (r = 0.998) in a wider
range, i.e., at injected CA masses ranging from 18 ng to
108 ng and 28 ng to 138 ng, respectively. The 20 μL
injection volume, enabling a CA detection limit of 0.2 μg
mL–1, was selected as optimum in all further experiments
because of the slightly better peak shape and higher peak
area compared to those achieved by injecting 30 μL. One drawback of ESI-MS analysis is that the ioni-
sation process can be susceptible to matrix signal sup-
pression.37 The possible soil matrix effect on the ESI-
ToF-MS response to CA was evaluated by analysing
blank soil extracts spiked with CA at mass concentra-
tions of 0.25 μg mL–1, 1.20 μg mL–1, and 2.5 μg mL–1
and standards of the same concentrations prepared in
LC-grade water. These extracts were prepared by ultra-
sonic extraction of four soils, differing in organic matter
content and other pedological properties (Table 1, For-
est Soil, Agr Soil, Agr Sed 1, Agr Sed 2). The soils were
extracted either with methanol or acetone/n-hexane
mixture and the extract aliquots used for spiking corre-
sponded to the extraction of 1 g of soil. The ratios of
CA peak area measured in chromatograms of the spiked
soil extracts and of the LC-grade water standard solu-
tions are compared in Table 3. No significant difference
was observed in the soil matrix influence on the MS
response between methanol and acetone/n-hexane ex-
tracts of four different soils. Compared to the standards
in LC-grade water, the CA peak area in soil extract
chromatograms was reduced by 10 %, on average, at the
lowest and 5 % at the highest spiked mass concentration
level. RESULTS AND DISCUSSION This soil originally contained the lowest
atrazine, simazine, and propazine mass fractions of all
soils, while terbuthylazine and CA were not detected at
all. The recovery of CA from wet Ind Soil 1 was 76 %
(average of three determinations) with a relative stan-
dard deviation of 6 %. To confirm the identity of CA in industrial soils,
soil extracts were analysed by LC-ToF-MS after solvent
exchange (acetone/n-hexane mixture with LC-grade
water). The analysis was performed using the LiChro-
spher 100 CN column and the mobile phase consisting
of equal proportions of acetonitrile and water, which
was also compatible with ESI-MS. Figure 3 compares
the chromatograms of CA in Ind Soil 4 extracts ana-
lysed by HPLC-UV(DAD) on the Hypersil ODS col-
umn and by LC-ToF-MS on the LiChrospher 100 CN
column. CA retention time in the applied LC-ToF-MS
system was nearly the same as in the HPLC-UV(DAD)
system. The mass spectrum showed the signal at m/z
128.0092 corresponding to deprotonated CA molecule
with elemental formula C3H2N3O3. The calculated
monoisotopic mass of [M–H]– ion was 128.0096 and the
mass measurement accuracy was 3.0 ppm. Figure 3. Determination of CA extracted from Ind Soil 4:
HPLC-UV(DAD) chromatogram on Hypersil ODS column (a);
LC-ToF-MS total ion current chromatogram (bottom) and
extracted ion chromatogram for m/z 128 (top) on LiChrospher
100 CN (b); identification of CA by LC-ToF-MS – mass
spectrum and accurate mass measurement (c). The LC-ToF-MS analysis of CA standards prepared
in LC-grade water indicated that chromatographic peak Croat. Chem. Acta 86 (2013) 95. S. Stipičević et al., LC-ToF-MS Determination of Cyanuric Acid in Soil 101 Figure 4. LC-ToF-MS determination of CA: the non-linear
calibration curve obtained by injecting varying volumes of a
4.59 μg mL–1 standard solution of CA in LC-grade water. Effect of injection volume on the number of theoretical plates. r = 0.995
0
40
80
120
160
0
5
10
15
20
25
30
35
Peak area
0
500
1000
1500
2000
2
4
5
10
20
30
Number of
theoretical plates
Injection volume / µL
Injection volume / µL interference-free. The recoveries of CA achieved from
two tested soils with two different extraction solvents
were significantly different. This emphasized the need
to test CA recoveries from each investigated soil type. RESULTS AND DISCUSSION Eighty percent (RSD 7 %, n = 5) of CA was recovered
from acidic Forest Soil if extracted with acetone/n-hexane
mixture and 67 % (RSD 4 %, n = 5) if extracted with
methanol. On the contrary, methanol was significantly
more efficient in extracting CA from neutral Agr Sed 3
(recovery 111 %, RSD 5 %, n = 5) than the less polar
acetone/n-hexane mixture (recovery 66 %, RSD 9 %,
n = 5). The detection limit of CA in soil estimated under
the optimum extraction conditions was 0.2 mg kg–1 d.m. Any attempt to analyse the same soil extracts for CA by
HPLC-UV(DAD) failed because of the coeluting inter-
ferences most likely originating from the soil matrix. The UV detection was obviously insufficiently selective
for the determination of CA without additional purifica-
tion of these soil extracts, highlighting the advantage of
high ion selectivity of the ToF-MS detection system. r = 0.995
0
40
80
120
160
0
5
10
15
20
25
30
35
Peak area
0
500
1000
1500
2000
2
4
5
10
20
30
Number of
theoretical plates
Injection volume / µL
Injection volume / µL Injection volume / µL Figure 4. LC-ToF-MS determination of CA: the non-linear
calibration curve obtained by injecting varying volumes of a
4.59 μg mL–1 standard solution of CA in LC-grade water. Effect of injection volume on the number of theoretical plates. ranging from 0.92 μg mL–1 to 4.59 μg mL–1. As shown
in Figure 4, with the increasing injection volume of the
same CA standard solution (injected CA masses ranging
from 9 ng to 138 ng) the number of theoretical plates
clearly decreased, which resulted in a calibration curve
better fitting to a non-linear second degree polynomial
function (r = 0.995) than to a linear function (r = 0.987). However, when injecting a fixed volume of 20 μL or 30
µL of CA standard solutions of varying concentrations,
the detector response was linear (r = 0.998) in a wider
range, i.e., at injected CA masses ranging from 18 ng to
108 ng and 28 ng to 138 ng, respectively. The 20 μL
injection volume, enabling a CA detection limit of 0.2 μg
mL–1, was selected as optimum in all further experiments
because of the slightly better peak shape and higher peak
area compared to those achieved by injecting 30 μL. ranging from 0.92 μg mL–1 to 4.59 μg mL–1. Croat. Chem. Acta 86 (2013) 95. RESULTS AND DISCUSSION However, the slopes of calibration lines con- The applicability of the LC-ToF-MS analysis for
determining CA in soil extracts was further tested by
spiking acidic surface forest soil (Table 1, Forest Soil)
and neutral agricultural subsurface soil (Table 1, Agr
Sed 3), differing in organic matter and clay content,
with CA at a level of 15.3 mg kg–1 d.m. The efficiency
of the acetone/n-hexane mixture in the ultrasonic extrac-
tion of CA from soil was compared with the efficiency
of the more polar methanol. The extracts were evapo-
rated and dry residue was redissolved in LC-grade water
for the LC-ToF-MS analysis on the LiChrosphere 100
CN column. All CA ion extracted chromatograms were Table 3. Influence of soil/sediment matrix on ESI-ToF-MS response: ratio of CA peak areas measured in chromatograms of spiked
acetone/n-hexane (A/H) or methanol (MeOH) extracts of blank soils (samples) and in standards prepared in LC-grade water Table 3. Influence of soil/sediment matrix on ESI-ToF-MS response: ratio of CA peak areas measured in chromatogram
cetone/n-hexane (A/H) or methanol (MeOH) extracts of blank soils (samples) and in standards prepared in LC-grade wa Croat. Chem. Acta 86 (2013) 95. Sample to standard peak area ratio
(CA) / μg mL–1
0.25
1.20
2.57
A/H
MeOH
A/H
MeOH
A/H
MeOH
Forest Soil
0.84
0.87
0.93
0.96
0.90
0.92
Agr Soil
0.93
0.89
0.93
0.91
0.96
1.00
Agr Sed 1
0.90
0.95
1.00
0.92
0.94
0.99
Agr Sed 2
0.90
0.88
0.89
0.93
0.99
0.88 Croat. Chem. Acta 86 (2013) 95. 102 S. Stipičević et al., LC-ToF-MS Determination of Cyanuric Acid in Soil structed by the analysis of standards prepared in LC-
grade water and in the four sets of blank soil extracts at
the three tested CA concentration levels showed no
significant difference. The correlation coefficients were
higher than 0.999 for all calibration lines. Accordingly,
for the determination of CA in extracts of 1 g of soil,
calibration standards can be prepared in water due to the
non-significant influence of soil matrix on the MS re-
sponse. However, the possibility of negative effects of
matrix components on the quantitation of CA in extracts
prepared by extraction of soil mass higher than 1 g
should not be disregarded. It is therefore advisable to
use the matrix-matched standards or, even better, an
appropriate internal standard (e.g. RESULTS AND DISCUSSION the isotope-labelled
CA), which will be affected by the ion suppression to a
comparable extent as the target analyte.37 5. C. A. Brown, K. S. Jeong. R. H. Poppenga, B. Puschner, D. M. Miller, A. E. Ellis, K. I. Kang, S. Sum, A. M. Cistola, and S. A. Brown, J. Vet. Diagn. Invest. 19 (2007) 525–531. ,
g
(
)
6. B. Puschner, R. H. Poppenga, L. J. Lowenstine, M. S. Filigenzi,
d P A P
t
J V
Di
I
19 (2007) 616 624 6. B. Puschner, R. H. Poppenga, L. J. Lowenstine, M. S. Filigenzi,
and P. A. Pesavento, J. Vet. Diagn. Invest. 19 (2007) 616–624. 7. E. Topp, Biol. Fertil. Soils 33 (2001) 529–534. 8. D. Smith, S. Alvey, and D. E. Crowley, FEMS Microbiol. Ecol. 53 (2005) 265–273. 9. N. Udiković Kolić, D. Hršak, A. Begonja Kolar, I. Petrić, S. Stipičević, G. Soulas, and F. Martin-Laurent, Int. Biodeter. Biodegr. 60 (2007) 299–307. 10. K. Satsuma, Chemosphere 77 (2009) 590–596. 11. M. S. Lai, J. N. Jensen, and A. S. Weber, Wat. Environ. Res. 67
(1995) 340–346. (
)
12. V. Héquet, C. Gonzalez, and P. Le Cloirec, Wat. Res. 35 (2001)
4253–4260. 13. C. Y. Chan, S. Tao, R. Dawson, and P. K. Wong, Environ. Pollut. 131 (2004) 45–54. 14. J. Y. Shin and M. A. Cheney, Environ. Toxicol. Chem. 24
(2005)1353–1360. 15. R. Cantú, O. Evans, and M. L. Magnuson, Chromatographia 53
(2001) 454–456. CONCLUSION Zhu, and C. Yu, J. Chromatogr. B 878 (2010) 758–762. 27. Y. C. Fiamegos, C. N. Konidari, C. D. Stalikas, Anal. Chem. 75
(2003) 4034–4042. Acknowledgements. This study was supported by the Ministry of
Science, Education, and Sports of the Republic of Croatia through
the Project 022-0222882-2896 "Organic micropollutants in the
environment – distribution, interactions, human exposure". Acknowledgements. This study was supported by the Ministry of
Science, Education, and Sports of the Republic of Croatia through
the Project 022-0222882-2896 "Organic micropollutants in the
environment – distribution, interactions, human exposure". Acknowledgements. This study was supported by the Ministry of
Science, Education, and Sports of the Republic of Croatia through
the Project 022-0222882-2896 "Organic micropollutants in the
environment – distribution, interactions, human exposure". 28. H. P. O. Tang, S. S. L. Lai, A. Y. H. Lai, and W. O. Lee,
Chromatographia 70 (2009) 1405–1410. 29. H. Miao, S. Fan, Y-N. Wu, L. Zhang, P-P. Zhou, J-G. Li, H-J. Chen, and Y-F. Zhao, Biomed. Environ. Sci. 22 (2009) 87–94. 30. M. L. Magnuson, C. A. Kelty, and R. Cantú, J. Am. Soc. Mass
Spectrom. 12 (2001) 1085–1091. Croat. Chem. Acta 86 (2013) 95. CONCLUSION 16. R. Cantú, O. Evans, F. K. Kawahara, L. J. Wymer, and A. P. Dufour, Anal. Chem. 73 (2001) 3358–3364. The LiChrospher 100 CN column proved suitable for
determining CA dissolved in pure water and along with
the use of the non-buffered mobile phase, met the condi-
tions required for the LC-ToF-MS determination of CA
detected in negative ESI mode. In both methanol and
acetone/n-hexane extracts prepared by extracting 1 g of
different soils, the effect of soil matrix on suppression
of CA ionisation was not significant. The method pro-
vided highly selective determination of CA in soil ex-
tracts due to high ion detection selectivity, minimising
the interferences of possible co-eluting species, and the
unambiguous identification of target analyte by accurate
mass measurements of deprotonated molecule. Howev-
er, additional efforts are needed to improve the extrac-
tion of CA from different soils and to achieve equally
high recoveries regardless of the soil type. The high
mass fractions of CA found in industrial soils indicate
that this potentially hazardous compound has to be mon-
itored not only in water but also in the soil environment. 17. S. Ehling, S. Tefera, I. P. Ho, Food Addit. Contam. 24 (2007)
1319–1325. 18. C. Yu, L. Zhu, J. Xiao, H. Tang, G. Guo, Q. Zeng, and X. Wang,
Food Control 20 (2008) 205–208. 19. R. Muñiz-Valencia, S. G. Ceballos-Magaña, D. Rosales-
Martinez, R. Gonzalo-Lumbreras, A. Santos-Montes, A. Cubedo-
Fernandez-Trapiella, and R. C. Izquierdo-Hornillos, Anal. Bioanal. Chem. 392 (2008) 523–531. 20. D. W. Hamilton and P. A. O’Neal, J. Sep. Sci. 26 (2003)
510–514. 21. K. Patel and K. Jones, J. Chromatogr. B 853 (2007) 360–363. 22. C. Han, Y. Zhou, B. Xia, Z. Zhu, C. Liu, and Y. Shen, J. Sep. Sci. 34 (2011) 371–375. 23. C. Han, C. Liu, Y. Zhou, B. Xia, Z. Zhu, X. Lei, and Y. Shen,
Food Chem. 127 (2011) 875–879. 24. C. M. Karbiwnyk, W. C. Andersen, S. B. Turnipseed, J. M. Storey, M. R. Madson, K. E. Miller, C. M. Gieseker, R. A. Miller, N. G. Rummel, and R. Reimschuessel, Anal. Chim. Acta
637 (2009) 101–111. 25. M. S. Filigenzi, B. Puschner, L. S. Aston, and R. H. Poppenga,
J. Agric. Food Chem. 56 (2008) 7593–7599. 26. M. Zhang, S. Li, C. Yu, G. Liu, J. Jia, C. Lu, J. He, Y. Ma, J. Zhu, and C. Yu, J. Chromatogr. B 878 (2010) 758–762. REFERENCES 31. J. A. Campbell, D. S. Wunschel, and C. E. Petersen, Anal. Lett. 40 (2007) 3107–3118. 1. R. Cantú, O. Evans, F. K. Kawahara, J. A. Shoemaker, and A. P. Dufour, Anal. Chem. 72 (2000) 5820–5828. 32. L. Vaclavik, J. Rosmus, B. Popping, and J. Hajslova,
J. Chromatogr. A 1217 (2010) 4204–4211. 33. B. Liu, M. Lin, and H. Li, Sens. Instrumen. Food Qual. 4 (2010)
13–19. 2. J. Wojtowicz, Cyanuric and Isocyanuric Acids, Kirk-Othmer
Encyclopedia of Chemical Technology. Copyright © 2001 by
John Wiley & Sons, Inc. Published Online: 18 June 2004. 34. S. Lacorte and A. R. Fernandez-Alba, Mass Spectrom. Rev. 25
(2006) 866–880. 3. L. P.Wacket, M. J. Sadowsky, B. Martinez, and N. Shapir, Appl. Microbiol. Biotechnol. 58 (2002) 39–45. 35. F. Hernández, J. V. Sancho, M. Ibáñez, and S. Grimalt, TrAC,
Trends Anal. Chem. 27 (2008) 862–872. 4. F. Sun, W. Ma, L. Xu, Y. Zhu, L. Liu, C. Peng, L. Wang, H. Kuang, and C. Xu, TrAC, Trends Anal. Chem. 29 (2010)
1239–1249. 4. F. Sun, W. Ma, L. Xu, Y. Zhu, L. Liu, C. Peng, L. Wang, H. Kuang, and C. Xu, TrAC, Trends Anal. Chem. 29 (2010)
1239–1249. 36. S. Stipičević, S. Fingler, L. Zupančič-Kralj, and V. Drevenkar,
J. Sep. Sci. 26 (2003) 1237–1246. 37. J-P. Antignac, K. de Wasch, F. Monteau, H. De Brabander, F. Andre, and B. Le Bizec, Anal. Chim. Acta 529 (2005) 129–136. Croat. Chem. Acta 86 (2013) 95.
|
https://openalex.org/W3043684762
|
https://www.intechopen.com/citation-pdf-url/72655
|
English
| null |
Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
|
IntechOpen eBooks
| 2,020
|
cc-by
| 9,846
|
Abstract In this chapter, a numerical investigation is presented in order to highlight the
effects of outdoor wind on smoke movements along a corridor in a compartment. For this, the Computational Fluid Dynamics (CFD) code, fire dynamics simulator
(FDS), was used to model the reactive flows in interaction with outdoor wind. The
wind velocity is taken between 0 and 12.12 m/s, based on the experimental result
data come from the work of Li et al. was performed. From numerical data, it was
found that smoke stratification state in the corridor depends on Froude number
(Fr) and it can be divided into three cases: stable buoyant stratification (Fr < 0.38),
unstable buoyant stratification (0.38 ≤Fr < 0.76), and failed stratification
(Fr ≥0.76). When Fr ≥0.76, smoke stratification is completely disturbed and
smoke occupies the entire volume of the compartment, highlighting a risk of toxic-
ity to people. Indeed, it was observed that the velocity of the outdoor wind influ-
ences strongly the concentration of O2, CO2, CO, and visibility in the corridor and
smoke exhaust. Moreover, for the input data used in the numerical modelling, the
global sensitivity analysis demonstrated that the main parameters affecting the
smoke temperature near the ceiling are the mass flux of fuel and the activation
energy. Keywords: outdoor wind, CFD, FDS, sensitivity analysis, corridor, smoke spread Keywords: outdoor wind, CFD, FDS, sensitivity analysis, corridor, smoke sprea Keywords: outdoor wind, CFD, FDS, sensitivity analysis, corridor, smoke spread Numerical Study on the Outdoor
Wind Effects on Movement
Smoke along a Corridor Brady Manescau, Khaled Chetehouna, Quentin Serra,
Aijuan Wang and Eric Florentin 1. Introduction Since the end of the Second World War, the construction of buildings has
experienced an increase in growth due to the increase in the world population and
economic growth in recent decades. With many buildings, the problem of housing
for people no longer arises. However, by making an inventory of the generally very
high number of victims in building fires, these developments present numerous
challenges for fire safety engineering. Indeed, for the past 75 years, there have been
many fires in large buildings. There is for example, during April 15, 2019, the
violent fire that started in the roof of the Notre-Dame de Paris cathedral, and it
ravaged the roof and the frame by destroying the roof base and damaging the vault. In order to reduce the number of deaths and property damage, fire safety engi-
neering has focused on understanding the different phenomena present in a build-
ing fire [1]. Among these phenomena, Paul et al. [2] and Hull et al. [3] showed that 1 Fire Safety and Management Awareness smoke is the main cause of death due to toxicity. Indeed, smoke plume can be
hazardous for people in two different ways: the toxic gases in smoke, such as carbon
dioxide, are a fatal hazard [2, 3], and the smoke can make it difficult to rescue and
evacuate people as it reduces visibility. In a compartment fire, it is therefore very
important to know the characteristics of the smoke spread. The parameters that
influence the smoke spread are mechanical ventilation and external atmospheric
conditions. Generally, mechanical ventilation ensures smoke exhaust; however,
external atmospheric conditions can disturb smoke flow. Moreover, smoke flows
depend essentially on physical properties such as expansion, thermal pressure,
thermal buoyancy, and wind effect. Variation in one of these parameters, such as
the wind speed, can affect strongly smoke behavior [4, 5]. Considering this possi-
bility, it is important to highlight the effects of external atmospheric conditions on
smoke spread in a compartment. p
p
Indeed, during a fire in a room, the presence of external wind through an
opening contributes to disturbance of the smoke flow, which can impair the
extraction process, thereby increasing the risk of death. In this context, many
studies have been carried out in recent years to provide knowledge for fire safety
engineering, including many full-scale [6, 7] and reduced scale [8, 9] experimental
investigations. g
At full scale, Tian et al. 1. Introduction [6] showed that the more the wind velocity increases, the
more the smoke temperature near the floor increases, in order to converge to the
smoke temperature near the ceiling. Considering this, they highlighted that above a
certain critical value of outdoor wind velocity, smoke stratification was disturbed,
and smoke occupied the entire volume of the compartment. From scaling laws [10],
small-scale experimental tests have been developed. Indeed, Li et al. [8] studied the
influence of external wind velocity on the smoke flow in a small-scale facility. They
showed that the driving forces of smoke flow through a high-rise building were
modified according to the intensity of the external wind. In addition to the experimental studies cited above, numerical simulations on
smoke propagation in a compartment have also been conducted. For example, Li
et al. [11] simulated smoke flows in a reduced scale (1:12) corridor under natural
ventilation conditions using the CFD code FDS. In their work, they compared
numerical data with experimental data and highlighted that FDS was able to simu-
late the temperature field and the level of smoke stratification for different heat
release rates (HRR). In another example, Weng et al. [12] performed numerical
simulations on the smoke flow in a subway tunnel fire equipped with an extraction
system. Their results revealed that the temperature and the level of smoke stratifi-
cation under the tunnel ceiling in the longitudinal direction increased with the HRR. g
g
Considering the numerical studies presented above, it is shown that, using nice
initial and boundary conditions, it is possible to make accurate simulations. Thus, in
order to obtain accurate output results, it is necessary to define the input data
correctly by carrying out a sensitivity analysis in order to find out the input param-
eters having the most influence on the output data. Two kinds of approach are
classically used to achieve this: local and global approaches. For example, Batiot
et al. [13] applied local and global sensitivity analysis on Arrhenius parameters in
order to describe the kinetics of solid thermal degradation during fire phenomena,
by determining four parameters (A, E, n, and ν). They stressed the specific role of A
and E on the equation and showed the role and the influence of these parameters in
the differential equation used to model the mass loss rate of a solid fuel as a function
of the temperature and time. 1. Introduction In a second example, Xiao et al. [14] applied global
sensitivity analysis to an environmental model named Level E. The sensitivity
indices used the energy distribution of the model output over different frequency
bands as the quantitative feature of the model output. 2 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Most of the numerical simulations that focused on the propagation of smoke in a
ventilated or unventilated enclosure studied the level of smoke stratification as a
function of the temperature profile and velocity. However, these numerical studies
do not consider the effect of the external wind on smoke stratification in a corridor
adjacent to a burning room with an opening. Using the data obtained by Li et al. [8],
the aim of the present study was to highlight the ability of the fire dynamics
simulator (FDS) to study smoke behavior according to the variation in outdoor
wind velocity. This work, through a mesh resolution [15, 16], consists in
reproducing the experimental conditions obtained in the work of Li et al. [8]. g
In this chapter, a CFD approach was proposed to evaluate the effects of outdoor
wind on the smoke spread induced by an adjacent compartment fire. In order to
highlight the influence of the input parameters used as initial conditions in the
computational modelling, a global sensitivity analysis was performed. For this,
Section 2 presents an overview of the global sensitivity analysis methodology with
polynomial chaos expansion. Section 3 defines the physical and numerical model-
ling, Section 4 focuses on numerical results and global sensitivity analysis, and the
conclusion is presented in Section 5. 2.1 Global sensitivity analysis These indices are
often associated to an analysis of variance (ANOVA) decomposition, which
consists in the decomposition of the model response into main effects and
interactions [21]: T ¼ M x1, … , xr
ð
Þ ¼ M0 þ
X
r
i¼1
Mi xi
ð Þ þ
X
r
1 ≤i < j ≤r
Mij xi, xj
þ … þ M1, … ,r x1, … , xr
ð
Þ (2) 3 3 Safety and Management Awareness Fire Safety and Management Awareness The decomposition is unique if summands satisfy the properties [20]: M0 ¼
ð
M x1, … , xr
ð
Þdx1 … :dxr
(3) (3) ð
M xi1, … , xis
ð
Þ dxi1 … :dxis ¼ 0 for 1 ≤i1 < … < is ≤r
(4) (4) The variance of the model response according to variation of inputs can be
derived as a sum of partial variances as follows: The variance of the model response according to variation of inputs can be
derived as a sum of partial variances as follows: var T
ð Þ ¼ D ¼
X
r
i¼1
Di þ
X
r
1 ≤i < j ≤r
Dij þ … þ D1, … ,r
(5) (5) The partial variances Di1, … ,is are defined by: Di1, … ,is ¼
ð
Mi1, … is xi1, … , xis
ð
Þ2dxi1 … :dxis
(6) (6) Then, the Sobol indices can be derived according to: Then, the Sobol indices can be derived according to: Si1, … ,is ¼ Di1, … ,is
D
(7) (7) Crude Monte Carlo simulations or sampling-based techniques can be applied to
obtain these indices, but the associated numerical is prohibitive for computationally
demanding models such as those used in this chapter. To overcome this difficulty,
the exact model provided by simulations was substituted by an analytical approxi-
mation, called metamodel, for which the computation of Sobol indices is exact and
analytical. In this chapter, a polynomial chaos expansion was used as metamodel to
derive the sensitivity indices. 2.1 Global sensitivity analysis The aim of sensitivity analysis is to quantify the influence of the variation of an
input parameter on the variation of an output, also called quantity of interest. In the
present study, the quantity of interest is the predicted smoke temperature near the
ceiling (X = 5.4 m, Y = 0.5 m, Z = 85 cm), filtered by a Savitzky-Golay algorithm
(third-order) to eliminate high-frequency variations of temperature. It is expressed
as a mapping of the input parameters xi for i ¼ 1 … r, where r is the number of
parameters, and the dependence in time is omitted to simplify the notations as: T ¼ M x1, … , xr
ð
Þ
(1) (1) Generally, there are two kinds of sensitivity analysis: local sensitivity analysis and
global sensitivity analysis. The local sensitivity analysis is a simple approach in which
the sensitivity indices are directly related to the derivatives of the quantity of interest
with respect to each parameter [17–19]. It is called local because the local indices are
only valid in a neighborhood of the nominal value [20]. While local approaches are
restricted to the vicinity of the prescribed deterministic values, global sensitivity takes
into account the entire domain of variation of each parameter. To extend the approach in the case of larger variations of parameters, a proba-
bilistic framework is adopted. Lacking knowledge on the probability density func-
tions of the inputs, we assume that each of the parameters follows a uniform law
with a 10% variation around its nominal value. Of interest in this chapter are the Sobol sensitivity indices. 2.2 Polynomial chaos expansion The interest in such a decomposition is that, due to orthonormal properties of
the family of polynomials, the mean ~M0, the variance ~D, the first-order Sobol 4 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 indices ~Si, and the total sensitivity indices ~Sti of the metamodel can be computed as
analytical functions of the chaos coefficients Yα [20]: ~M0 ¼
ð
~M x1, … , xr
ð
Þdx1 … dxr ¼ Y 0, … ,0
f
g
(9) ~M0 ¼
ð
~M x1, … , xr
ð
Þdx1 … dxr ¼ Y 0, … ,0
f
g
(9)
~D ¼
ð
~
M x1, … , xr
ð
Þ ~M0
2dx1 … dxr ¼
X
α ∈Aαn 0, … , 0
f
g
Y2
α
(10) (9) ~D ¼
ð
~
M x1, … , xr
ð
Þ ~M0
2dx1 … dxr ¼
X
α ∈Aαn 0, … , 0
f
g
Y2
α
(10) (10) ~Si ¼
P
α ∈A if g
α Y2
α
~D
with A if g
α
¼
α 1
ð Þ, … , α rð Þ
such as : α ið Þ 6¼ 0 and α jð Þ 6¼ 0 for j 6¼ i
(11)
~Sti ¼
P
α ∈At if g
α Y2
α
~D
with At if g
α
¼
α 1
ð Þ, … , α rð Þ
such as : α ið Þ 6¼ 0
(12) (11) (12) To compute the chaos coefficients Yα, intrusive and nonintrusive approaches
can be used. The intrusive approach [22] consists in using PC expansion as an a
priori function in the numerical solver. The development of a specific code is
needed. It results in a single run of a very large problem. Here, we only consider
nonintrusive techniques, in which the chaos coefficients are evaluated with
repeated runs of a determinist program. Chaos coefficients can be evaluated by
projection or by regression [23]. j
y
g
Here, we apply the second technique: it consists in searching the set of coeffi-
cients minimizing in the least-squares sense, the L2 distance between the model and
the metamodel. 2.2 Polynomial chaos expansion This regression approach leads to: Yα
f
g ¼ argmin
1
Q
X
Q
q¼1
M x1,q, … , xr,q
X
α ∈Aα
YαΦα x1,q, … , xr,q
!2
0
@
1
A
(13) (13) The system is solved in a mean least-squares sense with a number Q of sampling
points x1,q, … , xr,q
larger than the number of coefficients to be identified. Typi-
cally, in the literature, the number of sampling points is equal to twice the number
of polynomial coefficients. In this study, the metamodel is computed using second-
order Legendre polynomials. This leads to Np ¼ 36 stochastic modes, so that the
number of sampling points is Q ¼ 72. Roots of the third-order Legendre polyno-
mial, Ψ3 xi,q
¼ 0, are chosen as sampling points. The results presented here were
validated using the jackknife technique with 100 replications of a random subset of
70 samples. 2.2 Polynomial chaos expansion The polynomial chaos (PC) expansion consists in the projection of the model M
on the space spanned by a family of Np orthogonal polynomials: M x1, … , xr
ð
Þ ≈~
M x1, … , xr
ð
Þ ¼
X
α ∈Aα
YαΦα x1, … , xr
ð
Þ
(8) (8) (8) where Aα is a finite set of vectors of positive integers α ¼ α 1
ð Þ, … , α rð Þ
such
as card Aα
ð
Þ ¼ Np. Each of the multivariate polynomials Φα can be expressed as a
product of monovariate polynomials Ψα ið Þ of order α ið Þ: where Aα is a finite set of vectors of positive integers α ¼ α 1
ð Þ, … , α rð Þ
such
as card Aα
ð
Þ ¼ Np. Each of the multivariate polynomials Φα can be expressed as a
product of monovariate polynomials Ψα ið Þ of order α ið Þ: Φα x1, … , xr
ð
Þ ¼ Ψα 1
ð Þ x1
ð
Þ … Ψα rð Þ xr
ð
Þ Legendre polynomials were used here because of the assumption of a uniform
probability density function for each input parameter. To reduce the number of
stochastic coefficients and thus the computational burden, a classical truncation
criterion consists in prescribing the constraint: Pr
i¼1α ið Þ ≤p, where p is the
maximum order allowed for each monovariate polynomial. 3.2 Fire modelling The modelling was carried out using the Deardorff turbulence model and
extinction model based on a critical flame temperature. The combustion model is
based on the finite rate combustion using Arrhenius parameters (A: pre-exponential
factor and Ea: activation energy). The fire source was modelled as a gas burner
using butane as fuel with mass flux given by the experimental data [8]. The com-
bustion heat of butane is 45182.83 kJ/kg. 3.1 Governing equations The simulations were carried out using the CFD code fire dynamics simulator
(FDS) version 6.5.3 [24]. It solves the Navier-Stokes equations using an explicit
finite difference scheme. As a CFD code, FDS models the thermally driven flow
with an emphasis on smoke and heat transport. It is a large eddy simulation (LES)
model using a uniform mesh and has parallel computing capability using message-
passing interface (MPI) [25]. Reactive flows are modelled using a turbulence model
based on a LES approach, a combustion model based on the eddy dissipation 5 Fire Safety and Management Awareness concept (EDC), and a thermal radiation model based on a gray gas model for the
radiation absorption coefficient [15, 16]. The models are based on the numerical solving of Navier-Stokes equations. These equations calculate mass, momentum, species, and energy conservation [25] ∂ρ
∂t þ ∂
∂xj
ρuj
¼ 0
(14) ∂ρ
∂t þ ∂
∂xj
ρuj
¼ 0
(14)
∂
∂t ρuj
þ ∂
∂xj
ρuiuj
¼ ∂p
∂xi
þ ρgi þ ∂
∂xj
μ ∂ui
∂xj
þ ∂uj
∂xi
2
3 δij
∂ui
∂xi
(15)
∂ρYk ∗
∂t
þ ∂
∂xj
ρujYk ∗¼ ∂
∂xj
ρD
ð
Þk ∗
∂
∂xj
Yk ∗
þ _ω000
k ∗
(16)
∂
∂t ρh
ð
Þ þ ∂
∂xj
ρuih
ð
Þ ¼ dp
dt þ _q000 þ λ ∂2
∂x2
j
T þ
X ∂
∂xj
hk ∗ρD
ð
Þk ∗
∂
∂xj
Yk ∗
∂
∂xj
_q00
r,j
(17) (14) (17) where Eq. (14) represents the mass conservation equation, Eq. (15) represents
the momentum conservation equation, Eq. (16) represents the species conservation
equation, and Eq. (17) represents the energy conservation equation. where Eq. (14) represents the mass conservation equation, Eq. (15) represents
the momentum conservation equation, Eq. (16) represents the species conservation
equation, and Eq. (17) represents the energy conservation equation. where Eq. (14) represents the mass conservation equation, Eq. (15) represents
the momentum conservation equation, Eq. (16) represents the species conservation
equation, and Eq. (17) represents the energy conservation equation. 3.3 Computational domain and boundary conditions Schematic view of the experimental corridor and fire room. Figure 1. Figure 1. Schematic view of the experimental corridor and fire room. the scaling law of Froude modelling [12, 13]. Varying the wind velocity, eight
experiments were conducted at an HRR of 96.2 kW, equaling 1.5 MW at full-scale. The experiments were carried out with ambient temperature ranging from 6 to
16°C. K-type thermocouples with an accuracy of 1°C were used for the tempera-
ture measurements in the corridor and fire room. Hot wire wind speed meters were
applied to measure the velocity of smoke. In order to model the geometry and the boundary conditions of the setup used
during the experimental tests [8], the walls of the corridor and fireroom were made
of steel having a density of 7850 kg/m3, a thermal conductivity of 46 W/(mK)1, a
specific heat of 0.5 kJ/(kgK), and an emissivity of 0.9. In simulations, the boundary condition at the window was modeled as an open-
ing in the case without wind. With wind, a constant flow rate was set at the window
using the velocity boundary used in the CFD code. In order to remain consistent
with the experimental tests, a waiting time of 150 s was defined before activation of
the outdoor wind velocity in the modelling. The simulations were performed in
eight cases (Vw = 0, 1, 2, 3, 4, 5, 6, and 7 m/s, which correspond to Vw = 0, 1.73,
3.46, 5.20, 6.93, 8.66, 10.39, and 12.12 m/s full-scale). Similarly, the simulation
results were converted into full-scale data according to the Froude number. g
The smoke temperature, smoke velocity, concentration of O2 and CO, and
visibility in the corridor were analyzed by setting different devices in the plane (Y =
0.5 m), near the exit of the corridor (X = 5.4 m), at different heights (Z = 85, 70, 55,
40, and 25 cm). Moreover, other observations were carried out about the distribu-
tion of temperature, velocity, concentration of O2 and CO2, and visibility thanks to
slice fields in the plane Y = 0.5 m. 3.3 Computational domain and boundary conditions The experimental setup used as reference in the current numerical study repre-
sents a reduced scale (1:3) of a facility which contains a corridor and a fire room [8]. As shown in Figure 1, the dimensions of the corridor were 5.5 m (length) 0.7 m
(width) 0.9 m (height) and the dimensions of the fire room were 2.0 m (length)
1.7 m (width) 1.0 m (height). The corridor and fire room were connected by a
door whose dimensions were 0.7 m long by 0.3 m wide. The window in the fire
room was opposite to the door and its dimensions were 0.5 m (width) 0.5 m
(height). The ceilings and floors of the corridor and fire room were made of steel
plate with a thickness of 2.5 mm. p
As shown in Figure 1, the fire source was in the middle of the fire room, and it
was defined as a gas burner using liquefied petroleum gas as fuel. The fuel supply
rates of the gas burner were controlled and monitored by a flow meter. The HRR in
the experiments was determined by multiplying the mass flow rate and the com-
bustion heat of liquefied petroleum gas. The fire size can be scaled up to 96.2 kW of
HRR, which corresponds to 1.5 MW full-scale. The wind can blow into the fire room through the window and the outdoor wind
was generated by the fan and a static pressure box (cf. Figure 1). The velocity of
the outdoor wind was adjusted by changing the AC frequency of the frequency
converter. The velocity of the outdoor wind varied from 0 to 7.0 m/s and the
corresponding full-scale outdoor wind velocity range was 0–12.12 m/s according to 6 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Figure 1. Schematic view of the experimental corridor and fire room. Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 2, 13]. Varying the wind velocity, e
R of 96.2 kW, equaling 1.5 MW at f
with ambient temperature ranging f
ccuracy of 1°C were used for the t
fire room. Hot wire wind speed me
ke. d the boundary conditions of the set
walls of the corridor and fireroom w
, a thermal conductivity of 46 W/(
missivity of 0.9. re room. 78 Figure 1. 3.4 Mesh size resolution For numerical studies, it is important to choose the correct mesh size in order to
obtain accurate simulation results. FDS provides a range of mesh sizes for mesh
resolution. From a Poisson solver based on the fast Fourier transform (FFT), it is
possible to obtain good numerical resolution by solving the governing equations. The mesh size was chosen in accordance with the recommendations made in the
numerical studies [15, 16]. An optimal mesh size should meet two requirements:
good results in terms of accuracy and a short calculation time. The optimal mesh
size of the domain is given by the nondimensional expression D ∗=∂x, where ∂x is the
nominal mesh size and D* is the characteristic fire diameter [24]. The characteristic
fire diameter D* is determined using Eq. (18): D ∗¼
_Q
ρ∞cpT∞ffiffig
p
!2=5
(18) (18) 7 Fire Safety and Management Awareness where D* denotes the characteristic fire diameter, _Q the Heat Release Rate, and
cp the specific heat. Based on several experiments, the U.S. Nuclear Regulatory Commission recom-
mends that the numerical range of D ∗=∂x be between 4 and 16 for simulations to
produce favorable results at a moderate computational cost, since the larger the
value of D ∗=∂x used in the simulation, the more accurate the simulation result. Hence, the range of mesh sizes can be obtained by the following equation [15, 16]: D ∗
16 ≤δx ≤D ∗
4
(19) (19) After calculation, the range of mesh sizes was found to be: (0.0625 and 0.25 m). Therefore, four different mesh sizes were used: 20, 10, 5, and 2.5 cm. After calculation, the range of mesh sizes was found to be: (0.0625 and 0.25 m). Therefore, four different mesh sizes were used: 20, 10, 5, and 2.5 cm. Figure 2(a) and (b) presents the comparisons between experiment and FDS
predictions for these four different meshes. The comparisons were carried out on
the evolution of the smoke temperature and smoke velocity, both measured 70
cm above the ground and in the centerline of the corridor near the exit. g
It can be seen that the numerical results obtained with mesh sizes of 5 and 2.5 cm
converge with the experimental results, while the results of the 20 and 10 cm
meshes diverge. Moreover, the 2.5-cm mesh gives more accurate numerical results
than the 5-cm mesh. 3.4 Mesh size resolution As shown in Table 1, the relative gap (RG) of the calculation
with the 2.5-cm mesh (3.85%) is slightly smaller than the calculation with a 5-cm
mesh (6.83%). The relative gap (RG) is obtained by [26]: RG ¼ 100
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn
i¼1 ypre,i y exp ,i
2
r
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn
i¼1 y exp ,i
2
r
(20) (20) where ypre is a predicted value, yexp is an experimental value, and n is the
number of experimental points. where ypre is a predicted value, yexp is an experimental value, and n is the
number of experimental points. However, the calculation time with the 2.5-cm mesh is 10 times longer than with
the 5-cm mesh. In addition, the relative gap of the 5-cm mesh is close to that of the
2.5-cm mesh. As it represents the best trade-off between precision and calculation
time, the 5-cm mesh was used for the following calculations, this choice is Figure 2. The influence of grid cells on: (a) temperature at a height of 70 cm; and (b) smoke velocity without wind at a
height of 70 cm. Figure 2. Figure 2. The influence of grid cells on: (a) temperature at a height of 70 cm; and (b) smoke velocity without wind at a
height of 70 cm. 8 8 Numerical grid
Number of cells
Relative gap (%)
CPU time (h)
Temperature (°C)
Smoke velocity (m/s)
Mesh size 20 cm
1685
31.06
33.17
1.2
Mesh size 10 cm
11865
19.76
16.91
4.4
Mesh size 5 cm
94920
6.06
6.23
9.6
Mesh size 2.5 cm
759360
3.80
3.85
92.2
Table 1. Results of different numerical grid mesh sizes. Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Table 1. reinforced by the suggestions of the various cases of validation of the FDS code
proposed in the user guide [24]. With the 5-cm mesh, the total number of cells is 94920 and the simulation time
is 1000 s with a time step of 0.010 s. The calculations were carried out using 20
processors in the ARTEMIS cluster of the “Région Centre Val de Loire—France”
and each computation took about 9.6 h. p
Figure 2(a) and (b) shows that the numerical results obtained with the 5-cm
mesh are in agreement with experimental data as regards the evolution of smoke
temperature and smoke velocity [8]. This indicates that with a 5-cm mesh, the
boundary conditions can be satisfactorily modeled by FDS and that the interaction
between wind and smoke flow can be reproduced. Figure 3. Smoke velocity with: (a) Vw = 1.73 m/s; (b) Vw = 3.46 m/s; (c) Vw = 6.93 m/s; and (d) Vw = 12.12 m/s at a
height of 70 cm of FDS and experimental results [8]. Figure 3. Figure 3. Smoke velocity with: (a) Vw = 1.73 m/s; (b) Vw = 3.46 m/s; (c) Vw = 6.93 m/s; and (d) Vw = 12.12 m/s at a
height of 70 cm of FDS and experimental results [8]. 9 Fire Safety and Management Awareness Figure 3 plots the smoke velocity decays with different wind velocities: (a) Vw =
1.73 m/s; (b) Vw = 5.20 m/s; (c) Vw = 6.93 m/s; and (d) Vw = 10.93 m/s at 70 cm
height. It can be seen that the predictions of the evolution of smoke velocities are
similar to those of the experimental data [8]. Since the velocities were measured at a
height of 70 cm in the experiments, these values are in fact averages. Therefore, it is possible that for some values of the smoke velocity, the experi-
mental data are underestimated or overestimated. In these conditions, predictions are
overestimated at the start or at the end of the curves Figure 3(a) and (b). These small
differences can be associated to the vortex waves that are not very well reproduced by
the turbulence model. To try to improve it, a sensibility analysis can be performed on
the different turbulence models [24]. However, good agreement between prediction
and experiment is observed in the other pictures (Figure 3(c) and (d)). 4. Results and discussions In this part of the chapter, the numerical results with different wind velocities
(Vw = 1.73, 3.46, and 5.20 m/s) are discussed in terms of the effects of outdoor wind
on smoke stratification and smoke extraction. A global sensitivity analysis was
carried out in order to determine the effects of the input parameters on the output
data. The target input parameters are mass flux (MF) of fuel, the material proper-
ties (conductivity λ, emissivity ε, density ρ, and specific heat cp), and the Arrhenius
parameters (A, Ea). The target output data are the smoke temperature near the
ceiling. Table 1. p
p
g
It can be concluded from these different comparisons that the choice of a 5-cm
mesh is suitable and that it can deal with reactive flows with a good accuracy. Leakage was neglected during the modelling, as the amount of leakage in the
experiment is unknown. It is possible, therefore, that some simulation results may
be under- or overestimated. Overall, however, the predictions of the simulations are
acceptable. 4.1 Outdoor wind effect on the smoke exhaust Figure 4 presents the smoke velocity field with (a) Vw = 0 m/s; (b) Vw = 1.73
m/s; (c) Vw = 3.46 m/s; and (d) Vw = 5.20 m/s; in the cross-section y = 0.5 m at
300 s. The cross-section y = 0.5 m is the plane in the middle of the corridor. In
Figure 4(a), taking this plane at the height of 70 cm, the maximum value of the
smoke velocity is near the door and decreases with the distance from the door as
shown in Figures 3 and 4. In addition, considering smoke stratification with a hot
zone near the ceiling and a cold zone near the floor, it is observed that the buoyancy
effects give the reverse observation. Near the floor, the smoke velocity increases
with the distance, and using the vortex recirculation solved by the Deardorff
turbulence model, the numerical solver can reproduce the vortex flow induced by
the smoke flow. From Figure 4, the maximum of smoke velocity in the corridor increases when
the wind velocity increases. As mentioned previously, in these conditions, smoke
exhaust can be disturbed. Outdoor wind can, however, contribute to the evacua-
tion of smoke and fire extinction in that more smoke is extracted through the
corridor when the wind velocity increases. It should nevertheless be mentioned
that while ventilation and extraction systems play an important role in fire engi-
neering [15], the efficiency of the smoke extraction system will be reduced and
even be invalidated when the outdoor wind velocity is very high and the extrac-
tion system is installed in the windward surface of the compartment [21]. In this 10 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Figure 4. Simulation of the smoke velocity field with (a) Vw = 0 m/s; (b) Vw = 1.73 m/s; (c) Vw = 3.46 m/s;
and (d) Vw = 5.20 m/s in the cross-section y = 0.5 m at 300 s. Figure 4. Simulation of the smoke velocity field with (a) Vw = 0 m/s; (b) Vw = 1.73 m/s; (c) Vw = 3.46 m/s;
and (d) Vw = 5.20 m/s in the cross-section y = 0.5 m at 300 s. 4.1 Outdoor wind effect on the smoke exhaust case, the extraction system cannot perform well, and smoke can spread along the
entire compartment through the connected rooms. This situation is not acceptable
for fire safety. y
Figure 5 shows that when the outdoor wind velocity increases, the oxygen
concentration increases and carbon dioxide concentration decreases. Figure 5 pre-
sents the influence of wind velocity on O2 concentration and CO2 concentration at a 11 Fire Safety and Management Awareness Figure 5. Influence of wind velocity on: (a) O2 concentration; and (b) CO2 concentration at 85 cm height. Figure 5. Figure 5. Influence of wind velocity on: (a) O2 concentration; and (b) CO2 concentration at 85 cm height. height of 85 cm (on the ceiling of the corridor), showing that the more wind
velocity increases, the more oxygen concentration increases. After 300 s, the oxy-
gen concentration remains stable when the wind velocity varies from 0 to 6.93 m/s. The oxygen concentration at 300 s was therefore used to compare the different
wind velocity cases. y
When the wind velocity is 1.73 m/s, the O2 molar concentration increases only
slightly compared to a situation without wind. When the wind velocity increases to
3.46 m/s, the O2 molar concentration increases strongly compared to the case
without wind. For a wind velocity of 6.93 m/s, the O2 molar concentration increases
to 20.2%, 1.8% higher than without wind. The rise in O2 concentration in the
corridor also indicates that more smoke is extracted. The more the wind velocity increases, the more the CO2 concentration decreases
(Figure 5(b)). At a wind velocity of 6.93 m/s, the CO2 molar concentration
decreases to 0.3%, 1% lower than without wind. The decline of the CO2 concentra-
tion in the corridor also contributes to people escaping from fires. Using oxygen concentration field like the smoke velocity field in the Figure 4,
the mean oxygen concentration in the corridor increases when the wind velocity
increases, showing that a higher wind velocity can facilitate smoke exhaust. g
g
y
It is also possible to highlight the influence of wind velocity on CO concentration
and visibility. The evolutions of these latest are presented in Figure 6 at a height of
50 cm. The height of 50 cm represents the average height of a person measuring 165
cm in a full-scale building. From Figure 6(a), CO concentration decreases with
wind velocity. Figure 6. Figure 6. Influence of wind velocity on: (a) CO concentration; and (b) visibility at 55 cm height at the exit of the
corridor. is so small that it would have little effect on people’s health, the homogeneous
distribution of CO concentration may cause serious problems when the heat release
rate in the building is larger, producing more CO. Moreover, concerning the visibility, it is shown that the visibility of the lower
area in the corridor is very high and the visibility of the upper area in the corridor is
very low due to smoke stratification when there is no wind. For this, the visibility in
the corridor gradually becomes homogeneous as the outdoor wind velocity
increases and becomes better when the wind velocity reaches 5.20 m/s, indicating
that the more smoke is exhausted, the more visibility is improved. In other words, smoke can exit the corridor faster when the wind velocity
increases. It can be said that to some extent, the outdoor wind is helpful for smoke
exhaust and an advantage for the evacuation of people in fires as it can decrease the
concentration of toxic gas and improve visibility in the environment. However, in
these conditions, the outdoor wind becomes a disturbance for the extraction sys-
tem, representing an unacceptable situation for fire safety. 4.1 Outdoor wind effect on the smoke exhaust y
The outdoor wind can thus be an advantage for diluting the CO concentration. Figure 6(b) shows that the more the outdoor wind velocity increases, the more the
visibility increases. Thus, the more wind blows in, the more smoke is diluted. However, the visibility becomes homogenous in the enclosure due to disturbance in
the smoke stratification. In a fire with a heat release rate larger than the one used in
this study, the poor visibility can be unfavorable for the evacuation of people in the
building. Using the CO concentration field similarly to the smoke filed, the average
concentration of CO decreases with the increase in wind velocity. There are two
zones: a thin zone near the floor and a thick zone near the ceiling in the case of
no wind. The distribution of CO concentration in the corridor gradually becomes homo-
geneous as the wind velocity increases. Although in this study the CO concentration 12 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Figure 6. Influence of wind velocity on: (a) CO concentration; and (b) visibility at 55 cm height at the exit of the
corridor. Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Figure 7. Figure 7. Figure 7. Influence of wind velocity (a) Vw = 0 m/s; (b) Vw = 1.73 m/s; (c) Vw = 3.46 m/s; and (d) Vw = 5.20 m/s on
smoke temperature in different heights of the corridor. and becomes disturbed when the Froude number is larger than this critical value. It
is known that the Froude number can be associated to velocity. So, smoke stratifi-
cation is related to the smoke velocity in an enclosure. In Figure 7(a), when the
wind velocity is 0 m/s, the smoke temperature near the ceiling and floor are about 5
and 60°C, indicating that smoke stratification is very stable. At a wind velocity of
1.73 m/s, the smoke temperature near the ceiling and floor are about 25 and 100°C,
respectively. In this condition, there are still two zones. In Figure 7(b), there is a
slight perturbation of the temperature near the ceiling, indicating a slight distur-
bance in the smoke stratification. However, from a wind velocity of 3.46 m/s, the
smoke temperature near the ceiling and floor are similar with an average of 80°C. This means that above this velocity, there is no smoke stratification in the corridor
and that smoke occupies the entire corridor. Under these conditions, there is a risk
of toxicity for people. These observations confirm results reported in the literature
[8] and highlight the ability of the CFD code to reproduce the effects of wind on the
movement of smoke in an enclosure. Moreover, in these conditions, outdoor wind
becomes a disturbance for smoke extraction, creating an unacceptable situation for
fire safety. and becomes disturbed when the Froude number is larger than this critical value. It
is known that the Froude number can be associated to velocity. So, smoke stratifi-
cation is related to the smoke velocity in an enclosure. In Figure 7(a), when the
wind velocity is 0 m/s, the smoke temperature near the ceiling and floor are about 5
and 60°C, indicating that smoke stratification is very stable. At a wind velocity of
1.73 m/s, the smoke temperature near the ceiling and floor are about 25 and 100°C,
respectively. In this condition, there are still two zones. In Figure 7(b), there is a
slight perturbation of the temperature near the ceiling, indicating a slight distur-
bance in the smoke stratification. 4.2 Outdoor wind effect on the smoke stratification and sensitivity analysis In Li et al. [8], it was shown that the more wind velocity increased, the more
severely the smoke stratification was disturbed. This observation was obtained by
comparing the smoke temperature near the floor (height = 25 cm) and the smoke
temperature near the ceiling (height = 85 cm). The tests were performed for three
velocities. The results showed that above a wind velocity of 3.46 m/s, the smoke
temperatures near the floor and the ceiling were similar. This similarity was taken
to imply that the smoke occupied the entire corridor volume, due to the absence of
smoke stratification, and the numerical data used in the current study confirmed
this observation. Thanks to Figure 7, it is possible to make a comparison between the smoke
temperature near the ceiling and near the floor. It is constated that the more wind
speed increases, the more the smoke stratification is disturbed. Smoke stratification
is represented by the stability between the hot zone and the cold zone. The hot zone
is formed by hot smoke and the cold zone is formed by cold air. Smoke stratification
in an enclosure is due to the temperature difference between these two zones. In
addition, as shown in the literature [27–29], smoke stratification depends on the
Froude number. Smoke stratification is very stable up to a critical Froude number 13 Fire Safety and Management Awareness Figure 7. Influence of wind velocity (a) Vw = 0 m/s; (b) Vw = 1.73 m/s; (c) Vw = 3.46 m/s; and (d) Vw = 5.20 m/s on
smoke temperature in different heights of the corridor. Figure 7. However, from a wind velocity of 3.46 m/s, the
smoke temperature near the ceiling and floor are similar with an average of 80°C. This means that above this velocity, there is no smoke stratification in the corridor
and that smoke occupies the entire corridor. Under these conditions, there is a risk
of toxicity for people. These observations confirm results reported in the literature
[8] and highlight the ability of the CFD code to reproduce the effects of wind on the
movement of smoke in an enclosure. Moreover, in these conditions, outdoor wind
becomes a disturbance for smoke extraction, creating an unacceptable situation for
fire safety. y
The smoke temperature field with (a) Vw = 0 m/s; (b) Vw = 1.73 m/s; (c) Vw =
3.46 m/s; and (d) Vw = 5.20 m/s in the cross-section y = 0.5 m at 300 s is shown in
Figure 8. It can be clearly seen that when there is no outdoor wind, there is
temperature stratification in the corridor. In addition, the temperature near the
ceiling is much higher than the temperature near the floor. For a wind velocity of
1.73 m/s, smoke stratification is disturbed but still exists due to the presence of
two zones, with a much smaller cold zone than hot zone. When the wind velocity is 14 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 3.46 m/s, smoke stratification almost disappears, as the smoke temperature is sim-
ilar at the different heights and only the hot zone subsists. In this condition, smoke
occupies the entire corridor. The phenomenon of temperature stratification in the
corridor disappears completely when the wind velocity reaches 5.20 m/s
(Figure 8(d)), as also shown with the curves in Figure 7(d). These results also
show that thanks to simulations performed by FDS, it is possible to demonstrate the
fields of smoke movement in an enclosure with outdoor wind. 3.46 m/s, smoke stratification almost disappears, as the smoke temperature is sim-
ilar at the different heights and only the hot zone subsists. In this condition, smoke
occupies the entire corridor. Figure 7. The phenomenon of temperature stratification in the
corridor disappears completely when the wind velocity reaches 5.20 m/s pp
p
y
y
(Figure 8(d)), as also shown with the curves in Figure 7(d). These results also
show that thanks to simulations performed by FDS, it is possible to demonstrate the
fields of smoke movement in an enclosure with outdoor wind. Figure 8. Smoke temperature field with (a) Vw = 0 m/s; (b) Vw = 1.73 m/s; (c) Vw = 3.46 m/s; (d) Vw = 5.20 m/s on
the cross-section y = 0.5 m at 300 s. Figure 8. Figure 8. Smoke temperature field with (a) Vw = 0 m/s; (b) Vw = 1.73 m/s; (c) Vw = 3.46 m/s; (d) Vw = 5.20 m/s on
the cross-section y = 0.5 m at 300 s. 15 Fire Safety and Management Awareness Figure 9. Local sensitivity indices. Figure 9. g
9
Local sensitivity indices. In addition, from a global sensitivity analysis, an investigation was carried out in
order to highlight the relative importance of seven parameters: mass flux MF,
activation energy Ea, conductivity λ, emissivity ϵ, pre-exponential factor A, density
ρ, and specific heat cp. The aim was to determine whether, among these seven
parameters, even a slight modification of the input parameter may cause a large
variation in the response. The quantity of interest is the temperature near the
ceiling. A tolerance interval of 10% was applied to each of the inputs so that for
each of the inputs, a dimensionless random parameter is introduced. Its value
depends on the realization θ and belongs to the interval [1,1]. p
g
In this context, the values of the random parameters MF and Ea depend on their
mean value MF and Ea, on the tolerance interval 10%, and on the random dimen-
sionless parameter ξMF and ξEa (whose values depend on the observation θ). Figure 7. For that,
an analytical model is proposed to predict the time evolution of the quantity of
interest for arbitrary values of mass flux (MF) and activation energy (Ea) such that: interest for arbitrary values of mass flux (MF) and activation energy (Ea), such that: MF θ
ð Þ ¼ MF 1 þ 0:1 ξMF θ
ð Þ
ð
Þ
Ea θ
ð Þ ¼ Ea 1 þ 0:1 ξEa θ
ð Þ
(21) (21) Indeed, using the smoke temperature as out data based on the methodology of
the sensitivity analysis proposed by Chaos [20], Figure 9 shows that the mass flux
of the fuel and the activation energy are the two parameters which are an important
influence on the smoke temperature. Moreover, Figure 9 presents the first-order sensitivity and the total sensitivity
indices. Considering this influence, it is very important to define the values of the
mass flux of the fuel and the activation energy with a good accuracy in order to over
or underestimate the out data such as the temperature, heat flux, pressure, and the
amount of species. 5. Conclusion In this chapter, a CFD code, namely fire dynamics simulator (FDS), was
employed to model the smoke spreading along a corridor induced by a 16 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 compartment fire. The focus was on the effects of outdoor wind on the dynamics of
smoke spreading based on experimental data. Simulations were carried out by
varying wind velocity from 0 to 12.12 m/s. Good agreement between experimental
data and prediction was found, enabling investigation of smoke stratification,
smoke exhaust, and a global sensitivity analysis. The major findings include the
following: 1.By analyzing the temperature distribution in the corridor, it was found that
smoke stratification can be strongly affected by the outdoor wind. For wind
velocities higher than the critical value of 3.46 m/s, smoke stratification is
completely disturbed. 2.When the wind velocity is higher than the critical value (here 3.46 m/s), O2
concentration and visibility increase, while CO2 and CO concentration tends to
decrease. It is shown that the magnitude of the outdoor wind can facilitate
smoke exhaust in a compartment fire. 3.The results of a global sensitivity analysis indicate that it is essential to define
the most influential input parameters correctly, namely the mass flux of the
fuel and the activation energy. If not, large deviations in the outputs of the
numerical results such as smoke temperature may occur due to variations,
even slight ones, in the input parameters. 4.Based on the amplitude of the metamodel coefficients, a reduced metamodel
has been proposed. A prediction with a confidence interval can be easily
implemented, leading to close agreement with the numerical results. Through this work, it is demonstrated that CFD FDS can provide information
about the movement of smoke in a corridor. Besides, it can be coupled with a
polynomial chaos-based sensitivity analysis, which enables the input parameters to
be classified on quantitative grounds with a limited computational cost. q
g
p
In addition, considering the importance of the effects of outside wind on reac-
tive flows induced by a fire in a building, it is important to study other study
configurations. 5. Conclusion In this context, it would be important to also study the role of the
outside wind on the ignition of smoke rich in unburnt gas in the case of an
under-ventilated fire. 17 Fire Safety and Management Awareness Author details
Brady Manescau1*, Khaled Chetehouna1, Quentin Serra2, Aijuan Wang1 and
Eric Florentin2
1 INSA Centre Val de Loire, University of Orléans, PRISME, Bourges, France
2 INSA Centre Val de Loire, University of Orléans, University of Tours, LaMé,
Bourges, France
*Address all correspondence to: brady.manescau@insa-cvl.fr
© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
Fire Safety and Management Awareness Fire Safety and Management Awareness Fire Safety and Management Awareness Author details
Brady Manescau1*, Khaled Chetehouna1, Quentin Serra2, Aijuan Wang1 and
Eric Florentin2
1 INSA Centre Val de Loire, University of Orléans, PRISME, Bourges, France
2 INSA Centre Val de Loire, University of Orléans, University of Tours, LaMé,
Bourges, France
*Address all correspondence to: brady.manescau@insa-cvl.fr
© 2020 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. © 2020 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. 18 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 [14] Xiao S, Lu Z, Wang P. Multivariate
global sensitivity analysis for dynamic
models based on wavelet analysis.
Reliability Engineering and System References corridor induced by an adjacent
compartment fire with outdoor wind. Applied Thermal Engineering. 2017;111:
420-430. DOI: 10.1016/j. applthermaleng.2016.09.086 [1] Yu-Ting E, Zhou L. The Research on
the current safety status of high-rise
building at home and abroad. Procedia
Engineering. 2016;135:574-577. DOI:
10.1016/j.proeng.2016.01.108 [2] Paul KT, Hull TR, Lebek K, Stec AA. Fire smoke toxicity: The effect of
nitrogen oxides. Fire Safety Journal. 2008;43:243-251. DOI: 10.1016/j. firesaf.2007.10.003 [9] Tang F, He Q, Mei F, Shi Q, Chen L,
Lu K. Fire-induced temperature
distribution beneath ceiling and air
entrainment coefficient characteristics
in a tunnel with point extraction system. International Journal of Thermal
Sciences. 2018;134:363-369. DOI:
10.1016/j.ijthermalsci.2018.08.023 [3] Hull TR, Brein D, Stec AA. Quantification of toxic hazard from fires
in buildings. Journal of Building
Engineering. 2016;8:313-318. DOI:
10.1016/j.jobe.2016.02.014 [3] Hull TR, Brein D, Stec AA. Quantification of toxic hazard from fires
in buildings. Journal of Building
Engineering. 2016;8:313-318. DOI:
10.1016/j.jobe.2016.02.014 [10] Quintiere JG. Scaling and
Dimensionless Groups. 2006. DOI:
10.1002/0470091150.ch12 Numerical Study on the Outdoor Wind Effects on Movement Smoke along a Corridor
DOI: http://dx.doi.org/10.5772/intechopen.92978 corridor induced by an adjacent
compartment fire with outdoor wind.
Applied Thermal Engineering. 2017;111:
420-430. DOI: 10.1016/j.
applthermaleng.2016.09.086 [10] Quintiere JG. Scaling and
Dimensionless Groups. 2006. DOI:
10.1002/0470091150.ch12 2002;124:51. DOI:
10.1115/1.1436089 [10] Quintiere JG. Scaling and
Dimensionless Groups. 2006. DOI:
10.1002/0470091150.ch12 [10] Quintiere JG. Scaling and
Dimensionless Groups. 2006. DOI:
10.1002/0470091150.ch12 [4] Li M, Gao Z, Ji J, Li K, Sun J. Wind
effects on flame projection probability
from a compartment with opposing
openings. Fire Safety Journal. 2017;91:
414-421. DOI: 10.1016/j. firesaf.2017.04.037 [11] Li A, Zhang Y, Hu J, Gao R. Reduced-scale experimental study of
the temperature field and smoke
development of the bus bar corridor fire
in the underground hydraulic
machinery plant. Tunnelling and
Underground Space Technology. 2014;
41:95-103. DOI: 10.1016/j.tust. 2013.11.009 [5] Fan C, Zhang L, Jiao S, Yang Z, Li M,
Liu X. Smoke spread characteristics
inside a tunnel with natural ventilation
under a strong environmental wind. Tunnelling and Underground Space
Technology. 2018;82:99-110. DOI:
10.1016/j.tust.2018.08.004 [12] Weng MC, Yu LX, Liu F,
Nielsen PV. Full-scale experiment and
CFD simulation on smoke movement
and smoke control in a metro tunnel
with one opening portal. Tunnelling and
Underground Space Technology. 2014;
42:96-104. DOI: 10.1016/j. tust.2014.02.007 [12] Weng MC, Yu LX, Liu F,
Nielsen PV. Full-scale experiment and
CFD simulation on smoke movement
and smoke control in a metro tunnel
with one opening portal. Tunnelling and
Underground Space Technology. 2014;
42:96-104. DOI: 10.1016/j. tust.2014.02.007 [6] Tian X, Zhong M, Shi C, Zhang P,
Liu C. Full-scale tunnel fire experimental
study of fire-induced smoke temperature
profiles with methanol-gasoline blends. Applied Thermal Engineering. 2017;116:
233-243. DOI: 10.1016/j. applthermaleng.2017.01.099 [13] Batiot B, Rogaume T, Collin A,
Richard F, Luche J. Sensitivity and
uncertainty analysis of Arrhenius
parameters in order to describe the
kinetic of solid thermal degradation
during fire phenomena. Fire Safety
Journal. 2016;82:76-90. DOI: 10.1016/j. firesaf.2016.03.007 [7] Zhong MH, Shi CL, He L, Shi JH,
Liu C, Tian XL. Smoke development in
full-scale sloped long and large curved
tunnel fires under natural ventilation. Applied Thermal Engineering. 2016;108:
857-865. DOI: 10.1016/j. applthermaleng.2016.07.141 [7] Zhong MH, Shi CL, He L, Shi JH,
Liu C, Tian XL. Smoke development in
full-scale sloped long and large curved
tunnel fires under natural ventilation. Applied Thermal Engineering. 2016;108:
857-865. DOI: 10.1016/j. applthermaleng.2016.07.141 [14] Xiao S, Lu Z, Wang P. Multivariate
global sensitivity analysis for dynamic
models based on wavelet analysis. Reliability Engineering and System [8] Li SC, Huang DF, Meng N, Chen LF,
Hu LH. Smoke spread velocity along a [8] Li SC, Huang DF, Meng N, Chen LF,
Hu LH. Smoke spread velocity along a 19 Fire Safety and Management Awareness generalized polynomial chaos. Journal of
Fluids Engineering. Safety. 2018;170:20-30. DOI: 10.1016/j.
ress.2017.10.007 [15] Sellami I, Manescau B,
Chetehouna K, de Izarra C, Nait-Said R,
Zidani F. BLEVE fireball modeling using
fire dynamics simulator (FDS) in an
Algerian gas industry. Journal of Loss
Prevention in the Process Industries. 2018;54. DOI: 10.1016/j.jlp.2018.02.010 [23] Eldred M, Burkardt J. Comparison
of non-intrusive polynomial chaos and
stochastic collocation methods for
uncertainty quantification. In: 47th
AIAA Aerospace Sciences Meeting
including the New Horizons Forum and
Aerospace Exposition. Reston, Virigina:
American Institute of Aeronautics and
Astronautics; 2009. DOI: 10.2514/
6.2009-976 [16] Magnognou B, Garo JP, Coudour B,
Wang HY. Risk analysis of unburnt gas
ignition in an exhaust system connected
to a confined and mechanically
ventilated enclosure fire. Fire Safety
Journal. 2017;91:291-302. DOI: 10.1016/
j.firesaf.2017.03.036 [24] Mcgrattan K, Mcdermott R. Fire
Dynamics Simulator User’s Guide. 6th
ed. 2016. DOI: 10.6028/NIST.SP.1019 [24] Mcgrattan K, Mcdermott R. Fire
Dynamics Simulator User’s Guide. 6th
ed. 2016. DOI: 10.6028/NIST.SP.1019 [17] Saltelli A, Ratto M, Tarantola S,
Campolongo F. Sensitivity Analysis
Practice: A Guide to Scientific Models. 2006. DOI: 10.1016/j.ress.2005.11.014 [17] Saltelli A, Ratto M, Tarantola S,
Campolongo F. Sensitivity Analysis
Practice: A Guide to Scientific Models. 2006. DOI: 10.1016/j.ress.2005.11.014 [25] McGrattan K, Hostikka S,
McDermott R, Floyd J, Weinschenk C,
Overholt K. Fire Dynamics Simulator
Technical Reference Guide Volume 1:
Mathematical Model. NIST Special
Publications. 1018-1. 1; 2017. DOI:
10.6028/NIST.SP.1018 [18] Sobol IM. Sensitivity analysis for
nonlinear mathematical models. Mathematical Modeling and
Computation. 1993;1:407-414. DOI:
10.18287/0134-2452-2015-39-4-459-461 [18] Sobol IM. Sensitivity analysis for
nonlinear mathematical models. Mathematical Modeling and
Computation. 1993;1:407-414. DOI:
10.18287/0134-2452-2015-39-4-459-461 [26] Menage D, Chetehouna K, Mell W. Numerical simulations of fire spread in a
Pinus pinaster needles fuel bed. Journal
of Physics Conference Series. 2012;395. DOI: 10.1088/1742-6596/395/1/012011 [26] Menage D, Chetehouna K, Mell W. Numerical simulations of fire spread in a
Pinus pinaster needles fuel bed. Journal
of Physics Conference Series. 2012;395. DOI: 10.1088/1742-6596/395/1/012011 [19] Crestaux T, Le Maître O,
Martinez JM. Polynomial chaos
expansion for sensitivity analysis. Reliability Engineering and System
Safety. 2009;94:1161-1172. DOI:
10.1016/j.ress.2008.10.008 [27] Newman JS. Experimental
evaluation of fire-induced stratification. Combustion and Flame. 1984;39:33-39 [20] Chaos M. Application of sensitivity
analyses to condensed-phase pyrolysis
modeling. Fire Safety Journal. 2013;61:
254-264. DOI: 10.1016/j.firesaf.2013. 09.016 [28] Tang F, Li LJ, Dong MS, Wang Q,
Mei FZ, Hu LH. Characterization of
buoyant flow stratification behaviors by
Richardson (Froude) number in a
tunnel fire with complex combination of
longitudinal ventilation and ceiling
extraction. Applied Thermal
Engineering. 2017;110:1021-1028. [21] Yi L, Gao Y, Niu JL, Yang SJ. Study
on effect of wind on natural smoke
exhaust of enclosure fire with a two-
layer zone model. Journal of Wind
Engineering and Industrial
Aerodynamics. 2013;119:28-38. DOI:
10.1016/j.jweia.2013.05.005 [29] Huang DF, Li SC. An experimental
investigation of stratification
characteristic of fire smoke in the corridor
under the effect of outdoor wind. Journal
of Wind Engineering and Industrial
Aerodynamics. 2018;179:173-183. DOI:
10.1016/j.jweia.2018.05.021 Safety. 2018;170:20-30. DOI: 10.1016/j.
ress.2017.10.007 DOI:
10.1016/j.applthermaleng.2016.08.224 [21] Yi L, Gao Y, Niu JL, Yang SJ. Study
on effect of wind on natural smoke
exhaust of enclosure fire with a two-
layer zone model. Journal of Wind
Engineering and Industrial
Aerodynamics. 2013;119:28-38. DOI:
10.1016/j.jweia.2013.05.005 [29] Huang DF, Li SC. An experimental
investigation of stratification
characteristic of fire smoke in the corridor
under the effect of outdoor wind. Journal
of Wind Engineering and Industrial
Aerodynamics. 2018;179:173-183. DOI:
10.1016/j.jweia.2018.05.021 [29] Huang DF, Li SC. An experimental
investigation of stratification
characteristic of fire smoke in the corridor
under the effect of outdoor wind. Journal
of Wind Engineering and Industrial
Aerodynamics. 2018;179:173-183. DOI:
10.1016/j.jweia.2018.05.021 [22] Xiu D, Lucor D, Su C-H,
Karniadakis GE. Stochastic modeling of
flow-structure interactions using 20
|
https://openalex.org/W2525793384
|
https://www.omicsonline.org/open-access/humanized-monoclonal-antibodies-in-asthma-future-perspectives-2155-6121-1000e115.pdf
|
English
| null |
Human(ized) Monoclonal Antibodies in Asthma: Future Perspectives
|
Journal of allergy & therapy
| 2,016
|
cc-by
| 757
|
Editorial antibody that binds IL-13 with high affinity), tralokinumab (IL-13-
specific human monoclonal antibody that binds to and neutralizes
IL-13: Phase III study ongoing), anrukinzumab (IMA-638 and
IMA-026) (Fully humanized IgG [1], antibodies that bind to different
epitopes and neutralize IL-13 bioactivity), mepolizumab (Anti IL-5
humanized IgG1 monoclonal antibody: Awaiting FDA and EBM
approval), reslizumab (Humanized monoclonal anti-IL-5 antibody
(IgG4/k): Phase III studies completed) , benralizumab (Humanized,
afucosylated monoclonal antibody against IL-5Ra), brodalumab
(Human IL-17RA-specific monoclonal antibody), secukinumab (Anti-
IL-17 monoclonal antibody that selectively neutralizes IL- 17A),
eculizumab (mAb (a hybrid of IgG2 and IgG4 Fc portion) cleaves and
deactivates C5) [2]. The pathophysiological mechanisms underlying asthma which is an
heterogeneous disease, are characterized by interactive responses
among various cell types (airway epithelial, smooth muscles cells,
mesenchymal cells), and the hematopoietic cells of the adaptive and
innate immune systems. Patients with severe persistent asthma (SPA)
are at an increased risk of cardiovascular disorder and increased
systemic inflammation associated with SPA may play a role. High
levels
of
the
proinflammatory
mediators
ddimer,
CXCL8,
homocysteine, eosinophil cationic peptide (ECP), IL-6, CRP, and TNF
are elevated in SPA, and all are associated with increased
cardiovascular risk [1]. Human(ized) monoclonal antibodies (HMA), which make up the
vast majority of available biologic agens, are among the fastest-growing
therapeutic biologics being developed to treat SPA. By their very
nature, HMA have high target specificity. Discriminating the complex
systemic inflammatory and regulatory pathways underlying the
immunopathogenesis of SPA has allowed the development of potent
inhibitors at the cytokine/receptor level. This specific targeting
minimizes the risks of side effects [2]. We showed that, omalizumab (Blocks IgE to Fc-RI-Ig fusion protein
and membrane Fc-RI: Approved FDA and EMA) treatment decreases
eosinophil, basophil and ECP levels in patients with SPA and it is
effective in treating asthma in patients with severe cardiovascular
complications. Targeting the interleukin (IL) pathway has led to the
formulation of monoclonal antibody therapies against IL 4
(dupilumab,
AMG
317,
altrakincept,
pascolizumab),
IL5
(mepolizumab, benralizumab), and IL13 (pitrakinra, anrukinzumab,
tralokinumab, lebrikizumab) IL17 (brodalumab, secukinumab), which
are cytokines underlying the eosinophilic inflammation in SPA. These
treatments will hopefully become available for patients with SPA [1,3]. Editorial Approved HMA for the treatment of SPA in Phase II studies are as
follows ; quilizumab (directed against an extracellular 52-aminoacid
segment termed M1 prime of human membrane IgE through
reduction of new IgE-producing plasma cells), ligelizumab (Binds C3
domain of IgE), dupilumab (Binds IL-4Ra inhibiting both IL-4 and
IL-13 signaling), AMG 317 (AMG 317 is a fully human monoclonal
IgG2 antibody to IL- 4R), AMG 157(Human anti-TSLP monoclonal
immunoglobulin G2k that specifically binds human TSLP), pitrakinra
(Recombinant human IL-4 variant that is a potent inhibitor of both the
IL-4 and IL-13 receptors), altrakincept (Soluble recombinant human
IL-4 receptor: Phase III study completed), pascolizumab (Humanized
mAb blocking IL- 4), lebrikizumab (IgG4 humanized monoclonal Human(ized) Monoclonal Antibodies in Asthma: Future Perspectives
1 2* 1Internal Medicine, Allergy and Clinical Immunology, Academia Sinica, Genomics Research Center, 11529, Taipei, Taiwan
2Antalya Education and Research Hospital, Antalya, 07070, Turkey Corresponding author: Arzu Didem Yalcin, Internal Medicine, Allergy and Clinical Immunology, Academia Sinica, Genomics Research
E-mail: adidyal@yahoo.com Received date: September 21, 2016; Accepted date: September 23, 2016; Published date: September 26, 2016 Copyright: © 2016 Yalcin AD. This is an open-access article distributed under the terms of the Creative Commons Attribution License,
distribution, and reproduction in any medium, provided the original author and source are credited ) Human(ized) Monoclonal Antibodies in Asthma: Future Perspectives. J Allergy Ther 7: e115. doi:10.4172/2155-6121.1000e115 Citation: Yalcin AD (2016) Human(ized) Monoclonal Antibodies in Asthma: Future Perspectives. J Allergy Ther 7: e115. doi:10.4172/21 Journal of Allergy & Therapy Journal of Allergy & Therapy Yalcin, J Allergy Ther 2016, 7:3
DOI: 10.4172/2155-6121.1000e115 Open Access 3.
Chung KF (2015) Targeting the interleukin pathway in the treatment of
asthma. Lancet 386: 1086–1096. 1.
Yalcin AD (2015) Advances in anti-IgE therapy. Biomed Res Int :317465. 2.
Mitchell PD, El-Gammal AI, O'Byrne PM (2016) Emerging monoclonal
antibodies as targeted innovative therapeutic approaches to asthma. Clin
Pharmacol Ther 99: 38-48. References 2. Mitchell PD, El-Gammal AI, O'Byrne PM (2016) Emerging monoclonal
antibodies as targeted innovative therapeutic approaches to asthma. Clin
Pharmacol Ther 99: 38-48. 3. Chung KF (2015) Targeting the interleukin pathway in the treatment of
asthma. Lancet 386: 1086–1096. 3. Chung KF (2015) Targeting the interleukin pathway in the treatment of
asthma. Lancet 386: 1086–1096. Volume 7 • Issue 3 • 1000e115 J Allergy Ther, an open access journal
ISSN:2155-6121 J Allergy Ther, an open access journal
ISSN:2155-6121 J Allergy Ther, an open access journal
ISSN:2155-6121
|
https://openalex.org/W4388763147
|
https://link.springer.com/content/pdf/10.1007/s44217-023-00071-w.pdf
|
English
| null |
Technology everywhere! But who’s got the time? The influence of time pressures on technology integration in Australian secondary mathematics
|
Discover education
| 2,023
|
cc-by
| 14,314
|
Abstract Over the past 30 years, teachers have been urged to increase their use of digital technology in the classroom. However,
mathematics teachers have been slow to integrate ICT, even though mathematics is naturally aligned with technology. While researchers have documented a variety of time and other related factors that contribute to this resistance, there
has been little in-depth analysis of teacher reasoning that inhibits technology integration in mathematics. This article
presents four case studies of secondary mathematics teachers employed in Australian schools that investigates the
adverse effects of time pressures in not only inhibiting a teacher’s desire to use technology but removing as an option
altogether. Data was collected in the form of interviews, lesson planning documentation and notes from observation
lessons. Thematic analysis was used to determine how time pressures inhibited participants ability to use technology in
their pedagogy. Three time-related obstacles were identified. The first was a lack of time to prepare lessons, the second
was content-laden syllabuses and finally, the need to prepare students for traditional assessments. Participants claimed
that these obstacles often proved too great to overcome, causing them to abandon any use of technology. This article
argues that when the obstacles to technology integration are perceived as too difficult to overcome, it is not enough to
provide poorly targeted professional learning or encouragement to work harder to integrate technology. Rather, exist-
ing time pressures must be alleviated in terms of workload and syllabus demands if we want to remove the inhibitors to
technology integration in mathematics. Keywords Secondary mathematics · Time pressure · Technology · Pedagogy · Case study Technology everywhere! But who’s got the time? The influence
of time pressures on technology integration in Australian secondary
mathematics Ben Zunica1 Received: 15 August 2023 / Accepted: 14 November 2023
© The Author(s) 2023
OPEN Discover Education Discover Education Discover Education Discover Education (2023) 2:45
| https://doi.org/10.1007/s44217-023-00071-w
* Ben Zunica, benjamin.zunica@sydney.edu.au | 1Sydney School of Education and Social Work, University of Sydney, Sydney, Australia. 1.1 Use of digital technology in secondary mathematics education The uptake of digital technology in mathematics has been limited [16, 17], with secondary mathematics teachers reluc-
tant to use digital technology to teach the content of their subject [18–20]. The issue is further highlighted by research
that indicates the use of technology is lower in mathematics when compared to other school subjects [21–23]. Zuber
and Anderson [23] quantified the reduced use of technology in secondary mathematics, stating “Teachers, students,
and parents report that the time spent using the laptops for mathematics is half the time spent using laptops for other
subjects” (p. 281). The reduced use of digital technology within the mathematics classroom is an issue worthy of investigation. Even
with substantial encouragement from government and researchers to utilise the affordances of digital technology in the
classroom, teachers of mathematics are less likely to embrace digital technology in their pedagogy.l This study was taken from a wider examination of the factors that influence mathematics teachers when deciding
whether to integrate technology into their classes [24]. Evidence from the wider study revealed that one of the most
important factors for participants in their pedagogical decision-making with technology was time pressures, which is
why this paper is focused on the influence of time pressures in the decision-making process. Therefore, this paper is
driven by two research questions: . How does time pressure inhibit teachers’ integration of technology into their pedagogy? 2. What measures can be taken to help alleviate the issue of time pressure to foster further integration of technology? 2. What measures can be taken to help alleviate the issue of time pressure to fo 2. What measures can be taken to help alleviate the issue of time pressure to foster further in 1 Introduction Over the past 30 years, school teaching and learning has shifted substantially towards the use of Information and Com-
munications Technology (ICT) in [1]. Digital technologies are largely ubiquitous in schools of developed countries, facili-
tating their increased used in the classroom [2]. To underline the centrality of digital technology in educational settings
today, computer-based teaching has greatly increased with the advent of blended learning and flipped classrooms
[3–5]. In 2020, with the arrival of the COVID-19 pandemic, digital technology was used extensively to teach content,
demonstrating its importance to teaching and learning in the contemporary classroom [6, 7]. With the expanded use of
digital technology in schools and workplaces, governments at federal and state level in Australia recognised the need * Ben Zunica, benjamin.zunica@sydney.edu.au | 1Sydney School of Education and Social Work, University of 1 3 | https://doi.org/10.1007/s44217-023-00071-w Discover Education (2023) 2:45 Research Discover Education for students to be proficient in their use of technology [8]. ICT skills were, therefore, included as a general life capability
in the Australian curriculum [9]. To assist students in their development of ICT skills and knowledge, teachers are required to use pedagogies that
integrate digital technology [10, 11], and consequently, they must learn how to integrate these technologies in the
classroom [12]. To assist teachers in developing teaching methods using technology, they require targeted professional
learning [13], along with increased preparation time to enable them to choose and learn appropriate technologies that
could be employed to help reach their teaching goals [14, 15]. 2.1 Pedagogical decision‑making The first
consideration is whether the generated methods achieves specified teaching goals [29], including those that integrate
technology, as teachers view the use of technology through the prism of their teaching goals [26, 32, 33]. The second
consideration is whether the teaching method is practical and well suited to the particular group of students [25, 34]. A
teaching method that is well understood by the teacher, viable in terms of access to resources and incurs costs that are
tolerable is recognised as practical and can be used [25, 35]. The teaching strategies that are deemed appropriate are
given a utility value based on the benefits and costs of using the strategy, which are viewed through the lens of achiev-
ing the teacher’s goals [36] and their value within the specified context [37]. Teaching strategies with the highest utility
value, that is, those strategies that are perceived to have the highest benefit in terms of reaching teaching goals, while
minimising costs are the one(s) chosen for the lesson. Mishra and Koehler [27] claim that a teacher who possesses a thor-
ough TPACK will be more able to develop high quality teaching methods that integrate technology. Technology-based
teaching strategies will be used if they generate greater utility for the teacher than strategies that do not incorporate
technology [36], which becomes more likely if teachers have the required knowledge base [25, 37]. Fig. 1 The TPACK framework. Reproduced by permission
of the publisher, © 2012 by
tpack.org Fig. 1 The TPACK framework. Reproduced by permission
of the publisher, © 2012 by
tpack.org For a teacher to deem a generated method as appropriate, there are two aspects of it that need consideration. The first
consideration is whether the generated methods achieves specified teaching goals [29], including those that integrate
technology, as teachers view the use of technology through the prism of their teaching goals [26, 32, 33]. The second
consideration is whether the teaching method is practical and well suited to the particular group of students [25, 34]. A
teaching method that is well understood by the teacher, viable in terms of access to resources and incurs costs that are
tolerable is recognised as practical and can be used [25, 35]. 2.1 Pedagogical decision‑making This study used the Pedagogical Reasoning and Action (PRA) model [25] to conceptualise the processes that teachers go
through to choose teaching strategies. Before explaining the processes involved in PRA, Shulman posits that teachers
need to be in possession of a required knowledge base to effectively select appropriate teaching strategies. An impor-
tant aspect of the knowledge base is the blend of content knowledge and pedagogical knowledge called Pedagogical
Content Knowledge (PCK), which is the teacher’s ability to represent teaching content in many forms that can be used
to facilitate student learning [26]. However, when Shulman developed the PRA model, teaching with digital technology
was in its infancy and thus knowledge of digital technology was not part of Shulman’s knowledge base. Mishra and Koe-
hler [27] addressed this issue by developing the TPACK framework that is built on Shulman’s PCK, claiming that a blend
of technology, pedagogy, and content knowledge (TPACK) is required by teachers to integrate technology effectively
into their lessons. To assist in helping us understand the knowledge requirements of teachers in their endeavours to
integrate technology effectively, Mishra and Koehler [27] posit that three components of knowledge, namely content,
pedagogy, and technology blend to create an emergent form of knowledge: known as TPACK. The diagram shown in
the Fig. 1, shows the blend of knowledge components as a Venn diagram. This TPACK framework has been used widely by researchers around the world to ascertain the readiness of educators to
integrate technology into their instruction [28]. Many of these studies have shown a relationship between higher TPACK
and increased integration of technology into lessons [29, 30]. The knowledge base, encapsulated in PRA and TPACK, is
used to generate a wide range of appropriate teaching methods, including those that integrate technology [27, 31]. Once appropriate teaching methods have been generated, the teacher then, through reasoning, selects the teaching
method(s) that they are going to use to teach the required content [25]. :.(123456789
3 l:.(123456789
3 Discover Education (2023) 2:45
| https://doi.org/10.1007/s44217-023-00071-w
Research
Fig. 1 The TPACK framework. Reproduced by permission
of the publisher, © 2012 by
tpack.org ducation (2023) 2:45
| https://doi.org/10.1007/s44217-023-00071-w Research Discover Education For a teacher to deem a generated method as appropriate, there are two aspects of it that need consideration. 2.2 Non‑time related factors that influence the choice of technology‑based strategies Previous research has identified eight non-time related factors that are considered when determining whether a tech-
nology-based strategy should be used. Even though these factors are not explicitly time related, they are important to
understand as they are inter-related with the time related factors highlighted in the next section. Thus, these factors
require addressing so that the influence of time pressure can be understood more thoroughly. The eight non-time related
factors were split into two categories, with three categorised as personal to the teacher and five categorised as structural,
influencing the teacher from the outside [38]. Each of these factors can be considered in terms of costs or benefits to
using technology-based teaching strategies. 2.1 Pedagogical decision‑making The teaching strategies that are deemed appropriate are
given a utility value based on the benefits and costs of using the strategy, which are viewed through the lens of achiev-
ing the teacher’s goals [36] and their value within the specified context [37]. Teaching strategies with the highest utility
value, that is, those strategies that are perceived to have the highest benefit in terms of reaching teaching goals, while
minimising costs are the one(s) chosen for the lesson. Mishra and Koehler [27] claim that a teacher who possesses a thor-
ough TPACK will be more able to develop high quality teaching methods that integrate technology. Technology-based
teaching strategies will be used if they generate greater utility for the teacher than strategies that do not incorporate
technology [36], which becomes more likely if teachers have the required knowledge base [25, 37]. 2.2.2 Structural factors In addition to personal factors, structural or external factors are influential in the decision-making of teachers. Impor-
tant structural issues include students, school culture, curriculum documentation, assessment, and the availability of
resources. Of these factors, the most important is students, who are at the forefront of pedagogical decision-making
[36, 51, 52]. Teachers should choose and shape their teaching methods in response to student characteristics such as
academic ability, behaviour, and motivation [25, 52]. Consequently, teachers may present the same content differently
for different groups based on their individual characteristics [53]. When introducing the concept of the TPACK framework,
Mishra and Koehler [27] claim that teaching is situated and that successful technology integration requires the teacher
to consider the characteristics of students like those listed earlier.l The second structural factor is school culture, as it is influential on the choice of teaching method(s), including whether
technology-based solutions are chosen [54, 55]. The prevailing school culture affects the prioritisation of goals and the
dispositions of teachers [56], which effects the likelihood that technology will be used. School cultures that are unsup-
portive of technology integration present a barrier to teachers in using technology [57, 58], which highlights to teachers
the costs involved in using technology. Thirdly, curriculum documentation prescribes the content that needs to be taught, beginning the process of peda-
gogical decision-making [25, 52] and are crucial in setting teaching goals [36]. Mathematics syllabuses are content-laden,
which has been seen as a cost to integrating technology [59, 60]. However, curriculum documentation in mathematics
that explicitly state that technology must be used results in the use of technology being a more prioritised teaching
goal, leading to increased use of technology in the classroom [61]. The fourth structural factor is assessment. Teachers of mathematics tend to prioritise goals that help prepare stu-
dents for assessment items [62] as assessment results are a focus for schools [63]. Assessment of mathematics tend to
use summative pen and paper tests [64, 65] which use a minimal amount of digital technology, acting as a deterrent to
technology use [66, 67]. When technology is embedded into assessment items, teachers of mathematics tend to use
technology more readily in their teaching [67].i The final structural factor is the availability of resources. If technological resources are either unavailable or unreliable,
it follows that teaching methods integrating technology become impractical and costly [68, 69]. 2.2.2 Structural factors In addition, if there are
inadequate professional learning opportunities for teachers, they are unable to develop the knowledge and skills needed
to effectively integrate technology [70, 71]. 2.2.1 Personal factors As has been demonstrated earlier, knowledge is an important personal factor. Teachers that possess a thorough under-
standing of the blend of knowledge described in the TPACK framework have a richer repertoire of pedagogical methods
that integrate technology at their disposal, making them more likely to find benefits in choosing technology-based
teaching methods [37, 39]. Teacher orientations, which include beliefs and dispositions, are influential in the choice of teaching strategy to be
implemented in the classroom [36]. If a teacher believes that technology is beneficial in their teaching, then they are
more likely to choose instructional methods that integrate technology [40–42]. Dispositions are important in teacher’s
choosing to integrate digital technology, with dispositions opposed to its use viewed as a barrier or cost to technology (0121 | https://doi.org/10.1007/s44217-023-00071-w Discover Education (2023) 2:45 Research Discover Education integration [43–45]. Mathematics educators seem to commonly have dispositions that do not accommodate the use of
digital technology [46, 47], which can influence the teaching strategies that are generated [48]. Even though the centrality of goals has been outlined, the prioritisation of goals is important to mention. Schoenfeld
[36] claims that there are many teaching goals and that these goals can often come into conflict. Thus, there are times
where some goals need to be prioritised over others. If teachers prioritise the use of technology, then they are more likely
to find the benefits in integrating technology and minimise the costs [49]. Goals are connected to knowledge, beliefs,
and dispositions. Teachers who possess the required knowledge to integrate technology, hold beliefs that are positive
towards technology and are disposed to using technology will prioritise technology in their learning goals [50]. 2.3 The influence of time pressures on pedagogical decision‑making Time pressures interact with the factors outlined in the previous section and affect the weighing of costs and benefits for
technology-based strategies. Time pressures can be categorised as those that occur inside the classroom, when teaching
students and those that are outside of class time. 2.3.1 Outside the classroom Time pressures outside of the classroom can affect pedagogical decision-making and most commonly manifest as a
lack of time to prepare classes [60, 72]. Integrating technology into classes has required changes in teaching meth-
ods for many teachers [57, 73]. The changes to teaching practice require preparation time to learn technologies and
then apply them appropriately [74, 75]. Furthermore, not only do teachers need time to learn new software applica-
tions for use in the classroom [72], they are also tasked with testing and choosing the most appropriate applications
from thousands of options [15]. With these increasing time pressures in preparation [60], it is difficult for teachers to Vol:1 :.(123456789
3 | https://doi.org/10.1007/s44217-023-00071-w Discover Education Discover Education (2023) 2:45 Research procure the time to learn new technologies [76] and design teaching strategies that utilise technology effectively
[77, 78]. Reduced time in preparation acts as a major hindrance to technology use [79] and is mentioned explicitly
in the TPACK framework: “not all teachers have embraced these new technologies for a range of reasons—including
… lack of time” ([27]: 1023). Time pressures outside the classroom also reduce a teacher’s ability to engage in professional learning. Profes-
sional learning is crucial in the development of new pedagogies through the development of new knowledge [80,
81], which in this case is the development of teaching methods that integrate technology [82]. With limited time
available for professional learning, the prioritisation of professional learning at a school level can affect the develop-
ment of the knowledge base [83]. To further exacerbate the issues caused by time pressures in preparation, teachers making decisions under time
pressure do not consider the widest range of alternatives in their decision-making [84] and tend to lock onto a single
strategy, without considering alternatives [85]. Teachers under time pressure focus on specific teaching goals, such
as covering content [86], which effects teaching goals. Therefore, time pressures in preparation reduce the number
of appropriate teaching methods generated and the process of assessing the utility of each method is curtailed or
might be excluded altogether if teachers lock onto a single strategy. The strategy that is most used in the teaching
of mathematics means that the ‘chalk and talk’ strategy the frequently implemented [87, 88]. The ‘chalk and talk’
strategy is not conducive to technology integration as it is a direct instruction method of teaching [89, 90]. 2.3.1 Outside the classroom Thus,
time pressures in preparation time inhibit the use of technology as teachers may fixate on non-technology methods
and the reduced time does not allow them to develop pedagogies that integrate technologies effectively, reducing
their capacity to find benefits in the use of technology. 2.3.2 Inside the classroom Time pressures exist inside the classroom, particularly for teachers of mathematics. An important source of time
pressure for mathematics teachers is content-laden syllabuses, which develops the perception that there is insuf-
ficient class time to cover mathematical content adequately [91]. Similarly, content coverage demands in lessons
before assessments create time pressures, particularly before high stakes examinations [92, 93]. Pressure created
by assessment seems more prevalent for teachers of mathematics as they may be tempted to focus solely on test
preparation [62, 93, 94].l These time pressures inside the classroom influence the frequency with which teachers integrate digital technology. Technology-based student-centred lessons require more time in class to cover the same content than lecture style les-
sons [95, 96]. Teachers will engage more readily in lecturing of content to counteract time constraints [95, 97]. Addition-
ally, Tondeur et al. [98] claimed that widespread technology use would not allow for the content coverage needed to
thoroughly prepare for standardised assessment items. As an example of the increased time needed when technology
is used, lessons integrating technology require more setup time at the beginning of lesson as opposed to classes with
direct instruction [77, 99]. To further emphasise this issue, Lim and Chan [100] describe the need to cover content suf-
ficiently as a barrier to teachers incorporating technology, which is amplified by the nature of mathematics instruction. Thus, time pressures inside the classroom make the integration of digital technology seem more costly and thus reduces
the frequency with which technology is incorporated. 3.1 Participants The four participants for this study were mathematics teachers in three different schools, with two participants work-
ing in the same school. Data was collected to allow for exploration of their decision-making processes, with particular
focus on their pedagogical use of technology. Participants were chosen based on the following core criteria: • A current teacher of mathematics to secondary school students (Years 7–12). • At least 60% of their teaching load was devoted to teaching mathematics. • At least three years of experience in teaching mathematics. The first two criteria were chosen due to the focus of this research being the teaching of secondary mathematics. The final core criterion was included as it increased the likelihood that participants had developed routines in their
pedagogical use of technology. The selection of participants used the concept of maximum variation sampling, where the selected participants
have divergent experiences, with the aim to describe a broad range of mathematics teachers in depth [104, 105]. In
conjunction with maximum variation sampling, convenience sampling was also used in the selection of participants
as it allowed for the timely recruitment of participants. However, using convenience sampling can produce issues
with the quality of data, hence why the need to combine it with maximum variation sampling, which should help
alleviate those concerns [104]. Each case required a thorough analysis and, therefore, the number of participants for this study required strict limits,
as suggested by Eren [106] who says, “a case study design selects a very limited number of individuals as the subjects of
study” (p. 100). Thus, it was decided that this study, due to its nature, would be limited to four participants. With these
limits on participant numbers and recruitment time, it was not possible to achieve variability along all variables. There-
fore, there are several limitations that require mentioning. First, each of the participants teach at independent schools. Second, participants are sourced from two states of Australia, New South Wales, and Victoria, which means that there
may be limitations in generalising the factors to other contexts, particularly those outside Australia. However, variability was achieved along many key variables. Participants ranged from novice to highly experienced
teachers. Participants also span those who identify as consistent users of technology to others who use technology less
regularly in their teaching. 2.4 The current study One of the prominent factors found in the literature is that time pressures are a conspicuous inhibiting factor in whether
teachers decide to use digital technology in their pedagogy. However, there is limited research into teacher reasoning
about the use of technology, with Heitink et al. [32] saying of their work, “this study is new in that it conscientiously
explored the way teachers’ reason about using technology in their practice” (p. 82). In addition, while prior research men-
tions time pressures as a barrier for technology integration for mathematics teachers [24, 79, 101], to the knowledge of
the author, no study like this exists, which is primarily focused towards the influence of time pressures on integrating
technology within a mathematics teaching context. Thus, this paper is unique in examining the issue of time pressures
in depth and recommends changes that should be implemented to alleviate these pressures in response to the research
questions. (01231 3456789)
3 | https://doi.org/10.1007/s44217-023-00071-w Discover Education (2023) 2:45
| https://doi.org/10.1007/s44217-023-00071-w Discover Education (2023) 2:45 Research Discover Education (20 Discover Education 3.1 Participants Moreover, participants have a range of responsibilities that are supplementary to their role
of classroom teacher, broadly ranging from no extra responsibilities to a participant who holds a position on the school
executive. Lastly, the selection of schools has differing levels of support for the use of technology in the classroom. 3 Methodology This study utilises multiple case studies, where each participant is their own case study. A distinctive feature of this
methodological approach is that it delves deeply into the decision-making process of participant teachers [102]. Multiple case studies have been chosen as they allow the researcher to examine numerous, in-depth perspectives on
the effect time pressures has on participants [103]. Ethical approval for this study was granted by the Human Ethics
Committee at Monash University, Australia (Project number 11924). 3.2 Overview of participants Table 1 shows a summary of the participants, including the pseudonyms used for each. This is followed by a short synopsis
of the context for each participant. Ashleigh has been employed at the same school for all four years of their teaching career and has only taught math-
ematics, across all secondary year levels. Ashleigh is employed at an independent school located in suburban Sydney. The school is co-educational and caters to students from preschool to Year 12. For students at a secondary school level,
the school is structured as a Middle School (Years 7–8) and a Senior School (Years 9–12). In terms of digital technology,
the school has a BYOD expectation, which is an Apple iPad for Years 7–10, while Year 11 and 12 students can select any
appropriate computing device. :.(123456789
3 Discover Education (2023) 2:45
| https://doi.org/10.1007/s44217-023-00071-w
Research
Table 1 Participant Details
Participant pseudo-
nym
Teaching experience (Full
Years)
Positions of responsibility
Location (All
in Australia)
Ashleigh
4
None
Sydney
Jin
7
Technology Integrator
Sydney
Cameron
38
Director of Curriculum
Mathematics Head Teacher
Sydney
Daniel
21
Curriculum Co-ordinator
Melbourne ation (2023) 2:45
| https://doi.org/10.1007/s44217-023-00071-w Discover Education Research Jin, like Ashleigh, has been at the same school for all seven years of their teaching career and has taught Chinese as
well as mathematics. Recently, Jin has taken on the role of Digital Integrator within the Senior School, which is tasked
with spearheading the professional development of Senior School staff in their use of digital technologies. Jin’s school
is like Ashleigh’s, being a co-educational independent school for students in K-12 located in suburban Sydney. In terms
of digital technology, the school has a BYOD expectation for all students in secondary years, where they can select any
appropriate computing device. Cameron is a teacher at an independent school located in urban Sydney. The school is co-educational and caters to
students from preschool to Year 12. Cameron’s school is structured into a Middle School for Years 7–8 and a Senior School
for Years 9–12. Regarding technology, Middle School students use school purchased Apple iPads in class. Senior School
students are expected to purchase their own Apple MacBook. Cameron’s teaching has been largely in mathematics but
has also taught Computing Studies over a three-year period. Cameron holds significant leadership positions as Head of
Mathematics and Director of Curriculum. Daniel is a teacher at an independent school located in suburban Melbourne. 3.2 Overview of participants The school is co-educational and caters
for students from preschool to Year 12. The school has a BYOD policy for all students in Years 7–12 and the devices pro-
vided by students vary widely in terms of manufacturer and operating system used. Daniel’s teaching load is in math-
ematics and physics. Daniel holds the position of Middle Years Curriculum Coordinator for the International Baccalaureate
and has held other positions of leadership in previous schools, including Deputy Principal. 3.3 Data collection Each participant completed two semi-structured interviews with the express purpose of unearthing the factors that
shape their use of technology in the mathematics classroom. The first interview was designed to ascertain the processes
that participants went through to decide on their use of technology in their lessons. Each participant was then observed
on at least 5 occasions delivering lessons. Teaching documentation in the form of lesson preparation notes, scope and
sequences and teaching programs were also collected to further understand the decision-making processes of each
participant. A second and final interview was then conducted to discover if the participants’ processes had changed and
if the factors cited in the first interview were still as influential in their decision-making. For each participant, at least one class observed was from Years 7–10 and at least one class from the senior years (Year
11 and 12). This ensured that classes from these groups could be contrasted as there are increased time constraints in
Year 11 and 12 classes due to increased content and high-stakes examinations [92, 93]. The data collection process was
completed within a 3-month period and gave a snapshot of each participants’ use of digital technology. 4.1 Lesson preparation and ‘Chalk and Talk’ Each participant in this study claimed that there was not adequate time to prepare lessons, which influenced their
pedagogical choices. A major reason for this lack of time to prepare was due to the administrative demands of their
occupation, with Ashleigh saying, “Things like meetings, marking assessments, writing assessments, writing reports, planning other things, having
some sort of life outside work, answering e-mails and other things I can’t remember now … the time rapidly disap-
pears … and crowds out your ability to prepare lessons” pears … and crowds out your ability to prepare lessons” In addition, each participant also posited that lessons that integrated technology were more time consuming to pre-
pare than those that utilised the ‘chalk and talk’ method, with Cameron saying, “sometimes there is no time for planning
so I just use the textbook and chalk and talk because it can be done in 5 min”. As anticipated by Artemeva and Fox [87], participants claimed that the ‘chalk and talk’ method is the quickest strategy
to prepare lessons. However, they said that it is not conducive to digital technology use due to its reliance on non-digital
technologies such as pens, paper, and whiteboards. To further emphasise this claim, when ‘chalk and talk’ was used by
teachers in observed lessons, the only digital technology used was laptops to display textbook problems. Compounding
this issue, each participant claimed that they could effectively carry out all of the course requirements in secondary math-
ematics using chalk and talk, without using any digital technology at all. When under time pressure, decision-makers are
likely to use methods that satisfy requirements, while using the fewest resources [84, 108]. Thus, ‘chalk and talk’ was the
most frequently used method by 3 of the 4 participants, accounting for more than 80% of their lessons. Its use severely
constrained their goal of integrating digital technology. In a similar vein, the lack of time to prepare lessons curtailed the opportunity for participants to explore new tech-
nologies that could be integrated into the classroom. Jin, who held the role of digital integrator, was afforded more time
by his school to develop teaching strategies with technology claimed, “I now have been able to see the benefits [of use
digital technology] more clearly because I’ve had the time to learn more about it and see it used in action”. 4 Findings and discussion As a baseline for the discussion that will follow, each of the participated stated that they were open to the integration of
digital technology into their classrooms. Only Daniel said that he was content with the level of technology integration,
while the other three participants suggested that they would like to incorporate technology more frequently. However,
participants in this study identified six areas where time pressures affected their decision to use technology. They were
lesson preparation, syllabus requirements, assessment, class age group, the provision of professional learning and school
colleagues. 3.4 Data analysis Data collected from interviews were audio recorded and transcribed verbatim. Collected data in the form of interview
transcripts, written notes from observation lessons and teaching documentation were then analysed using Nvivo soft-
ware. As this study involves multiple case studies, data analysis was conducted in two stages. In the first stage, “within-
case” analysis was conducted, where each case was treated as a comprehensive case in and of itself. Inductive thematic
analysis was conducted on interview transcripts, observation notes and teaching documentation for each case. Once
each case was analysed individually, “cross-case” analysis was then conducted to find emergent themes that were com-
mon across multiple cases [107]. (01231 3456789)
3 Discover Education (2023) 2:45
| https://doi.org/10.1007/s44217-023-00071-w | https://doi.org/10.1007/s44217-023-00071-w Discover Education (2023) 2:45 Research Discover Education 4.1 Lesson preparation and ‘Chalk and Talk’ Before the
increased time allowances due to the digital integrator role, Jin indicates that lessons are “mainly ‘chalk and talk’, that’s
all you know and have time for”. In contrast, Daniel suggested that lack of time “meant that there was competing priorities” and in his situation “lesson
planning is a top priority”, which would lead to “saying up until 2am to make sure my lessons were how I wanted them
to be”. Daniel rarely used ‘chalk and talk’ and integrated technology much more frequently than the other participants. However, Daniel acknowledged that the prioritisation of lesson planning was more in the past due to the pressures of
his administrative role and a young family. Thus, Daniel conceded that he used ‘chalk and talk’ more often in recent times,
leading to a somewhat reduced use of digital technology. Therefore, lack of time in lesson preparation led to participants adopting the ‘chalk and talk’ approach more readily
as it was the quickest strategy to prepare and there was difficulty in developing alternative options. For the participants
in this study, time pressures in lesson preparation were a major hindrance to their goal of integrating digital technology
into their pedagogy, which is a similar finding to that of Leong and Chick [59]. ol:.(123456789
1 3 4.3 Assessment and year level of classes For the teachers in this study, assessment was strongly linked to syllabus demands, in that teachers are required to cover
a certain amount of content in preparation for assessment items. Due to the requirements of the syllabus, participant
teachers were consistently pressed for time to cover content. On many occasions, the only lesson goal for participants
was ensuring that each content point had been covered in preparation for an assessment, with Jin saying, “Getting kids ready for assessment items is a major part of my job … there is an expectation from students and from
parents that you get that right … which means I’m constantly thinking about what I need to get through on time” Time pressures exerted by assessment demands were more acute for classes in senior years, as they were preparing for
high-stakes examinations, which has been a common finding among other scholars [92, 93, 109, 110]. When describing
teaching senior classes, Jin remarked that “it’s a game. To be honest, it is getting ready for assessments”. Each participant
suggested that preparing students for assessments was their primary goal when teaching senior classes, with Cameron
claiming that the need to get students ready for assessment means that teaching is “more like a lecture than anything
else in the senior years of school”. However, in the junior years of secondary school (Years 7–10) participants noted that
time pressures exerted by assessment were not as severe. Two main reasons were given, which were that there was
more flexibility in assessment timing and that assessments were created internally so there was greater control over the
content and method of assessment. The need to cover content quickly for assessment purposes was again seen as a negative to the integration of tech-
nology. As suggested earlier, when participants were pressed for time, they were more likely to employ ‘chalk and talk’,
which was noted as hindering the integration of digital technology. However, the style of assessment items also inhibited
the integration of technology in the classroom. More than 90% of assessment items in Mathematics comprised of hand-
written, problem-based tests in participant schools, with the assessment in the school of Ashleigh and Jin being 100%
hand-written tests. Ashleigh noted this issue explicitly, saying. 4.2 Content‑heavy mathematics syllabuses Each of the participants claimed that the amount of content in each of the mathematics courses they taught exerted
time pressures within lessons. This time pressure was more pronounced in senior classes (Years 11 and 12). Cameron l:.(123456789
3 | https://doi.org/10.1007/s44217-023-00071-w Discover Education Discover Education (2023) 2:45 Research and Daniel noted that, in senior classes, learning was more like a lecture than anything else, as “there is just so much
to cover” (Daniel). This issue is commonly faced by teachers of mathematics, where the burden of heavy content
restricts the possible pedagogical options to lecture style lessons [87], because there is “too much to cover with too
little time” ([59]: 361). and Daniel noted that, in senior classes, learning was more like a lecture than anything else, as “there is just so much
to cover” (Daniel). This issue is commonly faced by teachers of mathematics, where the burden of heavy content
restricts the possible pedagogical options to lecture style lessons [87], because there is “too much to cover with too
little time” ([59]: 361). The amount of content to cover influences the decision to integrate technology into lessons for the teachers in this
study. Each participant indicated that technology-based lessons required more class time to cover the same content
than if the lesson had used a ‘chalk and talk’ approach. Observed technology lessons required approximately 10% of les-
son time to allow students to open their computers and navigate to the correct piece of software. In addition, Cameron
noted that “it is easy for students to become lost, they only need to be daydreaming for 30 s and the class has moved
on and they’re stuck, causing delays”. These issues slow the delivery of content and led Jin to suggest that “technology
would be good to use, but sometimes using ‘chalk and talk’ is what is needed to get through what is needed on time”. Therefore, the in-class time pressures induced by the large amount of content in the syllabuses taught by the participants
is a strong deterrent to their integration of technology. 4.4 Professional learning Each of the participants suggested that there were limited professional learning opportunities available in their
contexts due to the time pressures outlined in the lesson preparation section. To highlight these limitations, Ash-
leigh claimed that professional learning was restricted to “only once or twice a year and was not usually focused
on pedagogy and definitely not much on technology”. However, professional learning is where in-service teachers
develop new knowledge and skills [112], particularly in the pedagogical use of technology [71, 113]. Thus, three of
the participants in this study perceived that they were “always behind in using technology” (Cameron), which was
again recognised as a cost to technology use. In addition, any professional learning concerning the integration of technology was described as unproductive. Each of the participants indicated that most professional development devoted to incorporating technology primar-
ily involved showcasing the features of available software products and how these products could be used to assist
student learning. However, participants suggested that these sessions were too brief to gain anything more than
superficial knowledge of the technology, which made it almost impossible to design appropriate lessons that used
the technology effectively. Daniel noted that “professional learning introduces you to the technology, but you have
to use your own time to work out how to use it properly”. These ideas are echoed in other studies where the onus
of learning new technologies falls onto the personal time of the teacher [70, 71, 114]. Thus, teachers are required to
use their limited preparation time if they wish to learn new technologies to a level that is sufficient to allow for the
development of appropriate lessons that integrate technology. Current professional learning practices appear to be ineffective in helping participants integrate technology. Time
pressures seem to be a key factor in that teachers need to learn new technologies in their limited preparation time
[114]. Therefore, for professional learning to be more effective for the integration of technology, time constraints in
preparation time need to be eased. 4.3 Assessment and year level of classes “When you try things out of the box, like using technology, they are like, ‘just give us the textbook work or give us
examples, stop wasting our time with things that are not going to be assessed’…if there were assessments that were
genuinely online, then things would change significantly, because the students would see the importance of it” To underscore the importance of assessment style, when Cameron, as head teacher of the mathematics faculty,
mandated a technology assessment for each class in Year 9, he said that the task “encouraged staff to learn the software
so they can help students and have at least some lessons where technology is used”. It seems that technology use in
student assessment would be a support for technology integration efforts, which is also noted by Forgasz et al. [111].i However, Cameron also mentioned that the technology assessment “took significantly longer to prepare” as opposed to
a hand-written, problem-based task. The other participants concurred that technology-based assessment items required
more time to develop as, in the words of Daniel, “there is not the same scope to reuse questions” and Jin noted that when
attempting to develop a technology-based task, “it is difficult to generate ideas and it takes much more time to imple-
ment them”. Assessment task preparation is completed in the time allocated for lesson preparation, which is already time
pressured. Therefore, for the teachers in this study, it is more time efficient to develop problem-based assessment items. (0121 3456789)
3 | https://doi.org/10.1007/s44217-023-00071-w Discover Education (2023) 2:45
| https://doi.org/10.1007/s44217-023-00071-w Discover Education (2023) 2:45 Research Discover Education 4.5 Colleagues and wider teaching community Colleagues were somewhat influential in the pedagogical decision-making of participants in this study. For each of
the participants in this study, colleagues at the executive level encouraged technology use, citing that students need
to be proficient in the use of technology and that, due to the requirements placed on parents to purchase computers,
teachers needed to ensure that computers “were used effectively to provide value for money” (Cameron). In contrast, colleagues within the mathematics faculty were often unsupportive of the use of technology in les-
sons and were focused on other goals. For example, Ashleigh said, “the head of Mathematics does not value the use
of technology, it doesn’t help kids in assessments, which is his focus” and Daniel suggested that their extensive use
of technology “is often at odds with other Maths teachers. Most Maths teachers will do example one, example two
on the board and now do some questions in your book”. Daniel also mentioned that colleagues said his methods
were “not how it is done here”. In a similar vein to the findings of Sun et al. [115], the encouragements and discouragements of colleagues
influenced participants pedagogical use of technology. However, they were not as impactful as the other factors
mentioned earlier. When colleagues in authority positions mandated the use of technology in classes or through
assessment, rather than just encourage the use of technology, teachers were much more likely to use technology to
comply. Nevertheless, if some of the time pressures discussed in previous sections were alleviated and the school
staff culture was supportive of technology, then “teachers would be much more likely to learn new technologies and
put it into their lessons” (Jin). 5 Conclusion Each participant indicated that time pressures adversely and acutely affected their capacity to integrate technology
in several ways, which were discussed in the previous section. Most notably, each participant perceived that lessons
integrating technology required more time to prepare and required more time to teach actual content as opposed :.(123456789
3 | https://doi.org/10.1007/s44217-023-00071-w Discover Education (2023) 2:45 Research Discover Education to ‘chalk and talk’, leading Cameron to suggest that “using technology is sometimes out of the question”. Thus, time
pressures often affected the viability of teaching strategies utilising technology. These pressures are a decisive factor
into why ‘chalk and talk’ methods were predominately used in preference to technology-based methods by partici-
pants, even when several other important variables were changed such as subject content and the characteristics
of the students. to ‘chalk and talk’, leading Cameron to suggest that “using technology is sometimes out of the question”. Thus, time
pressures often affected the viability of teaching strategies utilising technology. These pressures are a decisive factor
into why ‘chalk and talk’ methods were predominately used in preference to technology-based methods by partici-
pants, even when several other important variables were changed such as subject content and the characteristics
of the students. The encouragements from leaders and government for mathematics teachers to integrate technology are not yielding
the results that were hoped and time pressures are a crucial factor in this lack of success. While each of the participants
was open to using technology in their classes, only one had been successful in using technology frequently. The other
three suggested that current attempts to encourage technology integration were not sufficient within the current time
constraints, leading Jin to say that “real action must be taken to reduce the strain [caused by time pressures]”. Real action
can take many forms, including time for regular, well targeted professional learning; choosing assessment items that
mandate the use of technology, while giving teachers time to develop teaching strategies to use technology; cultivating
a positive disposition towards technology integration in mathematics faculties; reducing administrative requirements,
by “giving staff time to learn technology instead of more admin” (Cameron); and reducing content demands, so that
teachers “have less to get through before assessments” (Ashleigh). Therefore, if the desire exists to integrate technology more thoroughly into the mathematics classroom, the current
status-quo will not be effective in reaching the desired outcomes. 5 Conclusion Schools and government bodies need to act to alleviate
in the ways outlined earlier. These actions will allow mathematics teachers the planning time required to learn the use
of new technologies thoroughly, develop appropriate teaching strategies utilising these technologies and reduce the
costs of using these strategies when teaching classes. Another benefit is that reduced time pressure will allow teachers
to be more thorough in their decision-making, helping them to see the benefits of using technology in the classroom
more readily. Jin commented that if they were able to procure more time for planning then “I would teach more often
using technology”.i The design of this study was aimed at the use of technology in mathematics. Therefore, the findings discussed in this
study may have limited transferability to other school subjects. The reader should be mindful of this, noting that time
pressures may be amplified or reduced when considering other subject areas. The use of a case study methodology
with four participants limits the transferability of the findings and they should be considered as highly contextualised
to the participants. With the limitations outlined in the previous paragraph, further research could extend this study to include a greater
number of participants to either strengthen or refute the findings of this study. In addition, further research could extend
to other subjects, particularly those in STEM as they are closely related to mathematics. Further research could be con-
ducted in contexts outside of Australia, particularly in jurisdictions where there has been concerted efforts to reduce
teacher workload to ascertain if the issues raised by the participants in this study are crucial in reducing mathematics
teachers use of digital technology. Author contributions I was responsible for the entirety of this work and was not assisted by any other author. Author contributions I was responsible for the entirety of this work and was not assisted by any other author. Funding None. Data availability Upon reasonable request. Code availability Not applicable. Declarations Ethics approval and consent to participate Provided by Monash University, Project number 11924. Informed Consent was obtained using an
explanatory statement provided to potential participants and the signing of an informed consent form by participants, as directed by the
Monash University Human Research Ethics Committee. Competing interests The authors declare no competing interests. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adapta-
tion, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source,
provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article
are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in (0121 3456789)
3 Discover Education (2023) 2:45 | https://doi.org/10.1007/s44217-023-00071-w Discover Education Research 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/. References 1. Ugur NG, Koç T. Leading and teaching with technology: school principals’ perspective. Int J Educ Leaders
https://doi.org/10.17583/ijelm.2019.3758. 1. Ugur NG, Koç T. Leading and teaching with technology: school principals’ perspective. Int J Educ Leadersh Manag. 2019;7(1):42–71. https://doi.org/10.17583/ijelm.2019.3758. 2. Voogt J, Erstad O, Dede C, Mishra P. Challenges to learning and schooling in the digital networked world of the 21st century. J Comput 1. Ugur NG, Koç T. Leading and teaching with technology: school principals’ perspective. Int J Educ Leadersh Manag. 2019;7(1):42–71. https://doi.org/10.17583/ijelm.2019.3758. 1. Ugur NG, Koç T. Leading and teaching with technology: school principals perspective. Int J Educ Leadersh Manag. 2019;7(1):42–71. https://doi.org/10.17583/ijelm.2019.3758. 2. Voogt J, Erstad O, Dede C, Mishra P. Challenges to learning and schooling in the digital networked world of the 21st century. J Comput
Assist Learn 2013;29(5):403 13 https://doi org/10 1111/jcal 12029 j
de C, Mishra P. Challenges to learning and schooling in the digital networked world of the 21st century. J Comput
(5):403–13. https://doi.org/10.1111/jcal.12029.i p
g
j
2. Voogt J, Erstad O, Dede C, Mishra P. Challenges to learning and schooling in the digital networked world of t
Assist Learn. 2013;29(5):403–13. https://doi.org/10.1111/jcal.12029.i p
g
j
3. Cronje J. Towards a new definition of blended learning. Elec J E-Learn. 2020;18(2):114–21. https://doi.org/10.34190/EJEL.20.18.2.001. 4. Rasheed RA, Kamsin A, Abdullah NA. Challenges in the online component of blended learning: a systematic review. Comput Educ. 2020. https://doi.org/10.1016/j.compedu.2019.103701. 3. Cronje J. Towards a new definition of blended learning. Elec J E-Learn. 2020;18(2):114–21. https://doi.org/10.34190/EJEL.20.18.2.001. 4
R
h
d RA K
i A Abd ll h NA Ch ll
i th
li
t f bl
d d l
i
t
ti
i
C
t Ed
2020 3. Cronje J. Towards a new definition of blended learning. Elec J E-Learn. 2020;18(2):114–21. https://doi.org/10.34190/EJEL.20.18.2.001. 4. Rasheed RA, Kamsin A, Abdullah NA. Challenges in the online component of blended learning: a systematic review. Comput Educ. 2020. 3. Cronje J. Towards a new definition of blended learning. Elec J E-Learn. 2020;18(2):114–21. https://doi.org/10.34190/EJEL.20.18.2.001. 4. Rasheed RA, Kamsin A, Abdullah NA. Challenges in the online component of blended learning: a systematic review. Comput Educ. 2020. https://doi.org/10.1016/j.compedu.2019.103701. p
g
j
p
5. Staker H, Horn MB. Classifying K-12 Blended Learning. Innosight Institute. 2012. http://blendedlearning.org/wp-content/uploads/2014/
11/Classifying-K-12-blended-learning.pdf. Accessed 10 Aug 2023. g
j
5. Staker H, Horn MB. Classifying K-12 Blended Learning. Innosight Institute. 2012. http://blendedlearning.org/wp-content/uploads/2014/
11/Classifying-K-12-blended-learning.pdf. Accessed 10 Aug 2023. y
g
g p
g
6. References Contemp Issues Technol Teach Educ. 2020;20(2):315–68. 12. Şimşek AS, Ateş H. The extended technology acceptance model for Web 2.0 technologies in teaching. Int J Technol Educ Innovat. 2022;8(2):165–83 https://doi org/10 24310/innoeduca 2022 v8i2 15413 gy
yi
p
12. Şimşek AS, Ateş H. The extended technology acceptance model for Web 2.0 technologies in teaching. Int J Technol Educ Innovat. 2022;8(2):165–83. https://doi.org/10.24310/innoeduca.2022.v8i2.15413.fi 12. Şimşek AS, Ateş H. The extended technology acceptance model for Web 2.0 technologies in teaching. Int J Technol Educ Innovat. 2022;8(2):165–83. https://doi.org/10.24310/innoeduca.2022.v8i2.15413.fi ;
p
g
13. Hall A, Uribe-Flórez L, Rice K. Studying teachers’ self-efficacy and experience while empowering technology use through personalized
professional learning. J Technol Teach Educ. 2019;27(3):373–413. p
g
13. Hall A, Uribe-Flórez L, Rice K. Studying teachers’ self-efficacy and experience while empowering technology use through personalized
professional learning. J Technol Teach Educ. 2019;27(3):373–413. p
g
14. De Vera JL, Andrada MD, Bello A, De Vera MG. Teachers’ competencies in educational technology integra
ologies in the new normal. Lukad. 2021;1(1):61–80. g
15. Larkin K. iPad apps that promote mathematical knowledge?: Yes, they exist! Australian Primary Mathematics Classroom. 2014;19(2):28–32. https://files.eric.ed.gov/fulltext/EJ1093348.pdf. Accessed 9 Aug 2023. g
15. Larkin K. iPad apps that promote mathematical knowledge?: Yes, they exist! Australian Primary Mathematics Classroom. 2014;19(2):28–32. https://files.eric.ed.gov/fulltext/EJ1093348.pdf. Accessed 9 Aug 2023. 16
OECD St d
t
t
d l
i
P i
OECD P bli hi
2015 pi
g
p
g
16. OECD. Students, computers and learning. Paris: OECD Publishing; 2015. i
16. OECD. Students, computers and learning. Paris: OECD Publishing; 2015. p
g
g
17. Trgalová J, Clark-Wilson A, Weigand H. Technology and resources in mathematics education. In: Dreyfus T, Artigue M, Potari D, Prediger
S, Ruthven K, editors. Developing research in mathematics education: twenty years of communication, cooperation and collaboration
in Europe. Abingdon: Routledge; 2018. p. 142–61. 17. Trgalová J, Clark-Wilson A, Weigand H. Technology and resources in mathematics education. In: Dreyfus T, Artigue M, Potari D, Prediger
S, Ruthven K, editors. Developing research in mathematics education: twenty years of communication, cooperation and collaboration
in Europe. Abingdon: Routledge; 2018. p. 142–61. p
g
g
p
18. Daher W, Baya’a N, Anabousy R. In-service mathematics teachers’ integration of ICT as innovative pr
2018;4(2):534–43. 19. Hegedus S, Laborde C, Brady C, Dalton S, Siller H-S, Tabach M, et al. Uses of technology in upper secondary mathematics education. Springer Nature; 2017. 19. References Hegedus S, Laborde C, Brady C, Dalton S, Siller H-S, Tabach M, et al. Uses of technology in upper secondary mathematics education. Springer Nature; 2017. Springer Nature; 2017. 20. Tallvid M. Understanding teachers’ reluctance to the pedagogical use of ICT in the 1:1 classroom. Educ Inf Technol. 2016;21(3):503–19. https://doi.org/10.1007/s10639-014-9335-7. p
g
20. Tallvid M. Understanding teachers’ reluctance to the pedagogical use of ICT in the 1:1 classroom. Educ Inf Technol. 2016;21(3):503–19. https://doi.org/10.1007/s10639-014-9335-7. p
g
20. Tallvid M. Understanding teachers’ reluctance to the pedagogical use of ICT in the 1:1 classroom. Educ I
https://doi.org/10.1007/s10639-014-9335-7. p
g
21. Clarke EJ. One-to-one laptops in a public secondary school: students’ usage and the impact on achievement. Fort Collins: Colorado State
University; 2016. 21. Clarke EJ. One-to-one laptops in a public secondary school: students’ usage and the impact on achievement. Fort Collins: Colorado State
University; 2016. y
22. Utterberg MM. Teaching with digital mathematics textbooks-activity theoretical studies of data-driven tech
Sweden: University of Gothenburg; 2021. y
g;
23. Zuber EN, Anderson J. The initial response of secondary mathematics teachers to a one-to-one laptop program. Math Educ Res J. 2013;25(2):279–98. https://doi.org/10.1007/s13394-012-0063-2. y
g
23. Zuber EN, Anderson J. The initial response of secondary mathematics teachers to a one-to-one laptop program. Math Educ Res J. 2013;25(2):279–98. https://doi.org/10.1007/s13394-012-0063-2. ;
( )
p
g
24. Zunica B. Understanding the factors that shape the pedagogical use of digital technology by mathematics teachers. Melbourne: Monash
University; 2022. p
g
24. Zunica B. Understanding the factors that shape the pedagogical use of digital technology by mathematics teachers. Melbourne: Monash
University; 2022. 25. Shulman LS. Knowledge and teaching: foundations of the new reform. Harvard Educ Rev. 1987;57(1):1–23. https://doi.org/10.17763/
haer.57.1.j463w79r56455411. 25. Shulman LS. Knowledge and teaching: foundations of the new reform. Harvard Educ Rev. 1987;57(1):1–23. https://doi.org/10.17763/
haer.57.1.j463w79r56455411. j
26. Shulman LS. Those who understand: knowledge growth in teaching. Educ Res. 1986;15(2):4–14. https://do
5002004. 27. Mishra P, Koehler M. Technological pedagogical content knowledge: a framework for teacher knowledge. Teach Coll Rec. 2006;108(6):1017–54. https://doi.org/10.1111/j.1467-9620.2006.00684.x. p
g
j
28. Irwanto I. Research trends in technological pedagogical content knowledge (TPACK): a systematic literature review from 2010 to 2021. Eur J Educ Res. 2021;10(4):2045–54.fi p
g
j
28. Irwanto I. Research trends in technological pedagogical content knowledge (TPACK): a systematic literature review from 2010 to 2021. Eur J Educ Res. 2021;10(4):2045–54.fi 29. Yildiz DH. References Pozo J-I, Pérez Echeverría M-P, Cabellos B, Sánchez DL. Teaching and learning in times of COVID-19: uses of digital technologies during
school lockdowns. Front Psychol. 2021. https://doi.org/10.3389/fpsyg.2021.656776. y
g
g p
g
6. Pozo J-I, Pérez Echeverría M-P, Cabellos B, Sánchez DL. Teaching and learning in times of COVID-19: uses of digital technologies during
school lockdowns. Front Psychol. 2021. https://doi.org/10.3389/fpsyg.2021.656776. y
p
g
p yg
7. Fine P, Leung A, Tonni I, Louca C. Teachers’ feedback practices in COVID-19: Has anything changed? J Dent. 2022;120: 104087. https://
doi.org/10.1016/j.jdent.2022.104087. y
p
g
p yg
7. Fine P, Leung A, Tonni I, Louca C. Teachers’ feedback practices in COVID-19: Has anything changed? J Dent. 2022;120: 104087. https://
doi.org/10.1016/j.jdent.2022.104087. g
j j
8. Barr A, Gillard J, Firth V, Scrymgour M, Welford R, Lomax-Smith J, et al. Melbourne Declaration on Educational Goals for Young Austral-
ians. In: Ministerial Council on Education E, Training and Youth Affairs, editor. Melbourne, Australia. 2008. https://files.eric.ed.gov/fullt
ext/ED534449.pdf. Accessed 9 Aug 2023. 8. Barr A, Gillard J, Firth V, Scrymgour M, Welford R, Lomax-Smith J, et al. Melbourne Declaration on Educational Goals for Young Austral-
ians. In: Ministerial Council on Education E, Training and Youth Affairs, editor. Melbourne, Australia. 2008. https://files.eric.ed.gov/fullt
ext/ED534449.pdf. Accessed 9 Aug 2023. p
g
9. Skvarc DR, Talbot M, Harries T, Wilson CJ, Joshua N, Byrne LK. Home information and communication technology use and student aca-
demic performance: encouraging results for uncertain times. Front Psychol. 2021. https://doi.org/10.3389/fpsyg.2021.638319. p
g
9. Skvarc DR, Talbot M, Harries T, Wilson CJ, Joshua N, Byrne LK. Home information and communication technology use and student aca-
demic performance: encouraging results for uncertain times. Front Psychol. 2021. https://doi.org/10.3389/fpsyg.2021.638319. y
11. Bond M, Bedenlier S, Buntins K, Kerres M, Zawacki-Richter O. Facilitating student engagement in higher education through educational
technology: a narrative systematic review in the field of education. Contemp Issues Technol Teach Educ. 2020;20(2):315–68. 11. Bond M, Bedenlier S, Buntins K, Kerres M, Zawacki-Richter O. Facilitating student engagement in higher education through educational
technology: a narrative systematic review in the field of education. Contemp Issues Technol Teach Educ. 2020;20(2):315–68. 12. Şimşek AS, Ateş H. The extended technology acceptance model for Web 2.0 technologies in teaching. Int J Technol Educ Innovat. 2022;8(2):165–83. https://doi.org/10.24310/innoeduca.2022.v8i2.15413. 11. Bond M, Bedenlier S, Buntins K, Kerres M, Zawacki-Richter O. Facilitating student engagement in higher education through educational
technology: a narrative systematic review in the field of education. References Contemp Educ Technol. 2021;13(3):ep307. https://doi.org/10.30935/cedtech/10885. 34. Doyle W, Ponder GA. The practicality ethic in teacher decision-making. Interchange. 1977;8(3):1–12. 34. Doyle W, Ponder GA. The practicality ethic in teacher decision-making. Interchange. 1977;8(3):1–12. y
p
y
g
g
35. Pareja Roblin N, Tondeur J, Voogt J, Bruggeman B, Mathieu G, van Braak J. Practical considerations informing teachers’ technology
integration decisions: the case of tablet PCs. Technol Pedagogy Educ. 2018;27(2):165–81. https://doi.org/10.1080/1475939X.2017.
1414714. 35. Pareja Roblin N, Tondeur J, Voogt J, Bruggeman B, Mathieu G, van Braak J. Practical considerations informing teachers’ technology
integration decisions: the case of tablet PCs. Technol Pedagogy Educ. 2018;27(2):165–81. https://doi.org/10.1080/1475939X.2017.
1414714. 36. Schoenfeld AH. How we think: A theory of goal-oriented decision making and its educational applicatio y
g
g
pp
37. Koehler M, Mishra P. What is technological pedagogical content knowledge. Contemp Issues Technol Tea 38. Buehl MM, Beck JS. The relationship between teachers’ beliefs and teachers’ practices. In: Fives H, Gill MG, editors. International Handbook
of Research on Teachers’ Beliefs. New York: Routledge; 2015. p. 66–84.fi 38. Buehl MM, Beck JS. The relationship between teachers’ beliefs and teachers’ practices. In: Fives H, Gill MG, editors. International Handbook
of Research on Teachers’ Beliefs. New York: Routledge; 2015. p. 66–84.fi 39. Abbitt JT. An investigation of the relationship between self-efficacy beliefs about technology integration and technological pedagogical
content knowledge (TPACK) among preservice teachers. J Digit Learn Teach Educ. 2011;27(4):134–43. https://doi.org/10.1080/21532
974.2011.10784670. 39. Abbitt JT. An investigation of the relationship between self-efficacy beliefs about technology integration and technological pedagogical
content knowledge (TPACK) among preservice teachers. J Digit Learn Teach Educ. 2011;27(4):134–43. https://doi.org/10.1080/21532
974.2011.10784670. 40. Ertmer PA, Ottenbreit-Leftwich AT, Sadik O, Sendurur E, Sendurur P. Teacher beliefs and technology integration practices: a critical rela-
tionship. Comput Educ. 2012;59(2):423–35. https://doi.org/10.1016/j.compedu.2012.02.001ohl. 40. Ertmer PA, Ottenbreit-Leftwich AT, Sadik O, Sendurur E, Sendurur P. Teacher beliefs and technology integration practices: a critical rela-
tionship. Comput Educ. 2012;59(2):423–35. https://doi.org/10.1016/j.compedu.2012.02.001ohl. 41. Liaw S-S, Huang H-M. Perceived satisfaction, perceived usefulness and interactive learning environments
in e-learning environments. Comput Educ. 2013;60(1):14–24. https://doi.org/10.1016/j.compedu.2012.0 Liaw S-S, Huang H-M. Perceived satisfaction, perceived usefulness and interactive learning environments as pred 41. Liaw S-S, Huang H-M. Perceived satisfaction, perceived usefulness and interactive learning environments as predictors to self-regulation
in e-learning environments. Comput Educ. 2013;60(1):14–24. https://doi.org/10.1016/j.compedu.2012.07.015. 42. Taimalu M, Luik P. The impact of beliefs and knowledge on the integration of technology among teacher educators: a path analysis. Teach Teach Educ. 2019;79:101–10. https://doi.org/10.1016/j.tate.2018.12.012. 42. References Modeling of relations between K-12 teachers’ TPACK levels and their technology integration self-efficacy, technology literacy
levels, attitudes toward technology and usage objectives of social networks. Interact Learn Environ. 2021;29(7):1136–62. https://doi.
org/10.1080/10494820.2019.1619591. 29. Yildiz DH. Modeling of relations between K-12 teachers’ TPACK levels and their technology integration self-efficacy, technology literacy
levels, attitudes toward technology and usage objectives of social networks. Interact Learn Environ. 2021;29(7):1136–62. https://doi.
org/10.1080/10494820.2019.1619591. Vol:1 :.(123456789
3 Discover Education | https://doi.org/10.1007/s44217-023-00071-w Research (2023) 2:45 30. Sabino MJ, Almenara JC. The technological, pedagogical and content knowledge of Andalusian university teachers about ICT:
Analysis from the TPACK model. Int J Technol Educ Innovat. 2021;7(1):4–18. https://doi.org/10.24310/innoeduca.2021.v7i1.11940. 30. Sabino MJ, Almenara JC. The technological, pedagogical and content knowledge of Andalusian university teachers about ICT:
Analysis from the TPACK model. Int J Technol Educ Innovat. 2021;7(1):4–18. https://doi.org/10.24310/innoeduca.2021.v7i1.11940. 30. Sabino MJ, Almenara JC. The technological, pedagogical and content knowledge of Andalusian university teachers about ICT:
Analysis from the TPACK model. Int J Technol Educ Innovat. 2021;7(1):4–18. https://doi.org/10.24310/innoeduca.2021.v7i1.11940. 30. Sabino MJ, Almenara JC. The technological, pedagogical and content knowledge of Andalusian university teachers about ICT:
Analysis from the TPACK model. Int J Technol Educ Innovat. 2021;7(1):4–18. https://doi.org/10.24310/innoeduca.2021.v7i1.11940. 31. Harris J, Mishra P, Koehler M. Teachers’ technological pedagogical content knowledge and learning activity types: curriculum-based
technology integration reframed. J Res Technol Educ. 2009;41(4):393–416. https://doi.org/10.1080/15391523.2009.10782536. 32
Heitink M Voogt J Verplanken L van Braak J Fisser P Teachers’ professional reasoning about their pedagogical use of technology y
; ( )
p
g
31. Harris J, Mishra P, Koehler M. Teachers’ technological pedagogical content knowledge and learning activity types: curriculum-based
technology integration reframed. J Res Technol Educ. 2009;41(4):393–416. https://doi.org/10.1080/15391523.2009.10782536. y
p
g
31. Harris J, Mishra P, Koehler M. Teachers’ technological pedagogical content knowledge and learning activity types: curriculum-based
technology integration reframed. J Res Technol Educ. 2009;41(4):393–416. https://doi.org/10.1080/15391523.2009.10782536. 32. Heitink M, Voogt J, Verplanken L, van Braak J, Fisser P. Teachers’ professional reasoning about their pedag
Comput Educ. 2016;101:70–83. https://doi.org/10.1016/j.compedu.2016.05.009. p
p
g
j
p
33. Phan T, Paul M, Zhu M. The role of teaching goals and instructional technology perceptions in faculty members’ technology use. Contemp Educ Technol. 2021;13(3):ep307. https://doi.org/10.30935/cedtech/10885. 33. Phan T, Paul M, Zhu M. The role of teaching goals and instructional technology perceptions in faculty members’ technology use. Contemp Educ Technol. 2021;13(3):ep307. https://doi.org/10.30935/cedtech/10885. 33. Phan T, Paul M, Zhu M. The role of teaching goals and instructional technology perceptions in faculty members’ technology use. References Taimalu M, Luik P. The impact of beliefs and knowledge on the integration of technology among teacher educators: a path analysis. Teach Teach Educ. 2019;79:101–10. https://doi.org/10.1016/j.tate.2018.12.012. 43. Starkey L. Teachers’ pedagogical reasoning and action in the digital age. Teach Teach Theory Pract. 2010;16:2
1080/13540600903478433. 44. Tsai C-C, Chai CS. The" third"-order barrier for technology-integration instruction Implications for teacher education. Australas J Educ
Technol. 2012. https://doi.org/10.14742/ajet.810.if 44. Tsai C-C, Chai CS. The" third"-order barrier for technology-integration instruction Implications for teacher education. Australas J Educ
Technol. 2012. https://doi.org/10.14742/ajet.810. o . 0
. p ://do .o g/ 0. /aj
.8 0. 45. Trevisan O, De Rossi M. Preservice teachers’ dispositions for technology integration: common profiles in different contexts across Europe. Technol Pedagog Educ. 2023;32(2):191–204. https://doi.org/10.1080/1475939X.2023.2169338. p
g
j
45. Trevisan O, De Rossi M. Preservice teachers’ dispositions for technology integration: common profiles in different contexts across Europe. Technol Pedagog Educ. 2023;32(2):191–204. https://doi.org/10.1080/1475939X.2023.2169338. g g
p
g
46. Belland BR. Using the theory of habitus to move beyond the study of barriers to technology integration. Comput Educ. 2009;52(2):353–64. https://doi.org/10.1016/j.compedu.2008.09.004. 46. Belland BR. Using the theory of habitus to move beyond the study of barriers to technology integration. Comput Educ. 2009;52(2):353–64. https://doi.org/10.1016/j.compedu.2008.09.004. p
g
j
p
47. Benning I, Linsell C, Ingram N. Examining the changes in mathematics teachers’ technology dispositions thr
professional development. Asian J Math Educ. 2023;2(1):42–63. https://doi.org/10.1177/2752726323116327 48. Drake JR, Byrd TA. Searching for alternatives: does your disposition matter? Int J Technol Hum Interact (IJTHI). 2013;9(1):18–36. https://
doi.org/10.4018/jthi.2013010102. 48. Drake JR, Byrd TA. Searching for alternatives: does your disposition matter? Int J Technol Hum Interact (IJTHI). 2013;9(1):18–36. https://
doi.org/10.4018/jthi.2013010102.i g
j
49. Ranasinghe AI, Leisher D. The benefit of integrating technology into the classroom. Int Math Forum. 2009;4(40):1955–61. 50
Tarling I Ng’ambi D Teachers pedagogical change framework a diagnostic tool for changing teachers’uses of emerging technologies 49. Ranasinghe AI, Leisher D. The benefit of integrating technology into the classroom. Int Math Forum. 2009;4(40):1955–61. 50. Tarling I, Ng’ambi D. Teachers pedagogical change framework: a diagnostic tool for changing teachers’ uses of emerging technologies. Br J Educ Technol. 2016;47(3):554–72. https://doi.org/10.1111/bjet.12454. 51. Shavelson RJ. Review of research on teachers’ pedagogical judgments, plans, and decisions. Elem School J. 1983;83(4):392–413. 52. Shavelson RJ, Stern P. Research on teachers’ pedagogical thoughts, judgments, decisions, and behavior. Rev Educ Res. 1981;51(4):455–98. https://doi.org/10.3102/00346543051004455. 51. Shavelson RJ. Review of research on teachers’ pedagogical judgments, plans, and decisions. Elem School J. 1983;83(4):392–413. 52. References Shavelson RJ, Stern P. Research on teachers’ pedagogical thoughts, judgments, decisions, and behavior. Rev Educ Res. 1981;51(4):455–98. https://doi.org/10.3102/00346543051004455. p
g
53. Eisner EW. From episteme to phronesis to artistry in the study and improvement of teaching. Teach Teach Educ. 2002;18(4):375–85. https://doi.org/10.1016/S0742-051X(02)00004-5. 53. Eisner EW. From episteme to phronesis to artistry in the study and improvement of teaching. Teach Teach Educ. 2002;18(4):375–85. https://doi.org/10.1016/S0742-051X(02)00004-5. p
g
(
)
54. Kopcha TJ, Neumann KL, Ottenbreit-Leftwich A, Pitman E. Process over product: the next evolution of our quest for technology integra-
tion. Educ Technol Res Dev. 2020;68(2):729–49. https://doi.org/10.1007/s11423-020-09735-y. p
g
54. Kopcha TJ, Neumann KL, Ottenbreit-Leftwich A, Pitman E. Process over product: the next evolution of our quest for technology integra-
tion. Educ Technol Res Dev. 2020;68(2):729–49. https://doi.org/10.1007/s11423-020-09735-y. p
g
y
55. Mishra P, Koehler M, Kereluik K. Looking back to the future of educational technology. TechTrends. 2009;53(5):48–53. https://doi.org/10.
1007/s11528-009-0325-3. 55. Mishra P, Koehler M, Kereluik K. Looking back to the future of educational technology. TechTrends. 2009;53(5):48–53. https://doi.org/10.
1007/s11528-009-0325-3. M, Ilomäki L, Lahti-Nuuttila P, Toom A. Schools as professional learning communities. J Educ Learn. 2018;7(5):76–91. 39/jel.v7n5p76. 56. Antinluoma M, Ilomäki L, Lahti-Nuuttila P, Toom A. Schools as professional learning communities. J Educ Lear
doi.org/10.5539/jel.v7n5p76.i g
j
p
57. Ertmer PA, Ottenbreit-Leftwich AT. Teacher technology change: How knowledge, confidence, beliefs, and culture intersect. J Res Technol
Educ. 2010;42(3):255–84. https://doi.org/10.1080/15391523.2010.10782551. g
j
p
57. Ertmer PA, Ottenbreit-Leftwich AT. Teacher technology change: How knowledge, confidence, beliefs, and culture intersect. J Res Technol
Educ. 2010;42(3):255–84. https://doi.org/10.1080/15391523.2010.10782551.f ;
( )
p
g
58. Lai C, Wang Q, Huang X. The differential interplay of TPACK, teacher beliefs, school culture and professional development with the nature
of in-service EFL teachers’ technology adoption. Br J Educ Technol. 2022;53(5):1389–411. https://doi.org/10.1111/bjet.13200. 59
L
YH Chi k HL Ti
d i
t
ti
l h i
h
t
hi
th
ti
M th Ed
R
J 2011 23(3) 347 62 htt
// p
g
58. Lai C, Wang Q, Huang X. The differential interplay of TPACK, teacher beliefs, school culture and professional development with the nature
of in-service EFL teachers’ technology adoption. Br J Educ Technol. 2022;53(5):1389–411. https://doi.org/10.1111/bjet.13200. Ch k
d
l h
h
h
h
h d
( )
h
// g
gf
y
of in-service EFL teachers’ technology adoption. Br J Educ Technol. 2022;53(5):1389–411. https://doi.org/10.1111/bjet.13200. 59. Leong YH, Chick HL. Time pressure and instructional choices when teaching mathematics. Math Educ Res J. 2011;23(3):347–62. References https://
doi.org/10.1007/s13394-011-0019-y. of in service EFL teachers technology adoption. Br J Educ Technol. 2022;53(5):1389 411. https://doi.org/10.1111/bjet.13200. 59. Leong YH, Chick HL. Time pressure and instructional choices when teaching mathematics. Math Educ Res J. 2011;23(3):347–62. https://
doi.org/10.1007/s13394-011-0019-y. 59. Leong YH, Chick HL. Time pressure and instructional choices when teaching mathematics. Math Educ Res J. 2011;23(3):347–62. https://
doi.org/10.1007/s13394-011-0019-y. y
G. Time as a resource in mathematics education: Teachers’ perspectives. Asian J Math Educ. 2022;1(2):162–86
77/27527263221109034. digital technologies: big issues and critical questions. Melbourne: Cambridge University Press; 2015. p. 157–68. 62. Thomas MO, Klymchuk S. The school–tertiary interface in mathematics: teaching style and assessment practice. Math Educ Res J. 2012;24(3):283–300. https://doi.org/10.1007/s13394-012-0051-6. 62. Thomas MO, Klymchuk S. The school–tertiary interface in mathematics: teaching style and assessment practice. Math Educ Res J. 2012;24(3):283–300. https://doi.org/10.1007/s13394-012-0051-6. 63. Bower HA, Parsons ERC. Teacher identity and reform: intersections within school culture. Urban Rev. 2016;48(5):743–65. https://doi.org/
10.1007/s11256-016-0376-7. 63. Bower HA, Parsons ERC. Teacher identity and reform: intersections within school culture. Urban Rev. 2016;48(5):743–65. https://doi.org/
10.1007/s11256-016-0376-7. Mustafa D. Student teachers’ views about assessment and evaluation methods in mathematics. Educ Res Rev. 2 (0121 3456789)
3 3456789)
3 Research | https://doi.org/10.1007/s44217-023-00071-w Discover Education Discover Education (2023) 2:45 tion (2023) 2:45 (2023) 2:45 65. Akiri E, Tor HM, Dori YJ. Teaching and assessment methods: STEM teachers’ perceptions and implementation. Eurasia J Math Sci
Technol Educ. 2021. https://doi.org/10.29333/ejmste/10882. 65. Akiri E, Tor HM, Dori YJ. Teaching and assessment methods: STEM teachers’ perceptions and implementation. Eurasia J Math Sci
Technol Educ. 2021. https://doi.org/10.29333/ejmste/10882. y
67. Attard C, Holmes K. Technology-enabled mathematics education: Optimising student engagement. Routledge; 2019. 67. Attard C, Holmes K. Technology-enabled mathematics education: Optimising student engagement. Routledge; 2019. ,
gy
p
g
g g
68. Ertmer PA. Teacher pedagogical beliefs: the final frontier in our quest for technology integration
2005;53(4):25–39. https://doi.org/10.1007/BF02504683. 69. Kenttälä V, Kankaanranta M. Building ground for flexible use of educational technology. Inf Technol Educ Soc. 2020;17(1):21–40. https://doi.org/10.7459/ites/17.1.03. 69. Kenttälä V, Kankaanranta M. Building ground for flexible use of educational technology. Inf Technol Educ Soc. 2020;17(1):21–40. https://doi.org/10.7459/ites/17.1.03. p
g
70. Kopcha TJ. Teachers’ perceptions of the barriers to technology integration and practices with technology under situated professional
development. Comput Educ. 2012;59(4):1109–21. https://doi.org/10.1016/j.compedu.2012.05.014. p
g
70. Kopcha TJ. Teachers’ perceptions of the barriers to technology integration and practices with technology under situated professional
development. Comput Educ. 2012;59(4):1109–21. https://doi.org/10.1016/j.compedu.2012.05.014. p
p
p
g
j
p
71. Barton EA, Dexter S. References Sources of teachers’ self-efficacy for technology integration from formal, informal, and independent profes-
sional learning. Educ Technol Res Dev. 2020;68(1):89–108. https://doi.org/10.1016/j.compedu.2012.05.014. p
p
p
g
j
p
71. Barton EA, Dexter S. Sources of teachers’ self-efficacy for technology integration from formal, informal, and independent profes-
sional learning. Educ Technol Res Dev. 2020;68(1):89–108. https://doi.org/10.1016/j.compedu.2012.05.014. g
p
g
j
p
72. Utterberg M, Lundin J, Lindström B. Conditions Influencing Mathematics Teachers Uptake of Digital Tools–a Systematic Literature
Review. Society for Information Technology & Teacher Education International Conference: Association for the Advancement of
Computing in Education (AACE); 2017. p. 2016–29. http://www.learntechlib.org/p/177494/. Accessed 9 Aug 2023. 72. Utterberg M, Lundin J, Lindström B. Conditions Influencing Mathematics Teachers Uptake of Digital Tools–a Systematic Literature
Review. Society for Information Technology & Teacher Education International Conference: Association for the Advancement of
Computing in Education (AACE); 2017. p. 2016–29. http://www.learntechlib.org/p/177494/. Accessed 9 Aug 2023. p
g
p
p
g p
g
73. Daniela L. Smart pedagogy for technology-enhanced learning. In: Daniela L, editor. Didactics of smart pedagogy. Netherlands:
Springer; 2019. p. 3–21. 73. Daniela L. Smart pedagogy for technology-enhanced learning. In: Daniela L, editor. Didactics of smart pedagogy. Netherlands:
Springer; 2019. p. 3–21. p
g
p
74. Hill JE, Uribe-Florez L. Understanding secondary school teachers’ TPACK and technology implementation in
Int J Technol Educ. 2020;3(1):1–13. https://doi.org/10.46328/ijte.v3i1.8. 75. Song MJ. Teacher professional development in integrating digital fabrication technologies into teaching and learning. Educ Media
Int. 2021;58(4):317–34. https://doi.org/10.1080/09523987.2021.1989766. 75. Song MJ. Teacher professional development in integrating digital fabrication technologies into teaching and learning. Educ Media
Int. 2021;58(4):317–34. https://doi.org/10.1080/09523987.2021.1989766. ;
( )
p
g
76. Houghton L, Ruutz A, Green W, Hibbins R. I just do not have time for new ideas: resistance, resonance and micro-mobilisation in a
teaching community of practice. High Educ Res Dev. 2015;34(3):527–40. https://doi.org/10.1080/07294360.2014.973834. p
g
76. Houghton L, Ruutz A, Green W, Hibbins R. I just do not have time for new ideas: resistance, resonance and micro-mobilisation in a
teaching community of practice. High Educ Res Dev. 2015;34(3):527–40. https://doi.org/10.1080/07294360.2014.973834. K
h TJ A
b
d
h
h
l
i
i
i
i
d
i i
f
i
Ed
T
h
l R y
77. Kopcha TJ. A systems-based approach to technology integration using mentoring and communities of practice. Educ Technol Res
Dev. 2010;58(2):175–90. https://doi.org/10.1007/s11423-008-9095-4. 77. Kopcha TJ. A systems-based approach to technology integration using mentoring and communities of practice. Educ Technol Res
Dev. 2010;58(2):175–90. https://doi.org/10.1007/s11423-008-9095-4. 77. References Kopcha TJ. A systems-based approach to technology integration using
Dev. 2010;58(2):175–90. https://doi.org/10.1007/s11423-008-9095-4. 78. Smadi MALM, Raman A. Time factor influencing technology integration in social studies teaching in Jorda
Multimedia Educ. 2020;1(1):e02004. https://doi.org/10.30935/ejimed/8351. p
g
j
79. Francom GM. Barriers to technology integration: a time-series survey study. J Res Technol Educ. 2020;52(1):1–16. https://doi.org/
10.1080/15391523.2019.1679055. 79. Francom GM. Barriers to technology integration: a time-series survey study. J Res Technol Educ. 2020;52(1):1–16. https://doi.org/
10.1080/15391523.2019.1679055. 80. Czerniawski G, MacPhail A, Vanassche E, Ulvik M, Guberman A, Oolbekkink-Marchand H, et al. Researching the professional learning
needs of teacher educators: Results from international research. In: Vanderlinde R, Smith K, Murray J, Lunenberg M, editors. Teacher
educators and their professional development: Routledge; 2021. pp. 28–42. 80. Czerniawski G, MacPhail A, Vanassche E, Ulvik M, Guberman A, Oolbekkink-Marchand H, et al. Researching the professional learning
needs of teacher educators: Results from international research. In: Vanderlinde R, Smith K, Murray J, Lunenberg M, editors. Teacher
educators and their professional development: Routledge; 2021. pp. 28–42. p
p
g
pp
81. Cardno C, Tolmie E, Howse J. New spaces-new pedagogies: Implementing personalised learning in primary school innovative learn-
ing environments. J Educ Leadersh Policy Pract. 2017;32(1):111–24. https://doi.org/10.3316/INFORMIT.021942398177622. p
p
g
pp
81. Cardno C, Tolmie E, Howse J. New spaces-new pedagogies: Implementing personalised learning in primary school innovative learn-
ing environments. J Educ Leadersh Policy Pract. 2017;32(1):111–24. https://doi.org/10.3316/INFORMIT.021942398177622. 82. Liao Y-C, Ottenbreit-Leftwich A, Karlin M, Glazewski K, Brush T. Supporting change in teacher practice: examining shifts of teachers’
professional development preferences and needs for technology integration. CITE. 2017;17(4):522–48. 82. Liao Y-C, Ottenbreit-Leftwich A, Karlin M, Glazewski K, Brush T. Supporting change in teacher practice: examining shifts of teachers’
professional development preferences and needs for technology integration. CITE. 2017;17(4):522–48. 83. Askew AL. From professional development to professional learning: A personalized approach for teachers. East Carolina University;
2021. www.proquest.com/docview/2553011905. Accessed 2 Aug 2023. g
84. Janis IL, Mann L. Decision making: a psychological analysis of conflict, choice, and commitment. New g
p y
g
y
p
85. Edland A, Svenson O. Judgment and decision making under time pressure. In: Svenson O, Maule AJ, editors. Time pressure and stress
in human judgment and decision making. Boston: Springer; 1993. p. 27–40. 86. Richards J, Elby A, Luna MJ, Robertson AD, Levin DM, Nyeggen CG. Reframing the responsiveness challenge: a framing-anchored
explanatory framework to account for irregularity in novice teachers’ attention and responsiveness to student thinking. 95. Mansour N. Science teachers’ beliefs and practices: issues, implications and Research Agenda. Int J Environ Sci Educ. 2009;4(1):25–48.
96. Fishman B, Dede C, Means B. Teaching and technology: New tools for new times. In: Bell C, Gitomer D, editors. Handbook of research
on teaching. American Educational Research Association; 2016. pp. 1269–334. 97. Haatainen O, Turkka J, Aksela M. Science teachers’ perceptions and self-efficacy beliefs related to integrated science education. Educ
Sci. 2021;11(6):272. https://doi.org/10.3390/educsci11060272. References Cogn Instr. 2020;38(2):116–52. https://doi.org/10.1080/07370008.2020.1729156. 86. Richards J, Elby A, Luna MJ, Robertson AD, Levin DM, Nyeggen CG. Reframing the responsiveness challenge: a framing-anchored
explanatory framework to account for irregularity in novice teachers’ attention and responsiveness to student thinking. Cogn Instr. 2020;38(2):116–52. https://doi.org/10.1080/07370008.2020.1729156. p
g
87. Artemeva N, Fox J. The writing’s on the board: the global and the local in teaching undergraduate mathematics through chalk talk. Writ Commun. 2011;28(4):345–79. https://doi.org/10.1177/0741088311419630. p
g
87. Artemeva N, Fox J. The writing’s on the board: the global and the local in teaching undergraduate mathematics through chalk talk. Writ Commun. 2011;28(4):345–79. https://doi.org/10.1177/0741088311419630. 88. Wilson DI, Maclaren P. From chalk talk to tablet talk: pedagogies for control engineering. IFAC Proc Vo
doi.org/10.3182/20130828-3-UK-2039.00036. g
89. Johnson AM, Jacovina ME, Russell DG, Soto CM. Challenges and solutions when using technologies in the classroom. In: Crossley S,
McNamara D, editors. Adaptive Educ Technologies for Literacy Instruction, Routledge; 2016. pp. 13–29. 89. Johnson AM, Jacovina ME, Russell DG, Soto CM. Challenges and solutions when using technologies in the classroom. In: Crossley S,
McNamara D, editors. Adaptive Educ Technologies for Literacy Instruction, Routledge; 2016. pp. 13–29. p
g
y
g
pp
90. Lawrence JE, Tar UA. Factors that influence teachers’ adoption and integration of ICT in teaching/learning process. Educ Media Int. 2018;55(1):79–105. https://doi.org/10.1080/09523987.2018.1439712. 90. Lawrence JE, Tar UA. Factors that influence teachers’ adoption and integration of ICT in teaching/learning process. Educ Media Int. 2018;55(1):79–105. https://doi.org/10.1080/09523987.2018.1439712. 91. Masters GN. Nurturing wonder and igniting passion, designs for a new school curriculum: NSW curriculum review. NSW Education
Standards Authority; 2020. https://research.acer.edu.au/nswcurriculumreview/6. Accessed 2 Aug 2023. 91. Masters GN. Nurturing wonder and igniting passion, designs for a new school curriculum: NSW curriculum review. NSW Education
Standards Authority; 2020. https://research.acer.edu.au/nswcurriculumreview/6. Accessed 2 Aug 2023. 92. McPhan G, Pegg J. The option of selecting higher-level mathematics courses: transitional tensions. Crossing divides. 2009:363–70. 93. Sama R, Adegbuyi JY, Ani MI. Teaching to the curriculum or teaching to the test. J Soc Hum Educ. 2021;1(2):103–16. https://doi.org/
10.35912/jshe.v1i2.341. 92. McPhan G, Pegg J. The option of selecting higher-level mathematics courses: transitional tensions. Crossing divides. 2009:363–70. 93. Sama R, Adegbuyi JY, Ani MI. Teaching to the curriculum or teaching to the test. J Soc Hum Educ. 2021;1(2):103–16. https://doi.org/
10.35912/jshe.v1i2.341. 93. Sama R, Adegbuyi JY, Ani MI. Teaching to the curriculum or teaching to the test. J Soc Hum Educ. 2021;1(2):103–16. https://doi.org/
10.35912/jshe.v1i2.341. 94. Zakharov A, Carnoy M. References ; (
)
p
g
g
107. Merriam SB. Qualitative research: a guide to design and implementation. San Fransisco: John Willey & Sons; 2009. p
g
g
107. Merriam SB. Qualitative research: a guide to design and implementation. San Fransisco: John Willey & Sons; 2009. 107. Merriam SB. Qualitative research: a guide to design and implementation. San Fransisco: John Willey & So 08. Simon HA. Rational decision making in business organizations. Am Econ Rev. 1979;69(4):493–513. 109. Lamprianou I. Unintended consequences of forced policy-making in high stakes examinations: The case of the Republic of Cyprus. In:
High-Stakes Testing in Education, Routledge. 2015, pp. 27–44.f 109. Lamprianou I. Unintended consequences of forced policy-making in high stakes examinations: The case of the Republic of Cyprus. In:
High-Stakes Testing in Education, Routledge. 2015, pp. 27–44.f 110. Aysel T. An Exploration of the Effects of High-Stakes Examinations on the Teaching and Learning of Mathematics in Post-Primary Educa-
tion in Ireland and Turkey. National University of Ireland Maynooth; 2012. http://mural.maynoothuniversity.ie/4034/. Accessed 8 Nov
2023. 110. Aysel T. An Exploration of the Effects of High-Stakes Examinations on the Teaching and Learning of Mathematics in Post-Primary Educa-
tion in Ireland and Turkey. National University of Ireland Maynooth; 2012. http://mural.maynoothuniversity.ie/4034/. Accessed 8 Nov
2023. 111. Forgasz HJ, Griffith S, Tan H. Gender, equity, teachers, students and technology use in secondary mathematics classrooms. In: Son L,
Sinclair N, Lagrange JB, Hoyles C, editors. Proceedings of the Seventeenth ICMI Study Conference, Digital technologies and mathematics
teaching and learning: Rethinking the terrain. 2006. pp. 160–7. 111. Forgasz HJ, Griffith S, Tan H. Gender, equity, teachers, students and technology use in secondary mathematics classrooms. In: Son L,
Sinclair N, Lagrange JB, Hoyles C, editors. Proceedings of the Seventeenth ICMI Study Conference, Digital technologies and mathematics
teaching and learning: Rethinking the terrain. 2006. pp. 160–7.ff g
g
g
pp
112. Department of Education and Training Victoria. Professional Learning in Effective Schools. The Seven Principles of Highly Effective Profes-
sional Learning. Melbourne: State of Victoria; 2005. https://www.education.vic.gov.au/Documents/school/teachers/profdev/proflearni
ngeffectivesch.pdf. Accessed 10 Aug 2023. 112. Department of Education and Training Victoria. Professional Learning in Effective Schools. The Seven Principles of Highly Effective Profes-
sional Learning. Melbourne: State of Victoria; 2005. https://www.education.vic.gov.au/Documents/school/teachers/profdev/proflearni
ngeffectivesch.pdf. Accessed 10 Aug 2023. gf
p
g
113. Dexter S, Richardson JW. What does technology integration research tell us about the leadership of technology? J Res Technol Educ. 2020;52(1):17–36. https://doi.org/10.1080/15391523.2019.1668316.l gf
p
g
113. References 99. Carver LB. Teacher perception of barriers and benefits in K-12 technology usage. Turkish Online J Educ Technol TOJET. 2016;15(1):110–6. 100
Li
CP Ch
BC Mi
LESSONS i
h
d
i
i i
i
h
’
d
i
l b li f C
Ed
2007 48(3) 474 99. Carver LB. Teacher perception of barriers and benefits in K-12 technology usage. Turkish Online J Educ Technol TOJET. 2016;15(1):110–6. p
g
j
p
101. Jeffreys C. Exploring technology integration at a public middle school: a descriptive research study on integration perceptions, factors,
and barriers. University of South Carolina; 2022. R
C
d
h D
d
h d
S 101. Jeffreys C. Exploring technology integration at a public middle school: a descriptive research study on integration perceptions, factors,
and barriers. University of South Carolina; 2022. 02. Yin RK. Case study research: Design and methods. Sage; 2009.i 102. Yin RK. Case study research: Design and methods. Sage; 2009. 103. Creswell JW, Poth CN. Qualitative inquiry and research design: choosing among five approaches. 4th ed. tions; 2017. 104. Merriam SB, Tisdell EJ. Qualitative research: a guide to design and implementation. 4th ed. San Francisco: John Wiley & Sons; 2015. 104. Merriam SB, Tisdell EJ. Qualitative research: a guide to design and implementation. 4th ed. San Francisco: John Wiley & Sons; 2015. 105. Polkinghorne DE. Language and meaning: data collection in qualitative research. J Counsel Psychol. 2005;52(2):137–45. https://doi.org/
10.1037/0022-0167.52.2.137. . Merriam SB, Tisdell EJ. Qualitative research: a guide to 104. Merriam SB, Tisdell EJ. Qualitative research: a guide to design and implementation. 4th ed. San Francisco: John Wiley & Sons; 2015. 105
Polkinghorne DE Language and meaning: data collection in qualitative research J Counsel Psychol 2005;52(2):137–45 https://doi org/ 104. Merriam SB, Tisdell EJ. Qualitative research: a guide to design and implementation. 4th ed. San Francisco: John Wiley & Sons; 2015. 105. Polkinghorne DE. Language and meaning: data collection in qualitative research. J Counsel Psychol. 2005;52(2):137–45. https://doi.org/
10.1037/0022-0167.52.2.137. 105. Polkinghorne DE. Language and meaning: data collection in qualitative research. J Counsel Psychol. 2005
10.1037/0022-0167.52.2.137. 106. Eren B. Music and dyslexia: the therapeutic use of instrument (Piano) training with a child with dyslexia (A Case Study). Online Submis-
sion. 2017;8(23):97–108. https://eric.ed.gov/?id=ED577839. Accessed 2 Aug 2023. 106. Eren B. Music and dyslexia: the therapeutic use of instrument (Piano) training with a child with dyslexia (A Case Study). Online Submis-
sion. 2017;8(23):97–108. https://eric.ed.gov/?id=ED577839. Accessed 2 Aug 2023. References Does teaching to the test improve student learning? Int Educ Dev. 2021;84: 102422. https://doi.org/10.1016/j.
ijedudev.2021.102422. 95
M
N S i
t
h
’b li f
d
ti
i
i
li
ti
d R
h A
d
I t J E
i
S i Ed
2009 4(1) 25 48 94. Zakharov A, Carnoy M. Does teaching to the test improve student learning? Int Educ Dev. 2021;84: 102422. https://doi.org/10.1016/j.
ijedudev.2021.102422. 95
M
N S i
h
’b li f
d
i
i
i
li
i
d R
h A
d
I
J E
i
S i Ed
2009 4(1) 25 48 95. Mansour N. Science teachers’ beliefs and practices: issues, implications and Research Agenda. Int J Environ Sci Educ. 2009;4(1):25–48. 96. Fishman B, Dede C, Means B. Teaching and technology: New tools for new times. In: Bell C, Gitomer D, editors. Handbook of research
on teaching. American Educational Research Association; 2016. pp. 1269–334. 95. Mansour N. Science teachers beliefs and practices: issues, implications and Research Agenda. Int J Environ Sci Educ. 2009;4(1):25–48. 96. Fishman B, Dede C, Means B. Teaching and technology: New tools for new times. In: Bell C, Gitomer D, editors. Handbook of research
on teaching. American Educational Research Association; 2016. pp. 1269–334. 96. Fishman B, Dede C, Means B. Teaching and technology: New tools for new times. In: Bell C, Gitomer D, editors. Handbook of research
on teaching. American Educational Research Association; 2016. pp. 1269–334. Vol:1 :.(123456789
3 Discover Education | https://doi.org/10.1007/s44217-023-00071-w Research (2023) 2:45 98. Tondeur J, Van Braak J, Ertmer PA, Ottenbreit-Leftwich A. Understanding the relationship between teachers’ pedagogical beliefs and
technology use in education: a systematic review of qualitative evidence. Educ Technol Res Dev. 2017;65(3):555–75. https://doi.org/10.
1007/s11423-016-9481-2. 98. Tondeur J, Van Braak J, Ertmer PA, Ottenbreit-Leftwich A. Understanding the relationship between teachers’ pedagogical beliefs and
technology use in education: a systematic review of qualitative evidence. Educ Technol Res Dev. 2017;65(3):555–75. https://doi.org/10.
1007/s11423-016-9481-2. 99. Carver LB. Teacher perception of barriers and benefits in K-12 technology usage. Turkish Online J Educ Technol TOJET. 2016;15(1):110–6. 100. Lim CP, Chan BC. MicroLESSONS in teacher education: examining pre-service teachers’ pedagogical beliefs. Comput Educ. 2007;48(3):474–
94 https://doi org/10 1016/j compedu 2005 03 005 99. Carver LB. Teacher perception of barriers and benefits in K-12 technology usage. Turkish Online J Educ Technol TOJET. 2016;15(1):110–6. 100. Lim CP, Chan BC. MicroLESSONS in teacher education: examining pre-service teachers’ pedagogical beliefs. Comput Educ. 2007;48(3):474–
94. https://doi.org/10.1016/j.compedu.2005.03.005. References Dexter S, Richardson JW. What does technology integration research tell us about the leadership of technology? J Res Technol Educ. 2020;52(1):17–36. https://doi.org/10.1080/15391523.2019.1668316.l g
114. Utterberg M, Lundin J, Lindström B. Conditions influencing mathematics teachers uptake of digital tools–a systematic literature review. In: Society for information technology & teacher education international conference, Association for the Advancement of Computing
in Education (AACE). 2017, pp. 2016–2029. 114. Utterberg M, Lundin J, Lindström B. Conditions influencing mathematics teachers uptake of digital tools–a systematic literature review. In: Society for information technology & teacher education international conference, Association for the Advancement of Computing
in Education (AACE). 2017, pp. 2016–2029. pp
115. Sun M, Wilhelm AG, Larson CJ, Frank KA. Exploring colleagues’ professional influence on mathematics teachers’ learning. Teach Coll Rec. 2014;116(6):1–30. https://doi.org/10.1177/01614681141160060. pp
115. Sun M, Wilhelm AG, Larson CJ, Frank KA. Exploring colleagues’ professional influence on mathematics teachers’ learning. Teach Coll Rec. 2014;116(6):1–30. https://doi.org/10.1177/01614681141160060. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. .:(01234
1 3 :(012345678
1 3 :(0123456789)
1 3 23456789)
1 3
|
https://openalex.org/W4381734597
|
https://figshare.com/articles/journal_contribution/Supplemental_Figure_S2_from_Cost-effectiveness_of_p16_Ki-67_Dual-Stained_Cytology_Reflex_Following_Co-testing_with_hrHPV_Genotyping_for_Cervical_Cancer_Screening/23563675/1/files/41339095.pdf
|
English
| null |
Supplemental Figure S2 from Cost-effectiveness of p16/Ki-67 Dual-Stained Cytology Reflex Following Co-testing with hrHPV Genotyping for Cervical Cancer Screening
| null | 2,023
|
cc-by
| 78
|
hrHPV genotyping and cervical cytology co-testing with
ations. This intervention was evaluated separately against
gy co-testing with reflex to hrHPV genotyping, and SOC 2 – eptability Curve
effectiveness of primary
alysis Monte Carlo sim
ooled and cervical cyto
y co-testing with no refl
ogy; PSA, probabilistic eptability Curve
effectiveness of primar
alysis Monte Carlo sim
ooled and cervical cyto
y co-testing with no ref
ogy; PSA, probabilistic ness Acce
the cost-e
tivity ana
hrHPV po
cytology
ned cytolo
|
https://openalex.org/W2759391586
|
https://europepmc.org/articles/pmc5677453?pdf=render
|
English
| null |
Logistic Model to Support Service Modularity for the Promotion of Reusability in a Web Objects-Enabled IoT Environment
|
Sensors
| 2,017
|
cc-by
| 13,722
|
Article
Logistic Model to Support Service Modularity for the
Promotion of Reusability in a Web Objects-Enabled
IoT Environment Muhammad Golam Kibria
ID , Sajjad Ali
ID , Muhammad Aslam Jarwar
ID , Sunil Kumar
ID and
Ilyoung Chong * Department of CICE, Hankuk University of Foreign Studies, Seoul 02450, Korea; kibria@hufs.ac.kr (M.G.K.);
sajjad@hufs.ac.kr (S.A.); aslam.jarwar@hufs.ac.kr (M.A.J.); sunil75umar@hufs.ac.kr (S.K.)
* Correspondence: iychong@hufs.ac.kr; Tel.: +82-10-3305-5904
Received: 10 July 2017; Accepted: 18 September 2017; Published: 22 September 2017 Department of CICE, Hankuk University of Foreign Studies, Seoul 02450, Korea; kibria@hufs.ac
sajjad@hufs.ac.kr (S.A.); aslam.jarwar@hufs.ac.kr (M.A.J.); sunil75umar@hufs.ac.kr (S.K.)
* Correspondence: iychong@hufs.ac.kr; Tel.: +82-10-3305-5904
Received: 10 July 2017; Accepted: 18 September 2017; Published: 22 September 2017 sajjad@hufs.ac.kr (S.A.); aslam.jarwar@hufs.ac.kr (M.A.J.); sunil75umar@hufs.ac.kr (S.K.)
* Correspondence: iychong@hufs.ac.kr; Tel.: +82-10-3305-5904
Received: 10 July 2017; Accepted: 18 September 2017; Published: 22 September 2017 Received: 10 July 2017; Accepted: 18 September 2017; Published: 22 September 2017 Received: 10 July 2017; Accepted: 18 September 2017; Published: 22 September 2017 Abstract: Due to a very large number of connected virtual objects in the surrounding environment,
intelligent service features in the Internet of Things requires the reuse of existing virtual objects and
composite virtual objects. If a new virtual object is created for each new service request, then the
number of virtual object would increase exponentially. The Web of Objects applies the principle of
service modularity in terms of virtual objects and composite virtual objects. Service modularity is a
key concept in the Web Objects-Enabled Internet of Things (IoT) environment which allows for the
reuse of existing virtual objects and composite virtual objects in heterogeneous ontologies. In the
case of similar service requests occurring at the same, or different locations, the already-instantiated
virtual objects and their composites that exist in the same, or different ontologies can be reused. In this case, similar types of virtual objects and composite virtual objects are searched and matched. Their reuse avoids duplication under similar circumstances, and reduces the time it takes to search
and instantiate them from their repositories, where similar functionalities are provided by similar
types of virtual objects and their composites. Controlling and maintaining a virtual object means
controlling and maintaining a real-world object in the real world. Even though the functional
costs of virtual objects are just a fraction of those for deploying and maintaining real-world objects,
this article focuses on reusing virtual objects and composite virtual objects, as well as discusses
similarity matching of virtual objects and composite virtual objects. Article
Logistic Model to Support Service Modularity for the
Promotion of Reusability in a Web Objects-Enabled
IoT Environment This article proposes a logistic
model that supports service modularity for the promotion of reusability in the Web Objects-enabled
IoT environment. Necessary functional components and a flowchart of an algorithm for reusing
composite virtual objects are discussed. Also, to realize the service modularity, a use case scenario is
studied and implemented. Keywords: Internet of Things (IoT); Web of Objects (WoO); semantic ontology; object virtualization;
reusability sensors sensors 1. Introduction •
Service modularity in the Web of Objects (WoO) platform: WoO applies the principle of service
modularity to create and offer IoT services by virtualizing real-world objects, composing them
based on the service request, and reusing them in multiple application domains. •
Reuse of available virtual objects and composite virtual objects: To avoid complexity, ensure
scalability, reduce the time it takes to search and instantiate similar virtual objects, etc., available
virtual objects and composite virtual objects need to be reused. Cognitive functionalities can
be applied to match similar virtual objects and composite virtual objects, or approximate them,
which can provide similar functionalities under similar circumstances. To overcome the lack of common standards of IoT at the application level, WoO [1,2] allows
real-world object virtualization with the uses of semantic ontology, which forms a virtual object (VO)
for information reusability, extendibility, and interoperability among multiple VOs. Each real-world
object is represented by a virtual object, hence, controlling and managing a VO in the WoO platform
means controlling and managing a real-world object in the real world. Real-world objects include
physical objects and information in the real world. To offer intelligent services, composite virtual
objects (CVOs) are created by combining multiple functionalities of VOs, constraints, and service
policies. WoO allows the extension of the existing web with Web Objects in the IoT environment. In WoO, VOs are combined with web application characteristics, connected to the Internet, and applied
to the web. WoO achieves distributed service infrastructure and adaptive service composition. p
p
Service modularity is realized in terms of CVOs and their reusability in the WoO platform. Based
on the user request, requested service-relevant CVOs and associated VOs are searched and matched. It is not necessary to have the CVO in its own application domain; if a CVO is not available in its
own domain, it can be reused from another domain. Here, based on the user request, to create and
offer requested services, the user and his current location are identified and service-relevant CVOs are
instantiated. If the relevant CVOs are not available in their own ontology, then they are matched from
other ontologies. Even though reusing real-world objects is important, and functional costs of reusing
CVOs and VOs are just a fraction of deploying and maintaining real-world objects. 1. Introduction Recent technological advancement, a very large number of connected virtual objects, a significant
amount of available data, and diverse service features enable the Internet of Things (IoT) infrastructure
to create and offer services that facilitate society, economy, and daily living. Maintaining these very
large numbers of connected virtual objects, as well as creating and offering intelligent services in the
IoT environment is a complex task. Moreover, if new virtual objects need to be created for each new
service, then a number of virtual objects will be increased exponentially, which burdens networks and
system performance. Unavailable required virtual objects can be supported by other similar types of Sensors 2017, 17, 2180; doi:10.3390/s17102180 www.mdpi.com/journal/sensors www.mdpi.com/journal/sensors 2 of 21 Sensors 2017, 17, 2180 virtual objects. Hence, virtual objects need to be reused under similar circumstances that can provide
similar functionalities. Let us think of a scenario where a person moves to another city in order to attend a conference. During the conference, he stays in a hotel. He expects similar comfort (e.g., suitable temperature,
humidity, light, etc.) in his hotel room as is in his home. An application system identifies the person,
his current location at the hotel, and analyzes his personal profile and preferences. To create and
offer user-preferred services, available real-world objects at the hotel room need to be controlled and
managed as they are controlled and managed at the user’s home. Hence, service-relevant virtual
objects and the composition of virtual objects are searched and matched for similar functionalities. Instead of creating new virtual objects and composing virtual objects to create and offer user-request
services, the application reuses them as they were instantiated to offer services at home. Service modularity is a key concept in a service-oriented architecture that allows for the reuse
of existing virtual objects in heterogeneous ontologies. The reuse of existing virtual objects and their
composites minimizes the complexity and the number of additional virtual objects needed under
similar circumstances, avoids duplication, reduces the time it takes to search and instantiate them
from their repositories, and increases the scalability and interoperability among multiple application
domains. Considering these, the following factors have been identified: •
Service modularity in the Web of Objects (WoO) platform: WoO applies the principle of service
modularity to create and offer IoT services by virtualizing real-world objects, composing them
based on the service request, and reusing them in multiple application domains. 2. Related Works Since IoT covers a vast area, a great deal of research has been conducted in this field. IoT promises
a vision of connecting billions of objects using diverse communication technologies. At the same time,
IoT enables companies and individuals to interact with these physical objects anytime and anyplace. IoT is a combination of different technologies, various protocols, and heterogeneous devices, altogether
assuring the development of a system to provide smart services for end users. For several years IoT
has become an active area in both academia and research. This was shown through the report “Cluster
of European research projects on IoT” that was been presented in Reference [5]. The authors in this
report discussed the vision and challenges for realizing IoT. Moreover, a cloud-centric vision for the
implementation of IoT systems was deliberated in Reference [6]. The authors discussed important
enabling technologies and applications which are expected to drive IoT research in the future. Further,
they presented an implementation using the Aneka platform with private and public cloud interaction
to support future IoT services. In Reference [7], the authors surveyed IoT and demonstrated the most
important factors, including the communication solutions and integration of several other technologies. They discussed tracking and identification solutions in IoT, wired and wireless sensor networks and
communication protocols, along with next generation Internet. Furthermore, they elaborated the
importance of distributed intelligence in smart objects for IoT applications. It is not always possible to connect real-world objects directly to applications. Hence, real-world
objects, including physical objects and information, are virtualized to form VOs. A great deal of
research has been done on object virtualization. VOs have become a major element in the IoT. A VO
is the digital equivalent of a real-world object in IoT. VOs in IoT platforms help in the discovery
and mashup of services and encourage the development of complex applications. In Reference [8],
the authors surveyed VOs in the IoT world; discussed the definitions, characteristics, roles, and
functionalities of Vos; and highlighted the common building blocks for the implementation of a
virtualization layer. The authors also surveyed and presented the roles of VOs and the functionalities
of architectures that have been implemented by different platforms, including oneM2M, SENSEI, IoT-A,
COMPOSE, iCore, etc. Digital representations of real-world objects were discussed in Reference [9],
where VOs carry application logic that enables them to sense the real world and interact with
it. 1. Introduction Hence, reusing
CVOs and VOs in the WoO platform is an important issue for resource optimization, information
reusability, interoperability, knowledge-based service provisioning, etc. WoO is a service platform that
deals with three levels for application-level service provisioning. This article focuses on reusing CVOs
and VOs as well as their associated mechanisms. Considering the abovementioned two factors, this paper proposes a logistic model that supports
service modularity so that CVOs can be reused in multiple domains where similar types of VOs and 3 of 21 Sensors 2017, 17, 2180 their functionalities are available. Hence, this paper focuses on real-world object virtualization and its
composition to support user requests, components in the WoO platform, and the reusability of CVOs. In Reference [3], authors discussed the concept of VOs and proposed a log-based emergency
management system. Authors presented a decision support tool to offer IoT services based on context
information and a previous incident log. The authors claimed the use of a semantic ontology for
reusability and interoperability. However, the key concept of reusability among multiple domains
and its methodology have not been discussed in this article. Authors in Reference [4] proposed a
semantic service composition architecture and presented a procedure for dynamic service composition. For user-centric dynamic service composition, the authors stated reusing and sharing of VO properties
and attributes that were absent in the article. Compared to existing works, the main advantages of our
proposed logistic model in the Web Objects-enabled IoT environment include the reusability of CVOs
and VOs among multiple domains and real-world knowledge-based decisions, actions, and outcomes
based on CVO reusability. The structure of this paper is as follows: Section 2 presents the related research. Section 3 discusses
features and functional components of the WoO platform and real-world object virtualization. Section 4
discusses the importance of reuse of CVOs and VOs. To reuse CVOs and VOs, this section presents
and discusses the methodology of searching and matching them. This section also discusses the
knowledge-based service provisioning in the WoO platform. Section 5 presents and implements a
prototype for a use case scenario. This section performs experiments on the implemented functionalities
and discusses the experiments. Finally, Section 6 concludes this article. 2. Related Works In Reference [9], the authors reported the design patterns for digital representations of VOs 4 of 21 Sensors 2017, 17, 2180 to identify the technical requirements for the future IoT. Moreover, in Reference [10], the authors
demonstrated the IoT concept by describing how things in the real world integrate with the information
technology virtual world. The authors in Reference [11] proposed an IoT prototyping toolkit (IoTLink). They demonstrated that their toolkit allows developers to create IoT mashup applications. Using
visual components in the toolkit, it abstracts devices and services on the Internet as virtual entities,
encapsulating the complexity of communication with them. Object virtualization, harmonization, the composition of VOs and CVOs, and the WoO platform
have been discussed and proposed in References [3,4,12–15]. A functional framework of WoO that
includes the concept, reference model, functional capabilities, and information model were provided
in the recommendation ITU-T Y.4452 [2]. Intelligent services can be created and offered by composing
relevant VOs and CVOs, service logic, and constraints. Service composition requires synthesizing
a specification to coordinate the components of service. Composition architecture, methodology,
and algorithms for service composition were presented in References [16–20]. For reusability and
interoperability, intercommunications among VOs is maintained using semantic ontology, which was
discussed in References [21,22]. Discovering and combining relevant VOs for domain-specific service is possible for an application
through cognitive functionalities. Cognitive functionalities enable CVOs to be self-managed,
self-configured, and reused based on a service request. The concept of VOs, CVOs, and their
functionalities were discussed in References [23–25]. A service is realized in terms of a CVO. To execute a service, the VOs that are relevant to the CVO
need to be searched and matched in ontologies. In VO discovery, similarity between a source VO and
a target VO is computed to match them. In an ontology, VOs and CVOs are defined in a hierarchical
manner. Similarity between two VOs can be computed based on their hierarchical structure. Since
VOs include different properties, to compute the similarity, all the properties of the source VO need to
be compared with all the properties in the target VO. Structural matching combines different matching
techniques [26] to compute the similarity between the properties of one ontology with the properties
of another ontology. In this regard, two sets of synsets (sets of synonyms) of different properties can be
computed using a Leacock Chodorow Matcher (LCM) [27,28]. 2. Related Works Knowledge can be acquired and updated over the course of time using the concept of a hierarchy
of classes, which is supported by the semantic ontology. Real-world information is captured, converted,
and exploited to represent, organize, and reuse knowledge. Knowledge management processes and
ontologies were discussed in References [29–31]. A knowledge creation mechanism was proposed and
discussed in Reference [32]. Due to a rapid change of context, the application should have the ability to update itself with
current context information. Context-awareness of real-world objects is necessary for any application
for intelligent service provisioning. Context-awareness of objects was discussed in the BUTLER
project and presented in Reference [33]. Context-aware services and applications were discussed in
References [34,35]. 3.1. Web of Objects Archietcture In the ubiquitous IoT environment, virtual objects interact with each other and share information
to provide intelligent services, but they face isolation of information due to a lack of common standards. WoO facilitates the integration of isolated information from multiple application domains. Application
deployment and operation are facilitated by the WoO platform. WoO allows the extension of the
existing web with Web Objects in the virtual world. Since real-world objects are not directly connected to applications, they are virtualized. WoO
allows for the harmonization and composition of VOs to form application-level service features. With object virtualization, real-world objects can be monitored and controlled virtually as it is in the 5 of 21 Sensors 2017, 17, 2180 physical world. WoO is a service platform, where virtual space is created for the application domain,
such as the smart home, smart city, smart health, etc., as shown in Figure 1. Sensors 2017, 17, 2180
5 of 20
Sensors 2017, 17, 2180
5 of 20 Figure 1. Example application domains in the Web of Objects platform [1]. Figure 1. Example application domains in the Web of Objects platform [1]. Figure 1. Example application domains in the Web of Objects platform [1]. Figure 1. Example application domains in the Web of Objects platform [1]. Figure 1. Example application domains in the Web of Objects platform [1]. Figure 1. Example application domains in the Web of Objects platform [1]. The Web Objects-enabled IoT environment provides a simple approach that application
developers and service providers develop and provide application features. The aggregation of VOs,
CVOs, and service entities in the three-layer architecture of the WoO platform provides service
features for end users and applications. The functional entities in the three-layer architecture of the
WoO platform are shown in Figure 2. The Web Objects-enabled IoT environment provides a simple approach that application developers
and service providers develop and provide application features. The aggregation of VOs, CVOs, and
service entities in the three-layer architecture of the WoO platform provides service features for end
users and applications. The functional entities in the three-layer architecture of the WoO platform are
shown in Figure 2. The Web Objects-enabled IoT environment provides a simple approach that application
developers and service providers develop and provide application features. The aggregation of VOs,
CVOs, and service entities in the three-layer architecture of the WoO platform provides service
features for end users and applications. Sensors 2017, 17, 2180 Sensors 2017, 17, 2180 6 of 21 In WoO, VOs perform an interface function to real-world objects. WoO allows VOs to
represent functionalities and properties of real-world objects so that they can be accessed and used. Through sensing capabilities, meaningful information of real-world objects can be collected and stored
at the VO level. 017, 17, 2180
ory. The VO template is created by the manufacturer and stored in the VO template repo Semantic ontology is used to describe a VO that can be accessed and shared semantically. In an application domain, the requested VO is instantiated from the VO template and stored in
the VO repository. The VO template is created by the manufacturer and stored in the VO template
repository. The VO is described in Resource Description Framework (RDF) format in order to be
represented semantically. Metadata is represented in RDF and stored in an RDF graph database. The communications interface between the VO and real-world objects is done in a Representational
state transfer (REST) or RESTful manner. For semantic interoperability among multiple VOs and a
common understanding, a VO information model is used to describe a VO, which is shown in Figure 3. y
p
y
p
p
O is described in Resource Description Framework (RDF) format in order to be repre
ically. Metadata is represented in RDF and stored in an RDF graph databas
nications interface between the VO and real-world objects is done in a Representation
r (REST) or RESTful manner. For semantic interoperability among multiple VOs
n understanding, a VO information model is used to describe a VO, which is sho
3. Figure 3 Virtual object (VO) information model
Figure 3. Virtual object (VO) information model. ure 3 Virtual object (VO) information mod
Figure 3. Virtual object (VO) information model. WoO, user-requested service is realized in terms of a CVO that is created by com
e VO functionalities, CVOs, and service rules. The CVO inherits all functions and feat
rrelated VOs and shares them with other CVOs that belong to internal and external do
In WoO, user-requested service is realized in terms of a CVO that is created by combining
multiple VO functionalities, CVOs, and service rules. The CVO inherits all functions and features of
the interrelated VOs and shares them with other CVOs that belong to internal and external domains. Available VO information and functionalities are retrieved from the VO repository for CVO creation. 3.1. Web of Objects Archietcture The functional entities in the three-layer architecture of the
WoO platform are shown in Figure 2. Figure 2. Functional entities and layer architecture of the Web of Objects platform [1,2]. WoO VOs perform an interface function to real world objects WoO allows VOs to re
Figure 2. Functional entities and layer architecture of the Web of Objects platform [1,2]. W O VO
f
f
f
l
ld b
W O ll
VO
Figure 2. Functional entities and layer architecture of the Web of Objects platform [1,2]. Figure 2. Functional entities and layer architecture of the Web of Objects platform [1,2]. Figure 2. Functional entities and layer architecture of the Web of Objects platform [1,2]. Figure 2. Functional entities and layer architecture of the Web of Objects platform [1,2]. Sensors 2017, 17, 2180 4 C
it
i t
l bj
t (CVO) i f
ti
Figure 4. Composite virtual object (CVO) information model. Sensors 2017, 17, 2180 WoO, user-requested service is realized in terms of a CVO that is created by com
e VO functionalities, CVOs, and service rules. The CVO inherits all functions and feat
rrelated VOs and shares them with other CVOs that belong to internal and external do
ble VO information and functionalities are retrieved from the VO repository for CVO cr
he CVO is instantiated from the CVO template and stored in the CVO repository Th
In WoO, user-requested service is realized in terms of a CVO that is created by combining
multiple VO functionalities, CVOs, and service rules. The CVO inherits all functions and features of
the interrelated VOs and shares them with other CVOs that belong to internal and external domains. Available VO information and functionalities are retrieved from the VO repository for CVO creation. The CVO is instantiated from the CVO template and stored in the CVO repository. The CVO
repository contains metadata including CVO identification, type, time of creation, validity, owner, g
ble VO information and functionalities are retrieved from the VO repository for CVO c
e CVO is instantiated from the CVO template and stored in the CVO repository. Th
ory contains metadata including CVO identification, type, time of creation, validity,
The CVO is instantiated from the CVO template and stored in the CVO repository. The CVO
repository contains metadata including CVO identification, type, time of creation, validity, owner,
CVO operation, access rights of the CVO, VO identification, etc. A CVO information model is used to
describe a CVO, as shown in Figure 4. peration, access rights of the CVO, VO identification, etc. A CVO information model
ribe a CVO, as shown in Figure 4. A user-requested service is received at the service level, which performs as an interface between
the user and WoO platform. A service is a logical mashup of CVOs, relevant VOs, and service policies. A service is not executed at the service level; rather, a service request is analyzed based on real-world
knowledge, policies, and service request parameters that provide an appropriate service template to
execute the service. The service level performs as a brain in WoO, thus, the performance of lower
levels depends on the service level. 7 of 21
model Sensors 2017, 17, 2180
peration, access
ib
CVO
h Figure 4 Composite virtual object (CVO) information model
Figure 4. Composite virtual object (CVO) information model. CVO R
i
th W b Obj t E
bl d I T E
i
t
4.1. CVO Reuse in the Web Objects-Enabled IoT Environment CVO Reuse in the Web Objects Enabled IoT Environment
If every time a new CVO needs to be created for each new service request, the complex
eases. To minimize the complexity, minimize the number of additional CVOs under sim
umstances, reduce the time it takes to instantiate them directly, and increase scalability a
roperability among multiple domains, CVOs need to be reused. The Web Objects-enabled
ironment allows for the reuse of existing CVOs in multiple ontologies. Cognitive functionalit
If every time a new CVO needs to be created for each new service request, the complexity increases. To minimize the complexity, minimize the number of additional CVOs under similar circumstances,
reduce the time it takes to instantiate them directly, and increase scalability and interoperability among
multiple domains, CVOs need to be reused. The Web Objects-enabled IoT environment allows for
the reuse of existing CVOs in multiple ontologies. Cognitive functionality at the CVO level, such as
approximation and reuse functions, is used to search for similar CVOs to reuse them. Since completely
identical CVOs are not available all the time, this function searches for similar or approximated
CVOs that can support similar functionalities for current service requests within the current context. To approximate the CVO, the current context and request parameters are compared with the previous
context and the request parameters of the CVO that was instantiated and stored in a CVO registry. The CVO information model includes metadata regarding context and request parameters. Context
parameters include time, location, temperature, VOs, etc., whereas request parameters include VO
function, policy, etc. Matching and comparing each and every CVO in the CVO registry is a complex and costly task. There should be a mechanism that allows matching and comparing within a limited number of CVOs
or a group of correlated CVOs. A correlation matrix includes information regarding correlated CVOs
that can be used to compare the limited number of CVOs. In this process, whenever a first matching
CVO is found in the registry, a correlation matrix is consulted for correlated CVOs. A similarity value
is calculated between each parameter in the correlated CVOs and, finally, a weighted sum [36] for the
alternatively-correlated CVOs is calculated and compared against a threshold value. If the weighted
sum is higher than, or equal to, the threshold value, then the CVO is ranked based on the weighted
value. d
i
i
i
3.2. CVO Creation and Instantiation 8 of 21
o
p o 8 of 21
p Sensors 2017, 17, 2180
g
y;
ure 5 shows a CVO Figure 5. CVO creation and instantiation process at the CVO level. Figure 5. CVO creation and instantiation process at the CVO level. igure 5. CVO creation and instantiation process at the CVO leve
Figure 5. CVO creation and instantiation process at the CVO level. ervice Modularity for Reusability in the WoO Platform
4. Service Modularity for Reusability in the WoO Platform CVO R
i
th W b Obj t E
bl d I T E
i
t
4.1. CVO Reuse in the Web Objects-Enabled IoT Environment d
i
i
i
3.2. CVO Creation and Instantiation user-requested service is received at the service level, which performs as an interface b
r and WoO platform. A service is a logical mashup of CVOs, relevant VOs, and service p
ce is not executed at the service level; rather, a service request is analyzed based on rea
A CVO template is used to instantiate a CVO to offer a user-requested service. A domain-specific
CVO template is designed and created by a domain expert and stored in a CVO template repository. Different types of CVO templates are created in advance. The main goal of creating a CVO template
is to reuse it if a similar type of CVO is requested under similar circumstances. Since a CVO is
a combination of multiple VOs and/or CVOs and service rules, the information and functions of
relevant VOs are retrieved to create a CVO template. An instantiated CVO is stored in a CVO repository,
so, if the context and request parameters of a requested CVO match with the context and request
parameters of a stored CVO, then the service might be created and offered directly. Embedded cognitive functionalities in a CVO allow for the reuse of available CVOs and VOs. The functions and features of VOs and CVOs are combined in a CVO that can orchestrate with multiple
other CVOs. A domain expert considers service requirements, service rules, context of a service,
and available VOs to create a CVO. In a CVO creation and instantiation process, a requested CVO
is searched and matched in a CVO repository based on the context and request parameters. If the
requested CVO is matched, then the CVO is instantiated directly, otherwise the CVO is created. In the
process of CVO creation, a designer first identifies what type of functions the CVO will provide. In the next step, the candidate VOs and CVOs are selected, and necessary parameters, ranges of the
data values, and threshold values are set. Based on a service requirement, the selected VOs, CVOs,
parameters, and service logic are combined and finally stored into a CVO template repository. In the
process of a CVO instantiation, potential VOs and CVOs are selected and located. A CVO template is
used to accommodate the selected VOs and CVOs. Depending on an application, a user-requested
service might vary; hence, the service logic might be modified slightly for the instantiation process. Figure 5 shows a CVO creation and instantiation process. CVO R
i
th W b Obj t E
bl d I T E
i
t
4.1. CVO Reuse in the Web Objects-Enabled IoT Environment If none of the correlated CVOs’ weighted sums pass the threshold level, then the next CVO is
searched, following a similar procedure until all the CVOs are searched in the CVO registry. If no CVO
is matched or approximated, then the context and request parameters are forwarded to create a new
CVO from scratch. A flowchart of an algorithm for reusing CVOs is shown in Figure 6. 9 of 21 Sensors 2017, 17, 2180
in Figure 6. Figure 6. Flowchart of an algorithm for reusing CVOs. Figure 6. Flowchart of an algorithm for reusing CVOs. Figure 6. Flowchart of an algorithm for reusing CVOs. Figure 6. Flowchart of an algorithm for reusing CVOs. Correlation among CVOs in the CVO registry is calculated, and the calculated values are stored
in the correlation matrix. The calculation is done between requested functions and previous functions
used in a previously-instantiated CVO. In the correlation matrix, 0 means there is no correlation
between two functions and 1 means the requested function can be satisfied by the previously-used
function; this implies that 0 means there is no correlation between CVOs and 1 implies that CVOs are
highly correlated. Due to several reasons, such as changes in parameter types, the correlation among
CVOs might be changed or invalid. Thus, a correlation matrix is validated continuously so that
prediction accuracy is improved. If two CVOs have a high correlation among them, then it is normal
Correlation among CVOs in the CVO registry is calculated, and the calculated values are stored
in the correlation matrix. The calculation is done between requested functions and previous functions
used in a previously-instantiated CVO. In the correlation matrix, 0 means there is no correlation
between two functions and 1 means the requested function can be satisfied by the previously-used
function; this implies that 0 means there is no correlation between CVOs and 1 implies that CVOs
are highly correlated. Due to several reasons, such as changes in parameter types, the correlation
among CVOs might be changed or invalid. Thus, a correlation matrix is validated continuously so
that prediction accuracy is improved. If two CVOs have a high correlation among them, then it is
normal that they perform similarly. Correlation between two CVOs can be defined in a range (0, 1). CVO R
i
th W b Obj t E
bl d I T E
i
t
4.1. CVO Reuse in the Web Objects-Enabled IoT Environment Correlation of CVOs can be expressed as: correlation
cvoi, cvoj
=
(
1, if
vo f unci, vo f uncj ≥threscorrelation
0, otherwise
,
(1) (1) In Equation (1), correlation is calculated among cvoi and cvoj CVOs, where vo f unci and vo f uncj
are functions by ith and jth VOs, respectively, and threscorrelation is the threshold value for correlation. If the range of the correlation among vo f unci and vo f uncj is higher than, or equal to, the threshold
value, then the condition is satisfied, and in that case (i, j) are highly-correlated CVOs. A CVO can be highly correlated with multiple CVOs, where the CVO can perform as an active
member of multiple correlated CVO pairs. In this case, cvoi is a member of a subset of correlated CVO
pairs, corrcvoi, that can be expressed as: cvoi ∈corrcvoi = correlation
cvoi, cvoj
= 1,
(2) (2) If vo f unci is a set of functions in the requested CVO, and vo f uncj is a set of functions in the stored
CVOs, then a satisfaction rate is calculated to identify how close those functions are so that vo f unci is If vo f unci is a set of functions in the requested CVO, and vo f uncj is a set of functions in the stored
CVOs, then a satisfaction rate is calculated to identify how close those functions are so that vo f unci is 10 of 21 Sensors 2017, 17, 2180 satisfied by vo f uncj with respect to the correlated CVOs. The satisfaction rate srij between requested
vo f unci and stored vo f uncj function can be expressed as: srij
vo f unci, vo f uncj
= 1 −dist
vo f unci, vo f uncj
vo f unci
(3) (3) In Equation (3), dist
vo f unci, vo f uncj
is the distance between functions in the requested and
stored CVOs that can be expressed in a range (0, 1). The distance between other features in the
requested and stored CVOs can be calculated in a similar fashion. In Equation (3), dist
vo f unci, vo f uncj
is the distance between functions in the requested and
stored CVOs that can be expressed in a range (0, 1). The distance between other features in the
requested and stored CVOs can be calculated in a similar fashion. CVO R
i
th W b Obj t E
bl d I T E
i
t
4.1. CVO Reuse in the Web Objects-Enabled IoT Environment Stated earlier, context parameters include time, location, available VOs, etc., and request
parameters include functions and policies. These parameters are considered as criteria and defined in
the CVO in the CVO registry. The satisfaction rate between the criteria stated in the requested and the
stored CVO is calculated in terms of all of these features. Thus, overall similarity between requested
and stored criteria can be calculated as the weighted sum of criteria, which can be expressed as: cvoi
ws =
n
∑
j=0
wvo f uncjsrij + wc f j srij
. (4) (4) In Equation (4), cvoi
ws is an alternatively-correlated CVO specified in corrcvoi and n represents
their relevant features. wvo f uncj and wc f j are relative weights of VO function and context features,
respectively, and srij is the satisfaction rate of these features in terms of cvoi
ws. If the weighted value of
cvoi
ws is higher than, or equal to, the threshold value, then the CVO is ranked; otherwise, the context
and request parameters are forwarded to create a new CVO from scratch. •
PropertiesVOA are the properties of VOA; •
ClassVOB is the super-class, sub-class, and associated classes of VOB; •
ClassVOA is the super-class, sub-class, and associated classes of VOA; •
PropertiesVOA are the properties of VOA; •
ClassVOA is the super-class, sub-class, and associated classes of VOA;
•
ClassVO is the super-class sub-class and associated classes of VOB; •
PropertiesVOB are the properties of VOB. Similarity matching between VOA and VOB starts with computing the similarity between classes
(e.g., super-class and sub-class) of VOA and VOB. Later, the properties of the similar classes are
retrieved and their similarities are computed. All the similarity values are summed to compute the
similarity of VOA and VOB. In general, the similarity between two VOs can be expressed as: Similarity(VOA, VOB) =
n
∑
q=1
m
∑
p=1
Sim(ClasspVOA, ClassqVOB)+Sim(PropertiespVOA, PropertiesqVOB)
((NCl+NPr) VOA+(NCl+NPr)VOB)/2 where: where: •
(NCl + NPr) VOA is the number of classes in VOA and properties in VOA; •
(NCl + NPr) VOA is the number of classes in VOA and properties in VOA; •
(NCl + NPr) VOA is the number of classes in VOA and properties in VOA;
•
(NCl + NPr) VOB is the total number of classes in VOB and properties in VOB •
(NCl + NPr) VOB is the total number of classes in VOB and properties in VOB. For the similarity of classes, the sum of all similarity values between super-classes, sub-classes,
and associated classes is calculated, and the result is divided by half the number of classes of VOA and
VOB. The expression is as follows: Sim
ClasspVOA, ClassqVOB
=
n
∑
q=1
m
∑
p=1
(Sim(SuppVOA, SupqVOB)+Sim(SubpVOA, SubqVOB)+ Sim(AssopVOA, AssoqVOB)
(NClVOA +NClVOB )/2 where: •
SuppVOA and SuppVOB are the super-classes of VOA and VOB; •
SubpVOA and SubpVOB are the sub-classes of VOA and VOB; p
p
•
AssopVOA and AssoqVOB are the associated classes of VOA and VOB; p
p
•
AssopVOA and AssoqVOB are the associated classes of VOA and VOB; •
NClVOA and NClVOB are the total number of related classes of ClasspVOA and ClassqVOB. 4.2. Discovery of a VO in an Ontology A CVO is the combination of domain-specific multiple VOs. Based on the context and request
parameters, a CVO is searched, matched, and ranked to be reused to offer a service. However,
to execute the service, the CVO-relevant VOs need to be discovered and executed. Hence, the relevant
VO names are extracted from a ranked CVO, and a VO discovery function is used to search and
match them in the VO repository. Due to the very large number of available VOs, a reduction of the
operational cost and an increase in the efficiency techniques need to be applied to limit the search
space, such as using geographical location, time, etc. To discover CVO-relevant VOs, the properties of
each source VO are matched with the properties of a targeted VO. Here, the source VO is the requested
VO that needs to be searched and the targeted VO is the stored VO in the VO repository. An ontology defines the VO and CVO in a hierarchal manner. For VO discovery, the similarity
between a source and a target VO can be computed based on their hierarchical structure. In an ontology,
a VO includes different properties including super-class, sub-class, object properties, data properties,
domain, and range. To find the similarity, all the properties of a source VO need to be compared with
all the properties of the target VO. Moreover, a higher number of properties matched between two
VOs means the two VOs are more related to each other. The similarity result is the degree of matching;
if the matching value exceeds the predefined threshold value, then the VOs are similar. Let us consider a source VO VOA and a target VO VOB from two ontologies, OA and OB, that
include the following features: VOA =
ClassVOA, PropertiesVOA
, and VOB =
ClassVOB, PropertiesVOB where: •
ClassVOA is the super-class, sub-class, and associated classes of VOA; 11 of 21 11 of 21 Sensors 2017, 17, 2180 •
PropertiesVOB are the properties of VOB. •
PropertiesVOB are the properties of VOB. Algorithm 1. Similarity Matching Algorithm 1. Similarity Matching Algorithm 1. Similarity Matching
Input: Ontologies OA and OB, threshold;
Output: Similarity of VOs;
1:
for each VO in OA and OB
2:
( VOp, VOq) = (VOp ∈OA), and
VOq ∈OB
3:
Nc = Total number of classes of VOp and VOq
4:
Np = Number of properties of VOp and VOq
5:
Nd = Number of domains of VOp and VOq
6:
Nr = Number of ranges of VOp and VOq
7:
(SupiVOp, SupjVOq) = (SupiVOp ∈VOp), and (SupjVOq ∈VOq)
8:
(SubiVOp, SubjVOq) = (SubiVOp ∈VOp), and (SubjVOq ∈VOq)
9:
(AssoiVOp, AssojVOq) = (AssoiVOp ∈VOp), and (AssojVOq ∈VOq)
10:
for each SupiVOp, SubiVOp, AssoiVOp in VOp
11:
for each SupjVOq, SubjVOq, AssojVOq in VOq
12:
// compute similarity using technique: LCM
13:
S1 = Sim
SupiVOp, SupjVOq
= LCM
SupiVOp, SupjVOq
14:
S2 = Sim
SubiVOp, SubjVOq
= LCM
SubiVOp, SubjVOq
15:
S3 = Sim
AssoiVOp, AssojVOq
= LCM
AssoiVOp, AssojVOq
16:
end for S1 = Sim
SupiVOp, SupjVOq
= LCM
SupiVOp, SupjVOq
S2 = Sim
SubiVOp, SubjVOq
= LCM
SubiVOp, SubjVOq
S3 = Sim
AssoiVOp, AssojVOq
= LCM
AssoiVOp, AssojVOq
Sim
ClassVOp, ClassVOq
= ∑n
q=1 ∑m
p=1
S1+ S2+ S3
Nc/2
. 19:
for each DpiVOp, OpiVOp, DomiVOp, RaniVOp in ClassVOp
20:
for each DpjVOq, OpjVOq, DomjVOq, RanjVOq in ClassVOq
21:
// compute similarity using LCM
22:
S4 = Sim
DpiVOp, DpjVOq
= LCM
DpiVOp, DpjVOq
23:
S5 = Sim
OpiVOp, OpjVOq
= LCM
OpiVOp, OpjVOq
24:
S6 = Sim
DomiVOp, DomjVOq
= LCM
DomiVOp, DomjVOq
25:
S7 = Sim
RaniVOp, RanjVOq
= LCM
RaniVOp, RanjVOq
26:
end for
27:
end for
28:
Sim
PropVOp, PropVOq
= ∑n
q=1 ∑m
p=1
S4+ S5+ S6+ S7
(Np+Nd+Nr) / 2. 29:
return
30:
Sim
VOp, VOq
= ∑n
q=1 ∑m
p=1
Sim(ClassVOp , ClassVOq)+ Sim(PropVOp , PropVOq)
(Nc+Np+Nd+Nr)/2
. 31:
end for
4.3. Logistic Model to Support Service Modularity 4.3. Logistic Model to Support Service Modularity To support the reusability of a CVO and VO in multiple application domains in the WoO platform
for knowledge-based service provisioning, a logistic model has been proposed and instantiated. •
PropertiesVOB are the properties of VOB. At the next stage, all the properties that are related to similar classes are extracted and the
similarity between the properties of VOA and VOB is computed, which can be expressed as follows: Sim(PropertiespVOA, PropertiesqVOB) =
n
∑
q=1
m
∑
p=1
(Sim
DppVOA, DpqVOB
+ Sim
OppVOA, OpqVOB
+
Sim
DompVOA, DompVOB
+ Sim
RanpVOA, RanpVOB
(NProCl+NDomPro+NRanPro)/2 Sim(PropertiespVOA, PropertiesqVOB) =
n
∑
q=1
m
∑
p=1
(Sim
DppVOA, DpqVOB
+ Sim
OppVOA, OpqVOB
+
Sim
DompVOA, DompVOB
+ Sim
RanpVOA, RanpVOB
(NProCl+NDomPro+NRanPro)/2 where: •
DppVOA and DpqVOB are the data properties of similar classes ClasspVOA and ClassqVOB; •
DppVOA and DpqVOB are the data properties of similar classes ClasspVOA and ClassqVOB; •
DppVOA and DpqVOB are the data properties of similar classes ClasspVOA and ClassqVOB; •
OppVOA and OpqVOB are the object properties of similar classes ClasspVOA and ClassqVOB; •
DompVOA and DomqVOB are the domains of the properties; •
RanpVOA and RanqVOB are the ranges of the properties; •
NProCl is the number of properties of similar classes ClasspVOA and ClassqVOB; •
NDomPro is the number of domains; •
NRanPro is the number of ranges. If the properties of two VOs are similar, then the VOs are similar. Similarity between two sets
of synsets (sets of synonyms) of different properties are computed using LCM. If the similarity value
of two VOs exceeds the predefined threshold, then LCM returns equivalence; otherwise, it returns
Idk or “I don’t know”. LCM takes two synsets as input and computes the similarity between them by
computing the shortest path between the two synsets. If the path between the two synsets is shorter,
they are more related. The pseudocode of the algorithm for the similarity matching between two VOs
is shown in Algorithm 1. 12 of 21 Sensors 2017, 17, 2180 Algorithm 1. •
PropertiesVOB are the properties of VOB. Similarity Matching
Input: Ontologies OA and OB, threshold;
Output: Similarity of VOs;
1:
for each VO in OA and OB
2:
( VOp, VOq) = (VOp ∈OA), and
VOq ∈OB
3:
Nc = Total number of classes of VOp and VOq
4:
Np = Number of properties of VOp and VOq
5:
Nd = Number of domains of VOp and VOq
6:
Nr = Number of ranges of VOp and VOq
7:
(SupiVOp, SupjVOq) = (SupiVOp ∈VOp), and (SupjVOq ∈VOq)
8:
(SubiVOp, SubjVOq) = (SubiVOp ∈VOp), and (SubjVOq ∈VOq)
9:
(AssoiVOp, AssojVOq) = (AssoiVOp ∈VOp), and (AssojVOq ∈VOq)
10:
for each SupiVOp, SubiVOp, AssoiVOp in VOp
11:
for each SupjVOq, SubjVOq, AssojVOq in VOq
12:
// compute similarity using technique: LCM
13:
S1 = Sim
SupiVOp, SupjVOq
= LCM
SupiVOp, SupjVOq
14:
S2 = Sim
SubiVOp, SubjVOq
= LCM
SubiVOp, SubjVOq
15:
S3 = Sim
AssoiVOp, AssojVOq
= LCM
AssoiVOp, AssojVOq
16:
end for
17:
end for
18:
Sim
ClassVOp, ClassVOq
= ∑n
q=1 ∑m
p=1
S1+ S2+ S3
Nc/2
. 19:
for each DpiVOp, OpiVOp, DomiVOp, RaniVOp in ClassVOp
20:
for each DpjVOq, OpjVOq, DomjVOq, RanjVOq in ClassVOq
21:
// compute similarity using LCM
22:
S4 = Sim
DpiVOp, DpjVOq
= LCM
DpiVOp, DpjVOq
23:
S5 = Sim
OpiVOp, OpjVOq
= LCM
OpiVOp, OpjVOq
24:
S6 = Sim
DomiVOp, DomjVOq
= LCM
DomiVOp, DomjVOq
25:
S7 = Sim
RaniVOp, RanjVOq
= LCM
RaniVOp, RanjVOq
26:
end for
27:
end for
28:
Sim
PropVOp, PropVOq
= ∑n
q=1 ∑m
p=1
S4+ S5+ S6+ S7
(Np+Nd+Nr) / 2. 29:
return
30:
Sim
VOp, VOq
= ∑n
q=1 ∑m
p=1
Sim(ClassVOp , ClassVOq)+ Sim(PropVOp , PropVOq)
(Nc+Np+Nd+Nr)/2
. 31:
end for
4.3. Logistic Model to Support Service Modularity Algorithm 1. •
PropertiesVOB are the properties of VOB. Similarity Matching
Input: Ontologies OA and OB, threshold;
Output: Similarity of VOs;
1:
for each VO in OA and OB
2:
( VOp, VOq) = (VOp ∈OA), and
VOq ∈OB
3:
Nc = Total number of classes of VOp and VOq
4:
Np = Number of properties of VOp and VOq
5:
Nd = Number of domains of VOp and VOq
6:
Nr = Number of ranges of VOp and VOq
7:
(SupiVOp, SupjVOq) = (SupiVOp ∈VOp), and (SupjVOq ∈VOq)
8:
(SubiVOp, SubjVOq) = (SubiVOp ∈VOp), and (SubjVOq ∈VOq)
9:
(AssoiVOp, AssojVOq) = (AssoiVOp ∈VOp), and (AssojVOq ∈VOq)
10:
for each SupiVOp, SubiVOp, AssoiVOp in VOp
11:
for each SupjVOq, SubjVOq, AssojVOq in VOq
12:
// compute similarity using technique: LCM
13:
S1 = Sim
SupiVOp, SupjVOq
= LCM
SupiVOp, SupjVOq
14:
S2 = Sim
SubiVOp, SubjVOq
= LCM
SubiVOp, SubjVOq
15:
S3 = Sim
AssoiVOp, AssojVOq
= LCM
AssoiVOp, AssojVOq
16:
end for Algorithm 1. Similarity Matching Algorithm 1. Similarity Matching The sequence of operations starting from a user service request has been numbered. Initially, the user
request service is taken to the service request analysis component to analyze the requested service. Context parameters from the knowledge database and service policies are also analyzed. Service
request analysis provides the current context and request parameters to the service request execution
component. Service request execution looks up service templates based on the parameters and forwards
them along with the reference of service-relevant CVOs to the CVO management unit. Cognitive
functionalities at the CVO level allow for the reuse of available CVOs. Functional components at the
CVO sub-level search for similar types of CVOs in the CVO registry; if similar CVOs are matched, Sensors 2017, 17, 2180
request execution
parameters and f 13 of 21
on the
e CVO then they are instantiated directly to be executed; otherwise, the context and request parameters are
forwarded to CVO creation to create a new CVO from scratch. The created CVO is registered in the
CVO registry for future reuse. To execute a service, CVO-relevant VOs are also searched, matched,
and reused. Functional components at the CVO sub-level search for similar types of CVOs in the CVO registry; if
similar CVOs are matched, then they are instantiated directly to be executed; otherwise, the context
and request parameters are forwarded to CVO creation to create a new CVO from scratch. The created
CVO is registered in the CVO registry for future reuse. To execute a service, CVO-relevant VOs are
l
h d
h d
d
d The recommendation ITU-T Y.4452 in Reference [2] provided a brief description of WoO
functionalities. Based on the functionalities provided in the recommendation ITU-T Y.4452 and
the functionalities that were proposed and implemented in References [3,4,17,18,23,32], the logistic
model was proposed in the WoO platform, which includes several functionalities, in particular a CVO
similarity matching and a VO discovery function to support service modularity. The logistic model is
shown in Figure 7. also searched, matched, and reused. The recommendation ITU-T Y.4452 in Reference [2] provided a brief description of WoO
functionalities. Based on the functionalities provided in the recommendation ITU-T Y.4452 and the
functionalities that were proposed and implemented in References [3,4,17,18,23,32], the logistic
model was proposed in the WoO platform, which includes several functionalities, in particular a CVO
similarity matching and a VO discovery function to support service modularity. Algorithm 1. Similarity Matching The logistic model
i
h
i
Fi
7 own in Figure 7. Figure 7. Logistic model to support service modularity in the Web of Objects (WoO) platform. Figure 7. Logistic model to support service modularity in the Web of Objects (WoO) platform. Figure 7. Logistic model to support service modularity in the Web of Objects (WoO) platform. Figure 7. Logistic model to support service modularity in the Web of Objects (WoO) platform. The CVO similarity matching functional component includes approximation and reuse functions
that search instantiated CVOs in the CVO registry that can provide similar functions for the requested
CVO. This function enables the reuse of matching CVOs, which minimizes service computation time
and saves resources. This function evaluates available CVOs in the CVO registry. If a similar CVO is not
matched in the CVO registry, then the CVO similarity matching component forwards the context and
request parameters to the CVO creation component to create a CVO from a CVO template. To create
a CVO from scratch, this function evaluates and selects the appropriate VOs to create an optimal
CVO. The VO Discovery component discovers and looks up VOs in the VO registry and provides
information of the requested VOs to the CVO Create component. q
p
In general, initially, domain experts design a service template and define its parameters, but later
the system dynamically modifies parameters based on knowledge. Knowledge is analyzed at the
service level, but the process to create knowledge takes place at all levels in the WoO. For reusability, prior knowledge regarding VOs and CVOs in the WoO platform is necessary. The main outcome of WoO is knowledge-based IoT service provisioning in heterogeneous
ontologies. For knowledge-based intelligent service provisioning in the ubiquitous IoT environment,
context-awareness of real-world objects has an important role. In knowledge creation [32], context-awareness deals with linking changes in the ubiquitous
IoT environment. Context-awareness enables the autonomous behavior of a system with minimal 14 of 21 Sensors 2017, 17, 2180 human involvement. Due to continuous changes of real-world objects in the IoT environment,
real-world information should be processed for context-awareness. Context refers to a concept that
characterizes and identifies associated entities, including users, location, time, objects, and information
in a system. For context-aware services, applications are adapted to an environment by exchanging
context information. Context-awareness enables an application to deduce context information in order
to gain knowledge of users, location, time, services, etc. Algorithm 1. Similarity Matching Context-awareness is a core component of a knowledge-based system. Due to user mobility,
service execution, etc., the context of real-world objects might be changed. Thus, knowledge needs
to be updated. In WoO, for knowledge-based service provisioning, semantic ontology is used to
accumulate, represent, and store knowledge. Hence, semantic ontology represents information in a
structured manner, such as hierarchies of classes and sub-classes, where RDF is used to describe VO
and CVO and is stored in Web Ontology Language (OWL) format. Raw data collected through a VO is
stored in a database that is converted into meaningful information. Connecting and exchanging this
information semantically forms knowledge. In WoO, knowledge is analyzed at the service level to select an appropriate service template that
refers service-relevant CVOs and VOs. The service manager sends the request and situation parameters
to the CVO manager to instantiate or create the CVO. The CVO manager searches the requested CVO
in the CVO registry to reuse the CVO. If the requested CVO is available, then the CVO is directly
instantiated, otherwise the CVO is created. To reuse a CVO, an approximation and reuse function is
used to search for similar CVOs, which has been discussed earlier. Service-relevant VOs, constraints,
threshold values, and policies are inferred to classify a CVO. If successfully classified, then predefined
actions are triggered (e.g., sending a message to a smartphone). The sequence of instructions is shown
in Figure 8. Sensors 2017, 17, 2180
14 of 20 Figure 8. Sequence of instructions in the knowledge base for reusing a CVO in the WoO platform. Figure 8. Sequence of instructions in the knowledge base for reusing a CVO in the WoO platform. Figure 8. Sequence of instructions in the knowledge base for reusing a CVO in the WoO platform. Figure 8. Sequence of instructions in the knowledge base for reusing a CVO in the WoO platform. 5. Prototype Implementation for a Use Case in Smart Space
5. Prototype Implementation for a Use Case in Smart Space 5. Prototype Implementation for a Use Case in Smart Space
5. Prototype Implementation for a Use Case in Smart Space Smart space in the Web Objects-enabled IoT environment enables the creation of efficient space
for various applications to create and offer intelligent services for users based on user identity,
location, and activity. Personalized smart space in a web environment is required for seamless IoT
service provisioning. Smart space in the Web Objects-enabled IoT environment includes different
li
ti
d
i
d ll
i t
l ti
d i t
bilit
th
h
t d
Smart space in the Web Objects-enabled IoT environment enables the creation of efficient space
for various applications to create and offer intelligent services for users based on user identity, location,
and activity. Personalized smart space in a web environment is required for seamless IoT service
provisioning. Smart space in the Web Objects-enabled IoT environment includes different application 15 of 21 Sensors 2017, 17, 2180 domains and allows interrelation and interoperability among them, where a user-requested service
might be provided by a domain that does not own, but reuses, required VOs and CVOs from other
domains. Based on the service request, a query identifies the smart space service features in the home,
office, crowded spaces, hospitals, hotels, etc. 5.1. Use Case Scenario A person has been visiting another city to attend a conference. During his stay in his hotel room,
he expects similar comfort as is in his own home, such as suitable temperature, humidity, lighting,
etc. As a user, he does not care about how the service will be created and offered, but expects that the
service will be ready for him. He is satisfied in the sense that the hotel has maintained necessary safety
measures to automatically identify emergency situations, such as fires, and to act on them. 5.3. Prototype Implementation
5.3. Prototype Implementation Based on the use case scenario, a prototype has been implemented. Implementation architecture
includes an application server (AS), gateway, VO and CVO database, and a database to store data. Sensors, such as temperature, humidity, light, accelerometers, CO2, etc., and actuators, such as
HVAC, LEDs, etc. have been connected through a gateway. All communications have been
conducted through AS using RESTful manner. The AS runs the inference engine to deduce decisions
based on available VO and CVO, threshold values, and currently-collected data, and instructs
Based on the use case scenario, a prototype has been implemented. Implementation architecture
includes an application server (AS), gateway, VO and CVO database, and a database to store data. Sensors, such as temperature, humidity, light, accelerometers, CO2, etc., and actuators, such as HVAC,
LEDs, etc. have been connected through a gateway. All communications have been conducted through
AS using RESTful manner. The AS runs the inference engine to deduce decisions based on available
VO and CVO, threshold values, and currently-collected data, and instructs actuators to act. y
actuators to act. In the implementation, TDB database has been used to store created VOs and CVOs. Due to its
lightweight and high performance, TDB has been used to store and query RDF. To enable semantic
In the implementation, TDB database has been used to store created VOs and CVOs. Due to its
lightweight and high performance, TDB has been used to store and query RDF. To enable semantic
web technology, the Apache Jena library has been used. The user can request service through a web
interface using HTML5 and JavaScript. MongoDB has been used to store data. HTTP REST has been
used for all sorts of communications. For interactive communications, such as sending and receiving
data, WebSockets has been used. A conceptual semantic ontology model on the use case scenario has been designed using an
ontology editing tool called Protégé [37]. Required VOs and CVOs have been defined in RDF/
Extensible Markup Language (XML) format. The designed model has been represented in OWL and
stored in an ontology database. CVOs have been created by combining multiple relevant VOs and service rules. The ontology
development tool, Protégé, allows an easy way to create a CVO by using its class expression editor. Sensor values have been set as a threshold during CVO creation, which has been inferred to make
a decision. 5.2. Proof of Concept 16 of 21
ng the 16 of 21
ng the Sensors 2017, 17, 2180
hotel room as
userComfortMoni Figure 9. Similar types of VOs and CVOs in ontology models of use case scenarios. Figure 9. Similar types of VOs and CVOs in ontology models of use case scenarios. Figure 9. Similar types of VOs and CVOs in ontology models of use case scenarios. Figure 9. Similar types of VOs and CVOs in ontology models of use case scenarios. 5.2. Proof of Concept From the use case scenario, two application domains, including the smart home and smart hotel,
have been identified. The smart home provides a user-preferred room condition service that depends
on the user’s health status and surrounding environment status. The smart hotel domain provides
emergency services, such as identifying emergency situations and acting to prevent such situations. g
y
y
g
g
y
g
p
The smart hotel also provides guest health monitoring and environment monitoring services. In a smart home domain, userHealthMonitoring and environmentMonitoring CVOs have
been instantiated to monitor the home user health status and home environment condition,
respectively. Since the user-preferred room condition depends on the user’s health status and the
surrounding environment, the userComfortMonitoring CVO has been instantiated, which combines
userHealthMonitoring and environmentMonitoring CVOs. In the smart hotel domain, the emergencySituation CVO has been instantiated to identify
an emergency situation. guestHealthMonitoring and environmentMonitoring CVOs have been
instantiated to monitor the guest’s health status and environment condition, respectively. As stated earlier in the use case scenario, the guest expects similar comfort as is in his own home. For comfortable hotel room condition service, the required userComfortMonitoring CVO in the smart
hotel domain is not available or defined. Since two other similar types of CVOs (guestHealthMonitoring
and envStatusMonitoring CVO) are available in the smart hotel domain, userComfortMonitoring CVO
from the smart home domain can be reused to create and offer service. Required VOs to represent relevant sensors and actuators in the smart home and smart hotel
domains have been instantiated. Sensors include indoor and outdoor temperature sensors, a humidity
sensor, a pulse sensor, a wearable sensor, a CO2 sensor, a light sensor, an accelerometer sensor,
a position sensor, a body temperature sensor, a luminance sensor, a smartphone, etc. Actuators include
light-emitting diode (LED), heating, ventilation, and air conditioning (HVAC), digital signage, alarms,
fans, etc. Figure 9 shows two ontology models on two use case scenarios. Ontology models in the
figure include VOs and CVOs, where the few of them that are similar have been marked using a red
arrow. The figure shows that since four VOs and two CVOs in the smart hotel are found similar to
those in the smart home domain, the guest request for similar service in the hotel room as provided
in the smart home be created and offered by reusing the userComfortMonitoring CVO in the smart
home domain. 5.4. Results and Discussion
5.4. Results and Discussion Specified features of the proposed logistic model have been verified and the performance of the
implemented prototype has been evaluated. In the experiments, time and bytes that are required for
executing components of the prototype have been considered. Experiments have been conducted
against the number of VOs in the ontology. All the experiments have been repeated a number of times
for the accuracy of the results, hence, mean values for each of the experiments have been used to
generate the results. Specified features of the proposed logistic model have been verified and the performance of the
implemented prototype has been evaluated. In the experiments, time and bytes that are required for
executing components of the prototype have been considered. Experiments have been conducted
against the number of VOs in the ontology. All the experiments have been repeated a number of
times for the accuracy of the results, hence, mean values for each of the experiments have been used
to generate the results. In the first experiment, the execution time for the CVO similarity matching component has
been observed against the increased number of VOs. Results represented in Figure 10a show that
the execution time for the CVO similarity matching remains steady, although the number of VOs
increased. The results imply that the number of available VOs does not have any impact on this
functional component. o ge e a e
e e u
In the first experiment, the execution time for the CVO similarity matching component has been
observed against the increased number of VOs. Results represented in Figure 10a show that the
execution time for the CVO similarity matching remains steady, although the number of VOs
increased. The results imply that the number of available VOs does not have any impact on this
functional component. (a)
(b)
Figure 10. Observation of time required for executing (a) CVO similarity matching, and (b) VO
discovery and search processes in terms of the increased number of VOs. Figure 10. Observation of time required for executing (a) CVO similarity matching, and (b) VO
discovery and search processes in terms of the increased number of VOs. (b) (a) (b) (a) Figure 10. Observation of time required for executing (a) CVO similarity matching, and (b) VO
discovery and search processes in terms of the increased number of VOs. Figure 10. 5.3. Prototype Implementation
5.3. Prototype Implementation In semantic ontology, service relevant VOs are interrelated, thus, necessary information can be
extracted using a SPARQL Protocol and RDF Query Language (SPARQL) query. SPARQL query
language has been used for querying the database in RDF. For querying the RDF, besides the
prefix of the active ontology URI, universally-fixed prefixes, including rdf, owl, rdfs, and xsd, have
been assigned. Data collected through concerned VOs has been inferred to make an intelligent decision. The prototype was tested by running an inference engine through the AS using Hermit 1.3.7, which 17 of 21
on. The Sensors 2017, 17, 2180
assigned. Data collected generated output values for CVOs. The inference engine ran on collected data, VOs, and rules against
threshold values. p
yp
y
g
g
g
g
generated output values for CVOs. The inference engine ran on collected data, VOs, and rules against
threshold values. generated output values for CVOs. The inference engine ran on collected data, VOs, and rules against
threshold values. p
yp
y
g
g
g
g
generated output values for CVOs. The inference engine ran on collected data, VOs, and rules against
threshold values. 5.4. Results and Discussion
5.4. Results and Discussion Observation of time required for executing (a) CVO similarity matching, and (b) VO
discovery and search processes in terms of the increased number of VOs. The second experiments were conducted to observe the required time that is required to discover
requested VOs and acquire their information from the VO registry with respect to the increased
number of available VOs. The results that are shown in Figure 10b represent the time of the process
that is required to discover and look up available VOs. The required time increases with respect
to the increased number of available VOs, which is due to the creation time of the CVO, because a
CVO is created by combining relevant multiple VOs and their functionalities. The figure shows that
the average required time for the 100, 200, 300, and 500 VOs is 2.9, 1.7, 1.3, and 1.07 milliseconds,
respectively. It is apparent that the discovery and search of the first 100 VOs takes the most of the total
discovery and search time. The VO discovery and search time increases logarithmically rather than
linearly for the later ones, due to the reuse of available VOs. Comparisons between CVO creation and instantiation process time with respect to the increased
number of VOs was conducted in the third set of experiments. The results depicted in Figure 11a
illustrate that the time required for CVO instantiation is lower than that for CVO creation. As discussed
earlier, CVO instantiation only requires matching similar CVOs in the CVO registry, which depends
on the similarity matching time, and does not require the discovery and search of relevant VOs and
their information. On the other hand, CVO creation from scratch requires the discovery and search
of requested VOs in the VO registry, and their composition requires additional time. Following the 18 of 21
elevant
ery and Sensors 2017, 17, 2180
depends on the sim
VO
d h i i f convention of Figure 10b, a similar trend can be visualized for a CVO creation while taking into account
the VO discovery. search of requested VOs in the VO registry, and their composition requires additional time. Following
the convention of Figure 10b, a similar trend can be visualized for a CVO creation while taking into
account the VO discovery. (a)
(b)
Figure 11. Comparison between (a) creation and instantiation process time, and (b) CVO creation and
similarity matching components in terms of the required data. 5.4. Results and Discussion
5.4. Results and Discussion Figure 11. Comparison between (a) creation and instantiation process time, and (b) CVO creation and
similarity matching components in terms of the required data. (a) (b) (b) (a) Figure 11. Comparison between (a) creation and instantiation process time, and (b) CVO creation and
similarity matching components in terms of the required data. Figure 11. Comparison between (a) creation and instantiation process time, and (b) CVO creation and
similarity matching components in terms of the required data. The comparison between CVO similarity matching and the CVO creation component in terms
of received bytes was conducted and is shown in Figure 11b. The amount of received bytes represents
the acquired information from the VO registry. As usual, the amount of received bytes increases due
to the increased number of VOs, but the amount from both of these two components is similar
because both of them acquire VO information for the requested VOs from the VO registry. The experiments were conducted to validate the proposed logistic model in the WoO platform
The comparison between CVO similarity matching and the CVO creation component in terms of
received bytes was conducted and is shown in Figure 11b. The amount of received bytes represents
the acquired information from the VO registry. As usual, the amount of received bytes increases due
to the increased number of VOs, but the amount from both of these two components is similar because
both of them acquire VO information for the requested VOs from the VO registry. The experiments were conducted to validate the proposed logistic model in the WoO platform. The experiments show that the reusability of available CVOs and VOs reduces the creation and
instantiation time and optimizes resources. Similar types of experiments were previously conducted
in Reference [25]. Comparing to the research works performed in Reference [25], this article used a
modular approach for the implementation of a CVO. Since a CVO is the combination of multiple
CVOs and VOs, a service task was divided into multiple CVOs to support service modularity as a
plug and play concept. To realize this service modularity, we implemented three different CVOs in
the smart hotel ontology that could perform three different tasks and could be reused in other
ontologies as well. Comparing to the experiments performed in Reference [25], our experiments
performed better, as less execution time and resources were used for a greater number of available VOs. 5.4. Results and Discussion
5.4. Results and Discussion The experiments were conducted to validate the proposed logistic model in the WoO platform. The experiments show that the reusability of available CVOs and VOs reduces the creation and
instantiation time and optimizes resources. Similar types of experiments were previously conducted
in Reference [25]. Comparing to the research works performed in Reference [25], this article used a
modular approach for the implementation of a CVO. Since a CVO is the combination of multiple CVOs
and VOs, a service task was divided into multiple CVOs to support service modularity as a plug and
play concept. To realize this service modularity, we implemented three different CVOs in the smart
hotel ontology that could perform three different tasks and could be reused in other ontologies as well. Comparing to the experiments performed in Reference [25], our experiments performed better, as less
execution time and resources were used for a greater number of available VOs. 6. Conclusions Due to the immense number of virtual objects and the insufficient amount of available
data, intelligent service provisioning in the IoT environment faces a lack of common standards. The Web Objects-based IoT environment addresses these lacking standards and facilitates application
deployment and operations by virtualizing real-world objects. WoO allows the use of semantic
ontology to virtualize real-world objects, where multiple VOs are combined for service provisioning. In the ubiquitous IoT environment, the number of virtual objects is increasing exponentially. Additionally, if a new virtual object needs to be created for each new service request, then they will
burden the network and decrease system performance. WoO applies the principle of service modularity
in terms of VO and CVO. Service modularity is a key concept in a service-oriented architecture that
allows for the reuse of existing VOs and CVOs in the WoO platform. If a required VO and CVO
are not available in a particular domain, then similar types of functionalities could be supported by
similar types that are available in other domains. The reuse of existing VOs and CVOs allows for the
reuse of similar types of functionalities, avoids additional and duplicate VOs and CVOs under similar Due to the immense number of virtual objects and the insufficient amount of available
data, intelligent service provisioning in the IoT environment faces a lack of common standards. The Web Objects-based IoT environment addresses these lacking standards and facilitates application
deployment and operations by virtualizing real-world objects. WoO allows the use of semantic
ontology to virtualize real-world objects, where multiple VOs are combined for service provisioning. In the ubiquitous IoT environment, the number of virtual objects is increasing exponentially. Additionally, if a new virtual object needs to be created for each new service request, then they will
burden the network and decrease system performance. WoO applies the principle of service modularity
in terms of VO and CVO. Service modularity is a key concept in a service-oriented architecture that
allows for the reuse of existing VOs and CVOs in the WoO platform. If a required VO and CVO
are not available in a particular domain, then similar types of functionalities could be supported by
similar types that are available in other domains. 6. Conclusions The reuse of existing VOs and CVOs allows for the
reuse of similar types of functionalities, avoids additional and duplicate VOs and CVOs under similar Sensors 2017, 17, 2180 19 of 21 circumstances, reduces the time it takes to search and instantiate directly from their repositories, and
increases scalability and interoperability in heterogeneous ontologies. circumstances, reduces the time it takes to search and instantiate directly from their repositories, and
increases scalability and interoperability in heterogeneous ontologies. This article proposes a logistic model that supports service modularity for the reuse of available
CVOs and VOs in the Web of Objects platform. To support the reuse of CVOs and VOs, necessary
functional components and methodologies to search and match CVO and VO discovery processes
have been discussed. To realize the service modularity, a use case scenario has been studied and a
prototype on the use case has been implemented. p
yp
p
To validate the proposed logistic model, experiments on the implemented functionalities have
been performed. The experiments show that the reusability of available CVOs and VOs reduces
creation and instantiation time and optimizes resources. Currently, we have been working on the
implementation of identified functionalities. In our future work, we wish to evaluate performance in
terms of capacity and scalability as a whole and provide a comprehensive analysis of this model. Acknowledgments: This work was supported by Institute for Information and Communications Technology
Promotion (IITP) grant funded by the Korea government (MSIP) (no. B0113-16-0002, Development of Self-Learning
Smart Ageing Service Based on Web Objects). Author Contributions: The research work was conducted in collaboration with all authors. Muhammad Golam
Kibria and Ilyoung Chong defined the research theme and designed the logistic model on service modularity. Muhammad Golam Kibria, Sajjad Ali, Muhammad Aslam Jarwar, and Sunil Kumar implemented the prototype. Muhammad Golam Kibria wrote the article. Muhammad Golam Kibria and Ilyoung Chong discussed and
analyzed the prototype. All the authors have contributed to, read, and approved the manuscript. Conflicts of Interest: The authors declare no conflict of interest. flicts of Interest: The authors declare no conflict of interest. References 1. Web of Objects. ITEA3 Projects, D2.1: State-of-the-Art Relevant to the Web of Objects. Available online:
https://itea3.org/project/web-of-objects.html (accessed on 2 March 2017). 1. Web of Objects. ITEA3 Projects, D2.1: State-of-the-Art Relevant to the Web of Objects. Available online:
https://itea3.org/project/web-of-objects.html (accessed on 2 March 2017). 2. Y.4452: Functional Framework of Web of Objects—ITU, September 2016. Available online: http://w
int/rec/T-REC-Y.4452 (accessed on 3 August 2017). 2. Y.4452: Functional Framework of Web of Objects—ITU, September 2016. Available online: http://www.itu. int/rec/T-REC-Y.4452 (accessed on 3 August 2017). 3. Shamszaman, Z.U.; Ara, S.S.; Chong, I.; Jeong, Y.K. Web-of-Objects (WoO)-based context aware emergency
fire management systems for the Internet of Things. Sensors 2014, 14, 2944–2966. [CrossRef] [PubMed] . Shamszaman, Z.U.; Ara, S.S.; Chong, I.; Jeong, Y.K. Web-of-Objects (WoO)-based context aware emerge
fire management systems for the Internet of Things. Sensors 2014, 14, 2944–2966. [CrossRef] [PubMed] 4. Ara, S.S.; Shamszaman, Z.U.; Chong, I. Web-of-objects based user-centric semantic service composition
methodology in the internet of things. Int. J. Distrib. Sens. Netw. 2014, 10, 482873. [CrossRef] 4. Ara, S.S.; Shamszaman, Z.U.; Chong, I. Web-of-objects based user-centric semantic service comp
methodology in the internet of things. Int. J. Distrib. Sens. Netw. 2014, 10, 482873. [CrossRef] 5. Sundmaeker, H.; Guillemin, P.; Friess, P.; Woelfflé, S. Vision and Challenges for Realising the Internet of Things;
Publications Office of the European Union: Luxembourg, 2010; pp. 34–36. 5. Sundmaeker, H.; Guillemin, P.; Friess, P.; Woelfflé, S. Vision and Challenges for Realising the Internet of Things;
Publications Office of the European Union: Luxembourg, 2010; pp. 34–36. 6. Gubbi, J.; Buyya, R.; Marusic, S.; Palaniswami, M. Internet of Things (IoT): A vision, architectural elements,
and future directions. Future Gener. Comput. Syst. 2013, 29, 1645–1660. [CrossRef] 6. Gubbi, J.; Buyya, R.; Marusic, S.; Palaniswami, M. Internet of Things (IoT): A vision, architectural elements,
and future directions. Future Gener. Comput. Syst. 2013, 29, 1645–1660. [CrossRef] 7. Atzori, L.; Iera, A.; Morabito, G. The internet of things: A survey. Comput. Netw. 2010, 54, 2787–2805. [CrossRef] 8. Nitti, M.; Pilloni, V.; Colistra, G.; Atzori, L. The virtual object as a major element of the internet of
A Survey. IEEE Commun. Surv. Tutor. 2016, 18, 1228–1240. [CrossRef] . Kortuem, G.; Kawsar, F.; Sundramoorthy, V.; Fitton, D. Smart objects as building blocks for the interne
things. IEEE Internet Comput. 2010, 14, 44–51. [CrossRef] 10. Uckelmann, D.; Harrison, M.; Michahelles, F. An architectural approach towards the future internet of things. References In Architecting the Internet of Things; Springer: Berlin/Heidelberg, Germany, 2011. 11. Pramudianto, F.; Kamienski, C.A.; Souto, E.; Borelli, F.; Gomes, L.L.; Sadok, D.; Jarke, M. IoT link: An internet
of things prototyping toolkit. In Proceedings of the 2014 IEEE 11th International Conference on Ubiquitous
Intelligence and Computing and 2014 IEEE 11th International Conference on Autonomic and Trusted
Computing and 2014 IEEE 14th International Conference on Scalable Computing and Communications and
Its Associated Workshops, Bali, Indonesia, 9–12 December 2014; pp. 1–9. 12. Kibria, M.G.; Chong, I. Context-awareness provisioning to support user-centric intelligence in a
Web-of-Objects platform. In Proceedings of the International Conference of ICT Convergence (ICTC 2015),
Jeju, Korea, 2015; pp. 388–392. 20 of 21 20 of 21 Sensors 2017, 17, 2180 13. Shamszaman, Z.U.; Lee, S.; Chong, I. WoO based user centric Energy Management System in the internet
of things. In Proceedings of the International Conference on Information Networking (ICOIN), Phuket,
Thailand, 10–12 February 2014; pp. 475–480. 14. Fattah, S.M.M.; Kibria, M.G.; Jeong, K.; Chong, I. Knowledge driven architectural model to support smart
emergency service in web of objects based iot Environment. J. Korean Inst. Commun. Inf. Sci. 2015, 40,
408–418. [CrossRef] 15. Kibria, M.G.; Chong, I. A WoO based knowledge driven approach for smart home energy efficiency. In Proceedings of the IEEE International Conference on ICT Convergence (ICTC 2014), Busan, Korea,
22–24 October 2014; pp. 45–50. 16. Kibria, M.G.; Jeong, K.; Fattah, S.M.M.; Chong, I. WoO based energy efficient for smart shopping mall. In Proceedings of the IEEE International Conference on ICT Convergence (ICTC 2014), Busan, Korea,
22–24 October 2014; pp. 1001–1002. 17. Kibria, M.G.; Chong, I. Knowledge based open IoT service provisioning through cooperation between
physical web and WoO. In Proceedings of the Seventh International Conference on Ubiquitous and Future
Networks (ICUFN 2015), Sapporo, Japan, 7–10 July 2015; pp. 395–400. 18. Kibria, M.G.; Chong, I. Knowledge-based open Internet of Things service provisioning architecture on
beacon-enabled Web of Objects. Int. J. Distrib. Sens. Netw. 2016, 12. [CrossRef] 19. Kim, Y.; Jeon, Y.; Chong, I. Device objectification and orchestration mechanism for IoT intelligent service. J. Korean Inst. Commun. Inf. Sci. 2013, 38, 19–32. [CrossRef] 20. Kim, Y.; Lee, S.; Chong, I. Orchestration in distributed web-of-objects for creation of user-centered iot service
capability. Wirel. Pers. Commun. 2014, 78, 1965–1980. [CrossRef] 21. Do-it-Yourself Smart Experiences (DiY Smart Experiences). D3.1: Service Ontologies, ITE2 Project 08005. Available online: https://itea3.org/project/diy-smart-experiences.html (accessed on 15 April 2017). References 22. Wang, X.H.; Zhang, D.Q.; Gu, T.; Pung, H.K. Ontology based context modeling and reasoning using OWL. In Proceedings of the Second IEEE Annual Conference on Pervasive Computing and Communications
Workshops (PERCOMW’04), Orlando, FL, USA, 14–17 March 2004; pp. 18–22. In Proceedings of the Second IEEE Annual Conference on Pervasive Computing and Communications
Workshops (PERCOMW’04), Orlando, FL, USA, 14–17 March 2004; pp. 18–22. 23. iCore, Empowering IoT through Cognitive Technologies. Available online: http://www.iot-icore.eu/public-
deliverables (accessed on 20 April 2017). 24. Kelaidonis, D.; Somov, A.; Foteinos, V.; Poulios, G.; Stavroulaki, V.; Vlacheas, P.; Demestichas, P.; Baranov, A.;
Biswas, A.R.; Giaffreda, R. Virtualization and cognitive management of real world objects in the internet of
things. In Proceedings of the IEEE International Conference on Green Computing and Communications
(GreenCom), Besancon, France, 20–23 November 2012; pp. 187–194. 25. Foteinos, V.; Kelaidonis, D.; Poulios, G.; Vlacheas, P.; Stavroulaki, V.; Demestichas, P. Cognitive management
for the internet of things: A framework for enabling autonomous applications. IEEE Veh. Technol. Mag. 2013,
8, 90–99. [CrossRef] 26. Shvaiko, P.; Euzenat, J. A survey of schema-based matching approaches. J. Data Semant. 2005, 146–171. 28. Leacock, C.; Chodorow, M. Combining local context and WordNet similarity for word sense identification. In WordNet: An Electronic Lexical Database; Fellbaum, C., Ed.; MIT Press: Cambridge, MA, USA, 1998;
pp. 265–283. 9. Jurisica, I.; Mylopoulos, J.; Yu, E. Ontologies for knowledge management: An information syst
perspective. Knowl. Inf. Syst. 2004, 6, 380–401. [CrossRef] 30. Li, H.; Li, W.; Cai, Q.; Liu, H. A framework of ontology-based Knowledge Management system. In Proceedings of the 2nd IEEE International Conference on Computer Science and Information Technology
(ICCSIT), Beijing, China, 8–11 August 2009; pp. 374–377. 31. Staab, S.; Studer, R.; Schnurr, H.P.; Sure, Y. Knowledge processes and ontologies. IEEE Intell. Syst. 2001, 16,
26–34. [CrossRef] 32. Kibria, M.G.; Fattah, S.M.M.; Jeong, K.; Chong, I.; Jeong, Y.K. A User-Centric Knowledge Creation Model in a
Web of Objects Enabled Internet of Things Environment. Sensors 2015, 15, 24054–24086. [CrossRef] [PubMed]
33
BUTLER Project Available online: http://www iot-butler eu (accessed on 15 April 2017) 34. Liu, Y.; Seet, B.C.; Anbuky, A.A. An ontology-based context model for wireless sensor network (WSN)
management in the Internet of Things. J. Sens. Actuator Netw. 2015, 2, 653–674. [CrossRef] 21 of 21 Sensors 2017, 17, 2180 21 of 21 35. Abowd, G.D.; Dey, A.K.; Brown, P.J.; Davies, N.; Smith, M.; Steggles, P. References Towards a better understanding
of context and context-awareness. In Handheld and Ubiquitous Computing; Springer: Berlin, Germany, 2001;
Volume 1707, pp. 304–307. 35. Abowd, G.D.; Dey, A.K.; Brown, P.J.; Davies, N.; Smith, M.; Steggles, P. Towards a better understanding
of context and context-awareness. In Handheld and Ubiquitous Computing; Springer: Berlin, Germany, 2001;
Volume 1707, pp. 304–307. 36. Quinn, A.; Stranieri, A.; Yearwood, J. Classification for accuracy and insight: A weighted sum approach. In Proceedings of the Sixth Australasian Data Mining Conference (AusDM 2007), Gold Coast, Australia,
3–4 December 2007; pp. 203–207. 37. Horridge, M. A Practical Guide to Building OWL Ontologies Using Protege 4 and CO-ODE Tools, Edition 1.3;
The University of Manchester: Manchester, UK, 2004. © 2017 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
|
https://openalex.org/W2335398685
|
https://strathprints.strath.ac.uk/74421/1/Bonillo_etal_CM2016_Tuning_photophysical_properties_conjugated_microporous_polymers_comonomer_doping_strategies.pdf
|
English
| null |
Tuning Photophysical Properties in Conjugated Microporous Polymers by Comonomer Doping Strategies
|
Chemistry of materials
| 2,016
|
cc-by
| 12,287
|
Scheme 1. Synthesis of CP-CMP0, 3, 4, 5 Scheme 1. Synthesis of CP-CMP0, 3, 4, 5 © 2016 American Chemical Society pubs.acs.org/cm This is an open access article published under a Creative Commons Attribution (CC-BY)
License, which permits unrestricted use, distribution and reproduction in any medium,
provided the author and source are cited. This is an open access article published under a Creative Commons Attribution (CC-BY)
License, which permits unrestricted use, distribution and reproduction in any medium,
provided the author and source are cited. This is an open access article published under a Creative Commons Attribution (CC-BY)
License, which permits unrestricted use, distribution and reproduction in any medium,
provided the author and source are cited. This is an open access article published under a Creative Commons Attribution (CC-BY)
License, which permits unrestricted use, distribution and reproduction in any medium,
provided the author and source are cited. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Tuning Photophysical Properties in Conjugated Microporous
Polymers by Comonomer Doping Strategies
Baltasar Bonillo, Reiner Sebastian Sprick, and Andrew I. Cooper* Department of Chemistry and Centre for Materials Discovery, University of Liverpool, Liverpool L69 *
S Supporting Information ABSTRACT: The photophysical properties of conjugated
microporous polymers (CMPs) are tuned using an acceptor
doping strategy. This allows the fluorescence of a native
polyphenylene network to be controlled by introducing low
loadings (0.1−5 mol %) of an acceptor comonomer, such as
benzothiadiazole (BT), bisthiophenebenzothiadiazole (TBT)
and perylenediimide (PDI). Fluorescence quantum yields are
around 10 times higher than analogous nonporous polymers
because of avoidance of chain aggregation in the porous
network. White emitting CMPs with high quantum yields are
prepared using this approach. Different domain structures can
be prepared by changing the addition sequence of the
monomers, and this has a strong effect on the fluorescent
properties. These doped porous polymers can also be used as fluorescence sensors for volatile organic compounds (VOCs). ■INTRODUCTION Scheme 1. Synthesis of CP-CMP0, 3, 4, 5 Since the discovery of the first conjugated microporous
polymers (CMPs) in 2007,1 there has been much interest in
the synthesis and possible uses of these materials.2−6 CMPs
have been studied for applications such as CO2 capture7,8 and
gas separation,9,10 which do not take specific advantage of the
conjugation in the networks. The conjugated nature of CMPs
was exploited to produce porous sensors,11,12 supercapaci-
tors13,14 and (photo)-catalysts.15−17 CMPs are differentiated
from most other porous solids because it is possible to tune
their electronic and photophysical properties, for example, by
modifying the optical band gap, much as for linear, nonporous
conjugated polymers.18,19 Previously, we reported the tuning of
photophysical properties in CMPs by statistical copolymeriza-
tion,20 and we extended this subsequently to the control of
optical band gaps in porous organic CMP photocatalysts for
water splitting.21,22 In the latter study, we varied the optical
band gap in the CMPs by making large changes to the
monomer stoichiometry: the ratio of pyrene to phenylene
monomers in the networks was varied from 0:100 to 100:0. Here, we adopt an alternative doping strategy to varying
photophysical properties by using just a small amount of a
comonomer dopant. This method is well-known in nonporous,
linear conjugated polymers,23−25 but has so far not been
demonstrated for CMPs, where the monomer stacking is quite
different as a result of the extensive porosity.20
21 extended conjugation through the network (it comprises linear
polyphenylene (PP) chains, Scheme 1) and its high degree of
microporosity. Native, undoped CP-CMP0 shows a strong blue
fluorescence emission. By contrast, other porous polymers with
extended conjugation as tetraphenylethylene CMPs fluoresce in
the yellow region at around 560 nm, reducing the possible
emission tuning range.27,28 We chose CP-CMP021 as the native polymer for these
doping studies; this is the polyphenylene network that results
from the Suzuki-Miyuara coupling of tetrabromobenzene (1)
and benzene-1,4-diboronic acid (2) (Scheme 1).26 Our
selection of this polymer was based on its high level of Received:
March 24, 2016
Revised:
March 31, 2016
Published: March 31, 2016 © 2016 American Chemical Society 3469 3469 Chemistry of Materials Article Article Table 1. ■INTRODUCTION Acceptor Monomer Feed Ratio, Apparent Brunauer−Emmett−Teller Surface Areas (SABET), Optical Band-Gaps, and
Fluorescence and Emission Amplification of the CP-CMPs
polymer
CP-CMP
acceptor
(mol %)
SABET
(m2 g−1)
optical band
gap (eV)a
λemission (nm)
solid state
λemission (nm) PEG
dispersion
amplification in solid
state IAD/IA
amplification in PEG
dispersion, IAD/IA
quantum
yield (%)b
0
660
2.95
445
436
13.4
3a
BT (0.1)
731
2.59
506
430, 502
0.92
6.42
3b
BT (0.5)
592
2.52
513
510
0.64
2.15
3c
BT (1)
307
2.50
515
512
0.61
3.86
7.1
3d
BT (2)
634
2.48
518
515
0.59
1.98
3e
BT (3)
506
2.42
524
515
0.48
1.15
3f
BT (5)
547
2.41
524
519
0.49
1.05
4a
TBT (0.1)
543
2.07
419, 586
429, 595
0.11
1.81
4b
TBT (0.5)
459
2.04
416, 603
422, 605
0.07
0.84
4c
TBT (1)
544
2.00
415, 611
416, 610
0.06
0.62
1.82
4d
TBT (2)
540
1.98
621
416, 612
0.04
0.40
4e
TBT (3)
287
1.97
626
413, 613
0.03
0.29
4f
TBT (5)
459
1.95
630
415, 621
0.03
0.20
5a
PDI (0.1)
693
1.96
450, 590
440
0.07
5b
PDI (0.5)
650
1.94
424, 618
424
0.042
2.02
5c
PDI (1)
637
1.90
451, 633
421, 613
0.041
1.22
1.29
5d
PDI (2)
656
1.88
641
417, 627
0.037
0.96
5e
PDI (3)
583
1.87
649
408, 630
0.036
0.27
5f
PDI (5)
563
1.85
655
414, 636
0.026
0.49
LP0
2.81
450
453
0.43
LP3
BT (1)
2.38
522
398, 520
0.43
4.37
0.94
LP4
TBT (1)
1.90
448, 624
400, 612
0.14
1.14
0.15
LP5
PDI (1)
1.85
447, 643
400, 638
0.13
0.33
0.56
aCalculated from the onset of the absorption spectrum in solid state. bThe absolute quantum yields were estimated using Wrighton−Ginley−
Morse’s method.30
y Table 1. Acceptor Monomer Feed Ratio, Apparent Brunauer−Emmett−Teller Surface Areas (SABET), Optical Band-Gaps, and
Fluorescence and Emission Amplification of the CP-CMPs Figure 1. (A) Absorption and (B) photoluminescence spectra of CP-CMP0, CP-CMP3a-f, CP-CMP4a-f, and CP-CMP5a-f (from top to bottom) in
the solid state; (C, D) equivalent spectra in PEG dispersion, λexc = 360 nm. Figure 1. (A) Absorption and (B) photoluminescence spectra of CP-CMP0, CP-CMP3a-f, CP-CMP4a-f, and CP-CMP5a-f (from top to bottom) in
the solid state; (C, D) equivalent spectra in PEG dispersion, λexc = 360 nm. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 ■RESULTS AND DISCUSSION Similar trends were found for the
photoluminescence of these BT copolymers; CP-CMP3a-f all
showed a green fluorescence in the solid state centered at 506
nm for CP-CMP3a that was red-shifted to 524 nm for CP-CMP
3f (Figure 2). The fluorescence of these polymers as
dispersions in PEG showed a similar trend (Figure 2, lower). Scheme 2. Synthesis of Linear Control Polymers, LPs Scheme 2. Synthesis of Linear Control Polymers, LPs To illustrate the importance of microporosity in these CP-
CMPs, an analogous set of linear, nonporous polymers were
synthesized using analogous reaction conditions used to
produce the porous CP-CMPs (Scheme 2; LP0, LP3, LP4
and LP5, Table 1). Figure 2. Photographs of CP-CMP0 and CP-CMP3a-f as powders and
as dispersions in PEG under ambient light and under UV light (365
nm). )
LP3, for example, incorporated 1 mol % on the BT
comonomer. Figure 3 (second row) shows the absorbance Figure 3. Solid-state absorption and photoluminescence (λexc = 360
nm) of linear polymers LP0, LP3, LP4, and LP5 (from top to bottom). Figure 2. Photographs of CP-CMP0 and CP-CMP3a-f as powders and
as dispersions in PEG under ambient light and under UV light (365
nm). A slight blueshift in emission was noted with respect to the
solid state (Table 1). Dispersion of CP-CMP3a in PEG also led
to a small shoulder around 430 nm, attributed to the
fluorescence of the polyphenylene framework. The amplifica-
tion of the fluorescence due to the BT unit was calculated, both
in the solid state and in dispersion. This amplification was
calculated as the ratio of the emission of the polymer excited at
the excitation maximum for the polyphenylene network, CP-
CMP0 (around 350 nm, IAD) to the emission for the polymer
excited at the excitation maximum of the BT unit (around 440
nm, IA). In the solid state, the amplification was 0.92 for CP-
CMP3a and decreased in the series with the molar percentage
of the BT. By contrast, the amplification in dispersion for CP-
CMP3a was higher (6.42), and but this value also decreased
with the amount of BT in the polymer. We speculate that this
difference is caused by the aggregation of the network in solid
state, which leads to nonradiative decay of the exciton instead
of the energy transfer to the BT unit in the polymer. ■RESULTS AND DISCUSSION 2.95 eV, as calculated from the onset of the absorption
spectrum in solid state. Using the reaction conditions outlined in the Scheme 1, CP-
CMP0 was obtained as insoluble solid with a Brunauer−
Emmett−Teller surface area, SABET, of around 660 m2 g−1. CP-
CMP0 has a fluorescent emission centered at 445 nm when
measured in the solid state, and at 436 nm when measured as a
dispersion in polyethylene glycol 400 (PEG). This red shift of
the emission from dispersion to solid state might be explained
by the effect of aggregation of the polymer in the solid state
compared with dispersion.29 The optical gap for CP-CMP0 was We first decided to tune the optical gap and photo-
luminescence in CP-CMP0 by adding an acceptor comonomer
into the network. When a small amount (0.1−5 mol %) of
dibromobenzo[c]-1,2,5-thiadiazole 3 (BT) was added to the
reaction mixture, an insoluble green powder was obtained in all
cases (CMP3a-f; Table 1). All of these doped polymers were
found to be porous to nitrogen with surface areas comparable
to the native polymer CP-CMP0 (SABET = 306−731 m2g−1;
Figure S1). Hence, introduction of the BT acceptor 3470 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Article Article acts as an antenna, absorbing light before then transferring
energy to the comonomer domain, where it is release as
fluorescence. Although much higher amplification of emission
has been reported in linear conjugated polymers,35 these values
relate in most cases to soluble polymers, where aggregation can
be avoided. This is impossible with these insoluble networks,
although the inherent porosity avoids interchain aggregation to
some degree, even in the solid state.20 comonomer does not eliminate the microporosity in the
networks, at least up to 5 mol % levels. The absorbance spectra
in the solid state, as measured in reflectance mode, show an
extra peak for these BT-containing networks that is not present
in CP-CMP0. The relative intensity of this secondary peak
increases with the amount of BT introduced in the polymer
(Figure 1A; second row). This second peak produces a redshift
in the absorption onset, driving the calculated optical gap from
2.95 eV for CP-CMP0 to 2.59 eV for CP-CMP3a, and in
gradual increments (CP-CMP3b-e) through to 2.41 eV for CP-
CMP 3f. This shows that it is possible to fine-tune the optical
gap by about 0.50 eV by controlling the feed ratio of the
acceptor comonomer, BT. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials In this regard, the CP-CMPs are
different from the linear polymers; these branched networks
contain a multitude of end groups, which could be available for photoluminescence spectra of CP-CMP4a-f, measured as
powder and excited at 360 nm. In contrast with CP-CMP 3s,
CP-CMP4a-c shows a peak at around 417 nm due to the
emission from the polyphenylene domain. A second peak in the
emission spectra appears at around 600 nm, assigned to the
TBT unit. This peak experiences a red shift, increasing with the
amount of the TBT in the network. The presence of the peak at
around 420 nm in CP-CMP4a-f and the excitation spectra at
the emission of the TBT unit (600 nm) points to energy
transfer being less efficient than in the case of BT. When the
emission of the polymers was recorded for dispersions in PEG,
luminescence from pale pink to deep red was observed. In
dispersion, CP-CMP4a shows a main peak at 429 nm, and a
second peak at 595 nm. The relative intensity of these peaks
swaps from CP-CMP4a to CP-CMP 4f. In the case of TBT,
solid-state amplification of the emission for CP-CMP4a (0.1%
TBT) was less than one, showing a lack of energy transfer from
the polyphenylene framework to the TBT unit. In dispersion,
this amplification is higher (from 1.81 compared to 0.11), but
still lower than for CP-CMP3a. Again, the nonporous linear
control polymer, LP4, showed much lower fluorescence
quantum yield than porous CP-CMP4c (0.15 vs 1.82%). For
LP4 (and LP5, below), peaks from the emission of the
phenylene units also appeared in the fluorescence spectra,
possibly because of the low molecular weight of the
unsubstituted linear polymers prepared under these polymer-
ization reaction conditions. In this regard, the CP-CMPs are
different from the linear polymers; these branched networks
contain a multitude of end groups, which could be available for p
p
p y
g
These experiments showed that energy is not transferred
between particles, at least for physical mixtures prepared after
polymerization. However, it is likely that individual polymer
particles can become entangled during synthesis, as suggested
by SEM images for these polymers (Figure S79). In this
situation, energy could transfer between fused particles, and it is
conceivable that phase-separated domains might occur, for
example if one monomer is much more reactive than another. Chemistry of Materials Article Article further reaction even after network precipitation.36 By contrast,
the linear control polymers have just two end groups per
polymer chain. We next extended this method to another comonomer,
bis(2-bromo-5-thienyl)-2,1,3-benzothiadiazole (TBT, 4). Using
a similar method, we introduced 0.1−5 mol % TBT into the
network, yielding insoluble powders that ranged in color from
pale to deep red (Figure 3). These polymers were microporous
(Figure S2) and had a surface area, SABET, ranging from 287 to
544 m2 g−1 (Table 1). p y
We also evaluated a mixture of 1,6- and 1,7-dibromoper-
ylenediimide 5 (PDI; 1,6-: 1,7-isomer ratio 1:3) as comonomer
in these networks. Again, we obtained porous, insoluble
powders with surface areas, SABET, ranging from 563 to 693
m2 g−1 (Figure S3). The color of the resulting polymer goes
from pale gray for CP-CMP5a to deep purple for CP-CMP 5f
(Figure S82). The emission spectra in the solid state show a
main peak at 450 nm and second peak at around 600 nm. Emission spectra for the CP-CMP5a-f series as dispersions in
PEG show a peak at 440 nm, and a second peak appears around
610 nm, the intensity of which increases with the amount of
PDI in the network. CP-CMP 5f has just a single emission peak
at 655 nm. Like the TBT networks, CP-CMP5a-f show little
amplification of the emission in the solid state, indicating that
the energy transfer for the PDI unit in this network is again less
effective than for BT. The TBT comonomer produced a red shift in the absorbance
onset, tuning the band gap from 2.95 eV (CP-CMP0) to
around 2.0 eV (2.07−1.95 eV, depending on the feed ratio of
TBT comonomer). In the solid state, polymers CP-CMP4a-f
show emission from pale orange for CP-CMP4a to deep red for
CP-CMP 4f (Figure 4). Figure 1 (second row) shows the Figure 4. Photographs of CP-CMP4a-f as powders and as dispersions
in PEG under ambient light and under UV light (365 nm). The observed energy transfer processes could in principle
occur within an individual polymer particle or between two
separate polymer particles. To test this, polymers CP-CMP0,
CP-CMP 3f and CP-CMP 4f were mixed both as dispersions in
PEG and in the solid state. These physical mixtures were then
analyzed by absorption and photoluminescence spectroscopy. ■RESULTS AND DISCUSSION In
dispersion, this aggregation is lessened to a certain extent, and
the exciton mobility allows the energy transfer from the
polyphenylene framework to the BT unit, resulting in higher
fluorescence amplification.31−34 The excitation spectra of the
polymers dispersed in PEG show that the major contribution to
the light absorption is due to the polyphenylene network, and
an intense peak at around 350 nm is observed in all materials in
the series (Figure S8). This suggests that the phenylene domain Figure 3. Solid-state absorption and photoluminescence (λexc = 360
nm) of linear polymers LP0, LP3, LP4, and LP5 (from top to bottom). and fluorescence spectra for linear LP3, measured as a solid
powder, as compared to pure linear poly(p-phenylene), LP0
(top row). As for the porous copolymers, CP-CMP3a-f, the
band gap and fluorescence in LP3 is tuned with the
introduction of the BT comonomer. However, the fluorescence
quantum yields for the porous and nonporous polymers were
found to be quite different. The absolute fluorescence quantum
yield (QY) in the solid state for CP-CMP3c (1 mol % BT) was
7.1% compared with just 0.94% for the nonporous linear
control polymer, LP3. More generally, and for two other
comonomers discussed below, the QYs for porous CMPs were
found to be about 1 order of magnitude higher than the
corresponding nonporous linear copolymers (Table 1; see also
CP-CMP4c vs LP4; CMP-CMP5c vs LP5). This can be
explained by the inefficient monomer packing in CMPs, which
avoids quenching in the solid state with respect to the
nonporous linear polymers. 3471 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Chemistry of Materials For experiments using dispersions, a dispersion of one of the
chosen polymers was added to a dispersion of second polymer,
and the fluorescence was measured after every addition. In all of
the combinations of these experiments, the intensity of the peak
due to the first polymer did not change drastically after several
additions of the second; this suggests that no substantial energy
transfer takes place between polymer particles in physical
mixtures of PEG dispersions (Figure S20). Likewise, when
these mixing experiments were carried out in the solid state, the
photoluminescence spectra and the absorption spectra were the
sum of the spectra of the component polymers (Figure S21). Figure 4. Photographs of CP-CMP4a-f as powders and as dispersions
in PEG under ambient light and under UV light (365 nm). photoluminescence spectra of CP-CMP4a-f, measured as
powder and excited at 360 nm. In contrast with CP-CMP 3s,
CP-CMP4a-c shows a peak at around 417 nm due to the
emission from the polyphenylene domain. A second peak in the
emission spectra appears at around 600 nm, assigned to the
TBT unit. This peak experiences a red shift, increasing with the
amount of the TBT in the network. The presence of the peak at
around 420 nm in CP-CMP4a-f and the excitation spectra at
the emission of the TBT unit (600 nm) points to energy
transfer being less efficient than in the case of BT. When the
emission of the polymers was recorded for dispersions in PEG,
luminescence from pale pink to deep red was observed. In
dispersion, CP-CMP4a shows a main peak at 429 nm, and a
second peak at 595 nm. The relative intensity of these peaks
swaps from CP-CMP4a to CP-CMP 4f. In the case of TBT,
solid-state amplification of the emission for CP-CMP4a (0.1%
TBT) was less than one, showing a lack of energy transfer from
the polyphenylene framework to the TBT unit. In dispersion,
this amplification is higher (from 1.81 compared to 0.11), but
still lower than for CP-CMP3a. Again, the nonporous linear
control polymer, LP4, showed much lower fluorescence
quantum yield than porous CP-CMP4c (0.15 vs 1.82%). For
LP4 (and LP5, below), peaks from the emission of the
phenylene units also appeared in the fluorescence spectra,
possibly because of the low molecular weight of the
unsubstituted linear polymers prepared under these polymer-
ization reaction conditions. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials interesting in the development of white LEDs that avoid the
phase segregation often generated by aging in multiple
component LEDs.39 Moreover, the inherent porosity in
CMPs might in principle help to avoid quenching. To the
best of our knowledge, only two examples are reported for
white-emitting CMPs,40,41 but in both cases, a dye is loaded
into the porous network to obtain white emission via a
combination of CMP and dye emissions. We decided to
introduce two comonomers (BT and TBT) into the same
polymer in order to provide the green and red emission,
respectively, along with the blue fluorescence from the native
polyphenylene network (Scheme 3). Figure 6. (A) Photoluminescence (λexc = 360 nm) of CP-CMPw11 in
solid state and as a PEG dispersion. (B) CIE chromatograph of (x,y)
coordinates for CP-CMPw11 emission in (A) the solid state and (B)
in PEG dispersion. (C) Photographs of solid and dispersed sample
CP-CMPw11 under ambient light and under UV light (365 nm). spectra of this dispersion excited at 360 nm gave a CIE
coordinates (0.25, 0.30).46 In the solid state, this polymer
shows a fluorescence quantum yield of 8.8%, slightly higher
than reported previously for dye-loaded CMP.40 As discussed
above, the intrinsic microporosity of this copolymer network
reduces the level of aggregation, thus allowing a relatively high
quantum yield (SABET = 580 m2g−1; Figure S4). When a similar
feed ratio of 3 and 4 was used in analogous nonporous linear
polymers, a green emission was observed instead of white
emission (Figures S27 and S28). This may be due to the low
molecular weight of the linear polymers, which could prevent
the inclusion of two different acceptors in the same linear chain. Scheme 3. Synthesis of White Emitting CP-CMPws Scheme 3. Synthesis of White Emitting CP-CMPws This approach has been used in dendrimers42,43 and in
hyperbranched polymers,44,45 to obtain nonporous white
emitting materials. We prepared a library of 25 CP-CMPs
where the feed ratio of acceptors BT and TBT were
systematically modified toward a whiter fluorescence. Table
S1 shows the library of 25 CP-CMPs prepared by incorporating
the two comonomers in different feed ratios. Figures S22−S26
show the absorbance and emission spectra of all of these
polymers as measured in the solid state and as dispersions in
PEG; these data show that fine-tuning of the fluorescence could
be achieved (Figure S83). Chemistry of Materials To better understand the energy transfer mechanisms in these
polymers, we prepared three model compounds (6, 7, and 8)
using standard Suzuki−Miyaura coupling (Figure 5 and the
Supporting Information). Figure 5 shows the excitation and emission spectra of CP-
CMP0 and the three model compounds, either in dispersion or
in solution in PEG. The overlap of the emission of CP-CMP0
with the excitation spectrum of 6 is clearly bigger than for
either 7 or 8, and this explains the more efficient energy
transfer in the networks CP-CMP3a-f. The smaller difference
between the CP-CMP4 and CP-CMP5 series is not explained
by the excitation spectra of 7 and 8, but this could be due to the
different dipole moment in the PDI unit compare to TBT, and
also a degree of fluorescence quenching by the PDI unit taking
place in the electron transfer processes.37,38 p
p
The emission tuning described above suggested the
possibility of obtaining white emitting CMP by combining
blue, green and red fluorescence (Figures 2 and 4) in a single
material. Single-component white emitting materials are 3472 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Article Article Figure 5. Excitation and photoluminescence spectra of CP-CMP0, and
model compounds 6, 7, and 8 in PEG (from top to bottom). is also incorporated in the network, in comparison to the
emission spectrum observed for CP-CMP 3s (Figure 1). This is
probably due to the transfer of energy from the phenylene
network to the BT unit, and from the BT unit to TBT unit. After an extensive search, we were able to identify CP-
CMPw11, which contained BT and TBT in the feed ratio 0.028
TBT: 0.1 BT. In PEG dispersions, excitation at 365 nm
provides a close-to “white” emission (Figure 6). The emission Figure 6. (A) Photoluminescence (λexc = 360 nm) of CP-CMPw11 in
solid state and as a PEG dispersion. (B) CIE chromatograph of (x,y)
coordinates for CP-CMPw11 emission in (A) the solid state and (B)
in PEG dispersion. (C) Photographs of solid and dispersed sample
CP-CMPw11 under ambient light and under UV light (365 nm). Figure 5. Excitation and photoluminescence spectra of CP-CMP0, and
model compounds 6, 7, and 8 in PEG (from top to bottom). DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Absorbance and emission of these
polymers differ strongly when they were measured as solids or
as PEG dispersions, probably due to emission-reabsorption and
aggregation processes in solid state. Figure S25 shows emission
spectra for CP-CMPws, where, notably, the major contribution
to the fluorescence is due to the polyphenylene domain. Also, a
quenching of the emission of the BT unit is induced when TBT We next considered the possibility of deliberately forming
porous networks comprising separated domains that contain
just one of the acceptor comonomers. This was inspired by the
quenching of fluorescence of BT by TBT in CMPws when the
comonomers are mixed homogeneously in the network, and
also by the fact that BT extinguishes the fluorescence of
polyphenylene at a feed ratio of over 0.5 mol %. To avoid these
effects, we decided to prepare the same type of CMPs but
under reaction conditions that might generate separate
domains, with the intention of physically isolating the acceptor
comonomers. Specifically, we used more diluted synthesis
conditions in order to avoid the rapid precipitation of the
polymer networks, and to keep any phase-separated material
dispersed in the reaction medium. First, we synthesized the
parent polyphenylene, CP-CMP01, which is analogous to CP-
CMP0, under these new reaction conditions. The resulting
material has similar photophysical properties to CP-CMP0, 3473 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Article Article in a polymeric structure with an excess of boronic acid
functionalities as end-groups (S1). with an emission peak at 457 nm in the solid state and at 451 in
PEG dispersion. Also, CP-CMP01 retains a microporous
structure, with a BET surface area of 956 m2 g−1. Then our
aim was to study the effect of the monomer addition sequence
on the photophysical properties of the resulting materials. We
hence prepared polymers CP-CMP-acceptor(%)domain with
three different domain structures (Scheme 4, Table 2). g
This first stage product, S1, was then reacted with an
additional 0.33 equiv of 1 and the acceptor comonomer at 120
°C for 2 days, thus yielding Ashell where the acceptor
comonomer is, ideally, located mainly in the nominal “shell”
of the polymer particles.47 Swapping the order of addition of
the acceptor yields Acore, where the acceptor is, in an idealized
scheme, in the nominal “core” of the particles. This latter
strategy was already reported by others,48 and the authors of
that work claimed core−shell polymer particles. Chemistry of Materials By contrast, when a mixture of 1 (1
equiv) and 2 (3 equiv) is heated at 90 °C for 20 h, this results
polymer CP-CMP
(acceptor
(mol %)domain)
λemission
(nm)
solid
state
λemission
(nm)
dispersion
PEG
amplification
solid state
IAD/IA
amplification
dispersion
PEG IAD/IA
01
457
451
BT(1%)random
521
514
0.39
11.7
BT(1%)shell
515
512
0.58
12.8
BT(1%)core
520
514
0.51
12.5
BT(1%)surface
517
515
0.49
18.8
TBT(1%)random
451, 606
426, 603
0.10
1.8
TBT(1%)shell
445, 600
436, 602
0.11
2.2
TBT(1%)core
449, 605
427, 608
0.09
3.4
TBT(1%)surface
451, 594
442, 600
0.13
0.4
BT(0.5%)random
513
508
0.57
13.5
BT(0.5%)shell
508
507
1.2
15.5
BT(0.5%)core
519
509
0.60
23.0
BT(0.5%)surface
510
451, 502
0.92
17.6
TBT(0.5%)random
443, 599
433, 601
0.11
1.9
TBT(0.5%)shell
451, 587
442, 588
0.24
3.1
TBT(0.5%)core
451, 602
434, 601
0.11
2.5
TBT(0.5%)surface
446, 580
435, 583
0.26
3.9
BT(0.1%)surface
499
451
1.29
BT(0.1%)shell
469
445
1.03
3 Figure 7. Photoluminescence of PEG dispersions of polymers (A) CP-
C M P - B T ( 1 % ) r a n d o m , s h e l l , c o r e , s u r f a c e
a n d
( B )
C P -
CMPTBT(1%)random, shell, core, surface (λexc = 360 nm) and photographs
of PEG dispersions under UV light (365 nm). of BT(1%)random and BT(1%)core show a peak only at around
510 nm, but in case of BT(1%)shell and BT(1%)surface, a second
shoulder peak at 430 nm appears, probably due to the emission
of the polyphenylene units. This suggests that the energy
transfer from the polyphenylene framework to the acceptor,
BT, is less efficient in structures Ashell and Asurface than in
structures Arandom and Acore. This is consistent with the energy
transfer being distance dependent. In case of using TBT in a 1 mol % feed ratio, we obtained
polymers CP-CMP TBT(1%)random, shell, core and surface. The ab-
sorption spectra of these polymers measured as powder or as
dispersion in PEG look similar (Figure S31 and 32). Solid-state
emission of polymers TBT(1%)random, TBT(1%)shell and
TBT(1%)core show and main peak at 600 nm, but polymer
TBT(1%)surface shows a peak at 451 nm (Figure S31). Chemistry of Materials We also
attempted to form structure Asurface, where the initial mixture of
1 (1 equiv) and 2 (2 equiv) was heated at 120 °C for 24 h,
followed by addition of the acceptor comonomer when the
other two monomers are almost consumed, thus biasing the
acceptor to react at the surface of the polymer particle. Polymers BT(1%)random, core, shell, and surface have the same feed
ratio of BT (1 mol %) with respect to 1 and 2, but differ only in
the addition sequence. The absorption spectra of these four
polymers look similar as powders and as dispersions in PEG
(Figures S29 and S30). The emission spectra for powder
samples are also similar to one another (Figure S29), but slight
differences can be observed in the emission spectra for the
polymers dispersed in PEG (Figure 7A). The emission spectra Scheme 4. Domain Formation in CMPs with One Accceptor
by Monomer Addition Sequence Paths
Table 2. Acceptor Feed Ratio, Addition Sequence,
Fluorescence, and Emission Amplification of CP-CMP
Polymers Containing a Single Acceptor Co-monomer Scheme 4. Domain Formation in CMPs with One Accceptor
by Monomer Addition Sequence Paths Figure 7. Photoluminescence of PEG dispersions of polymers (A) CP-
C M P - B T ( 1 % ) r a n d o m , s h e l l , c o r e , s u r f a c e
a n d
( B )
C P -
CMPTBT(1%)random, shell, core, surface (λexc = 360 nm) and photographs
of PEG dispersions under UV light (365 nm). Table 2. Acceptor Feed Ratio, Addition Sequence,
Fluorescence, and Emission Amplification of CP-CMP
Polymers Containing a Single Acceptor Co-monomer When a mixture 1 (1 equiv), 2 (2 equiv), and the
corresponding acceptor (BT or TBT) in DMF was reacted
together, a polymer is obtained where the acceptor is, ideally,
distributed homogeneously throughout the network, as
represented by Arandom. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials In these cases, although some differences are
observed in emission of the polymers of polymer BT(1%)surface
vs BT(1%)surface (two step) and TBT(1%)surface vs
TBT(1%)surface (two step), similar emission spectra are
obtained in both methods, pointing to a similar material in
both approaches (Figures S49 and 50). have two peaks (430 and 600 nm), and interestingly the relative
intensity of the peak at 600 nm decreased in the order
TBT(1%)random-TBT(1%)core-TBT(1%)shell-TBT(1%)surface. The
efficiency of the energy transfer in these systems follows the
trend Arandom > Acore > Ashell > Asurface, this agrees with the
aforementioned distance dependence. Nevertheless, in struc-
tures Ashell and Asurface, self-quench emission could take place
because of a locally high concentration of acceptor units. Similar behavior was observed when using a 0.5 mol % feed
ratio of BT (Figures S33 and S34) or TBT (Figures S35 and
S36). Polymers
CP-CMP-BT(1%)random,
TBT(1%)random,
BT(0.5%)random, and TBT(0.5%)random in PEG dispersion
showed higher amplification of emission of the acceptor
compare with their analogous polymers CP-CMP3c, 3b, 4c,
and 4b, respectively. We postulate this is because the degree of
interpenetration of the polymer chains in the network is lower
than in the previous reaction conditions, allowing a higher
degree of freedom to the polymer chains to swell in dispersion
of PEG, decreasing the aggregation and permitting the mobility
of the exciton through the network. This assumption is based
on two facts; first, the amplification of the emission of the
acceptor measured in the solid state is similar in polymers
synthesized by two different conditions (Tables 1 and 2). Second, polymers Arandom, prepared using the less concentrated
reaction conditions, show higher swelling behavior in contact
with organic solvents. We prepared analogous polymer
structure Ashell and Asurface using a two-steps synthesis. Initially,
first stage polymers as S1 were isolated and purified, and then
submitted to the second reaction step with 0.33 equiv of 1, 1
equiv of 2, and 1% of BT or TBT, respectively. The polymer
with a structure Ashell prepared in two steps fashion showed a
different emission to the polymer prepared in one pot. Polymer
BT(1%)shell shows one peak at 514 nm in the emission spectra,
but polymer BT(1%)shell made in two steps shows two peaks in Next, we considered the introduction of two acceptors in
different domains of the same polymer network, and studied
the difference in the emission spectra (Table 3). Chemistry of Materials In these cases, although some differences are
observed in emission of the polymers of polymer BT(1%)surface
vs BT(1%)surface (two step) and TBT(1%)surface vs
TBT(1%)surface (two step), similar emission spectra are
obtained in both methods, pointing to a similar material in
both approaches (Figures S49 and 50). Next, we considered the introduction of two acceptors in
different domains of the same polymer network, and studied
the difference in the emission spectra (Table 3). To do so, we
use a similar method to the above-mentioned and described in
the Scheme 5. Polymer CP-CMP BT(1%)random TBT(1%)random
contains both BT and TBT in 1 mol % feed ratio; ideally, these
monomers are homogeneously distributed through the polymer
Table 3. Acceptor Feed Ratio, Addition Sequence, Fluorescence, and Emission Amplification of Polymers CP-CMPsa
polymer CP-CMP (acceptor(mol %)domain acceptor
(mol %)domain)
λemission (nm) solid
state
λemission (nm) dispersion
PEG
amplification solid state
IAD/IA
amplification dispersion PEG
IAD/IA
BT(1%)randomTBT(1%)random
469, 606
429, 500, 607
0.10
9.06, 1.94
BT(1%)coreTBT(1%)shell
470(w), 601
431, 491, 599
0.12
10.2, 2.84
TBT(1%)coreBT(1%)shell
470(w), 606
431, 495(w), 604
0.08
11.36, 1.85
BT(1%)randomTBT(1%)surface
520, 581
430, 511, 580
0.64, 0.35
13.55, 3.18
TBT(1%)randomBT(1%)surface
455(w), 603
430, 600
0.09
1.39
BT(1%)coreTBT(1%)surface
523, 568
510 (b)
0.57, 0.75
13.0
TBT(1%)coreBT(1%)surface
449, 606
435, 606
0.12
1.75
BT(0.5%)randomTBT(0.5%)random
451(w), 602
440, 500, 602
0.11
15.4, 2.4
BT(0.5%)coreTBT(0.5%)shell
500(w), 594
431, 506, 596
0.11
13.4, 2.3
TBT(0.5%)coreBT(0.5%)shell
594
431, 504, 593
0.12
16.1, 3.0
BT(0.5%)randomTBT(0.5%)surface
515, 600 (s)
510, 600(s)
0.55, 0.31
18.0, 2.8
TBT(0.5%)randomBT(0.5%)surface
453(w), 599
437, 602
0.14
2.6
BT(0.5%)coreTBT(0.5%)surface
515
430(s), 505
0.67
24.8
TBT(0.5%)coreBT(0.5%)surface
452(w), 602
430, 604
0.15
2.2
BT(0.1%)randomTBT(0.1%)random
493, 586
433, 490(s), 584
0.91, 0.26
19.6, 3.2
BT(0.1%)coreTBT(0.1%)shell
475, 585
444, 500(s), 590
0.83, 0.14
33.3, 4.0
TBT(0.1%)coreBT(0.1%)shell
470, 580
444, 500(s), 590
1.07, 0.20
-, 2.8
BT(0.1%)randomTBT(0.1%)surface
501, 560(s)
485(b)
0.98, 0.47
51.5, 3.8
TBT(0.1%)randomBT(0.1%)surface
454, 588
440, 591
0.25
3.1
BT(0.5%)coreTBT(0.1%)shell
517, 574
432(s), 509, 590(s)
0.61, 0.36
22.8, 2.7
BT(0.5%)randomTBT(0.1%)surface
519
430(s), 507
0.60
21.8
BT(1%)coreTBT(0.5%)surface
523
420(s), 514
0.65
19.1
aw = weak; s = shoulder; b = broad. y Table 3. Chemistry of Materials Acceptor Feed Ratio, Addition Sequence, Fluorescence, and Emission Amplification of Polymers CP-CMPsa
polymer CP-CMP (acceptor(mol %)domain acceptor
(mol %)domain)
λemission (nm) solid
state
λemission (nm) dispersion
PEG
amplification solid state
IAD/IA
amplification dispersion PEG
IAD/IA
BT(1%)randomTBT(1%)random
469, 606
429, 500, 607
0.10
9.06, 1.94
BT(1%)coreTBT(1%)shell
470(w), 601
431, 491, 599
0.12
10.2, 2.84
TBT(1%)coreBT(1%)shell
470(w), 606
431, 495(w), 604
0.08
11.36, 1.85
BT(1%)randomTBT(1%)surface
520, 581
430, 511, 580
0.64, 0.35
13.55, 3.18
TBT(1%)randomBT(1%)surface
455(w), 603
430, 600
0.09
1.39
BT(1%)coreTBT(1%)surface
523, 568
510 (b)
0.57, 0.75
13.0
TBT(1%)coreBT(1%)surface
449, 606
435, 606
0.12
1.75
BT(0.5%)randomTBT(0.5%)random
451(w), 602
440, 500, 602
0.11
15.4, 2.4
BT(0.5%)coreTBT(0.5%)shell
500(w), 594
431, 506, 596
0.11
13.4, 2.3
TBT(0.5%)coreBT(0.5%)shell
594
431, 504, 593
0.12
16.1, 3.0
BT(0.5%)randomTBT(0.5%)surface
515, 600 (s)
510, 600(s)
0.55, 0.31
18.0, 2.8
TBT(0.5%)randomBT(0.5%)surface
453(w), 599
437, 602
0.14
2.6
BT(0.5%)coreTBT(0.5%)surface
515
430(s), 505
0.67
24.8
TBT(0.5%)coreBT(0.5%)surface
452(w), 602
430, 604
0.15
2.2
BT(0.1%)randomTBT(0.1%)random
493, 586
433, 490(s), 584
0.91, 0.26
19.6, 3.2
BT(0.1%)coreTBT(0.1%)shell
475, 585
444, 500(s), 590
0.83, 0.14
33.3, 4.0
TBT(0.1%)coreBT(0.1%)shell
470, 580
444, 500(s), 590
1.07, 0.20
-, 2.8
BT(0.1%)randomTBT(0.1%)surface
501, 560(s)
485(b)
0.98, 0.47
51.5, 3.8
TBT(0.1%)randomBT(0.1%)surface
454, 588
440, 591
0.25
3.1
BT(0.5%)coreTBT(0.1%)shell
517, 574
432(s), 509, 590(s)
0.61, 0.36
22.8, 2.7
BT(0.5%)randomTBT(0.1%)surface
519
430(s), 507
0.60
21.8
BT(1%)coreTBT(0.5%)surface
523
420(s), 514
0.65
19.1
aw = weak; s = shoulder; b = broad. eed Ratio, Addition Sequence, Fluorescence, and Emission Amplification of Polymers CP-CMPsa Table 3. Acceptor Feed Ratio, Addition Sequence, Fluorescence, and Emission Amplification of Polymers CP-CMPsa ble 3. Acceptor Feed Ratio, Addition Sequence, Fluorescence, and Emission Amplification of Polymers the emission (440 and 510 nm) (Figure S48). Also, polymer
TBT(1%)shell (two step) show a relatively less intense
fluorescence peak at 600 nm compared to the polymer
TBT(1%)shell in one pot (Figure S48). These differences are
probably due to in the two-step synthesis, the resulting material
is a physical mixture of two polymers, keeping their emission
independently, in contrast with the one-pot synthesis. Also
polymers structures similar to Asurface were prepared in a two-
step fashion, just by isolation of the first-stage polymer S3,
purification, and subsequent reaction with acceptor BT or TBT
in 1 mol % ratio. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Emission
spectra of these polymers measured as dispersion (Figure 7B) When a mixture 1 (1 equiv), 2 (2 equiv), and the
corresponding acceptor (BT or TBT) in DMF was reacted
together, a polymer is obtained where the acceptor is, ideally,
distributed homogeneously throughout the network, as
represented by Arandom. By contrast, when a mixture of 1 (1
equiv) and 2 (3 equiv) is heated at 90 °C for 20 h, this results 3474 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Article have two peaks (430 and 600 nm), and interestingly the relative
intensity of the peak at 600 nm decreased in the order
TBT(1%)random-TBT(1%)core-TBT(1%)shell-TBT(1%)surface. The
efficiency of the energy transfer in these systems follows the
trend Arandom > Acore > Ashell > Asurface, this agrees with the
aforementioned distance dependence. Nevertheless, in struc-
tures Ashell and Asurface, self-quench emission could take place
because of a locally high concentration of acceptor units. Similar behavior was observed when using a 0.5 mol % feed
ratio of BT (Figures S33 and S34) or TBT (Figures S35 and
S36). Polymers
CP-CMP-BT(1%)random,
TBT(1%)random,
BT(0.5%)random, and TBT(0.5%)random in PEG dispersion
showed higher amplification of emission of the acceptor
compare with their analogous polymers CP-CMP3c, 3b, 4c,
and 4b, respectively. We postulate this is because the degree of
interpenetration of the polymer chains in the network is lower
than in the previous reaction conditions, allowing a higher
degree of freedom to the polymer chains to swell in dispersion
of PEG, decreasing the aggregation and permitting the mobility
of the exciton through the network. This assumption is based
on two facts; first, the amplification of the emission of the
acceptor measured in the solid state is similar in polymers
the emission (440 and 510 nm) (Figure S48). Also, polymer
TBT(1%)shell (two step) show a relatively less intense
fluorescence peak at 600 nm compared to the polymer
TBT(1%)shell in one pot (Figure S48). These differences are
probably due to in the two-step synthesis, the resulting material
is a physical mixture of two polymers, keeping their emission
independently, in contrast with the one-pot synthesis. Also
polymers structures similar to Asurface were prepared in a two-
step fashion, just by isolation of the first-stage polymer S3,
purification, and subsequent reaction with acceptor BT or TBT
in 1 mol % ratio. Chemistry of Materials For polymers CP-
CMP BT(1%)randomTBT(1%)random, BT(1%)coreTBT(1%)shell,
TBT(1%)coreBT(1%)shell, TBT(1%)randomBT(1%)surface, and
TBT(1%)coreBT(1%)surface, photoluminescence spectra in solid
state show a main peak around 600 nm, BT(1%)randomTBT-
(1%)surface shows two peaks around 520 and 581 nm, and
BT(1%)coreTBT(1%)surface a broad peak with shoulders at 523
and 568 nm (Figure S39). More differences are observed in the
emission spectra of these materials when measured as
dispersion in PEG (Figure 8). Random copolymer
BT(1%)randomTBT(1%)random shows three peaks spectra (429,
500, and 607 nm) being 429 and 500 nm less intense than the
one at 607 nm. The relative intensity of the peaks changes
depending of the addition sequence. For BT(1%)coreTBT- ratio BT (1 mol %) and TBT (1 mol %) but a different addition
sequence. Photoluminescence measured as solid state of these
polymers show similar shape for all except BT(1%)randomTBT-
(1%)surface and BT(1%)coreTBT(1%)surface. For polymers CP-
CMP BT(1%)randomTBT(1%)random, BT(1%)coreTBT(1%)shell,
TBT(1%)coreBT(1%)shell, TBT(1%)randomBT(1%)surface, and
TBT(1%)coreBT(1%)surface, photoluminescence spectra in solid
state show a main peak around 600 nm, BT(1%)randomTBT-
(1%)surface shows two peaks around 520 and 581 nm, and
BT(1%)coreTBT(1%)surface a broad peak with shoulders at 523
and 568 nm (Figure S39). More differences are observed in the
emission spectra of these materials when measured as
dispersion in PEG (Figure 8). Random copolymer
BT(1%)randomTBT(1%)random shows three peaks spectra (429,
500, and 607 nm) being 429 and 500 nm less intense than the
one at 607 nm. The relative intensity of the peaks changes
depending of the addition sequence. For BT(1%)coreTBT- As shown by these results, the degree of interaction between
acceptor comonomers could be tuned by changing the polymer
addition sequence in the synthesis. In BT(1%)coreTBT(1%)shell,
the interaction between BT and TBT should be weaker because
the acceptors are embedded in different domains. For
TBT(1%)coreBT(1%)shell, the emission spectrum is similar to
the one from TBT(1%)core, with two main peaks, pointing in a
stronger interaction between BT and TBT in different domains
than in BT(1%)coreTBT(1%)shell. A bigger change is observed in
BT(1%)randomTBT(1%)surface, where the main peak is now at
511 nm, emission from BT units. This result suggests that in
the structure ArandomBsurface the interaction between BT and
TBT is weaker than in AcoreBshell, because of the different
disposition of the acceptor in the material. Chemistry of Materials To do so, we
use a similar method to the above-mentioned and described in
the Scheme 5. Polymer CP-CMP BT(1%)random TBT(1%)random
contains both BT and TBT in 1 mol % feed ratio; ideally, these
monomers are homogeneously distributed through the polymer
network. The inclusion of two acceptors in the polymer allowed
us also to study the difference in the addition sequential, e.g.,
first BT and after TBT, and vice versa. Also, this two-acceptor
study allowed the introduction of another domain structure,
AcoreBsurface, where first a domain is grown containing one of the
acceptors, followed by the growth of a second domain without
acceptor (just polyphenylene), and then the addition of the
second acceptor to react with the residual functional groups of
the surface of the polymer network. The different distribution
of the acceptor comonomers in the network leads to a different
photoluminescence in the resulting material. For example,
polymers CP-CMP BT(1%)TBT(1%)s have the same feed 3475 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Article ratio BT (1 mol %) and TBT (1 mol %) but a different addition
sequence. Photoluminescence measured as solid state of these
polymers show similar shape for all except BT(1%)randomTBT-
(1%)surface and BT(1%)coreTBT(1%)surface. For polymers CP-
CMP BT(1%)randomTBT(1%)random, BT(1%)coreTBT(1%)shell,
TBT(1%)coreBT(1%)shell, TBT(1%)randomBT(1%)surface, and
TBT(1%)coreBT(1%)surface, photoluminescence spectra in solid
state show a main peak around 600 nm, BT(1%)randomTBT-
(1%)surface shows two peaks around 520 and 581 nm, and
BT(1%)coreTBT(1%)surface a broad peak with shoulders at 523
and 568 nm (Figure S39). More differences are observed in the
emission spectra of these materials when measured as
dispersion in PEG (Figure 8). Random copolymer
BT(1%)randomTBT(1%)random shows three peaks spectra (429,
500, and 607 nm) being 429 and 500 nm less intense than the
one at 607 nm. The relative intensity of the peaks changes
depending of the addition sequence. For BT(1%)coreTBT-
Scheme 5. Domain Formation in CMPs Containing Two
Acceptors by Monomer Addition Sequence Paths (1%)shell the intensity of the peaks at 430 and 491 nm increase
respect to BT(1%)randomTBT(1%)random. In TBT(1%)coreBT-
(1%)shell emission spectra the contribution from BT emission is
weaker and the spectrum shows a decrease in the intensity of
the peak at 495 nm. The fluorescence spectra for
BT(1%)randomTBT(1%)surface has a main peak around 511 nm,
in contrast with TBT(1%)randomBT(1%)surface where that peak
almost disappears. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Photoluminescence spectra in PEG for
BT(1%)coreTBT(1%)surface show a peak at 510 nm with a small
shoulder around 600 nm, and TBT(1%)coreBT(1%)surface has
two peaks 435 and 606 nm. Again, these differences can be
understood based on the difference position of the acceptor in
the network and the effect of the distance between donor
polyphenylene unit and the corresponding acceptor. In
polymers CP-CMPs BT(1%)randomTBT(1%)random, BT-
(1%)coreTBT(1%)shell, TBT(1%)coreBT(1%)shell, TBT(1%)random
BT(1%)surface, and TBT(1%)coreBT(1%)surface, the presence of
TBT as comonomer decreases the emission from the BT unit
(around 500 nm), probably caused by energy transfer from the
BT unit to TBT. Excitation spectra recorded at 607 nm of
BT(1%)randomTBT(1%)random as dispersion show a weak peak
around 430 nm (Figure S40), due to the contribution from the
BT units, this agrees with the low loading of BT in the polymer. Considering the low relative intensity of the peak at 500 nm in
BT(1%)randomTBT(1%)random as PEG dispersion and the slightly
increase of the amplification of the emission at 607 m, from the
TBT unit compare to polymer TBT(1%)random, we hypothe-
sized there would be an energy transfer flow from the
polyphenylene network to the BT unit and from there to the
TBT unit. Scheme 5. Domain Formation in CMPs Containing Two
Acceptors by Monomer Addition Sequence Paths Scheme 5. Domain Formation in CMPs Containing Two ratio BT (1 mol %) and TBT (1 mol %) but a different addition
sequence. Photoluminescence measured as solid state of these
polymers show similar shape for all except BT(1%)randomTBT-
(1%)surface and BT(1%)coreTBT(1%)surface. For polymers CP-
CMP BT(1%)randomTBT(1%)random, BT(1%)coreTBT(1%)shell,
TBT(1%)coreBT(1%)shell, TBT(1%)randomBT(1%)surface, and
TBT(1%)coreBT(1%)surface, photoluminescence spectra in solid
state show a main peak around 600 nm, BT(1%)randomTBT-
(1%)surface shows two peaks around 520 and 581 nm, and
BT(1%)coreTBT(1%)surface a broad peak with shoulders at 523
and 568 nm (Figure S39). More differences are observed in the
emission spectra of these materials when measured as
dispersion in PEG (Figure 8). Random copolymer
BT(1%)randomTBT(1%)random shows three peaks spectra (429,
500, and 607 nm) being 429 and 500 nm less intense than the
one at 607 nm. The relative intensity of the peaks changes
depending of the addition sequence. For BT(1%)coreTBT- ratio BT (1 mol %) and TBT (1 mol %) but a different addition
sequence. Photoluminescence measured as solid state of these
polymers show similar shape for all except BT(1%)randomTBT-
(1%)surface and BT(1%)coreTBT(1%)surface. Chemistry of Materials And even a bigger
difference is observed in the emission spectra
of
BT(1%)coreTBT(1%)surface, with a main peak at 510 nm and a
minor contribution around 600 nm from TBT emission, where
the effect of the distance between acceptors is dramatic. Figure 8. Photoluminescence of PEG dispersions of polymers CP-
CMP BT(1%)TBT(1%)s (λexc = 360 nm, Raman scatter peak from
solvent at 400 nm) and photographs of PEG dispersions under UV
light (365 nm). When the same study was carried using a loading ratio of 0.5
mol % for BT and TBT, a comparable behavior was found
along the series. Photoluminescence spectra in solid state of
polymers
CP-CMP
BT(0.5%)randomTBT(0.5%)random,
BT(0.5%)coreTBT(0.5%)shell, TBT(0.5%)coreBT(0.5%)shell,
TBT(0.5%)randomBT(0.5%)surface, and TBT(0.5%)coreBT-
(0.5%)surface show a main emission peak at around 600 nm,
b u t
f o r
B T ( 0. 5 % ) r a n d o mT B T ( 0 . 5 % ) s u r f a c e
a n d
BT(0.5%)core‑TBT(0.5%)surface the emission is centered at 515
nm (Figure S41). In dispersion in PEG, the relative intensity of
the different peaks changes in the same fashion as when the
loading of acceptors was 1 mol % (Figure S42). Figure 8. Photoluminescence of PEG dispersions of polymers CP-
CMP BT(1%)TBT(1%)s (λexc = 360 nm, Raman scatter peak from
solvent at 400 nm) and photographs of PEG dispersions under UV
light (365 nm). We also prepared a series of example with a lower loading of
the acceptor (0.1 mol %) where the influence of the additional 3476 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Article Figure 9. (A) Photoluminescence spectral changes of a thin film of CP-CMP4a upon exposure to acetone. (B) Time-dependent changes in the
intensity of the emission peaks from polyphenylene (PP) and TBT in the photoluminescence spectra of CP-CMP4a upon exposure to acetone. (C)
Photoluminescence of a thin film of CP-CMP4a upon exposure to different solvent vapor for 1 min. (D) 2D map of VOC recognition of CP-CMP4a
based in the change of the intensity of the both emission peaks (PP and TBT). Data were taken after 1 min of exposure to analyte vapor at room
temperature. (E) Bar-diagram of solvents based on the emission response of CP-CMP0. (F) 2D map of VOC recognition of LP-4 based in the
change of the intensity of the both emission peaks (PP and TBT). λexc = 360 nm. Chemistry of Materials Chemistry of Materials
Article Figure 9. (A) Photoluminescence spectral changes of a thin film of CP-CMP4a upon exposure to acetone. (B) Time-dependent changes in the
intensity of the emission peaks from polyphenylene (PP) and TBT in the photoluminescence spectra of CP-CMP4a upon exposure to acetone. (C)
Photoluminescence of a thin film of CP-CMP4a upon exposure to different solvent vapor for 1 min. (D) 2D map of VOC recognition of CP-CMP4a
based in the change of the intensity of the both emission peaks (PP and TBT). Data were taken after 1 min of exposure to analyte vapor at room
temperature. (E) Bar-diagram of solvents based on the emission response of CP-CMP0. (F) 2D map of VOC recognition of LP-4 based in the
change of the intensity of the both emission peaks (PP and TBT). λexc = 360 nm. sequence is still present but less intense than in the already
discussed polymers (Figures S43 and 44). volatile organic compounds (VOCs). There are already some
reports of CMPs as fluorescence sensors for volatile organic
compounds in vapor phase.11,49−54 We decide to study the
fluorescence spectral changes of a thin film of polymer CP-
CMP4a upon exposure to solvent vapor. Initially, we chose this
polymer because its solid-state fluorescence spectrum shows
two clear emission peaks, what would provide two coordinates
to build a 2D map for the VOCs. The time-dependent
photoluminescence of a thin film55 of CP-CMP4a in contact
with solvent vapors was carried in situ by the addition of
approximately 10 μL of solvent to the cuvette containing the
polymer sample film (see the Supporting Information).56 For
example, after addition of 10 μL of acetone to a cuvette holding
a thin film of CP-CMP4a, the photoluminescence spectrum
changed drastically, such that the emission peak centered at 420
nm due to the polyphenylene (PP) domain increased its
intensity 1.9 fold after 0.5 min exposure, and then it rose 2 fold
after 1 min. The emission peak at around 590 nm associated
with the TBT unit decreased its intensity 0.9 fold, and
decreased slowly with time to 0.8 fold (Figures 9A). Also, this
emission peak associated with TBT units experiences a redshift
of 11 nm after the exposure of the polymer film to acetone
vapor. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 ■CONCLUSIONS In summary, we have developed a new method to fine-tune the
optical band gap and the emission of conjugated microporous
polyphenylene networks by inclusion of small amount of a
dopant comonomer as chromophore in the network. The
degree of tuning can be modulated through the use of different
acceptors and their feed ratios. The intrinsic microporosity of
these materials increases the absolute fluorescence quantum
yield in solid state. This method has been proved as an efficient
strategy to synthesize white emitting CMPs, controlling the
emission of the material through a wide range. Moreover, we
studied the formation of domains in the polymer network by
varying the addition sequence during the synthesis. These
domains have a crucial effect in the flow of energy through the
network what drove to a change in the emission spectra. Finally
we report the use of CMPs containing TBT chromophores as
fluorescence sensor for volatile organic compounds. The
changes in the dual emission of thin film samples of these
polymers allow the creation of 2D map for the recognition of
different solvents. The methods reported here enable the
tuning of the photophysical properties of conjugated micro-
porous polymers, which is central to the application of these
materials.59 More broadly, the detailed understanding of energy
transfer in these networks may be key to designing function in
other materials, such as organic photocatalysts. Similar in situ time-dependent photoluminescence experi-
ments of CP-CMP4b in contact with solvent vapors were
carried out with thin film samples (Figures S92−S95). Analogous responses of the emission peaks from the photo-
luminescence spectra of the thin film were found (see the
Supporting Information). From the data taken after 1 min of
exposure to the analyte vapor, a 2D map was generated for CP-
CMP4b, showing a similar distribution of the solvents to that
obtained from CP-CMP4a (Figure S96). We also studied the
response of thin film samples of CP-CMP0, the undoped native
polymer, to the exposure of the vapor analytes (Figures S98−
S101). After exposure to solvent vapors, the emission peak at
around 440 nm in CP-CMP0 in solid state behaves analogously
to the emission peak associated with PP in CP-CMP4a,
quenched by electron-deficient solvents and enhancement by
nonelectron-deficient solvents. As expected, CP-CMP0 only
has one emission peak and its change after exposure to vapors
did not allow building a 2D map (Figure 9E). *
S
Supporting Information g
p
g
Once again, to illustrate the importance of microporosity in
these CP-CMP 4s as fluorescence sensors, we studied the
photoluminescence spectral changes of nonporous linear
polymer LP4. Figures S103−S106 show the time-dependent
fluorescence spectra upon analyte vapor exposure, where a less
dramatic change can be appreciated compared with CP-CMP
4s. Although some of the fluorescence signal showed some
fluctuation after 1 min of exposure, the 2D map produced from
data taken at 1 min from both emission peaks (PP and TBT)
showed a less pronounced distribution compared to CP-
CMP4a(Figure 9F). This indicates that the microporosity can
be beneficial in a fluorescence sensor, allowing a better
response in the photoluminescence after analyte vapor
exposure, most likely due to the high-surface-area skeleton
improving the contact between polymer and vapor analyte,11 as
well as the increased fluorescence quantum yield mentioned
above. The Supporting Information is available free of charge on the
ACS Publications website at DOI: 10.1021/acs.chemma-
ter.6b01195. Full synthetic details and analysis for the polymers, FT-
IR, gas sorption, UV/PL spectra, SEM data, and sensor
experiments (PDF) Chemistry of Materials Figure 9B represents the variation of the ratio of the
intensity of both emission peaks of CP-CMP4a with time,
showing a stable photoluminescence after just 1 min of
exposure what indicates the fast response of this material to
acetone vapor. The same experiments were carried out using
other 14 solvents including water, see Figures S86−89. The
photoluminescence spectral change of CP-CMP4a in the solid
state depends of the nature of the solvent, so polar solvents
such as methanol or acetonitrile increased the intensity of the Analogous
two-step
synthesis
for
polymers
BT(1%)randomTBT(1%)surface and TBT(1%)randomBT(1%)surface
were used to check the influence of the reaction conditions. The polymers obtained in a two-step fashion show slightly
different emission spectra to the ones synthesized in one pot
(Figures S51−S54). Analogous
two-step
synthesis
for
polymers
BT(1%)randomTBT(1%)surface and TBT(1%)randomBT(1%)surface
were used to check the influence of the reaction conditions. The polymers obtained in a two-step fashion show slightly
different emission spectra to the ones synthesized in one pot
(Figures S51−S54). Again, as in CP-CMP3,4, we carried a series of experiment
mixing
polymers
CP-CMP01,
BT(1%)r an d om
and
TBT(1%)random in dispersion and solid state with the all
possible combinations to check the nature of the energy
transfer (Figures S55 and S56). From the all experiments
carried out, no obvious fluorescence interparticle energy
transfer could be observed in dispersion neither solid state,
suggesting an intraparticle energy transfer process for all these
polymers. Regarding microporosity, polymers prepared using different
sequential addition did not show a strong change in surface
area. Polymers
with
domain
structure
AcoreBshell,
BT(1%)coreTBT(1%)shell and TBT(1%)coreBT(1%)shell, showed
a surface area of 806 and 681 m2 g−1, respectively. Polymers
with a domain structure ArandomBsurface, BT(1%)randomTBT-
(1%)surface and TBT(1%)randomBT(1%)surface, have a surface
area of 787 and 998 m2g−1. The different reaction conditions
used in the synthesis of these polymers does not affect to the
degree of microporosity of these amorphous networks. During the isolation and characterization of these CMPs, we
observed changes on the fluorescence when some polymers
were in contact with different solvents. This encouraged us to
study the use of these materials as fluorescence sensors for 3477 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Article emission peak associated with PP and decreased the one
associated with TBT. Chemistry of Materials Electron-rich aromatic solvents as toluene
or benzene increased the intensity of both peaks (PP and
TBT), and electron-deficient solvent as nitromethane or
nitrobenzene decreased the intensity of both emission peaks. Figure 9C summarizes the fluorescence spectral changes of CP-
CMP4a as thin film after 1 min exposure to different solvents. Plotting I/I0 for both emission peaks allows to generate a 2D
map for the qualitative identification of solvents (Figure 9D),
where several regions can be drawn for the chemical nature of
the solvent. The quenching of the photoluminescence after
exposure to electron-deficient analyte vapors can be explain
based on an electron-transfer mechanism from the conduction
band of polymer to the lowest unoccupied molecular orbital
(LUMO) of the nitro compound.57,58 The enhancement in the
emission after exposure to vapor of non-electron-deficient VOC
could be due to a swelling effect of the solvent onto the
polymer network, similar to the effect in the photo-
luminescence of these polymers described before from solid
state to PEG dispersion. smaller changes after exposure to different solvent. So in the 2D
map built from 1 min data for CP-CMP TBT(0.5%)surface, the
solvent points are less well spread than for CP-CMP4a. Finally, these thin film CMPs can be reused for sensing of
analyte vapor. Cycling tests were carried for CP-CMP4a, CP-
CMP4b and CP-CMP0 using methanol and nitromethane as
analytes (Figures S114−S116). The intensity of the emission
peaks can be recovered after every cycle with only a small loss
of the signal after four cycles. Notes The authors declare no competing financial interest. Author Contributions The manuscript was written through contributions of all
authors. All authors have given approval to the final version of
the manuscript. Funding g
We thank EPSRC (EP/C511794/1 and EP/N004884/1) for
funding. We thank EPSRC (EP/C511794/1 and EP/N004884/1) for
funding. The influence of domain formation was also studied in the
sensor response with the study of the time-dependent
photoluminescence spectral change of thin film samples of
CP-CMP TBT(0.5%)surface upon contact to solvent vapors
(Figures S108−S111). As shown in the Supporting Informa-
tion, the emission peak around 440 nm associated with PP
experiences changes in the same degree than polymer CP-
CMP4a, but the emission peak centered at 580 nm shows ■ASSOCIATED CONTENT *
S
Supporting Information Corresponding Author *E-mail: aicooper@liverpool.ac.uk. ■REFERENCES ( ) (7) Xie, Y.; Wang, T.-T.; Liu, X.-H.; Zou, K.; Deng, W.-Q. Capture
and Conversion of CO2 at Ambient Conditions by a Conjugated
Microporous Polymer. Nat. Commun. 2013, 4, 2960−2960. g g
pp
f
(25) Zhou, J.; Xie, S.; Amond, E. F.; Becker, M. L. Tuning Energy
Levels of Low Bandgap Semi-Random Two Acceptor Copolymers. Macromolecules 2013, 46, 3391−3394. g g
pp
f
(25) Zhou, J.; Xie, S.; Amond, E. F.; Becker, M. L. Tuning Energy Levels of Low Bandgap Semi-Random Two Acceptor Copolymers. Macromolecules 2013, 46, 3391−3394. (8) Sheng, X.; Guo, H.; Qin, Y.; Wang, X.; Wang, F. A Novel
Metalloporphyrin-Based Conjugated Microporous Polymer for
Capture and Conversion of CO2. RSC Adv. 2015, 5, 31664−31669. (26) Chen, L.; Honsho, Y.; Seki, S.; Jiang, D. Light-Harvesting
Conjugated Microporous Polymers: Rapid and Highly Efficient Flow
of Light Energy with a Porous Polyphenylene Framework as Antenna. J. Am. Chem. Soc. 2010, 132, 6742−6748. (9) Lindemann, P.; Tsotsalas, M.; Shishatskiy, S.; Abetz, V.; Krolla-
Sidenstein, P.; Azucena, C.; Monnereau, L.; Beyer, A.; Goelzhaeuser,
A.; Mugnaini, V.; Gliemann, H.; Braese, S.; Woell, C. Preparation of
Freestanding Conjugated Microporous Polymer Nanomembranes for
Gas Separation. Chem. Mater. 2014, 26, 7189−7193. (27) Xu, Y.-H.; Chen, L.; Guo, Z.-Q.; Nagai, A.; Jiang, D.-L. Light-
Emitting Conjugated Polymers with Microporous Network Architec-
ture: Interweaving Scaffold Promotes Electronic Conjugation,
Facilitates Exciton Migration, and Improves Luminescence. J. Am. Chem. Soc. 2011, 133, 17622−17625. (10) Qiao, S.; Du, Z.; Yang, R. Design and Synthesis of Novel
Carbazole-Spacer-Carbazole Type Conjugated Microporous Networks
for Gas Storage and Separation. J. Mater. Chem. A 2014, 2, 1877−
1885. (28) Chen, Q.; Wang, J.-X.; Yang, F.; Zhou, D.; Bian, N.; Zhang, X.-
J.; Yan, C.-G.; Han, B.-H. Tetraphenylethylene-Based Fluorescent
Porous Organic Polymers: Preparation, Gas Sorption Properties and
Photoluminescence Properties. J. Mater. Chem. 2011, 21, 13554−
13560. (11) Liu, X.; Xu, Y.; Jiang, D. Conjugated Microporous Polymers as
Molecular Sensing Devices: Microporous Architecture Enables Rapid
Response and Enhances Sensitivity in Fluorescence-on and
Fluorescence-Off Sensing. J. Am. Chem. Soc. 2012, 134, 8738−8741. (29) Lavigne, J. J.; Broughton, D. L.; Wilson, J. N.; Erdogan, B.;
Bunz, U. H. F. ″Surfactochromic″ Conjugated Polymers: Surfactant
Effects on Sugar-Substituted Ppes. Macromolecules 2003, 36, 7409−
7412. (12) Zhang, Y.; A, S.; Zou, Y.; Luo, X.; Li, Z.; Xia, H.; Liu, X.; Mu, Y. Gas Uptake, Molecular Sensing and Organocatalytic Performances of a
Multifunctional Carbazole-Based Conjugated Microporous Polymer. J. Mater. Chem. ■REFERENCES (1) Jiang, J.-X.; Su; Trewin, A.; Wood, C. D.; Campbell, N. L.; Niu,
H.; Dickinson, C.; Ganin, A. Y.; Rosseinsky, M. J.; Khimyak, Y. Z.;
Cooper, A. I. Conjugated Microporous Poly(Aryleneethynylene)
Networks. Angew. Chem., Int. Ed. 2007, 46, 8574−8578. (1) Jiang, J.-X.; Su; Trewin, A.; Wood, C. D.; Campbell, N. L.; Niu,
H.; Dickinson, C.; Ganin, A. Y.; Rosseinsky, M. J.; Khimyak, Y. Z.;
Cooper, A. I. Conjugated Microporous Poly(Aryleneethynylene)
Networks. Angew. Chem., Int. Ed. 2007, 46, 8574−8578. (21) Sprick, R. S.; Jiang, J.-X.; Bonillo, B.; Ren, S.; Ratvijitvech, T.;
Guiglion, P.; Zwijnenburg, M. A.; Adams, D. J.; Cooper, A. I. Tunable
Organic Photocatalysts for Visible-Light-Driven Hydrogen Evolution. J. Am. Chem. Soc. 2015, 137, 3265−3270. Cooper, A. I. Conjugated Microporous Poly(Aryleneethynylene)
Networks. Angew. Chem., Int. Ed. 2007, 46, 8574−8578. (2) Cooper, A. I. Conjugated Microporous Polymers. Adv. Mater. 2009, 21, 1291−1295. (2) Cooper, A. I. Conjugated Microporous Polymers. Adv. Mater. 2009, 21, 1291−1295. J
,
,
(22) Vyas, V. S.; Lotsch, B. V. Materials Chemistry Organic Polymers
l f (22) Vyas, V. S.; Lotsch, B. V. Materials Chemistry Organic Polymers
Form Fuel from Water. Nature 2015, 521, 41−42. (22) Vyas, V. S.; Lotsch, B. V. Materials Chemistry Organic Polymers
Form Fuel from Water. Nature 2015, 521, 41−42. Form Fuel from Water. Nature 2015, 521, 41−42. (3) Dawson, R.; Cooper, A. I.; Adams, D. J. Nanoporous Organic
Polymer Networks. Prog. Polym. Sci. 2012, 37, 530−563. (3) Dawson, R.; Cooper, A. I.; Adams, D. J. Nanoporous Organic
Polymer Networks. Prog. Polym. Sci. 2012, 37, 530−563. (23) Jung, I. H.; Kim, S. H.; Jeong, E.; Yang, R.; Lee, K.; Woo, H. Y.;
Shim, H.-K. Synthesis and Characterization of Fluorene and
Cyclopentadithiophene-Based Copolymers Exhibiting Broad Absorp-
tion for Photovoltaic Devices. J. Polym. Sci., Part A: Polym. Chem. 2011,
49, 1248−1255. (4) Xu, Y.; Jin, S.; Xu, H.; Nagai, A.; Jiang, D. Conjugated
Microporous Polymers: Design, Synthesis and Application. Chem. Soc. Rev. 2013, 42, 8012−8031. (5) Liu, Q.; Tang, Z.; Wu, M.; Zhou, Z. Design, Preparation and
Application of Conjugated Microporous Polymers. Polym. Int. 2014,
63, 381−392. (24) Liu, P.; Li, S.; Jin, Y.; Qian, L.; Gao, N.; Yao, S. Q.; Huang, F.;
Xu, Q.-H.; Cao, Y. Red-Emitting Dpsb-Based Conjugated Polymer
Nanoparticles with High Two-Photon Brightness for Cell Membrane
Imaging. ACS Appl. Mater. Interfaces 2015, 7, 6754−6763. (6) Zhang, Y.; Ying, J. Y. Main-Chain Organic Frameworks with
Advanced Catalytic Functionalities. ACS Catal. 2015, 5, 2681−2691. ■ABBREVIATIONS Efficient Heterogeneous Organo-Photocatalysis. Macromolecules 2013,
46, 8779−8783. CMP, conjugated microporous polymer
BT, benzothiadiazole
TBT, bisthiophenebenzothiadiazole
PDI, perylenediimide
CP, copolymer
VOC, volatile organic compound
PP, polyphenylene
l
l CMP, conjugated microporous polymer
BT benzothiadiazole (18) Weber, J.; Thomas, A. Toward Stable Interfaces in Conjugated
Polymers:
Microporous
Poly(P-Phenylene)
and
Poly-
(Phenyleneethynylene) Based on a Spirobifluorene Building Block. J. Am. Chem. Soc. 2008, 130, 6334−6335. BT, benzothiadiazole TBT, bisthiophenebenzothiadiazole (19) Brandt, J.; Schmidt, J.; Thomas, A.; Epping, J. D.; Weber, J. Tunable Absorption and Emission Wavelength in Conjugated
Microporous Polymers by Copolymerization. Polym. Chem. 2011, 2,
1950−1952. p y
VOC, volatile organic compound PP, polyphenylene LP, linear polymer (20) Jiang, J.-X.; Trewin, A.; Adams, D. J.; Cooper, A. I. Band Gap
Engineering in Fluorescent Conjugated Microporous Polymers. Chem. Sci. 2011, 2, 1777−1781. ■ACKNOWLEDGMENTS We thank Dr. Benjamin J. Slater and Prof. Dave J. Adams for
helpful discussions. Dr. Lin Chen, Dr. Tom Hasell, Dr. Shan 3478 DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 Chemistry of Materials Article Jiang, and Dr. Tobias Heil are acknowledged for help with
electron microscopy. Metal-Organic Conjugated Microporous Polymers. Angew. Chem., Int. Ed. 2011, 50, 1072−1075. (17) Jiang, J.-X.; Li, Y.; Wu, X.; Xiao, J.; Adams, D. J.; Cooper, A. I. Conjugated Microporous Polymers with Rose Bengal Dye for Highly (17) Jiang, J.-X.; Li, Y.; Wu, X.; Xiao, J.; Adams, D. J.; Cooper, A. I. Conjugated Microporous Polymers with Rose Bengal Dye for Highly
Efficient Heterogeneous Organo-Photocatalysis. Macromolecules 2013,
46, 8779−8783. ■REFERENCES y
J
y
,
,
(35) Cordovilla, C.; Swager, T. M. Strain Release in Organic
Photonic Nanoparticles for Protease Sensing. J. Am. Chem. Soc. 2012,
134, 6932−6935. (54) Yuan, K.; Guo-Wang, P.; Hu, T.; Shi, L.; Zeng, R.; Forster, M.;
Pichler, T.; Chen, Y.; Scherf, U. Nanofibrous and Graphene-
Templated Conjugated Microporous Polymer Materials for Flexible
Chemosensors and Supercapacitors. Chem. Mater. 2015, 27, 7403−
7411. (36) Laybourn, A.; Dawson, R.; Clowes, R.; Hasell, T.; Cooper, A. I.;
Khimyak, Y. Z.; Adams, D. J. Network Formation Mechanisms in
Conjugated Microporous Polymers. Polym. Chem. 2014, 5, 6325−
6333. (37) Lakowicz, J. R. Principles of Fluorescence Spectroscopy, 3rd ed.;
Springer: Berlin, 2006. (55) Lan, A.; Li, K.; Wu, H.; Olson, D. H.; Emge, T. J.; Ki, W.; Hong,
M.; Li, J. A Luminescent Microporous Metal-Organic Framework for
the Fast and Reversible Detection of High Explosives. Angew. Chem.,
Int. Ed. 2009, 48, 2334−2338. p
g
(38) Huang, J.; Wu, Y.; Fu, H.; Zhan, X.; Yao, J.; Barlow, S.; Marder,
S. R. Photoinduced Intramolecular Electron Transfer in Conjugated
Perylene Bisimide-Dithienothiophene Systems: A Comparative Study
of a Small Molecule and a Polymer. J. Phys. Chem. A 2009, 113, 5039−
5046. (56) Yi, F.-Y.; Wang, Y.; Li, J.-P.; Wu, D.; Lan, Y.-Q.; Sun, Z.-M. An
Ultrastable Porous Metal-Organic Framework Luminescent Switch
Towards Aromatic Compounds. Mater. Horiz. 2015, 2, 245−251. (39) Reineke, S.; Thomschke, M.; Luessem, B.; Leo, K. White
Organic Light-Emitting Diodes: Status and Perspective. Rev. Mod. Phys. 2013, 85, 1245−1293. p
(57) McQuade, D. T.; Pullen, A. E.; Swager, T. M. Conjugated
Polymer-Based Chemical Sensors. Chem. Rev. 2000, 100, 2537−2574. (58) Thomas, S. W., III; Joly, G. D.; Swager, T. M. Chemical Sensors
Based on Amplifying Fluorescent Conjugated Polymers Chem Rev (57) McQuade, D. T.; Pullen, A. E.; Swager, T. M. Conjugated
Polymer-Based Chemical Sensors. Chem. Rev. 2000, 100, 2537−2574. (58) Th
S W III J l
G D S
T M Ch
l S (57) McQuade, D. T.; Pullen, A. E.; Swager, T. M. Conjugated
Polymer-Based Chemical Sensors. Chem. Rev. 2000, 100, 2537−2574. (58) Thomas, S. W., III; Joly, G. D.; Swager, T. M. Chemical Sensors
Based on Amplifying Fluorescent Conjugated Polymers. Chem. Rev. 2007, 107, 1339−1386. (58) Thomas, S. W., III; Joly, G. D.; Swager, T. M. Chemical Sensors
Based on Amplifying Fluorescent Conjugated Polymers. Chem. Rev. 2007, 107, 1339−1386. (40) Liu, J.; Yee, K.-K.; Lo, K. K.-W.; Zhang, K. ■REFERENCES A 2014, 2, 13422−13430. (30) Wrighton, M. S.; Ginley, D. S.; Morse, D. L. Technique for the
Determination of Absolute Emission Quantum Yields of Powdered
Samples. J. Phys. Chem. 1974, 78, 2229−2233. (13) Kou, Y.; Xu, Y.-H.; Guo, Z.-Q.; Jiang, D.-L. Supercapacitive
Energy Storage and Electric Power Supply Using an Aza-Fused Π-
Conjugated Microporous Framework. Angew. Chem., Int. Ed. 2011, 50,
8753−8757. p
y
(31) Yang, J.-S.; Swager, T. M. Porous Shape Persistent Fluorescent
Polymer Films: An Approach to TNT Sensory Materials. J. Am. Chem. Soc. 1998, 120, 5321−5322. (14) Xu, F.; Chen, X.; Tang, Z.; Wu, D.; Fu, R.; Jiang, D. Redox-
Active Conjugated Microporous Polymers: A New Organic Platform
for Highly Efficient Energy Storage. Chem. Commun. 2014, 50, 4788−
4790. (32) Traiphol, R.; Charoenthai, N.; Srikhirin, T.; Kerdcharoen, T.;
Osotchan, T.; Maturos, T. Chain Organization and Photophysics of
Conjugated Polymer in Poor Solvents: Aggregates, Agglomerates and
Collapsed Coils. Polymer 2007, 48, 813−826. (15) Chen, L.; Yang, Y.; Jiang, D. Cmps as Scaffolds for Constructing
Porous Catalytic Frameworks: A Built-in Heterogeneous Catalyst with
High Activity and Selectivity Based on Nanoporous Metalloporphyrin
Polymers. J. Am. Chem. Soc. 2010, 132, 9138−9143. y
(33) Cyriac, A.; Amrutha, S. R.; Jayakannan, M. Renewable Resource-
Based Poly (M-Phenylenevinylene)S and Their Statistical Copoly-
mers: Synthesis, Characterization, and Probing of Molecular
Aggregation and Forster Energy Transfer Processes. J. Polym. Sci.,
Part A: Polym. Chem. 2008, 46, 3241−3256. (16) Jiang, J.-X.; Wang, C.; Laybourn, A.; Hasell, T.; Clowes, R.;
Khimyak, Y. Z.; Xiao, J.; Higgins, S. J.; Adams, D. J.; Cooper, A. I. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 3479 Chemistry of Materials Article (34) Davies, M. L.; Douglas, P.; Burrows, H. D.; da Graca Miguel,
M.; Douglas, A. Effect of Aggregation on the Photophysical Properties (52) Gopalakrishnan, D.; Dichtel, W. R. Real-Time, Ultrasensitive
Detection of RDX Vapors Using Conjugated Network Polymer Thin
Films. Chem. Mater. 2015, 27, 3813−3816. (34) Davies, M. L.; Douglas, P.; Burrows, H. D.; da Graca Miguel,
M.; Douglas, A. Effect of Aggregation on the Photophysical Properties
of Three Fluorene-Phenylene-Based Cationic Conjugated Polyelec-
trolytes. J. Phys. Chem. B 2011, 115, 6885−6892. of Three Fluorene-Phenylene-Based Cationic Conjugated Polyelec-
trolytes. J. Phys. Chem. B 2011, 115, 6885−6892. (53) Ma, H.; Li, B.; Zhang, L.; Han, D.; Zhu, G. Targeted Synthesis
of Core-Shell Porous Aromatic Frameworks for Selective Detection of
Nitro Aromatic Explosives Via Fluorescence Two-Dimensional
Response. J. Mater. Chem. A 2015, 3, 19346−19352. DOI: 10.1021/acs.chemmater.6b01195
Chem. Mater. 2016, 28, 3469−3480 ■REFERENCES Y.; To, W.-P.; Che,
C.-M.; Xu, Z. Selective Ag(I) Binding, H2s Sensing, and White-Light
Emission from an Easy-to-Make Porous Conjugated Polymer. J. Am. Chem. Soc. 2014, 136, 2818−2824. (59) Müllen, K. Molecular Defects in Organic Materials. Nature
Reviews Materials 2016, 1, 15013. (41) Zhang, P.; Wu, K.; Guo, J.; Wang, C. From Hyperbranched
Polymer to Nanoscale CMP (NCMP): Improved Microscopic
Porosity, Enhanced Light Harvesting, and Enabled Solution Processing
into White-Emitting Dye@NCMP Films. ACS Macro Lett. 2014, 3,
1139−1144. (42) Zhu, M.; Zou, J.; Hu, S.; Li, C. g.; Yang, C.; Wu, H.; Qin, J.;
Cao, Y. Highly Efficient Single-Layer White Polymer Light-Emitting
Devices Employing Triphenylamine-Based Iridium Dendritic Com-
plexes as Orange Emissive Component. J. Mater. Chem. 2012, 22,
361−366. (43) Sudyoadsuk, T.; Moonsin, P.; Prachumrak, N.; Namuangruk, S.;
Jungsuttiwong, S.; Keawin, T.; Promarak, V. Carbazole Dendrimers
Containing Oligoarylfluorene Cores as Solution-Processed Hole-
Transporting Non-Doped Emitters for Efficient Pure Red, Green,
Blue and White Organic Light-Emitting Diodes. Polym. Chem. 2014, 5,
3982−3993. Blue and White Organic Light-Emitting Diodes. Polym. Chem. 2014, 5,
3982−3993. (44) Shih, H.-M.; Wu, R.-C.; Shih, P.-I.; Wang, C.-L.; Hsu, C.-S. Synthesis of Fluorene-Based Hyperbranched Polymers for Solution-
Processable Blue, Green, Red, and White Light-Emitting Devices. J. Polym. Sci., Part A: Polym. Chem. 2012, 50, 696−710. y
y
(45) Kim, J.; Park, J.; Jin, S.-H.; Lee, T. S. Synthesis of Conjugated,
Hyperbranched Copolymers for Tunable Multicolor Emissions in
Light-Emitting Diodes. Polym. Chem. 2015, 6, 5062−5069. (46) Emission spectra were corrected according to the method
reported in ref 37. But even after careful corrections are made, the
results are only accurate to ± 10%, which would explain the
disagreement between CIE coordinates and the actual color. g
(47) Throughout this discussion, the terms “core” and “shell” refer to
separate chromophore domains, but those may not exist as idealized
core−shell structures, as in this simple schematic representation. p
p
(48) Xu, Y.; Nagai, A.; Jiang, D. Core-Shell Conjugated Microporous
Polymers: A New Strategy for Exploring Color-Tunable and
-Controllable Light Emissions. Chem. Commun. 2013, 49, 1591−1593. (49) Gopalakrishnan, D.; Dichtel, W. R. Direct Detection of RDX
Vapor Using a Conjugated Polymer Network. J. Am. Chem. Soc. 2013,
135, 8357−8362. (50) Novotney, J. L.; Dichtel, W. R. Conjugated Porous Polymers for
TNT Vapor Detection. ACS Macro Lett. 2013, 2, 423−426. (50) Novotney, J. L.; Dichtel, W. R. Conjugated Porous Polymers for
TNT Vapor Detection. ACS Macro Lett. 2013, 2, 423−426. (50) Novotney, J. L.; Dichtel, W. R. Conjugated Porous Polymers for
TNT Vapor Detection. ACS Macro Lett. 2013, 2, 423−426.
(51) Wu, X.; Li, H.; Xu, Y.; Xu, B.; Tong, H.; Wang, L. Thin Film
Fabricated from Solution-Dispersible Porous Hyperbranched Con-
jugated Polymer Nanoparticles without Surfactants. Nanoscale 2014, 6,
2375−2380. ■REFERENCES (51) Wu, X.; Li, H.; Xu, Y.; Xu, B.; Tong, H.; Wang, L. Thin Film
Fabricated from Solution-Dispersible Porous Hyperbranched Con-
jugated Polymer Nanoparticles without Surfactants. Nanoscale 2014, 6,
2375−2380. p
,
,
(51) Wu, X.; Li, H.; Xu, Y.; Xu, B.; Tong, H.; Wang, L. Thin Film
Fabricated from Solution-Dispersible Porous Hyperbranched Con-
jugated Polymer Nanoparticles without Surfactants. Nanoscale 2014, 6,
2375−2380. 3480
|
https://openalex.org/W2275592840
|
https://www.zora.uzh.ch/id/eprint/127223/1/Leonard_Dewez_2016_3832917.pdf
|
English
| null |
Penicillin G-Induced Chlamydial Stress Response in a Porcine Strain of<i>Chlamydia pecorum</i>
|
International journal of microbiology
| 2,016
|
cc-by
| 9,930
|
Zurich Open Repository and
Archive Zurich Open Repository and
Archive
University of Zurich
University Library
Strickhofstrasse 39
CH-8057 Zurich
www.zora.uzh.ch Year: 2016 Penicillin g-induced chlamydial stress response in a porcine strain of chlamydia
pecorum Leonard, Cory Ann ; Dewez, Frederic ; Borel, Nicole DOI: https://doi.org/10.1155/2016/3832917 DOI: https://doi.org/10.1155/2016/3832917 DOI: https://doi.org/10.1155/2016/3832917 Posted at the Zurich Open Repository and Archive, University of Zurich
ZORA URL: https://doi.org/10.5167/uzh-127223
Journal Article
Published Version
The following work is licensed under a Creative Commons: Attribution 4. Posted at the Zurich Open Repository and Archive, University of Zurich
ZORA URL: https://doi.org/10.5167/uzh-127223
Journal Article
Published Version Originally published at:
Leonard, Cory Ann; Dewez, Frederic; Borel, Nicole (2016). Penicillin g-induced chlamydial stress response in a
porcine strain of chlamydia pecorum. International Journal of Microbiology, 2016:3832917. DOI: https://doi.org/10.1155/2016/3832917 g
y p
Leonard, Cory Ann; Dewez, Frederic; Borel, Nicole (2016). Penicillin g-induced chlamydial stress response in a
porcine strain of chlamydia pecorum. International Journal of Microbiology, 2016:3832917. DOI htt
//d i
/10 1155/2016/3832917 Hindawi Publishing Corporation
International Journal of Microbiology
Volume 2016, Article ID 3832917, 10 pages
http://dx.doi.org/10.1155/2016/3832917 Hindawi Publishing Corporation
International Journal of Microbiology
Volume 2016, Article ID 3832917, 10 pages
http://dx.doi.org/10.1155/2016/3832917 Cory Ann Leonard,1 Frederic Dewez,2 and Nicole Borel1 2University of Lille-Sciences and Technologies, Cite Scientifique, Villeneuve d’Ascq Cedex, 59655 Lille, France Correspondence should be addressed to Nicole Borel; n.borel@access.uzh.ch Received 2 December 2015; Accepted 26 January 2016 Academic Editor: Todd R. Callaway Copyright © 2016 Cory Ann Leonard et al. This is an open access article distributed under the Creative Commons Attribution
License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly
cited. Chlamydia pecorum causes asymptomatic infection and pathology in ruminants, pigs, and koalas. We characterized the
antichlamydial effect of the beta lactam penicillin G on Chlamydia pecorum strain 1710S (porcine abortion isolate). Penicillin-
exposed and mock-exposed infected host cells showed equivalent inclusions numbers. Penicillin-exposed inclusions contained
aberrant bacterial forms and exhibited reduced infectivity, while mock-exposed inclusions contained normal bacterial forms and
exhibited robust infectivity. Infectious bacteria production increased upon discontinuation of penicillin exposure, compared to
continued exposure. Chlamydia-induced cell death occurred in mock-exposed controls; cell survival was improved in penicillin-
exposed infected groups. Similar results were obtained both in the presence and in the absence of the eukaryotic protein translation
inhibitor cycloheximide and at different times of initiation of penicillin exposure. These data demonstrate that penicillin G induces
the chlamydial stress response (persistence) and is not bactericidal, for this chlamydial species/strain in vitro, regardless of host cell
de novo protein synthesis. Cory Ann Leonard,1 Frederic Dewez,2 and Nicole Borel1
1Department of Pathobiology, Institute of Veterinary Pathology, University of Zurich, Winterthurerstrasse 268,
8057 Zurich, Switzerland
2University of Lille-Sciences and Technologies, Cite Scientifique, Villeneuve d’Ascq Cedex, 59655 Lille, France Cory Ann Leonard,1 Frederic Dewez,2 and Nicole Borel1
1Department of Pathobiology, Institute of Veterinary Pathology, University of Zurich, Winterthurerstrasse 268,
8057 Zurich, Switzerland
2University of Lille-Sciences and Technologies, Cite Scientifique, Villeneuve d’Ascq Cedex, 59655 Lille, France 1. Introduction The C. pecorum strain 1710S was originally isolated in
Austria from a swine abortion, in association with a large out-
break of chlamydiosis of varying clinical presentation [3, 4]. C. pecorum 1710S experimentally infected gnotobiotic piglets
demonstrated mild to moderate diarrhea and a transient
stop of weight gain; these symptoms were associated with
mild to moderate villus atrophy and mixed inflammatory
cell infiltrates in the small intestinal mucosa [5]. C. pecorum
1710S was also implicated, by sequence homology of cloned
Chlamydia omp1 genus-specific PCR products, in 8 of 9
Chlamydia-positive aborted fetuses of Swiss swine [6, 7],
emphasizing the pathogenic potential of this isolate. More
recently, 51 female calves in the US, evaluated from birth to
6 months, all became C. pecorum-positive by 23S rRNA PCR
and ompA genotyping of conjunctival and vaginal swabs; C. pecorum 1710S was 1 of the 3 C. pecorum strains identified
by PCR product sequencing [8]. Interestingly, in this study,
C. pecorum infections were associated with failure to gain
weight and increased conjunctival redness but not intestinal The family Chlamydiaceae comprises Gram negative, obli-
gate intracellular bacterial pathogens of humans and wild
and domestic animals. In humans, C. trachomatis causes
trachoma and blindness as well as genital tract infection
and infertility, while C. pneumoniae seropositivity is highly
prevalent and infection can be associated with respiratory
disease and atherosclerosis. C. psittaci and C. abortus are
important pathogens of birds and farm animals and are
capable of zoonotic transmission to humans. C. pecorum
is generally accepted as an important pathogen of cat-
tle, sheep, and especially koalas [1]. Symptoms associated
with C. pecorum infection include polyarthritis, pneumonia,
encephalomyelitis, and abortion in livestock and conjunctivi-
tis, urinary/reproductive disease, and infertility in koalas [1]. In pigs, C. pecorum has been associated with pneumonia,
enteritis, polyarthritis, pericarditis/pleuritis, and urogenital
infections, as well as asymptomatic infections [2]. International Journal of Microbiology 2 symptoms or other diseases [8]. Taken together, these data
indicate that C. pecorum 1710S has pathogenic potential
and/or can lead to decrease of animal weight gain in both
swine and cattle. bacteria production and aberrant, enlarged bacterial forms
called aberrant bodies (AB) detectable by immunofluores-
cence and transmission electron microscopy [25, 28–30]. We
further determine that, under the experimental conditions
used herein, penicillin G induces chlamydial stress in C. 2. Materials and Methods 2.1. Host Cells. HeLa cells (human cervical adenocar-
cinoma epithelial cells, CCL-2, American Type Culture
Collection, Manassas, VA, USA) were cultured for cell
propagation and maintenance at 37∘C and 5% CO2 in
growth medium. Growth medium was comprised of Min-
imal Essential Medium (MEM) with Earle’s salts, 25 mM
HEPES, without L-Glutamine (GIBCO, Invitrogen, Carlsbad,
CA, USA) supplemented with 10% fetal calf serum (FCS,
BioConcept, Allschwil, Switzerland), 4 mM GlutaMAX-I
(200 mM, GIBCO), 1% MEM Nonessential Amino Acids
(100x, GIBCO), and 0.2 mg/mL gentamycin (50 mg/mL,
GIBCO). For experiments, cells were seeded in 24-well
plates (Techno Plastic Products AG (TPP), Trasadingen,
Switzerland) at 3 × 105 cells per well in 1 mL growth medium
without gentamycin. Cells were seeded on 13 mm diameter
glass coverslips (Sterilin Limited, Thermo Fisher Scientific,
Cambridge, UK) for immunofluorescence (IF) microscopy or
transmission electron microscopy (TEM) or directly in the
24-well plates, without coverslips, for titration by subpassage. Infection medium, used for inoculating cells with Chlamydia,
consisted of all growth medium components except FCS and
gentamycin. Incubation medium, used to replace infection
medium after inoculation with Chlamydia, consisted of all
growth medium components except gentamycin and was
further supplemented with 1 𝜇g/mL cycloheximide (Sigma-
Aldrich, St. Louis, MO, USA) immediately before use. In
some experiments, growth medium without cycloheximide
supplementation was used for incubation. In the more well-studied Chlamydiae, such as C. tra-
chomatis, C. muridarum, C. pneumoniae and C. psittaci, beta
lactam antibiotics, such as penicillin and ampicillin, have his-
torically and consistently been demonstrated to be ineffective
against eradicating chlamydial infection, both in vitro and in
animal models [16–22]. Instead of killing the Chlamydiae,
beta lactams induce persistence or the chlamydial stress
response, defined as a viable but noninfectious divergence
from the normal chlamydial biphasic developmental cycle
[23]. Persistent/stressed Chlamydiae are less susceptible to
killing by antibiotics such as azithromycin [21, 24], unde-
tectable by culture, and capable of resuming infectious
bacteria production upon removal of the stressor/antibiotic
[25]. Information about the efficacy of antibiotics against C. pecorum specifically, however, is very limited. A single in vitro
study of 3 calf and lamb C. pecorum isolates indicated that
macrolides, tetracyclines, and quinolones, but not the beta
lactam ampicillin, prevented inclusion formation; however,
AB induction, infectious bacterial production and potential
recovery upon removal of ampicillin were not evaluated [26]. More recently, 10 koala C. 1. Introduction pecorum 1710S regardless of inclusion/exclusion of cyclohex-
imide (which limits host de novo protein synthesis), though
recovery is more robust in the presence of cycloheximide. Finally, initiation of penicillin exposure at 0 or 14 hours
postinfection (hpi) yields equivalent reductions of infectious
EB production and subsequent recovery of infectious EB
production. In livestock, infections are routinely treated with antibi-
otics, especially tetracyclines [9]. However, the use of tetra-
cyclines has been shown to be both ineffective in eradicating
chlamydial infections in swine [10] and associated with the
presence of tetracycline-resistant C. suis [11]. Beta lactam
antibiotics, such as penicillin and amoxicillin, are widely used
for various infections, and their persistence in animal tissue
is a particular concern in meat and dairy animals, largely due
to possible dangerous effects in penicillin-allergic individuals
[12, 13]. In swine specifically, penicillin G has been detected
in various tissues/organs, especially the kidney, for up to 39
days after injection and is expected to persist in detectable
amounts for up to 47 days [14, 15]. C. pecorum infections in
pigs are frequently asymptomatic and/or are not diagnosed
because they are considered unimportant pathogens in swine
[2]. At the same time, the use of both veterinary-approved
and off-label antibiotics is widespread in pig production. Therefore, it is likely that pigs asymptomatically infected with
C. pecorum are treated with antibiotics administered for other
purposes. International Journal of Microbiology HeLa cells were cultivated overnight in 24-
well plates and were subsequently infected with C. pecorum
1710S at 1 multiplicity of infection (MOI) in 1 mL infection
medium per well and centrifuged for 1 hour (h) at 1000 g
and 25∘C. After centrifugation, infection medium was imme-
diately replaced with incubation medium and cultures were
incubated at 37∘C and 5% CO2 as previously described [31]. 2.4. Study Design, Infection, and Exposure of Infected Host
Cells to Penicillin. HeLa cells were cultivated overnight in 24-
well plates and were subsequently infected with C. pecorum
1710S at 1 multiplicity of infection (MOI) in 1 mL infection
medium per well and centrifuged for 1 hour (h) at 1000 g
and 25∘C. After centrifugation, infection medium was imme-
diately replaced with incubation medium and cultures were
incubated at 37∘C and 5% CO2 as previously described [31]. The crude stocks used resulted in approximate control infec-
tion rates of 50%; this corresponded to approximately 107
recoverable inclusion-forming units (IFU) per well for mock-
exposed infected cells after 35 hours of incubation. The effect
of penicillin G on C. pecorum inclusions was determined by
adding penicillin G to a final concentration of 1 U/mL, to
the incubation medium of infected cells at 𝑇0, immediately
after infection, or at 𝑇14, 14 hours after infection (Figure 1). In experiments evaluating recovery from penicillin G, incu-
bation medium was changed at 35 hours postinfection (hpi)
to continue exposure or discontinue exposure (recovery) to
penicillin. This time, 35 hpi, corresponds to the presence of
mature C. pecorum 1710S inclusions in HeLa culture, but no
significant host cell lysis, as previously reported [32]. 2.6. Chlamydial Titration by Subpassage. HeLa cells were
grown on glass coverslips as described above. Immediately
prior to use, the previously prepared and frozen samples
were thawed and sonicated on ice for 5 minutes. Sonicated
samples were serially diluted in infection medium on the
prepared HeLa cells. Centrifugation, infection medium
replacement with incubation medium (containing 1 𝜇g/mL
cycloheximide for all experiments), and incubation were
carried out as described for infection of host cells. Fixation
and immunostaining were performed exactly as described
for IF microscopy. International Journal of Microbiology International Journal of Microbiology International Journal of Microbiology 3 Infection
exposure
Sample
Media change, continued
exposure, or recovery
Sample
24 hours
Sample
48 hours
exposure
1h
35h
24h
24h
0
35 hpi
T0: PenG
T14: PenG
Figure 1: Study Design. The diagram illustrates infection and expo-
sure beginning at 𝑇0, immediately postinfection, or at 𝑇14, 14 hours
postinfection (hpi). HeLa cells were infected with Chlamydia peco-
rum 1710S, exposed to penicillin G (PenG) in incubation medium,
and incubated until 35 hpi, at which time samples were collected
for analysis. For recovery experiments, incubation medium was
changed for continued PenG exposure or discontinued exposure
(recovery), and samples were subjected to 24 or 48 hours (h) of
additional incubation before sample collection. Infection
exposure
Sample
Media change, continued
exposure, or recovery
Sample
24 hours
Sample
48 hours
exposure
1h
35h
24h
24h
0
35 hpi
T0: PenG
T14: PenG absolute methanol (−20∘C) for 10 minutes. For transmission
electron microscopy (TEM), cells were fixed with 2.5% glu-
taraldehyde (Electron Microscopy Sciences, Fort Washing-
ton, USA) for 1 h and embedded in epoxy resin (Fluka; Sigma-
Aldrich) by routine methods. For titration by subpassage
infected monolayers collected at 35 hpi were scraped into
1 mL of fresh infection medium and stored at −80∘C. Because
C. pecorum 1710S-infected HeLa cells undergo significant lysis
and EB release soon after 35 hpi, as previously reported [32],
for continued exposure or recovery sample collection for
titration by subpassage, infected monolayers were scraped
into the existing incubation medium and stored at −80∘C. In
all experiments, biological duplicates were generated for each
experimental condition. Figure 1: Study Design. The diagram illustrates infection and expo-
sure beginning at 𝑇0, immediately postinfection, or at 𝑇14, 14 hours
postinfection (hpi). HeLa cells were infected with Chlamydia peco-
rum 1710S, exposed to penicillin G (PenG) in incubation medium,
and incubated until 35 hpi, at which time samples were collected
for analysis. For recovery experiments, incubation medium was
changed for continued PenG exposure or discontinued exposure
(recovery), and samples were subjected to 24 or 48 hours (h) of
additional incubation before sample collection. 2.5. IF Microscopy. C. pecorum inclusions were visual-
ized using 1 : 200 diluted Chlamydiaceae family-specific
mouse monoclonal antibody directed against the chlamydial
lipopolysaccharide (LPS, Clone ACI-P; Progen, Heidelberg,
Germany) and 1 : 500 diluted Alexa Fluor 488-conjugated
secondary goat anti-mouse antibody (Molecular Probes,
Eugene, OR, USA). International Journal of Microbiology Host and chlamydial DNA were labeled
with 1 𝜇g/mL 4,6-diamidino-2-phenylindole dihydrochlo-
ride (DAPI, Molecular Probes). Coverslips were mounted
with FluoreGuard mounting medium (Hard Set; ScyTek
Laboratories Inc., Logan, UT, USA) on glass slides. Slides
were evaluated using a Leica DMLB fluorescence micro-
scope (Leica Microsystems, Wetzlar, Germany) under oil
immersion at 1000x magnification with a 1006 objective (PL
FLUOTAR 100x/1.30, OIL, ∞/0.17/D, Leica Microsystems)
and a 106 ocular objective (Leica L-Plan 10x/25 M, Leica
Microsystems). To determine percent of cells infected (inclu-
sions per nucleus) and mean number of nuclei per field
(to evaluate possible cell loss from the monolayer), HeLa
nuclei and corresponding chlamydial inclusions in each of
10 randomly selected microscopic fields were counted per
duplicate coverslip (at least 200 HeLa nuclei per coverslip),
and the mean of coverslips values was generated for each
experimental condition. Representative microscopic images
were captured using BonTec software (BonTec) and a UI-
2250SE-C-HQ camera (uEye, IDS Imaging Development
Systems GmbH, Obersulm, Germany). 2.3. Penicillin Reagent. Penicillin G sodium salt (Sigma-
Aldrich) was dissolved in sterile deionized water to a stock
concentration of 20,000 units (U)/mL, filter-sterilized, and
stored at −20∘C. Aliquots of this penicillin G stock were
thawed and further diluted in sterile water to a working
concentration of 100 U/mL immediately before use. Working
solutions were stored for less than one week at 4∘C, as
per manufacturer’s recommendation. The final penicillin G
concentration used in experiments, 1 U/mL, was achieved
by 10 𝜇L/mL dilution of working solution in the incubation
medium of penicillin-exposed samples. Sterile water (dilu-
ent) of an equivalent volume was similarly used to generate
control (mock-exposed) samples. 2.3. Penicillin Reagent. Penicillin G sodium salt (Sigma-
Aldrich) was dissolved in sterile deionized water to a stock
concentration of 20,000 units (U)/mL, filter-sterilized, and
stored at −20∘C. Aliquots of this penicillin G stock were
thawed and further diluted in sterile water to a working
concentration of 100 U/mL immediately before use. Working
solutions were stored for less than one week at 4∘C, as
per manufacturer’s recommendation. The final penicillin G
concentration used in experiments, 1 U/mL, was achieved
by 10 𝜇L/mL dilution of working solution in the incubation
medium of penicillin-exposed samples. Sterile water (dilu-
ent) of an equivalent volume was similarly used to generate
control (mock-exposed) samples. 2.4. Study Design, Infection, and Exposure of Infected Host
Cells to Penicillin. 2. Materials and Methods pecorum isolates were evaluated
for susceptibility to enrofloxacin, chloramphenicol, and flor-
fenicol, but beta lactam antibiotics were not considered [27]. Thus, the ability of beta lactam antibiotics to reversibly abro-
gate C. pecorum infectivity, by definition inducing chlamydial
stress/persistence, has not been demonstrated. The aim of our
study is characterization of the in vitro antichlamydial effect
of the beta lactam penicillin G on the C. pecorum porcine
abortion strain 1710S, a potentially significant pathogen of
swine and other economically important animals. 2.2. Chlamydial Strain. C. pecorum 1710S (isolate from a
swine abortion) was kindly provided by Professor Storz,
Baton Rouge, LA, USA [3] and propagated in HeLa cells. Crude C. pecorum stock was generated by mechanical dis-
ruption (scraping) of infected HeLa cells into infection
medium, sonication (Branson Sonifier 250; Branson Ultra-
sonics, Danbury, CT, USA) on ice, centrifugation of infec-
tious particles from the medium at 10,000 g at 4∘C for 45
minutes, and suspension in SPG medium. Stock was stored
at −80∘C and frozen stock aliquots were thawed immediately
before infections were carried out. SPG medium consisted of
218 mM sucrose (Sigma-Aldrich), 3.76 mM KH2PO4 (Sigma-
Aldrich), 7.1 mM K2HPO4 (Merck Eurolab AG, Dietlikon,
Switzerland), and 5 mM GlutaMAX-100 (GIBCO). Our data indicate that the effect of penicillin G on C. pecorum 1710S is consistent with the definition of chlamydial
stress/persistence. Specifically, persistence/chlamydial stress
is characterized by reversible reduced or abolished infectious International Journal of Microbiology 0
20
40
60
80
Mock
PenG
Infection (%)
0
10
20
30
40
Mock PenG
Nuclei/feld Infection (%)
0
20
40
60
80
Mock PenG
0
10
20
30
40
Mock
PenG
Nuclei/feld (b) Figure 2: Penicillin G exposure induces aberrant body formation and reduces infectious elementary body production in Chlamydia pecorum. C. pecorum-infected HeLa cells were exposed to penicillin G (PenG), at 0 hours postinfection (hpi) until 35 hpi. Control infected cells were
exposed to diluent only (mock). Cycloheximide was included (a) or not included (b) in the incubation medium. Inclusions were visualized
using an antibody directed against chlamydial lipopolysaccharide (green), and DNA was labeled with 4,6-diamidino-2-phenylindole
dihydrochloride (blue). Percent of host cells infected and mean nuclei per field was determined by evaluation of 10 fields (≥200 cells), per
coverslip, per sample. Representative immunofluorescence and transmission electron microscopic images illustrate normal inclusions in
mock-exposed controls and inclusions containing aberrant bodies upon penicillin exposure. Infectious elementary body production was
determined by titration by subpassage and expressed as inclusion-forming units (IFU)/mL. Results are means ± standard deviation. The
two-tailed t-test was used to compare means; p ≤0.05 = significant (∗); 𝑛= 3 (a) or 𝑛= 2 (b). Scale bars = 5 𝜇m. generated for each experimental condition. IFU/mL of
undiluted inoculum (representing IFU per total collected
material from a single well of a 24-well plate) was calculated
according to previously published methods [33]. http://www.graphpad.com/quickcalcs/ttest1/ (accessed June
2014). Unless stated otherwise, results are displayed as means
± standard deviation, of the results from 2 or 3 independent
experiments. In cases where a single confirmatory experi-
ment is noted, results are displayed as means ± standard
deviation, of the two biological duplicates. 2.7. TEM. Ultrathin (80 nm) sections were mounted on gold
grids (Merck) and contrasted with uranyl acetate dehydrate
(Fluka; Sigma-Aldrich) and lead citrate (Merck). Sections
were subsequently evaluated using a Philips CM10 electron
microscope (Software release version 5.1; FEI Company,
Hillsboro, OR, USA) and imaged using a Gatan Orius SC 1000
CCD Camera with software version Digital Micrograph 2.30
(Gatan Inc., Warrendale, PA, USA). All images were analyzed
using Photoshop CS6 software (Adobe Systems Incorporated,
San Jose, CA, USA). International Journal of Microbiology To determine the presence of AB,
bacterial morphology analysis was carried out, as previously
described [34]: EB (dark, 0.25–0.5 𝜇m), IB (intermediate
bodies; dark center and pale periphery, equivalent in size to
EB or RB), RB (pale, 0.5–1 𝜇m), and AB (pale, ≥2 𝜇m). International Journal of Microbiology The number of inclusions in 30 random
microscopic fields per duplicate coverslip was counted using
a Leica fluorescence microscope at 200x magnification with
a 206 objective (PL FLUOTAR 20x/0.50 PH 2, ∞/0.17/B)
and a 106 ocular objective (Leica L-Plan 10x/25 M, Leica
Microsystems), and the mean of coverslips values was At the indicated times, samples were collected and pro-
cessed for further analysis as previously described [31]. For
immunofluorescence (IF) microscopy, cells were fixed with 4 International Journal of Microbiology 4
International Journal of Microbiology
0
20
40
60
80
Mock
PenG
Infection (%)
0
10
20
30
40
Mock PenG
Nuclei/feld
Mock
PenG
(IFU/mL)
Mock
PenG
Mock
PenG
1.00E + 08
7.39E + 07 5.43E + 03
1.00E + 07
1.00E + 06
1.00E + 05
1.00E + 04
1.00E + 03
∗
(a)
Infection (%)
0
20
40
60
80
Mock PenG
Mock
PenG
(IFU/mL)
0
10
20
30
40
Mock
PenG
Nuclei/feld
Mock
PenG
1.25E + 01
4.42E + 06
1.00E + 08
1.00E + 07
1.00E + 06
1.00E + 05
1.00E + 04
1.00E + 03
∗
(b)
Figure 2: Penicillin G exposure induces aberrant body formation and reduces infectious elementary body production in Chlamydia pecorum. C. pecorum-infected HeLa cells were exposed to penicillin G (PenG), at 0 hours postinfection (hpi) until 35 hpi. Control infected cells were
exposed to diluent only (mock). Cycloheximide was included (a) or not included (b) in the incubation medium. Inclusions were visualized
using an antibody directed against chlamydial lipopolysaccharide (green), and DNA was labeled with 4,6-diamidino-2-phenylindole
dihydrochloride (blue). Percent of host cells infected and mean nuclei per field was determined by evaluation of 10 fields (≥200 cells), per
coverslip, per sample. Representative immunofluorescence and transmission electron microscopic images illustrate normal inclusions in
mock-exposed controls and inclusions containing aberrant bodies upon penicillin exposure. Infectious elementary body production was
determined by titration by subpassage and expressed as inclusion-forming units (IFU)/mL. Results are means ± standard deviation. The
two-tailed t-test was used to compare means; p ≤0.05 = significant (∗); 𝑛= 3 (a) or 𝑛= 2 (b). Scale bars = 5 𝜇m. 3. Results and Discussion In this study we evaluated the effect of the beta lactam antibi-
otic penicillin G on a porcine abortion strain of Chlamydia
pecorum (1710S). Based on previous reports that various
chlamydial species enter chlamydial stress/persistence upon
beta lactam exposure [16–22], we hypothesized that penicillin
G would induce chlamydial stress in C. pecorum 1710S. Because inclusion/exclusion of the eukaryotic protein synthe-
sis inhibitor cycloheximide has the potential to influence the
effect of beta lactams on Chlamydiae [35], we evaluated the
effect of penicillin G on C. pecorum in the presence of cyclo-
heximide and performed a single confirmatory experiment in
the absence of cycloheximide. 2.8. Statistical Analysis. In all experiments, biological dupli-
cates were averaged to generate results. Statistical analyses
were performed using Microsoft Excel. Significance of the
difference of means was determined by unpaired 𝑡-test and
𝑝values of <0.05 were considered significant. 𝑝values
were confirmed using the GraphPad QuickCalcs Web site: HeLa cells were infected with C. pecorum, exposed to
penicillin G or sterile water (mock-exposed control) in the
cycloheximide-containing or cycloheximide-free incubation
medium at 0 hours postinfection (hpi), and incubated until
35 hpi (Figure 1). For cycloheximide-exposed HeLa/C. peco-
rum (Figure 2(a)), infection rates of 50–52% of diluent- or International Journal of Microbiology International Journal of Microbiology 5 Table 1: Chlamydia pecorum recovers infectious elementary body production (inclusion-forming units/mL) upon discontinuation of
penicillin G exposure. Table 1: Chlamydia pecorum recovers infectious elementary body production (inclusion-forming units/mL) upon discontinuation of
penicillin G exposure. Table 1: Chlamydia pecorum recovers infectious elementary body production (inclusion-forming units/mL) upon discontinuation of
penicillin G exposure. 3. Results and Discussion Upon 24 h or 48 h of continued
culture, significant Chlamydia-induced cell death occurred in
mock-exposed controls, while cell survival was comparatively
improved in 0 hpi penicillin-exposed groups, regardless of
inclusion/exclusion of cycloheximide. In the presence of
cycloheximide, mean nuclei per field values ranged from
17 to 20 for 0 hpi penicillin-exposed cells, upon both 24 h
and 48 h of continued culture, while mock-exposed controls
retained only 1–3 nuclei per field (Figure 3(a)). In the absence
of cycloheximide, mean nuclei per field values were larger
and ranged from 47 to 52 for 0 hpi penicillin-exposed cells
at 24 and 48 h of further culture, while mock-exposed cells
retained 12–25 nuclei per field (Figure 3(b)). Therefore, for
24 h and 48 h continued culture, penicillin G exposure signif-
icantly protected HeLa cells from C. pecorum 1710S-induced
cell death independent of cycloheximide inclusion/exclusion. Thus, cells remained present in both cycloheximide-exposed
and unexposed HeLa monolayers as a source of con-
stituents/metabolites for potentially recovering Chlamydiae. y
By IF microscopy, AB were easily observed in all
inclusions in 0 hpi penicillin-exposed infected cells, whether
cycloheximide was included (Figure 2(a)) or excluded
(Figure 2(b)). Corresponding mock-exposed infected cells
contained no AB, regardless of the inclusion/exclusion of
cycloheximide. Confirmatory TEM analysis (Figure 2(a))
demonstrated that the AB observed by IF microscopy were
at least 2 𝜇m in diameter, as is typical for AB, and that
mock-exposed controls included EB and RB of normal size
and morphology [34]. Titration by subpassage was used to
evaluate infectious EB production, measured as inclusion-
forming units (IFU) per mL. Mock-exposed inclusions
cultured in the presence of cycloheximide yielded 7.39 ×
107 IFU/mL (per well of cells), while 0 hpi penicillin-exposed
inclusions yielded 5.43 × 103 IFU/mL (Figure 2(a)). In the
absence of cycloheximide, mock-exposed inclusions yielded
4.42 × 106 IFU/mL, while 0 hpi penicillin-exposed inclusions
yielded 1.25 × 101 IFU/mL (Figure 2(b)). Inclusion of cyclo-
heximide resulted in increased IFU/mL in mock-exposed
controls compared to exclusion of cycloheximide, as expected
given the increased infection rate of host cells also observed. However, the observed penicillin-dependent decreases in Infectious EB production (IFU/mL) increased upon dis-
continuation of 0 hpi-initiated penicillin exposure, compared
to continued penicillin exposure, for both cycloheximide-
exposed infected cells (Table 1) and unexposed HeLa/C. pecorum (Figure 3(c)). Although the statistical significance
of these changes was inconsistent due to high variability, the
observed changes were generally substantial. 3. Results and Discussion Mean nuclei per
field values were 22 and 25 for diluent- and 0 hpi penicillin-
exposed infected cells, respectively. When cycloheximide
was omitted (Figure 2(b)), an infection rate of 23% was
observed for mock- and 0 hpi penicillin-exposed cells. In
the absence of cycloheximide, mean nuclei per field values
were 35 for mock-exposed cells and 36 for 0 hpi penicillin-
exposed cells. Thus, penicillin G had no effect on host cell
infection rate or host cell loss from the monolayer at 35 hpi,
regardless of time of initiation of penicillin exposure, whether
or not cycloheximide was included. However, as expected,
the omission of cycloheximide allowed host cell division to
continue and resulted in increased nuclei per field compared
to cycloheximide-containing cultures. Additionally, infection
rates in the presence of cycloheximide were approximately
twice those observed in the absence of cycloheximide. 0 hpi penicillin-exposed cells were observed. Mean nuclei per
field values were 22 and 25 for diluent- and 0 hpi penicillin-
exposed infected cells, respectively. When cycloheximide
was omitted (Figure 2(b)), an infection rate of 23% was
observed for mock- and 0 hpi penicillin-exposed cells. In
the absence of cycloheximide, mean nuclei per field values
were 35 for mock-exposed cells and 36 for 0 hpi penicillin-
exposed cells. Thus, penicillin G had no effect on host cell
infection rate or host cell loss from the monolayer at 35 hpi,
regardless of time of initiation of penicillin exposure, whether
or not cycloheximide was included. However, as expected,
the omission of cycloheximide allowed host cell division to
continue and resulted in increased nuclei per field compared
to cycloheximide-containing cultures. Additionally, infection
rates in the presence of cycloheximide were approximately
twice those observed in the absence of cycloheximide. IFU/mL constituted a similar reduction to <1% of the mock-
exposed control whether or not cycloheximide was included. exposed control whether or not cycloheximide was included. To determine the ability of C. pecorum to recover from
penicillin exposure, infected cells were exposed at 0 hpi
until 35 hpi, when the medium was changed and exposure
was continued or discontinued (recovery) for 24 h or 48 h
(Figure 1). Cycloheximide exposure was concomitantly con-
tinued (Figure 3(a)) or excluded (Figures 3(b) and 3(c)) for
the duration of incubation. 3. Results and Discussion Hours
Experimental group
Experiment 1
𝑝
Experiment 2
𝑝
24
Mock
1.21 × 108 ± 2.20 × 106
5.11 × 107 ± 1.21 × 106
PenG 0 hpi
3.25 × 101 ± 1.77 × 101
0.0003#
1.00 × 101 ± 7.07 × 100
0.0002#
PenG 0 hpi recovery
1.77 × 105 ± 1.00 × 104
0.0016##
6.36 × 103 ± 2.75 × 103
0.0825##
PenG 14 hpi
1.75 × 101 ± 3.54 × 100
0.0003#
3.00 × 101 ± 1.41 × 101
0.0002#
PenG 14 hpi recovery
1.63 × 105 ± 1.40 × 104
0.0037##
1.52 × 104 ± 2.13 × 104
0.4196##
48
Mock
4.89 × 107 ± 2.73 × 107
2.73 × 107 ± 9.06 × 105
PenG 0 hpi
5.50 × 101 ± 2.83 × 101
0.0026#
3.00 × 101 ± 7.07 × 100
0.0019#
PenG 0 hpi recovery
1.66 × 106 ± 1.18 × 105
0.1345##
1.02 × 107 ± 5.62 × 105
0.0015##
PenG 14 hpi
1.28 × 102 ± 3.54 × 100
0.1314#
6.75 × 101 ± 3.54 × 100
0.0249#
PenG 14 hpi recovery
9.69 × 105 ± 6.02 × 103
<0.0001##
6.11 × 106 ± 4.73 × 106
0.2091##
C. pecorum 1710S-infected HeLa cells were exposed to diluent only (mock) or to penicillin G at 0 hours postinfection (hpi) or 14 hpi. At 35 hpi, medium was
changed and exposure was continued or discontinued (recovery) for 24 or 48 hours. Inclusion counts generated from biological duplicates were used to calculate
mean inclusion-forming units/mL. Results from 2 independent experiments evaluating 24 h of recovery or 48 h of recovery are shown. 𝑝values for groups
compared to corresponding mock (#) or corresponding continued exposure groups (##) are shown; 𝑝≤0.05 = significant. C. pecorum 1710S-infected HeLa cells were exposed to diluent only (mock) or to penicillin G at 0 hours postinfection (hpi) or 14 hpi. At 35 hpi, medium was
changed and exposure was continued or discontinued (recovery) for 24 or 48 hours. Inclusion counts generated from biological duplicates were used to calculate
mean inclusion-forming units/mL. Results from 2 independent experiments evaluating 24 h of recovery or 48 h of recovery are shown. 𝑝values for groups
compared to corresponding mock (#) or corresponding continued exposure groups (##) are shown; 𝑝≤0.05 = significant. 0 hpi penicillin-exposed cells were observed. 3. Results and Discussion Approximately
600- to 5000-fold increases for 0 hpi penicillin exposure were
observed when comparing discontinued exposure (recovery)
compared to continued penicillin exposure, in the presence
of cycloheximide, at 24 h of continued culture (Table 1). International Journal of Microbiology 6 0
10
20
30
40
50
60
70
80
Mock
PenG
PenG
REC
Mock
PenG
PenG
REC
Nuclei/feld
Mock
PenG
PenG
REC
Mock
PenG
PenG
REC
24h
24h
24h
48h
48h
48h
∗
∗
∗
∗
24h
24h
24h
48h
48h
48h
(a)
0
10
20
30
40
50
60
70
80
Mock
PenG
PenG
REC
Mock
PenG
PenG
REC
Nuclei/feld
Mock
PenG
PenG
REC
Mock
PenG
PenG
REC
∗
∗
∗
∗
24h
24h
24h
48h
48h
48h
24h
24h
24h
48h
48h
48h
(b)
Mock
PenG
PenG
REC
Mock
PenG
PenG
REC
(IFU/mL)
1.00E + 08
1.00E + 07
1.00E + 06
1.00E + 05
1.00E + 04
1.00E + 03
∗
∗
∗
∗
1.77E + 07 1.84E + 03 2.21E + 04 1.83E + 07 1.84E + 03 1.52E + 05
24h
24h
24h
48h
48h
48h
(c)
Figure 3: Penicillin G exposure prevents Chlamydia pecorum-mediated cell death and C. pecorum recovers infectivity upon discontinuation
of penicillin exposure. C. pecorum-infected HeLa cells were penicillin G (PenG) exposed or diluent exposed (mock) from 0 to 35 hours
postinfection (hpi). Cycloheximide was included (a) or not included (b, c) in the incubation medium. At 35 hpi, medium was changed to
continue or discontinue (recovery, REC) penicillin exposure for 24 or 48 hours (h) and cycloheximide was maintained for (a). Inclusions
were visualized and mean nuclei per field were determined as described for Figure 2. Representative immunofluorescence microscopic
images illustrate cell death in mock-exposed controls, inclusions containing aberrant bodies upon continued penicillin exposure and normal-
appearing inclusions upon recovery (REC). Production of infectious elementary bodies was determined by titration by subpassage and
expressed as inclusion-forming units (IFU)/mL. Results are means ± standard deviation. The two-tailed t-test was used to compare means; p
≤0.05 = significant (∗); 𝑛= 2. Scale bars = 5 𝜇m. 3. Results and Discussion Furthermore, regardless of the inclusion/exclusion
of cycloheximide, increased recovery time from 24 h to 48 h
of continued culture was associated with increased infectious
EB production. penicillin exposure and subsequent continuation or discon-
tinuation of penicillin exposure, mean nuclei per field values
at 24 h and 48 h of continued culture ranged from 16 to 22
and 15 to 16, respectively. These 35 hpi and 24/48 h data are
statistically equivalent to those observed for 0 hpi penicillin
exposure. Additionally, upon 14 hpi initiation of penicillin
exposure, the IFU/mL value at 35 hpi (2.08 × 104 IFU/mL) was
less than 1% of the mock-exposed control value, similar to the
0 hpi results. Furthermore, IFU/mL values of discontinued
penicillin exposure versus continued penicillin exposure (see
Table 1) were very similar regardless of time of initiation of
penicillin exposure. Later initiation of exposure, and thus
decreased total penicillin exposure time, was not correlated
with increased infectious EB production (IFU/mL). Beta lactams have long been considered nonbacterici-
dal against the Chlamydiae, instead inducing, in vitro, a
reversible state of bacterial stress, termed persistence or
chlamydial stress. The original report of in vitro chlamy-
dial persistence [16] described aberrant bacterial forms and
reduced infectivity upon penicillin G exposure and demon-
strated the reversibility that defines chlamydial persistence,
a phenomenon now known to be inducible by various stres-
sors including nutrient deprivation, host interferon gamma
production, and coinfection [30]. The in vitro antichlamydial
effect of beta lactams has also been reported as bactericidal
under some conditions, namely, exposure to penicillin early
after chlamydial infection and specifically in the absence of
pharmacologically (cycloheximide) inhibited host de novo
protein synthesis [35]. Chlamydiae were thought to lack
peptidoglycan, the target of beta lactams, so the response
of Chlamydiae to beta lactams has been anomalous [37]. A
recent report providing evidence of chlamydial peptidogly-
can [38] clarifies the antichlamydial effect of beta lactams and
emphasizes the role they may play in modulation of natural
infections. AB were consistently observed by IF microscopy upon
continued penicillin exposure, regardless of the dura-
tion of exposure or the presence (Figure 3(a)) or absence
(Figure 3(b)) of cycloheximide in the assay. Some, but not
all, recovery group inclusions showed areas of denser, more
granular LPS-positive staining, consistent with the appear-
ance of mock-exposed inclusions at 35 hpi (Figures 3(a) and
3(b) right panels, compared to Figures 2(a) and 2(b) left
panels). 3. Results and Discussion These inclusions were frequently associated with
shrunken, brightly staining host cell nuclei, indicating that as
inclusions became more normal in appearance, C. pecorum
1710S was still capable of exerting its cytotoxic effect on HeLa
cells. Mock-exposed cells showed no AB, at 24 h or 48 h of
continued culture, regardless of inclusion/exclusion of cyclo-
heximide or duration of incubation (Figures 3(a) and 3(b)). Initiation of penicillin G exposure at 14 hpi (see Figure 1),
in the presence of cycloheximide, was carried out to
determine if Chlamydiae being at the stage of early RB
development upon exposure might modulate the described
effects of penicillin G exposure or subsequent continua-
tion/discontinuation of this exposure on Chlamydiae. During
0 hpi penicillin G exposure, EB are exposed to penicillin as
they enter the host cells and initiate inclusion formation. However, 14 hpi addition of penicillin postpones the exposure
of the Chlamydiae until EB have differentiated into RB, and
early RB replication/development is starting or will soon
start, but redifferentiation into EB has not begun [36]. Thus,
upon 𝑇14 exposure, intracellular RB are the bacterial forms
initially exposed to penicillin. In this study, experiments were primarily designed to
facilitate C. pecorum recovery from penicillin to determine if
this species can, under conditions permissive for persistence
induction, exhibit the hallmarks of persistence. In a previous
report, exclusion of cycloheximide was sufficient to render
C. trachomatis incapable of recovery from 1, 10, or 100 U/mL
penicillin G exposure, while recovery from 100 U/mL peni-
cillin G was possible in the presence of cycloheximide [35]. Thus, we included cycloheximide in our experiments but
also compared the effects to those elicited in the absence
of cycloheximide. We found that although cycloheximide
potentiated the recovery of C. pecorum 1710S infectious EB
production upon the removal of penicillin G, it was not
required for such recovery. In vivo, local modulation of host
protein synthesis may occur via mechanisms in response
to chlamydial infection and/or infection with other bacteria
or viruses. These may include immune-mediated interferon-
dependent tryptophan reduction [29] or specific antiviral
responses [39], for example. Therefore, though cycloheximide
may be considered to limit the biological relevance of in
vitro models of chlamydial infection, reduced host protein
translation may impact chlamydial entry into and exit from
the chlamydial stress response in vivo. We found, by IF microscopy and TEM (not shown),
that 14 hpi penicillin G-exposed HeLa/C. 3. Results and Discussion 0
10
20
30
40
50
60
70
80
Mock
PenG
PenG
REC
Mock
PenG
PenG
REC
Nuclei/feld
24h
24h
24h
48h
48h
48h
∗
∗
∗
∗ (a) PenG
24h PenG
REC
24h 24h PenG
48h PenG
REC
48h Mock
48h
(b) (b) Mock
PenG
PenG
REC
Mock
PenG
PenG
REC
(IFU/mL)
1.00E + 08
1.00E + 07
1.00E + 06
1.00E + 05
1.00E + 04
1.00E + 03
∗
∗
∗
∗
1.77E + 07 1.84E + 03 2.21E + 04 1.83E + 07 1.84E + 03 1.52E + 05
24h
24h
24h
48h
48h
48h
(c) Figure 3: Penicillin G exposure prevents Chlamydia pecorum-mediated cell death and C. pecorum recovers infectivity upon discontinuation
of penicillin exposure. C. pecorum-infected HeLa cells were penicillin G (PenG) exposed or diluent exposed (mock) from 0 to 35 hours
postinfection (hpi). Cycloheximide was included (a) or not included (b, c) in the incubation medium. At 35 hpi, medium was changed to
continue or discontinue (recovery, REC) penicillin exposure for 24 or 48 hours (h) and cycloheximide was maintained for (a). Inclusions
were visualized and mean nuclei per field were determined as described for Figure 2. Representative immunofluorescence microscopic
images illustrate cell death in mock-exposed controls, inclusions containing aberrant bodies upon continued penicillin exposure and normal-
appearing inclusions upon recovery (REC). Production of infectious elementary bodies was determined by titration by subpassage and
expressed as inclusion-forming units (IFU)/mL. Results are means ± standard deviation. The two-tailed t-test was used to compare means; p
≤0.05 = significant (∗); 𝑛= 2. Scale bars = 5 𝜇m. 7 International Journal of Microbiology Similarly, but to a greater extent, approximately 30,000- to
340,000-fold increases in IFU/mL of 0 hpi penicillin-exposed
groups were observed in cycloheximide-including recovery
conditions, compared to continued exposure upon 48 h of
continued culture (Table 1). In the absence of cycloheximide,
results were similar but more moderate in nature. At 24 h
of continued culture, discontinuation of penicillin exposure
resulted in a 12-fold increase in IFU/mL compared to contin-
ued exposure, while, at 48 h of continued culture, an 82-fold
increase in IFU/mL was observed in discontinued penicillin
exposure versus continued exposure (Figure 3(c)). Thus, the
inclusion of cycloheximide potentiated a more robust recov-
ery from penicillin G exposure. However, either inclusion or
exclusion of cycloheximide allowed increased infectious C. pecorum EB production upon discontinuation of penicillin
exposure. 3. Results and Discussion pecorum had nor-
mal inclusions in mock-exposed groups and AB-containing
inclusions in 14 hpi penicillin-exposed groups at 35 hpi and
at 24 h or 48 h of continued exposure, similar to the 0 hpi
penicillin exposure results. Later initiation of exposure was
associated with somewhat larger numbers (usually 6 to 8
AB, versus 1-2 AB per inclusion) of slightly smaller AB
(though still at least 2 𝜇m in diameter). Upon 14 hpi penicillin
exposure, the mean nuclei per field value was 24 and the host
cell infection rate was 51% at 35 hpi. For 14 hpi initiation of International Journal of Microbiology 8 HeLa cells, being human-derived cells, do not represent
a natural host species for C. pecorum. However, previous
reports indicate that penicillin G exposure of C. trachomatis-
infected HeLa cells, both in the presence [35] and the absence
[22] of cycloheximide, induces an antichlamydial effect con-
sistent with persistence. Additionally, recent work in our
laboratory [32] showed that damage associated molecular
patterns (DAMP) exposure of C. pecorum-infected cells also
elicits an antichlamydial effect in HeLa cells that is consistent
with persistence. resistant to azithromycin than genital infection [43]. Asymp-
tomatic gastrointestinal C. pecorum infections and other
such chlamydial infections are common and are subject to
beta lactam exposure due to widespread agricultural use of
these drugs. Thus, beta lactam therapy is likely to expose
undetected Chlamydiae to persistence inducers. While it is
known that persistent/stressed Chlamydiae exhibit altered
protein expression in vitro compared to nonstressed controls
[44–48], the potential effect of AB/chlamydial stress on
porcine abortion rates, failure to gain weight, or other clinical
symptoms is entirely unknown but interesting and potentially
important. The concentration of penicillin G used in this study was
chosen based on preliminary optimization (not shown) of the
induction of AB formation in various chlamydial species and
host cells lines, in which 1–100 U/mL consistently yielded AB
in all inclusions. While studies evaluating penicillin-induced
persistence frequently use hundreds of U/mL, a recent in vitro
study showed penicillin G reduced C. trachomatis infectious
EB production by >99% at 0.02 U/mL [22]. Thus, we chose
a concentration not in substantial excess of that required to
induce C. pecorum 1710S AB formation and to reduce infec-
tious EB production. 1 U/mL penicillin G induced AB forma-
tion in all inclusions and reduced infectious EB production
to <1% of control values. 4. Conclusions We report that, as hypothesized, C. pecorum 1710S enters a
state of chlamydial/stress persistence upon beta lactam expo-
sure. However, the extensive biological and genetic diversity
of C. pecorum, including various clinical presentations and
serological characteristics, in vitro growth characteristics, and
genetic characteristics such as the recently demonstrated
differential presence of a novel plasmid [4, 52–54], suggests
that the wide range of strains comprising this species war-
rant continued scrutiny. Since the effect of asymptomatic
chlamydial infections on long-term fitness of animals and
humans and the role of chlamydial stress/persistence under
such circumstances is unknown, the effects of beta lactams
on the Chlamydiae are of continued veterinary and medical
interest. p
p
p
p
Chlamydial species is also likely to impact the effect of
beta lactams both in vitro and in vivo. We recently demon-
strated that C. pecorum is more capable of recovering from
DAMP-induced reduced infectious EB production than C. trachomatis [32]; this suggests that C. pecorum may be more
able to recover from persistence induced by various stressors
than C. trachomatis. Human strains of C. pneumoniae are
more able to recover from penicillin-induced persistence
than animal strains [40], suggesting that species- and strain-
specific sensitivity to stressors, including antibiotics, may be
common within the Chlamydiae. Experimental parameters
such as specific beta lactam drug used, timing of initiation
exposure and duration of exposure, and timing of removal
of drug for recovery and duration of recovery, as well
as differences in measurement/determination of infectivity
could be expected to impact degree and detection of entry
into and recovery from beta lactam-induced chlamydial
stress/persistence. Such factors, as well as biological variation
amongst the Chlamydiae, are also likely to contribute to
differing reports of bactericidal and bacteriostatic effects of
beta lactam antibiotics amongst the Chlamydiae. Conflict of Interests The authors declare that there is no conflict of interests
regarding the publication of this paper. 3. Results and Discussion Earlier exposure did not result in
statistically reduced infectious EB production. Furthermore,
later exposure, resulting in more AB per inclusion but a
similar number of inclusions compared to early exposure or
mock exposure, did not increase recovery of infectious EB
production upon cessation of penicillin exposure. Recent clinical findings suggest that asymptomatic
human gastrointestinal chlamydial infection also occurs [49–
51]. These data and clinical findings suggest that difficulties
in elimination of chlamydial infection may be common to
both humans and other animals and may be modulated by
beta lactam exposure. In a recent porcine-specific example
of failure to eliminate chlamydial infection with standard
antimicrobial therapy, asymptomatic chlamydial intestinal
infection in multiple pig herds in Switzerland remained
present independent of antibiotic treatments, including
tetracycline treatment [10]. Acknowledgments HeLa cells were kindly provided by Christian Blenn, Univer-
sity of Zurich. This work was supported by 310030 147026,
http://www.snf.ch/. The authors thank Lisbeth Nufer, Uni-
versity of Zurich, for excellent technical assistance with all
electron microscopy. Questions remain concerning the biological importance
of chlamydial persistence/stress in vivo, especially in naturally
occurring infections. While aberrant chlamydial forms have
been demonstrated in porcine [41] and human [42] spec-
imens, veterinary/medical consequences are debated [23]. Results from a recent mouse model study demonstrated
that beta lactam-induced persistent chlamydial genital infec-
tion is more prone to azithromycin treatment failure than
productive chlamydial infection [21]. Intestinal chlamydial
infection in mice has also been demonstrated to be more [1] H. Fukushi and K. Hirai, “Chlamydia pecorum—the fourth
species of genus Chlamydia,” Microbiology and Immunology, vol.
37, no. 7, pp. 516–522, 1993. International Journal of Microbiology Kaltenboeck, “Asymptomatic endemic Chlamydia pecorum
infections reduce growth rates in calves by up to 48 percent,”
PLoS ONE, vol. 7, no. 9, Article ID e44961, 2012. [23] P. M. Bavoil, “What’s in a word: the use, misuse, and abuse of the
word ‘persistence’ in Chlamydia biology,” Frontiers in Cellular
and Infection Microbiology, vol. 4, article 27, 2014. [9] I. Chopra and M. Roberts, “Tetracycline antibiotics: mode
of action, applications, molecular biology, and epidemiology
of bacterial resistance,” Microbiology and Molecular Biology
Reviews, vol. 65, no. 2, pp. 232–260, 2001. [24] P. B. Wyrick and S. T. Knight, “Pre-exposure of infected
human endometrial epithelial cells to penicillin in vitro renders
Chlamydia trachomatis refractory to azithromycin,” Journal of
Antimicrobial Chemotherapy, vol. 54, no. 1, pp. 79–85, 2004. [10] K. Hoffmann, F. Schott, M. Donati et al., “Prevalence of
chlamydial infections in fattening pigs and their influencing
factors,” PLoS ONE, vol. 10, no. 11, Article ID e0143576, 2015. [25] R. J. Hogan, S. A. Mathews, S. Mukhopadhyay, J. T. Summersgill,
and P. Timms, “Chlamydial persistence: beyond the biphasic
paradigm,” Infection and Immunity, vol. 72, no. 4, pp. 1843–1855,
2004. [11] N. Borel, N. Regenscheit, A. Di Francesco et al., “Selection for
tetracycline-resistant Chlamydia suis in treated pigs,” Veterinary
Microbiology, vol. 156, no. 1-2, pp. 143–146, 2012. [26] Pudjiatmoko, H. Fukushi, Y. Ochiai, T. Yamaguchi, and K. Hirai,
“In vitro susceptibility of Chlamydia pecorum to macrolides,
tetracyclines, quinolones and 𝛽-lactam,” Microbiology and
Immunology, vol. 42, no. 1, pp. 61–63, 1998. [12] C. A. Macarov, L. Tong, M. Mart´ınez-Hu´elamo et al., “Multi
residue determination of the penicillins regulated by the Euro-
pean Union, in bovine, porcine and chicken muscle, by LC-
MS/MS,” Food Chemistry, vol. 135, no. 4, pp. 2612–2621, 2012. [27] L. A. Black, D. P. Higgins, and M. Govendir, “In vitro activity of
chloramphenicol, florfenicol and enrofloxacin against Chlamy-
dia pecorum isolated from koalas (Phascolarctos cinereus),”
Australian Veterinary Journal, vol. 93, no. 11, pp. 420–423, 2015. [13] M. Li, R. Gehring, L. Tell, R. Baynes, Q. Huang, and J. E. Riviere, “Interspecies mixed-effect pharmacokinetic modeling
of penicillin G in cattle and swine,” Antimicrobial Agents and
Chemotherapy, vol. 58, no. 8, pp. 4495–4503, 2014. [28] W. L. Beatty, R. P. Morrison, and G. I. Byrne, “Persistent
chlamydiae: from cell culture to a paradigm for chlamydial
pathogenesis,” Microbiological Reviews, vol. 58, no. 4, pp. 686–
699, 1994. [14] S. J. Lupton, W. L. Shelver, D. J. International Journal of Microbiology 9 [2] K. Schautteet and D. Vanrompay, “Chlamydiaceae infections in
pig,” Veterinary Research, vol. 42, no. 1, article 29, 2011. [18] W. M. Huston, C. Theodoropoulos, S. A. Mathews, and P. Timms, “Chlamydia trachomatis responds to heat shock, peni-
cillin induced persistence, and IFN-gamma persistence by
altering levels of the extracytoplasmic stress response protease
HtrA,” BMC Microbiology, vol. 8, no. 1, article 190, 2008. [3] B. Kaltenboeck and J. Storz, “Biological properties and genetic
analysis of the ompA locus in chlamydiae isolated from swine,”
American Journal of Veterinary Research, vol. 53, no. 9, pp. 1482–
1487, 1992. [19] R. Phillips Campbell, J. Kintner, J. Whittimore, and R. V. Schoborg, “Chlamydia muridarum enters a viable but non-
infectious state in amoxicillin-treated BALB/c mice,” Microbes
and Infection, vol. 14, no. 13, pp. 1177–1185, 2012. [4] P. Spears and J. Storz, “Biotyping of Chlamydia psittaci based
on inclusion morphology and response to diethylaminoethyl-
dextran and cycloheximide,” Infection and Immunity, vol. 24, no. 1, pp. 224–232, 1979. [20] V. A. Ong, J. W. Marsh, A. Lawrence, J. A. Allan, P. Timms,
and W. M. Huston, “The protease inhibitor JO146 demonstrates
a critical role for CtHtrA for Chlamydia trachomatis reversion
from penicillin persistence,” Frontiers in Cellular and Infection
Microbiology, vol. 3, article 100, 2013. [5] F. Guscetti, Chlamydia in Swine: Field Studies and Experimental
Enteric Infections in Gnotobiotic Piglets, Institute for Veterinary
Pathology, University of Zurich, Z¨urich, Switzerland, 1999. [6] R. Thoma, F. Guscetti, I. Schiller, N. Schmeer, L. Corboz, and
A. Pospischil, “Chlamydiae in porcine abortion,” Veterinary
Pathology, vol. 34, no. 5, pp. 467–469, 1997. [21] R. Phillips-Campbell, J. Kintner, and R. V. Schoborg, “Induc-
tion of the Chlamydia muridarum stress/persistence response
increases azithromycin treatment failure in a murine model of
infection,” Antimicrobial Agents and Chemotherapy, vol. 58, no. 3, pp. 1782–1784, 2014. [7] I. Schiller, R. Koesters, R. Weilenmann et al., “Mixed infections
with porcine Chlamydia trachomatis/pecorum and infections
with ruminant Chlamydia psittaci serovar 1 associated with
abortions in swine,” Veterinary Microbiology, vol. 58, no. 2–4,
pp. 251–260, 1997. [22] J. Kintner, D. Lajoie, J. Hall, J. Whittimore, and R. V. Schoborg,
“Commonly prescribed 𝛽-lactam antibiotics induce C. tra-
chomatis persistence/stress in culture at physiologically relevant
concentrations,” Frontiers in Cellular and Infection Microbiology,
vol. 4, article 44, 2014. [8] A. Poudel, T. H. Elsasser, K. S. Rahman, E. U. Chowdhury, and
B. References [1] H. Fukushi and K. Hirai, “Chlamydia pecorum—the fourth
species of genus Chlamydia,” Microbiology and Immunology, vol. 37, no. 7, pp. 516–522, 1993. International Journal of Microbiology International Journal of Microbiology 7489, pp. 507–510, 2014. [52] J. A. Perez-Martinez and J. Storz, “Antigenic diversity of
Chlamydia psittaci of mammalian origin determined by
microimmunofluorescence,” Infection and Immunity, vol. 50,
no. 3, pp. 905–910, 1985. [39] D. Walsh, M. B. Mathews, and I. Mohr, “Tinkering with trans-
lation: protein synthesis in virus-infected cells,” Cold Spring
Harbor Perspectives in Biology, vol. 5, no. 1, Article ID a012351,
2013. [53] M. Jelocnik, N. L. Bachmann, B. Kaltenboeck et al., “Genetic
diversity in the plasticity zone and the presence of the chlamy-
dial plasmid differentiates Chlamydia pecorum strains from
pigs, sheep, cattle, and koalas,” BMC Genomics, vol. 16, no. 1,
article 893, 2015. [40] A. Chacko, K. W. Beagley, P. Timms, and W. M. Huston,
“Human Chlamydia pneumoniae isolates demonstrate ability
to recover infectivity following penicillin treatment whereas
animal isolates do not,” FEMS Microbiology Letters, vol. 362, no. 6, Article ID fnv015, 2015. [54] N. L. Bachmann, M. J. Sullivan, M. Jelocnik, G. S. Myers, P. Timms, and A. Polkinghorne, “Culture-independent genome
sequencing of clinical samples reveals an unexpected hetero-
geneity of infections by Chlamydia pecorum,” Journal of Clinical
Microbiology, vol. 53, no. 5, pp. 1573–1581, 2015. [41] A. Pospischil, N. Borel, E. H. Chowdhury, and F. Guscetti,
“Aberrant chlamydial developmental forms in the gastrointesti-
nal tract of pigs spontaneously and experimentally infected with
Chlamydia suis,” Veterinary Microbiology, vol. 135, no. 1-2, pp. 147–156, 2009. [42] N. Borel, J. T. Summersgill, S. Mukhopadhyay, R. D. Miller,
J. A. Ramirez, and A. Pospischil, “Evidence for persistent
Chlamydia pneumoniae infection of human coronary athero-
mas,” Atherosclerosis, vol. 199, no. 1, pp. 154–161, 2008. [43] L. Yeruva, S. Melnyk, N. Spencer, A. Bowlin, and R. G. Rank, “Differential susceptibilities to azithromycin treatment of
chlamydial infection in the gastrointestinal tract and cervix,”
Antimicrobial Agents and Chemotherapy, vol. 57, no. 12, pp. 6290–6294, 2013. [44] P. Timms, D. Good, C. Wan et al., “Differential transcrip-
tional responses between the interferon-𝛾-induction and iron-
limitation models of persistence for Chlamydia pneumoniae,”
Journal of Microbiology, Immunology and Infection, vol. 42, no. 1, pp. 27–37, 2009. [45] A. Klos, J. Thalmann, J. Peters, H. C. G´erard, and A. P. Hudson,
“The transcript profile of persistent Chlamydophila (Chlamydia)
pneumoniae in vitro depends on the means by which persistence
is induced,” FEMS Microbiology Letters, vol. 291, no. 1, pp. 120–
126, 2009. [46] A. Kokab, R. Jennings, A. Eley, A. A. Pacey, and N. A. International Journal of Microbiology International Journal of Microbiology 10 [33] S. Deka, J. Vanover, S. Dessus-Babus et al., “Chlamydia tra-
chomatis enters a viable but non-cultivable (persistent) state
within herpes simplex virus type 2 (HSV-2) co-infected host
cells,” Cellular Microbiology, vol. 8, no. 1, pp. 149–162, 2006. [47] Y. M. AbdelRahman, L. A. Rose, and R. J. Belland, “Devel-
opmental expression of non-coding RNAs in Chlamydia tra-
chomatis during normal and persistent growth,” Nucleic Acids
Research, vol. 39, no. 5, pp. 1843–1854, 2011. [48] M. Di Pietro, A. Tramonti, F. De Santis et al., “Analysis of gene
expression in penicillin G induced persistence of Chlamydia
pneumoniae,” Journal of Biological Regulators and Homeostatic
Agents, vol. 26, no. 2, pp. 277–284, 2012. [34] H. Marti, M. Koschwanez, T. Pesch, C. Blenn, and N. Borel,
“Water-filtered infrared a irradiation in combination with
visible light inhibits acute chlamydial infection,” PLoS ONE, vol. 9, no. 7, Article ID e102239, 2014. [49] A. Ding and R. Challenor, “Rectal Chlamydia in heterosexual
women: more questions than answers,” International Journal of
STD & AIDS, vol. 25, no. 8, pp. 587–592, 2014. [35] M. Dumoux, S. M. Le Gall, M. Habbeddine et al., “Penicillin
kills Chlamydia following the fusion of bacteria with lysosomes
and prevents genital inflammatory lesions in C. muridarum-
infected mice,” PLoS ONE, vol. 8, no. 12, Article ID e83511, 2013. [50] G. A. F. S. van Liere, C. J. P. A. Hoebe, P. F. G. Wolffs, and N. H. T. M. Dukers-Muijrers, “High co-occurrence of anorectal
chlamydia with urogenital chlamydia in women visiting an STI
clinic revealed by routine universal testing in an observational
study; a recommendation towards a better anorectal chlamydia
control in women,” BMC Infectious Diseases, vol. 14, no. 1, article
274, 2014. [36] Y. M. AbdelRahman and R. J. Belland, “The chlamydial devel-
opmental cycle,” FEMS Microbiology Reviews, vol. 29, no. 5, pp. 949–959, 2005. [37] J. W. Moulder, “Why is Chlamydia sensitive to penicillin in the
absence of peptidoglycan?” Infectious Agents and Disease, vol. 2,
no. 2, pp. 87–99, 1993. [51] J. S. Hocking, F. Y. S. Kong, P. Timms, W. M. Huston, and
S. N. Tabrizi, “Treatment of rectal chlamydia infection may
be more complicated than we originally thought,” Journal of
Antimicrobial Chemotherapy, vol. 70, no. 4, pp. 961–964, 2015. [38] G. W. Liechti, E. Kuru, E. Hall et al., “A new metabolic
cell-wall labelling method reveals peptidoglycan in Chlamydia
trachomatis,” Nature, vol. 506, no. International Journal of Microbiology Newman, S. Larsen, and D. J. Smith, “Depletion of penicillin G residues in heavy sows after
intramuscular injection. Part I: tissue residue depletion,”Journal
of Agricultural and Food Chemistry, vol. 62, no. 30, pp. 7577–
7585, 2014. [29] R. V. Schoborg, “Chlamydia persistence—a tool to dissect
chlamydia-host interactions,” Microbes and Infection, vol. 13, no. 7, pp. 649–662, 2011. [15] W. L. Shelver, S. J. Lupton, D. J. Newman, S. Larsen, and D. J. Smith, “Depletion of penicillin G residues in heavy sows after
intramuscular injection. Part II. Application of kidney inhibi-
tion swab tests,” Journal of Agricultural and Food Chemistry, vol. 62, no. 30, pp. 7586–7592, 2014. [30] P. B. Wyrick, “Chlamydia trachomatis persistence in vitro: an
overview,” Journal of Infectious Diseases, vol. 201, supplement 2,
pp. S88–S95, 2010. [31] N. Borel, C. Dumrese, U. Ziegler, A. Schifferli, C. Kaiser, and
A. Pospischil, “Mixed infections with Chlamydia and porcine
epidemic diarrhea virus—a new in vitro model of chlamydial
persistence,” BMC Microbiology, vol. 10, no. 1, article 201, 2010. [16] A. Matsumoto and G. P. Manire, “Electron microscopic obser-
vations on the effects of penicillin on the morphology of
Chlamydia psittaci,” Journal of Bacteriology, vol. 101, no. 1, pp. 278–285, 1970. [32] C. A. Leonard, R. V. Schoborg, N. Borel, and B. Kaltenboeck,
“Damage/danger associated molecular patterns (DAMPs) mod-
ulate Chlamydia pecorum and C. trachomatis serovar E inclu-
sion development in vitro,” PLoS ONE, vol. 10, no. 8, Article ID
e0134943, 2015. [17] J. Peters, S. Hess, K. Endlich et al., “Silencing or permanent acti-
vation: host-cell responses in models of persistent Chlamydia
pneumoniae infection,” Cellular Microbiology, vol. 7, no. 8, pp. 1099–1108, 2005. International Journal of Microbiology Cross, “Analysis of modulated gene expression in a model of
interferon-𝛾-induced persistence of Chlamydia trachomatis in
HEp-2 cells,” Microbial Pathogenesis, vol. 49, no. 5, pp. 217–225,
2010. International Journal of Microbiology Submit your manuscripts at
http://www.hindawi.com
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Anatomy
Research International
Peptides
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
International Journal of
Volume 2014
Zoology
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Molecular Biology
International
Genomics
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
The Scientific
World Journal
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Bioinformatics
Advances in
Marine Biology
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Signal Transduction
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
BioMed
Research International
Evolutionary Biology
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Biochemistry
Research International
Archaea
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Genetics
Research International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Advances in
Virology
Hindawi Publishing Corporation
http://www.hindawi.com
Nucleic Acids
Journal of
Volume 2014
Stem Cells
International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Enzyme
Research
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
International Journal of
Microbiology Submit your manuscripts at
http://www.hindawi.com
Peptides
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
International Journal of
Volume 2014
Zoology
Genomics
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Th S i
tifi
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
BioMed
Research International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Advances in
Virology
Hindawi Publishing Corporation
http://www.hindawi.com
Nucleic Acids
Journal of
Volume 2014
Stem Cells
International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014 Genomics
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014 The Scientific
World Journal
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014 Submit your manuscripts at
http://www.hindawi.com The Scientific
World Journal
Hindawi Publishing Corporation Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Anatomy
Research International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Molecular Biology
International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Bioinformatics
Advances in
Marine Biology
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Evolutionary Biology
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Biochemistry
Research International
Archaea
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Genetics
Research International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Enzyme
Research
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
International Journal of
Microbiology
|
https://openalex.org/W2768011579
|
https://zenodo.org/records/1121847/files/10.21307_ijssis-2017-238.pdf
|
English
| null |
Design and Implementation of Dual-Band Circularly Polarized Antennas Using Stacked Patches
|
International journal on smart sensing and intelligent systems
| 2,017
|
cc-by
| 4,645
|
INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked
I. INTRODUCTION S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked
I. INTRODUCTION S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked
I. INTRODUCTION An antenna (or aerial) is an electrical device which converts electric power into radio waves, and
vice versa. It is usually used with a radio transmitter or radio receiver. In transmission, a radio
transmitter
supplies
an
electric
current
oscillating
at radio
frequency (i.e. a
high
frequency alternating current (ac)) to the antenna's terminals, and the antenna radiates the energy
from the current as electromagnetic waves (radio waves). In reception, an antenna intercepts
some of the power of an electromagnetic wave in order to produce a tiny voltage at its terminals,
which is applied to a receiver to be amplified. Antennas are essential components of all
equipment that uses radio. They are used in systems such as radio broadcasting, broadcast
television, two-way
radio, communications
receiver radar, cell
phones,
and satellite
communications,
as
well
as
other
devices
such
as garage
door openers, wireless
microphones, Bluetooth-enabled devices, wireless computer networks, baby monitors, and RFID
tags on merchandise. Micro strip Antenna is a kind of antenna used to process ultra-high
frequency signals 300MHz-3GHz (3000MHz). It is made by etching the antenna pattern into
metal trace. This etching is bonded to a layer of insulating material plastic, glass or crystals. It
consists of a metallic patch on one side of a dielectric substrate and ground plane on the other
side of the substrate. The patch acts approximately as a resonant cavity (short circuit walls on top
and bottom, open circuit walls on the sides).If the antenna is excited at a resonant frequency, a
strong field is set up inside the cavity, and a strong current on the surface of the patch. This
produces significant radiation. Two dual band antennas are designed with single feed and dual feed. Co-axial feed is given to the
antenna and the material used in the substrate is ROGERS R04003.Biasing is done by altering the
values using HFSS software in order to achieve tuning. Dual band antenna is a high frequency
antenna consisting of Lower band from 0.7-1.1GHz and higher band from 1.7-2.3GHz.The main
advantage is that tuning can be achieved by using varactor diodes. Published: Sep 1, 2017 Published: Sep 1, 2017 Abstract- Single and Dual feed Antennas with dual frequencies have been demonstrated. Varactor
diodes are used for independent tuning. The PIFA (Planar Inverted F-Antenna) has two frequencies
from 0.7 to 1.1 GHz and from 1.7 to 2.3GHz. Impedance match of about -10dB an isolation greater
than 13dB is obtained. The single feed antenna can be tuned from 1.2 to 1.6GHz and 1.6 to 2.3 GHz. The antenna volumes are 63x100x3.15 mm3 with relative permittivity is 3.55 substrates. The efficiency
varies from 25% to 50% over tuning range. The application areas are in 4G wireless systems. Index terms: Planar inverted F-antenna (PIFA), Voltage Standing Wave Ratio(VSWR) 87 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 2-4.5GHz
[1]. The
author
[2]
had
proposed
antenna
dimension
of
about
24(0.44)*22(0.403)mm2resonant frequencies at 2 and 3.3GHz. The author [3] had proposed that -
10dB wide impedance bandwidth from 4.2-7.3GHz. Author had proposed a dual polarized
compact microstrip antenna using multilayer electromagnetic bandgap with conducting layer for
gsm&wimax application. The author [4] had proposed that a compact size probe feed microstrip
antenna operating frequencies at 4 GHz and increased gain of 7dB is achieved. The author [5]
had proposed that design of dual band 3.65GHz(802.11Y)and 5.8GHz(802.11a)antenna using U-
slot. The author [6] had proposed that UWB antenna has overall size of 26x30x1,6mm3 and
works at 3-11GHz with VSWR<2.The author [7] had proposed that antenna works about 3.4GHz
good performance with -10dB return loss bandwidth of% and bandwidth of 4.2% with circularly
polarized gain of about 10.97dB.The author [8] had proposed that a single feed planar inverted
F-Antenna(PIFA) with independent frequency tenability is 700-970MHz and 1600-2200MHz
using two varactor diodes. Generally, an Omni directional pattern is provided to communicate in
all directions. The most suitable pattern can be configured on demand with the pattern
reconfigurable antenna. Different arrangements of parasitic elements with different lengths
around the active element yield different radiation patterns. This offers a simple and flexible
method for beam forming. The afore mentioned pattern-reconfigurable antennas are available
only in single band, and the sizes are comparatively large. Therefore, a compact dual-band
pattern-reconfigurable antenna is introduced here[9,10]. III.
Proposed System The proposed system includes Dual-feed Planar inverted F-antenna (PIFA) antennas with
coaxial feed by using HFSS Ansoft. Directivity, return loss, antenna gain and radiation pattern of
the dual band antenna is obtained. Two antennas with single feed and dual feed are optimized
and their parameters are obtained. Dual band antenna gives better performance with efficiency
from 25% to 50% while tuning. The range of the return loss is below -10dB for single feed,-13dB
for double feed and VSWR is less than 3dB.Radiation pattern, Gain, Return loss, Directivity and
VSWR of the proposed antenna is obtained. Since tuning cannot be done in varactor diode,
values are changed till constant biasing isachieved. The substrate used is ROGERS R04003,
which is the material that acts as an insulator. Since tuning cannot be done manually, biasing is
done till a constant value is achieved. II. Literature Survey The operation frequencies are the most crowded bands in wireless communications since they are
unlicensed by any international agreement or government authority. Therefore, efficiently
utilizing the limited spectrum in such bands is very crucial and indispensable. A new design
approach for a Microstrip Patch Antenna to achieve reconfigurable dual band operation with
(1.45 to 1.63GHz) and capacitance range is from 0.31 to 0.74 pF. Antenna prototype operating in 88 4.1. Dual Band Antenna A dual-band feeding antenna that is less sensitive is required to maintain good impedance in
different surrounding Matching conditions caused by the combinations of the reflection states of
the sidewalls. It is hard to use an impedance-matching network to satisfy the various radiating
conditions at two frequencies. In this paper, the lower resonant frequency of the dual-band
Feeding antenna is designed to be excited by couplings, which have relatively broad
bandwidths at dual bands than by the conventional direct feeding method. Thus, acceptable return
losses at the desired frequencies can be achieved for various switch states. The proposed dual-
band feeding antenna is shown in Fig.1. The front part directly ex-cites the higher frequency
radiation while the back part combined with the former by coupling effects resonates at the lower
frequency. The suitable amount of coupling can be obtained by adjusting wt, h and g2. Fig.1Typical dual band feeding antenna Fig.1Typical dual band feeding antenna Fig.1Typical dual band feeding antenna IV.
Explanation 89 S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked
4 1 D
l B
d A S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri y
,
,
p ,
y
Design and implementation of dual-band circularly polarized antennas using stacked Design and implementation of dual-band circularly polarized antennas using stacke Design and implementation of dual-band circularly polarized antennas using stacked
4.1. Dual Band Antenna Fig.4.Dual-feed dual-band antenna geometry (a) Top metal plate and ground plate (b) Cross section. All dimensions are in mm. 4.2. Single Feed Dual Band Antenna Fig. 2 presents the single-feed dual contiguous-band antenna. The antenna is printed on
the 63 × 100 ×3.15mm3 substrate with permittivity= 3.55 similar to the dual feed dual-band
antenna, and same varactor diodes (Skyworks SMV1232-040LF) are used tune the antenna. Ten-
kΩresistors are used to bias the varactor diodes at points B1 and B2. The same substrate and
biasing pad configuration as the dual-feed dual-band antenna are used. Similar to the dual-feed
dual-band antenna, the single feed antenna has two branches: 1) one resonating at the low-band
and 2) the other resonating at the high-band. 90 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 Fig.2.Single feed Dual Band Antenna Geometry
(a) Top view and bottom view. All dimensions are in mm. Fig.2.Single feed Dual Band Antenna Geometry
( ) T
i
d b
i
All di
i
i Fig.2.Single feed Dual Band Antenna Geometry Fig.2.Single feed Dual Band Antenna Geometry (a) Top view and bottom view. All dimensions are in mm. (a) Top view and bottom view. All dimensions are in mm. (b) Transmission line model The transmission-line model for the antenna is presented in Fig. 2 (b). The varactor diode
capacitances C1 and C2 are used to tune the two different antenna resonant frequencies. The
lower resonance frequency can be tuned from 1.2 to 1.6 GHz and the higher resonance frequency
can be tuned from 1.6 to 2.3 GHz. These frequencies do not coincide with the traditional LB,
MB, and HB regions for CA standards, and were chosen to demonstrate a dual-tuned antenna
with near contiguous tuning, covering a 1.2–2.3-GHz range and fabrication shown in fig 3. 4.2. Single Feed Dual Band Antenna Fig 3.Fabricated single-feed dual contiguous band-antenna
(a) topplate (b)ground plate Fig 3.Fabricated single-feed dual contiguous band-antenna
(a) topplate (b)ground plate 91 S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked Design and implementation of dual-band circularly polarized antennas using stacked Design and implementation of dual-band circularly polarized antennas using stacked 4.3.Dual Feed Dual Band Antenna
Fig 4 Dual-feed dual-band antenna geometry 4.3.Dual Feed Dual Band Antenna 4.3.Dual Feed Dual Band Antenna 4.3.Dual Feed Dual Band Antenna Fig.4.Dual-feed dual-band antenna geometry (c) Transmission-line model The inductance of the six shorting
vias is simulated using ANSYS HFSS to be 0.17 nH, and results in a high isolation between the
LB and HB PIFA arms. This makes it possible to independently tune the two resonance
frequencies.Fig. 4 (c) presents the transmission-line model, and is based on the tunable PIFA
model described in Section II. Two tunable PIFAs are merged together at their short circuit
sections and the inductive effects of the shorting vias are captured as Lsin the transmission-line
model. The LB and HB resonances are controlled by varactor diodes C1 and C2, respectively. To
reduce the antenna size, short sections of open-ended transmission lines are added to the LB
PIFA. The tuning characteristics were simulated with surface impedance boundary conditions at
the tuning device ports using ANSYS HFSS. The low-band operation, using feed 1, covers the
0.7–1.1 GHz band, whereas the high-band operation, using feed 2, covers the 1.7–2.3 GHz band
and fabrication shown in fig 5. Fig.5Fabricated dual-feed dual-band antenna for CA
(a)top plate (b)ground plate. Fig.5Fabricated dual-feed dual-band antenna for CA
(a)top plate (b)ground plate. (c) Transmission-line model (c) Transmission-line model The dual-feed dual-band antenna is shown in Fig. 4. The antenna resonance frequency is
controlled using two varactor diodes (Skyworks SMV1232-040LF, Ctot= 0.8–3.8 pF, Bias = 0–
20 V). The antenna is printed on a 63 × 100 ×3.15mm3 substrate stack which is formed by two
1.524 mm thick Rogers RO4003 C substrates (permittivity= 3.55, tan δ = 0.0027 at 2.5 GHz)
joined by a 0.101-mm Rogers RO4450B bond ply (permittivity= 3.54, tan δ = 0.004 at 10 GHz). In several other implementations, the antenna is made of sheet copper and suspended in air or
printed on a low permittivity plastic carrier. The choice of the substrate here is only for
research/demonstration purposes since it is low cost and provides mechanical robustness for
soldering. The PIFA has two feeds that are used for low-band (feed 1) and high-band (feed 2) 92 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 operations. All frequencies above 1.7 GHz are referred to as high-band (that is the mid-band and
high-band are lumped together into one band). Shorting vias of the LB and high-band (HB)
PIFAs are combined together and placed between the feeds. The inductance of the six shorting
vias is simulated using ANSYS HFSS to be 0.17 nH, and results in a high isolation between the
LB and HB PIFA arms. This makes it possible to independently tune the two resonance
frequencies.Fig. 4 (c) presents the transmission-line model, and is based on the tunable PIFA
model described in Section II. Two tunable PIFAs are merged together at their short circuit
sections and the inductive effects of the shorting vias are captured as Lsin the transmission-line
model. The LB and HB resonances are controlled by varactor diodes C1 and C2, respectively. To
reduce the antenna size, short sections of open-ended transmission lines are added to the LB
PIFA. The tuning characteristics were simulated with surface impedance boundary conditions at
the tuning device ports using ANSYS HFSS. The low-band operation, using feed 1, covers the
0.7–1.1 GHz band, whereas the high-band operation, using feed 2, covers the 1.7–2.3 GHz band
and fabrication shown in fig 5. operations. All frequencies above 1.7 GHz are referred to as high-band (that is the mid-band and
high-band are lumped together into one band). Shorting vias of the LB and high-band (HB)
PIFAs are combined together and placed between the feeds. Design procedure of tunable dual band antenna The substrate is created as shown in fig 6. The substrate used in the proposed antenna is
ROGGERS R04OO3 and the permittivity of the antenna is 3.55 substrates. The volume of the
antenna is 63x100x3.15mm3. The patch of the antenna is created on the substrate. This describes
the front portion of the antenna before the substrate. The patch and ground of the antenna is
created along with the shorting pins. 6 shorting pins are created as shown in the fig 8. The patch
of the antenna after is separated after the creation of substrate. The separated slot of the antenna 93 S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri Design and implementation of dual-band circularly polarized antennas using stacked
is shown in fig 9. The overall patch of the antenna without the slot appears to be as shown in
fig.10. After the creation of the substrate, the ground for tuneable dual band antenna is created as
shown below.11. The full view of the created ground of the proposed antenna is shown in fig.12. The front view of the complete antenna with the ground and the patch together is created as
shown below13. A radiation box for the proposed antenna is created in order to obtain the
radiation pattern of the antenna shown in fig 14. Finally, after feeding the antenna appears to be
as shown in fig 15. The simulated return losses are shown in Fig.16. Generally, the return loss of
the antenna should be designed so as to have less than -10dB. The proposed antenna has both
lower frequency and higher frequency bands. In the lower frequency band, the simulated -
15.25dB bandwidth is from 0.7 to 1.1 GHz,. In the higher band, the simulated bandwidth is -
13.48dB between 1.7 and 2.3 GHz. A slight frequency shift may occur in the higher frequency
region which might be caused by feeding method. Fig.6. Substrate of the antenna
Fig.7.Creation of patch before the substrate
Fig 8.Ground and patch of the antenna along with shorting pins
Fig.9.Patch of the antenna after the substrate has been isolated Fig.6. Substrate of the antenna Fig.6. Substrate of the antenna Fig.6. Substrate of the antenna Fig.7.Creation of patch before the substrate Fig 8.Ground and patch of the antenna along with shorting pins
Fig.9.Patch of the antenna after the substrate has been isolated Fig 8.Ground and patch of the antenna along with shorting pins
Fig.9.Patch of the antenna after the substrate has been isolated 94 94 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 Fig.10. Patch of the antenna without slot
Fig 11.Ground of the antenna after the substrate
. Fig.12. Full view of the ground of the antenna
Fig 13.Complete front view of the antenna
Fig 14.Radiation box of the antenna
Fig 15.Proposed antenna after feeding Fig.10. Patch of the antenna without slot
Fig 11.Ground of the antenna after the substrate Fig.10. Patch of the antenna without slot
Fig 11.Ground of the antenna after the substrate
. Fig.12. 5.1.Radiation Pattern The radiation patterns of the antenna were measured using a Satimo SG32 spherical near-
field chamber. The measured and simulated radiation efficiency is plotted in fig 17. The
efficiency increases as the antenna is tuned to higher frequencies. This is because the antenna
radiation Q decreases with frequency and the varactor diode Q increases as the capacitance
decreases (i.e., with frequency). Radiation patterns are mostly isotropic for all of the tuning cases
and as expected from PIFAs. The radiation pattern of the higher and lower band antenna is as
shown below 18. Fig.17.Radiation pattern of high band antenna
Fig.18.Radiation pattern of low band antenna Fig.17.Radiation pattern of high band antenna
Fig.18.Radiation pattern of low band antenna Fig.17.Radiation pattern of high band antenna Fig.18.Radiation pattern of low band antenna S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri Full view of the ground of the antenna
Fig 13.Complete front view of the antenna
Fig 14.Radiation box of the antenna
Fig 15.Proposed antenna after feeding
Fig 16.Return loss of tunable dual band antenna Fig.10. Patch of the antenna without slot Fig.10. Patch of the antenna without slot Fig 11.Ground of the antenna after the substrate Fig 11.Ground of the antenna after the substrate . Fig.12. Full view of the ground of the antenna
Fig 13.Complete front view of the antenna Fi 12 F ll i
f th
d f th
t Fig.12. Full view of the ground of the antenna
Fig 13.Complete front view of the antenna Fig.12. Full view of the ground of the antenna
Fig 13.Complete front view of the antenna Fig 13.Complete front view of the antenna Fig 14.Radiation box of the antenna Fig 15.Proposed antenna after feeding Fig 15.Proposed antenna after feeding Fig 15.Proposed antenna after feeding
Fig 16.Return loss of tunable dual band antenna Fig 16.Return loss of tunable dual band antenna 95 S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked
5 1 Radiation Pattern S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked Design and implementation of dual-band circularly polarized antennas using stacked Design and implementation of dual-band circularly polarized antennas using stacked
iation Pattern 5.2.VSWR The Voltage Standing Wave Ratio of the antenna is usually less than 3dB and less than
1dB for a best antenna. The proposed antenna is so designed to have +0.57dB as shown in fig.19. The Voltage Standing Wave Ratio of the antenna is usually less than 3dB and less than
1dB for a best antenna. The proposed antenna is so designed to have +0.57dB as shown in fig.19. Fig.19.VSWR of the tunable dual band antenna Fig.19.VSWR of the tunable dual band antenna D plots of the parameters of tunable dual band antenna-Gain INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 The gain is obtained as 2.4dBi for tunable dual band antenna as shown in fig.20.And their
radiation patten shown in fig 21,22 and 23. The gain is obtained as 2.4dBi for tunable dual band antenna as shown in fig.20.And their
radiation patten shown in fig 21,22 and 23. Fig.20.Gain of the antenna in 3d plot
Fig.21. Return loss in 3d plot
Fig.22.Radiation pattern of Lower Band Antenna
VI
Conclusion Fig.20.Gain of the antenna in 3d plot
Fig.21. Return loss in 3d plot Fig.20.Gain of the antenna in 3d plot Fig.20.Gain of the antenna in 3d plot Fig.21. Return loss in 3d plot Fig.22.Radiation pattern of Lower Band Antenna Fig.22.Radiation pattern of Lower Band Antenna D plots of the parameters of tunable dual band antenna-Gain 96 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 VI.
Conclusion A dual-feed dual-band PIFA covering the 0.7–1.1 GHz and 1.7–2.3 GHz bands has been
demonstrated using varactor diodes. There exists a high isolation between the bands; hence the
two resonance frequencies can be tuned independently without affecting each other. Additionally,
a single-feed antenna with two independently tunable resonant frequencies is demonstrated at
1.1–2.3 GHz using varactor diodes. The efficiencies of the both antennas can be increased
significantly by using RF MEMS varactors. In practice, and when these antennas are used in cell
phones and with hand and body loading effects, the antennas will become more wideband and
less efficient ,and a lot of additional effort is needed to build a true working dual-band antenna on
actual platform. The goal of this work is to show that dual-tuned PIFAs are a promising candidate
for increasing the performance of communications systems using the 3GPP LTE CA standard. 97 S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri
Design and implementation of dual-band circularly polarized antennas using stacked [1] Aizat Azmi, Ahmad Amsyar Azman, Sallehuddin Ibrahim, and Mohd Amri Md Yunus,
“Techniques In Advancing The Capabilities Of Various Nitrate Detection Methods: A Review”,
International Journal on Smart Sensing and Intelligent Systems., VOL. 10, NO. 2, June 2017, pp. 223-261. [2] Tsugunosuke Sakai, Haruya Tamaki, Yosuke Ota, Ryohei Egusa, Shigenori Inagaki, Fusako
Kusunoki, Masanori Sugimoto, Hiroshi Mizoguchi, “Eda-Based Estimation Of Visual Attention
By Observation Of Eye Blink Frequency”, International Journal on Smart Sensing and Intelligent
Systems., VOL. 10, NO. 2, June 2017, pp. 296-307. [2] Tsugunosuke Sakai, Haruya Tamaki, Yosuke Ota, Ryohei Egusa, Shigenori Inagaki, Fusako
Kusunoki, Masanori Sugimoto, Hiroshi Mizoguchi, “Eda-Based Estimation Of Visual Attention
By Observation Of Eye Blink Frequency”, International Journal on Smart Sensing and Intelligent
Systems., VOL. 10, NO. 2, June 2017, pp. 296-307. [3] Ismail Ben Abdallah, Yassine Bouteraa, and Chokri Rekik , “Design And Development Of 3d
Printed Myoelctric Robotic Exoskeleton For Hand Rehabilitation”, International Journal on
Smart Sensing and Intelligent Systems., VOL. 10, NO. 2, June 2017, pp. 341-366. [4] S. H. Teay, C. Batunlu and A. Albarbar, “Smart Sensing System For Enhanceing The
Reliability Of Power Electronic Devices Used In Wind Turbines”, International Journal on Smart
Sensing and Intelligent Systems., VOL. 10, NO. 2, June 2017, pp. VI.
Conclusion 407- 424 [5] SCihan Gercek, Djilali Kourtiche, Mustapha Nadi, Isabelle Magne, Pierre Schmitt, Martine
Souques and Patrice Roth, “An In Vitro Cost-Effective Test Bench For Active Cardiac Implants,
Reproducing Human Exposure To Electric Fields 50/60 Hz”, International Journal on Smart
Sensing and Intelligent Systems., VOL. 10, NO. 1, March 2017, pp. 1- 17 [6] P. Visconti, P. Primiceri, R. de Fazio and A. Lay Ekuakille, “A Solar-Powered White Led-
Based Uv-Vis Spectrophotometric System Managed By Pc For Air Pollution Detection In
Faraway And Unfriendly Locations”, International Journal on Smart Sensing and Intelligent
Systems., VOL. 10, NO. 1, March 2017, pp. 18- 49 [7] Samarendra Nath Sur, Rabindranath Bera and Bansibadan Maji, “Feedback Equalizer For
Vehicular Channel”, International Journal on Smart Sensing and Intelligent Systems., VOL. 10,
NO. 1, March 2017, pp. 50- 68 [8] Yen-Hong A. Chen, Kai-Jan Lin and Yu-Chu M. Li, “Assessment To Effectiveness Of The
New Early Streamer Emission Lightning Protection System”, International Journal on Smart
Sensing and Intelligent Systems., VOL. 10, NO. 1, March 2017, pp. 108- 123 [9] Iman Heidarpour Shahrezaei, Morteza Kazerooni and Mohsen Fallah, “A Total Quality
Assessment Solution For Synthetic Aperture Radar Nlfm Waveform Generation And Evaluation Assessment Solution For Synthetic Aperture Radar Nlfm Waveform Generation And Evaluation 98 INTERNATIONAL JOURNAL ON SMART SENSING AND INTELLIGENT SYSTEMS SPECIAL ISSUE, SEPTEMBER
2017 In A Complex Random Media”, International Journal on Smart Sensing and Intelligent Systems.,
VOL. 10, NO. 1, March 2017, pp. 174- 198 10] P. Visconti ,R.Ferri, M.Pucciarelli and E.Venere, “Development And Charact [10] P. Visconti ,R.Ferri, M.Pucciarelli and E.Venere, “Development And Characterization Of A
Solar-Based Energy Harvesting And Power Management System For A Wsn Node Applied To
Optimized Goods Transport And Storage”, International Journal on Smart Sensing and Intelligent
Systems., VOL. 9, NO. 4, December 2016 , pp. 1637- 1667 gy
g
g
y
pp
Optimized Goods Transport And Storage”, International Journal on Smart Sensing and Intelligent
Systems., VOL. 9, NO. 4, December 2016 , pp. 1637- 1667 [11] YoumeiSong,Jianbo Li, Chenglong Li, Fushu Wang, “Social Popularity Based Routing In
Delay Tolerant Networks”, International Journal on Smart Sensing and Intelligent Systems.,
VOL. 9, NO. 4, December 2016 , pp. 1687- 1709 [12] Seifeddine Ben Warrad and OlfaBoubaker, “Full Order Unknown Inputs Observer For
Multiple Time-Delay Systems”, International Journal on Smart Sensing and Intelligent Systems.,
VOL. 9, NO. 4, December 2016 , pp. 1750- 1775 [13] Rajesh, M., and J. M. Gnanasekar. VI.
Conclusion "Path observation-based physical routing protocol for
wireless ad hoc networks." International Journal of Wireless and Mobile Computing 11.3 (2016):
244-257. [14]. Rajesh, M., and J. M. Gnanasekar. "Congestion control in heterogeneous wireless ad hoc
network using FRCC." Australian Journal of Basic and Applied Sciences 9.7 (2015): 698-702. [15]. Rajesh, M., and J. M. Gnanasekar. "GCCover Heterogeneous Wireless Ad hoc Networks."
Journal of Chemical and Pharmaceutical Sciences (2015): 195-200. [16]. Rajesh, M., and J. M. Gnanasekar. "CONGESTION CONTROL USING AODV
PROTOCOL SCHEME FOR WIRELESS AD-HOC NETWORK." Advances in Computer
Science and Engineering 16.1/2 (2016): 19. [17]. Rajesh, M., and J. M. Gnanasekar. "An optimized congestion control and error management
system for OCCEM." International Journal of Advanced Research in IT and Engineering 4.4
(2015): 1-10. [18]. Rajesh, M., and J. M. Gnanasekar. "Constructing Well-Organized Wireless Sensor
Networks with Low-Level Identification." World Engineering & Applied Sciences Journal 7.1
(2016). [19] A. Almomani, B. B. Gupta, S. Atawneh, A. Meulenberg, and E. Almomani, "A Survey of
Phishing Email Filtering Techniques," in iEEE Communications Surveys & Tutorials, vol. 15,
pp.2070-2090, 2013. 99 S Sankaranarayanan, M.Anto Bennet, B.Deepa, A.Banu and S.Gayathri Design and implementation of dual-band circularly polarized antennas using stacked
[20] S. S. Tseng, K. Y. Chen, T. J. Lee, and 1. F. Weng., "Automatic content generation for anti-
phishing education game," in iEEE International Conference on Electrical and Control
Engineering, pp.6390-6394, 2011. Engineering, pp.6390-6394, 2011. [21] F. Frattolillo, "Watermarking Protocol for Web Context," in iEEE Transactions on
Information Forensics and Security,voI.2,no.3,sept , pp.350-363, 2007. [21] F. Frattolillo, "Watermarking Protocol for Web Context," in iEEE Transactions on
Information Forensics and Security,voI.2,no.3,sept , pp.350-363, 2007. [4] P. Sun, and H. Lu, "An efficient web page watermarking Scheme," in iEEE, pp.163-167,
2009. [4] P. Sun, and H. Lu, "An efficient web page watermarking Scheme," in iEEE, pp.163-167,
2009. [4] P. Sun, and H. Lu, "An efficient web page watermarking Scheme," in iEEE, pp.163-167,
2009. [22] H. Wang and C. Liao, "Compressed-Domain Fragile Watermarking Scheme for
Distinguishing Tampers on Image Content or Watermark,“ in IEEE, pp.480-484, 2009. [23] A .P. Singh, V. Kumar, S. S. Senger, and M. Wairiya, "Detection and Prevention of Phishing
Attack using Dynamic Watermarking," inVInternational Conference on Advances in Information
Technology and Mobile Communication ,vol. 147, pp 132-137,2011. [22] H. Wang and C. Liao, "Compressed-Domain Fragile Watermarking Scheme for
Distinguishing Tampers on Image Content or Watermark,“ in IEEE, pp.480-484, 2009. [23] A .P. VI.
Conclusion Singh, V. Kumar, S. S. Senger, and M. Wairiya, "Detection and Prevention of Phishing
Attack using Dynamic Watermarking," inVInternational Conference on Advances in Information
Technology and Mobile Communication ,vol. 147, pp 132-137,2011. 100
|
W3107844435.txt
|
https://www.nature.com/articles/s41378-020-00216-z.pdf
|
en
|
Modular operation of microfluidic chips for highly parallelized cell culture and liquid dosing via a fluidic circuit board
|
Microsystems & nanoengineering
| 2,020
|
cc-by
| 10,695
|
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
https://doi.org/10.1038/s41378-020-00216-z
Microsystems & Nanoengineering
www.nature.com/micronano
ARTICLE
Open Access
Modular operation of microfluidic chips for highly
parallelized cell culture and liquid dosing via a
fluidic circuit board
1234567890():,;
1234567890():,;
1234567890():,;
1234567890():,;
A. R. Vollertsen1, D. de Boer2, S. Dekker1, B. A. M. Wesselink1, R. Haverkate1, H. S. Rho
M. Blom4, R. Passier5, A. van den Berg1, A. D. van der Meer5 and M. Odijk 1
3
, R. J. Boom4, M. Skolimowski4,
Abstract
Microfluidic systems enable automated and highly parallelized cell culture with low volumes and defined liquid
dosing. To achieve this, systems typically integrate all functions into a single, monolithic device as a “one size fits all”
solution. However, this approach limits the end users’ (re)design flexibility and complicates the addition of new
functions to the system. To address this challenge, we propose and demonstrate a modular and standardized plugand-play fluidic circuit board (FCB) for operating microfluidic building blocks (MFBBs), whereby both the FCB and the
MFBBs contain integrated valves. A single FCB can parallelize up to three MFBBs of the same design or operate MFBBs
with entirely different architectures. The operation of the MFBBs through the FCB is fully automated and does not
incur the cost of an extra external footprint. We use this modular platform to control three microfluidic large-scale
integration (mLSI) MFBBs, each of which features 64 microchambers suitable for cell culturing with high
spatiotemporal control. We show as a proof of principle that we can culture human umbilical vein endothelial cells
(HUVECs) for multiple days in the chambers of this MFBB. Moreover, we also use the same FCB to control an MFBB for
liquid dosing with a high dynamic range. Our results demonstrate that MFBBs with different designs can be controlled
and combined on a single FCB. Our novel modular approach to operating an automated microfluidic system for
parallelized cell culture will enable greater experimental flexibility and facilitate the cooperation of different chips from
different labs.
Introduction
Massively parallelizing microfluidic cell culturing is
essential for expanding the parameter screening space and
increasing throughput in a wide variety of biological applications. These applications include drug screening1–4, cell
transfection5, cell signaling pathway mapping6, stem cell
differentiation7–9, and stem cell generation10. Common
approaches for screening a large parameter space are droplet
microfluidics11,12, microfluidic gradient generators2,13, and
Correspondence: M Odijk (m.odijk@utwente.nl)
1
BIOS Lab on Chip Group, MESA+ Institute for Nanotechnology, University of
Twente, Enschede, The Netherlands
2
Mesoscale Chemical Systems, MESA+ Institute for Nanotechnology, University
of Twente, Enschede, The Netherlands
Full list of author information is available at the end of the article
These authors contributed equally: A.D. van der Meer, M. Odijk
microfluidic large-scale integration (mLSI) chips7,9,14. However, only the last of these three methods is also suitable for
parameter screening in a dynamic, temporally controlled
manner. Temporal control is crucial for maintaining tight
control over the cell microenvironment15, and is, therefore,
an essential factor to take into account when designing
massively parallelized microfluidic cell culture systems.
mLSI chips contain hundreds to thousands of integrated
microvalves and were first developed by Thorsen et al. as the
microfluidic counterpart of the integrated circuit14. Previously, similar to electrical engineers in the 1950s and
1960s, microfluidic engineers were confronted with the
practical limitations of creating chips with a higher level of
integration. For example, increasing throughput was only
possible by increasing the number of replicates, which in
© The Author(s) 2020
Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction
in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if
changes were made. The images or other third party material in this article are included in the article’s Creative Commons license, unless indicated otherwise in a credit line to the material. If
material is not included in the article’s Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain
permission directly from the copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/.
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
turn increased the amount of external equipment (e.g.,
pumps) and tubing connections required. This problem was
referred to as the “tyranny of numbers”16. The invention of
the microvalve (analogous to the transistor)17 by the Quake
group and its integration into mLSI chips largely solved this
problem. By using microvalves to create on-chip multiplexers, Sjoberg-Gomez et al. and Wu et al. have demonstrated mLSI chips with 96 and 128 independently
addressable cell culture chambers, respectively7,9. Recently,
Zhang et al. demonstrated a chip with an impressive number
of 1500 independently addressable chambers18. However,
such highly integrated chips are challenging to develop and
set up, as this requires a complex design cycle, custom
software for chip-specific operation and a highly optimized
operating protocol. As a consequence, flexible alterations to
the design of these monolithic chips are not easily realizable
when required by the experimental question. To address this
challenge in maintaining design flexibility while setting up
a highly parallel mLSI cell culture system, we propose a
modular approach to create a versatile system based on a
library of standardized components.
We have previously reported a modular platform for
microfluidics in which a single fluidic circuit board (FCB)
connects multiple microfluidic building blocks (MFBBs) in a
modular and standardized fashion19,20. Analogous to the
printed circuit board, the predefined MFBBs can be
mounted onto the FCB and connected through the FCB to
fit a customized purpose. Other modular microfluidic systems21–24 have been previously reported, but these systems
rely on directly connecting MFBBs to each other or on
integrating all MFBBs in a microfluidic breadboard and
selecting them by mounting passive chips25. In contrast, our
FCB provides a single base plate through which multiple
MFBBs can be controlled and connected in a modular
fashion19,20. Importantly, the MFBB and FCB format and
interface, standardized by the ISO WA (workshop agreement)26, provide a framework within which further MFBBs
can be designed to fit the FCB. In this way, MFBB designs
with established protocols can be combined and upscaled.
Moreover, FCB fabrication can be outsourced so that only
custom MFBBs with unique functions are made in-house.
Here, we extend our FCB MFBB technology by developing
the first FCB that contains an active function: an MFBB
enabler. We use this FCB to operate mLSI MFBBs both in
parallel and selectively and hereby present, to the best of our
knowledge, the first modular plug-and-play system for mLSI
chips. Furthermore, we demonstrate the versatility of the
FCB by using the same FCB to control two MFBBs, an mLSI
MFBB and a dosing MFBB, which have entirely different
architectures. Importantly, we show that the FCB MFBB
enabler can “save” the states of the valves in the mLSI
MFBB. This feature allows us to combine both the dosing
and the mLSI MFBB into a single system while operating
both MFBBs using a shared set of control lines via the FCB.
Page 2 of 16
Furthermore, we show as a proof of principle that we can
culture human umbilical vein endothelial cells (HUVECs) in
the chambers of an unmounted mLSI MFBB as a first step
toward applying this modular technology to create automated and highly parallelized yet versatile cell culture
systems.
Design
The dimensions of both the mLSI and the dosing
MFBBs, as well as of the FCB, are in accordance with the
standards defined in ISO WA 23:201326. In addition, all
inlets on the FCB, and consequently all MFBB control
channel inlets, are located as points on a 1.5-mm grid also
defined in ISO WA 23:201626. By adhering to these
standards, potential system extension to include other
likewise standardized components is facilitated.
64-Chamber mLSI MFBB for parallelized cell culture
This mLSI MFBB is designed to screen up to 64 different
conditions in a spatiotemporally independent manner. It
contains 64 independently addressable chambers, a bypass
channel, two outlets and three independently addressable
inlets, as shown in Fig. 1a. The chambers and all flow
channels are shown in blue, while the control channels are
green. Fig. 1b represents a brightfield micrograph of one of
the chambers. Flow from the inlets is directed within the chip
by selectively opening and closing normally open valves14 in
the “push-up” configuration (Fig. 1c). Since the control
channels are dead-ended, pressurizing these channels causes
the flexible membrane to deflect into the flow channel,
effectively blocking the flow. Flow channels in places where
there are valves have a rounded profile so that they can be
closed without leakage. This profile makes the (air-filled)
channels appear darker than channels with a rectangular
cross-section in brightfield micrographs. The control channels are filled with water to prevent air from permeating the
valve membrane and consequently forming bubbles in
liquid-filled flow channels. All chambers can be independently addressed using a combinatorial multiplexer27. The
number of independently addressable chambers k depends
on the number of control channels N as follows:
k¼
N!
ðN=2Þ!2
k¼
N!
ððN þ 1Þ=2Þ!ððN 1Þ=2Þ!
for Nð2 2NÞ and
ð1Þ
for Nð2 2N0 þ 1Þ
ð2Þ
In this case, N = 8 control channels are used, with which,
in theory, 70 chambers can be independently addressed.
However, we opted for 26 = 64 chambers because it allows
the connecting channels to be binarily branched from the inand outlet (the branched flow channel structure is visible in
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
MFBB top view
Flow channels
c
b
Chamber
1800 Pm
Control channels
30 mm
a
Page 3 of 16
Valve side view
d
60 mm
Multiplexer principle
e
To chambers:
350 Pm
To outlet:
open
closed
300 Pm
300 Pm
Fig. 1 Design and operation of the mLSI MFBB. a Schematic design of the mLSI MFBB. The channels in the flow layer are shown in blue, while the
channels in the control layer are shown in green. b Brightfield micrograph of a chamber. c Schematic side view of a valve in normally open “push-up”
configuration. d Brightfield micrograph illustrating the multiplexing principle for the first four chambers. e The brightfield micrograph on the left shows
the bypass channel blocked by valves, whereby the flow is directed into the chambers. The right micrograph shows the chambers blocked by valves,
and the bypass channel opened. As a result, the flow is directed to the outlet, purging the channels without mixing with the chamber content
the top and bottom of the design in Fig. 1a). This results in
equal flow resistance for all chambers regardless of whether
they are all opened simultaneously or individually. The
multiplexing principle is visualized in Fig. 1d, which shows
four flow channels (dark appearance in image) crossed by
eight control channels (light appearance). The pressure in
the top four control channels is atmospheric; therefore, the
valves are open. The bottom four control channels are
pressurized, thereby closing the valves. Due to the arrangement of the valves (wide cross-sections) and bridges (narrow
cross-sections), only the first flow channel is unobstructed.
Pressurization of any four of the eight control channels
results in exactly one chamber being accessible while the
paths to all others are obstructed (disregarding the six leftover combinations which are not used in this case). The
bypass channel is used to purge the channels without contaminating the chambers when switching liquids. Therefore,
it is located just outside the chambers where it runs across
all of the branched flow channels. The valves of two more
control channels are used to direct the flow either into the
chambers or through the bypass channel (Fig. 1e). Finally,
three valves are used to open or close three flow channel
inlets (as shown at the channel junction, where the three
inlet channels meet in Fig. 1a). In total, each mLSI MFBB
has 13 control channels controlling a total of over 700
valves. Further details on the working principle of this MFBB
are described in Fig. S1.
The described design is realized in a three-layer MFBB
3 cm × 6 cm in size. The top two layers are the flow layer
(blue in Fig. 1a) and the control layer (green in Fig. 1a),
whereas the third layer seals the control layer and interfaces the MFBB with the FCB. Two variations of the
design described above were fabricated, with minor differences. These differences are shown and explained in
detail in Fig. S2. The reason for the minor adjustments
was to improve the MFBB for cell culture.
Liquid dosing MFBB with a high dynamic range
Various operational principals can be used to accomplish
defined microfluidic liquid dosing, including peristaltic
pumping28, electrowetting on a dielectric29, fixed-volume
reservoir metering30, and pulse width modulation (PWM)
metering31,32. This MFBB applies the concept of PWM to
accomplish microfluidic dosing so that concentration
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
d
Schematic of the working principle
Purge inlet
R1 > R 3 > R2
Inlet 1
R1
R1
R2
R2
R3
R3
Inlet 2
Outlet 1
b
Outlet 2
Outlet 3
Schematic of the valve, side view
Closed
Flow
Open
30 mm
e
Flexible
membrane
c
① Flow layer + ② top valve layer
30 mm
a
Page 4 of 16
③ Bottom valve layer + ④ control layer
①
②
30 mm
8 mm
Side view
③
④
30 mm
① Flow layer
③ Bottom valve layer
Flow channels
② Top valve layer
④ Control layer
Control channels
Valve flow side
Membrane
Valve control side
30 mm
Fig. 2 Design and operation of the dosing MFBB. a Schematic diagram of the MFBB working principle. b Schematic side view of the integrated
valves. c Realistic side view of the MFBB showing all four layers. d Realistic top view of the flow layer, containing the in- and outlets, the hydraulic
resistors (layer ①) and the top part of the valves (layer ②). e Realistic top view of the control layer, containing the control channels (layer ③) and the
bottom part of the valves (layer ④)
profiles with a wide range of mixing ratios (i.e., high dynamic
range over 1–2 orders of magnitude) within a short time
period (tens of seconds) can be generated.
A schematic overview of the working principle is shown in
Fig. 2a. The MFBB contains two fluid inlets, one purge inlet,
three fluid outlets, and ten integrated valves in a normally
closed configuration that can be actuated via the control
lines (shown schematically in Fig. 2b). The valve design is a
modified version of a design by Loessberg-Zahl33. Each of
the fluid inlets is connected in parallel to three channels with
different hydraulic resistances. The fluid can be routed
through any of these three channels using the valves. As a
result, three different flow rates per inlet and applied pressure can be obtained, as described in the following equation:
Qn ¼ ΔPR1
n
n 2 f1; 2; 3g
ð3Þ
where Q (m3 s−1) is the flow rate, ΔP (Pa) is the pressure
over the channels, and R (Pa s m−3) is the hydraulic
resistance. The large differences between R1, R2, and R3
allow for a high dynamic range in the dosed volume per
time unit. By extension, a high dynamic range in concentration is achieved when the dosed volume from inlet
1 is combined with fluid from inlet 2 (or vice versa). In
theory, different concentration profiles can be generated
by combining flow from the two fluids that are routed
through two different hydraulic resistors. However, in this
steady-state approach, the number of concentration profiles is limited by the number of resistor combinations.
Therefore, the valves are opened with defined pulse
widths to modulate the fluid volume from each inlet,
thereby generating many different concentration profiles.
After microfluidic dosing, the mixture is then directed to
one of the outlets and homogenized by Taylor dispersion
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
in the connected tubing. One dosing MFBB can output
fluid mixtures to up to three subsequent MFBBs (one per
outlet), which then receive the fluid mixture as an input.
Finally, the purge inlet serves to clear the channels (and
optionally the tubing) with a neutral fluid.
The described design is realized in a four-layer MFBB
3 cm × 3 cm × 0.8 cm in size (Fig. 2c–e). The top two layers
(① and ② in Fig. 2c, d) contain the flow channels (blue),
which are connected to the in- and outlets. The bottom
layers (③ and ④ in Fig. 2c, e) contain the control channels
(green), which control the valve actuation. The top and
bottom parts of the valves (in layers ② and ③, respectively)
are separated by a flexible membrane (dark gray in Fig. 2b,
d, e), which is situated between layers ② and ③.
Fluidic circuit board
The purpose of this FCB is both the parallelized and
sequential operation of MFBBs, specifically their control
layers. Figure 3a shows a schematic of the operating principle in a side view. The MFBB control tubing (green),
which would usually be directly attached to a single MFBB,
is connected to the FCB via a plug-and-play external
interconnection block (EIB). The schematic shows one
a
Page 5 of 16
MFBB control channel (green) that is branched in the FCB
into three channels, each of which leads to a different
MFBB. In this way, three identical MFBBs can be operated
in parallel. For independent MFBB operation, the concept
of latching valves is applied34. Specifically, there is one set
of valves per MFBB that can close off all of the control
channels of the MFBB. Each set of valves is controlled by
one FCB control channel (orange). If a set of FCB valves are
closed, pressure changes in the MFBB control channels
cannot be transferred to the corresponding MFBB. This
MFBB is then effectively disabled (but retains its last valve
states), and another MFBB can be operated independently
of the first. To illustrate the working principle, Fig. 3a
shows three different states of MFBB operation. MFBB 1 is
disabled (OFF) with the MFBB control channel depressurized. As a result, flow can pass through MFBB 1, but its
control valves can no longer be operated through the FCB.
MFBB 2 is enabled (ON), meaning that the MFBB valves
can be operated through the FCB. Here, the MFBB valve is
closed since the MFBB control channel is pressurized.
Finally, MFBB 3 is disabled (OFF), similar to MFBB 1.
However, in contrast to MFBB 1, MFBB 3 was disabled
when the MFBB control channel was pressurized.
Schematic side view:
MFBB OFF
MFBB ON
MFBB OFF
Flow
MFBB 1
MFBB 2
Compressed air:
pMFBB, 1-13
pFCB, 1-3
MFBB 3
EIB
5 mm
Flexible membrane
b
Top view:
MFBB flow channels
127.5 mm
Flow direction
Control channels
for MFBB valves
75 mm
Control channels
for FCB valves
FCB valves
MFBB outline
MFBB 1
MFBB 2
MFBB 3
micronit
Bolt pockets
O-ring pockets
Alignment pins
Fig. 3 Design and operation of the FCB and connected MFBBs. a Schematic side view of the FCB and three MFBBs. The MFBB control channels
(green) are operated via the FCB. The FCB control channels (orange) can block pressure transmission to an MFBB. If the FCB valve of an MFBB is closed
(open), the MFBB is disabled (enabled) or OFF (ON). b Top view of the FCB. Each of the 13 MFBB control channels branches off from a common inlet
to 3 MFBB ports. Each set of channels is controlled by a set of FCB valves (purple)
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
Page 6 of 16
Therefore, the valves in MFBB 3 are closed, and there is no
flow through the corresponding flow channel. Since the
three FCB control channels are fully independent of each
other, it is possible to select any one, two, or all three
MFBBs to be enabled simultaneously.
Figure 3b shows an accurate top view of the FCB. The
FCB footprint fits that of a microtiter plate, which makes
it compatible with commercially available microscope
stage inserts. The FCB has ports for three MFBBs with a
maximal footprint of 3 cm × 6 cm each. There are pockets
for three alignment pins per MFBB for easy alignment of
the FCB-MFBB control channel interface. Since O-rings
are used for a leak-tight seal, the FCB has O-ring pockets
that allow for a compression of 10% and keep the MFBB
level on the FCB. The EIB is fastened to the FCB directly
using bolts and nuts. The MFBBs are fastened likewise
using clamps. A detailed design of the EIB and clamps is
shown in Fig. S3. The FCB has hexagonal pockets on the
a
ii)
iv)
bottom side to inset the bolt heads. The bolts are inserted
through the FCB and EIB or clamp and then tightened
with nuts at the top. In the top view, the complete set of
FCB valves (purple) is also shown. There are 13 valves
per set, as there are 13 MFBB control channels. The
branching off of the main MFBB control channels is
realized by a bridging layer in the FCB. In total, the FCB
has five layers, excluding the flexible membrane (Fig. 3a).
Results and discussion
Fabrication results
An mLSI MFBB, a dosing MFBB, their clamps, the
FCB, and the EIB are shown separately in Fig. 4a. The
mLSI MFBB is fabricated from two polydimethylsiloxane
(PDMS) layers bonded to a glass slide that has throughholes for the control channel inlets. The dosing MFBB is
fabricated from four layers of poly(methyl methacrylate)
(PMMA). The FCB consists of five polystyrene layers
i) Dosing MFBB + ii) 3 cm × 3 cm clamp
iii) mLSI MFBB + iv) 3 cm × 6 cm clamp
vi) External Interconnection Block (EIB)
vi)
iii)
i)
~1 cm
v) Fluidic circuit board
b
~1 cm
Fig. 4 Components of the modular platform. a Fabricated parts for the platform assembly, numbered as follows: (i) Dosing MFBB, (ii) clamp
(3 cm × 3 cm) for the dosing MFBB, (iii) mLSI MFBB with 64 chambers, (iv) clamp (3 cm × 6 cm) for the mLSI MFBB, (v) fluidic circuit board, and (vi) EIB.
b Fully assembled platform with three mLSI MFBBs filled with food coloring gradients
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
and a styrene ethylene butylene styrene (SEBS) membrane. The clamp and the EIB are fabricated from
PMMA. Figure 4b shows the fully assembled platform
with three mLSI MFBBs. The chambers are filled with
food coloring to visualize the chambers and channels.
Tubing for both the FCB and the MFBB control channels
can be seen attached to the EIB, while tubing for the
MFBB flow channels is connected to the MFBBs directly.
In this way, each mLSI MFBB can still be filled with
different solutions (cell suspensions, media, etc.), thus
maintaining the versatility of having three separate mLSI
MFBBs. The FCB, clamps and EIB are reusable, whereas
the MFBBs that are used for cell culturing are created for
single use. Finally, the FCB was fabricated in an industrial setting (at Micronit Microtechnologies), while the
MFBBs, clamps and EIB were fabricated in an academic
lab. The standardized interfaces and formats greatly
facilitate collaboration between industry and academia,
enabling a faster path to commercialization of the reusable components.
The assembly of the MFBBs on the FCB is simple and
depends on screwing nuts and bolts into the clamps that
hold the MFBBs in place, thus creating leak-proof interfaces between the inlets of the MFBBs and the outlets of
the FCB via O-rings. However, in our FCB, the O-ring
pockets are marginally too deep to reliably give sufficient
O-ring compression at all interconnects every time an
MFBB is mounted. Due to the minimal compression and
close proximity of the O-rings, even slight variations in Oring thickness can lead to a thinner O-ring not sealing
sufficiently when it is placed next to thicker O-rings. As a
result, the water in the MFBB control channel leaks out at
the O-ring, and the valves in the MFBB do not close fully.
Nevertheless, we succeeded in mounting three mLSI
MFBBs leak-free by rearranging the O-rings based on
their thickness and carefully tightening the clamp. We
expect that the reliability of O-ring seals can be greatly
improved in the next FCB generation by designing for at
least 15% compression instead of 10%, which will also
shorten the time required for platform assembly.
Mono-type MFBB operation via the FCB
Three mLSI MFBBs were mounted onto the FCB. For
the following FCB operation, the MFBB control channels
were switched between 1.4 bar for closed and 0 bar for
open MFBB valves. The FCB control channels were
switched between 1.6 bar for closed FCB valves and
−200 mbar for open FCB valves. The closing behavior of
one set of 13 FCB valves is shown in Fig. S4 at a pump
pressure of 1.4 bar and different gate pressures.
The FCB is designed to “save” the current states of the
MFBB valves after an MFBB is disabled. However, due to
the gas permeability of the mLSI MFBB, water from
pressurized control channels can ultimately leak out of
Page 7 of 16
the channels in the form of water vapor35. As a result, the
pressure in the control channels decreases, and the valve
membrane sealing off the flow channel slowly relaxes back
to its native state. Once the membrane has relaxed
enough for the valve to become leaky, the MFBB has to be
enabled and the control channel repressurized. Therefore,
the MFBB usage time depends on how long the pressure
in the control channels of a disabled MFBB can be
retained. If the pressure in the control channels decreases
too quickly, processes in another MFBB would have to be
interrupted to repressurize the control channels of the
first MFBB. Therefore, we measured the flow of deionized
(DI) water through an MFBB mounted on the FCB
(Fig. 5a). First, the MFBB was enabled with open valves (a
schematic of the principle is shown in Fig. 5b (i). Subsequently, the valves were closed (Fig. 5b (ii)) the MFBB was
disabled, and then the MFBB control channel pressure
was released (Fig. 5b (iii)). As shown by the flow rate in
Fig. 5a, the MFBB valves remained closed for the entire
duration of the experiment (>17 h). When the MFBB was
re-enabled and the valves opened, the flow rate returned
to the initial flow rate of 4 µL/min. The peak shown in
Fig. 5a upon depressurization of the control channels is
attributed to the pull created by all of the valves in the
MFBB opening simultaneously, which can be circumvented by depressurizing the control channels one by
one. Furthermore, the flow rate was measured through
channels that were set to remain open when the MFBB
was disabled. After 16 min, the flow rate was still at 95% of
the initial flow rate (shown in Fig. S4).
Individual MFBB operation is demonstrated in Fig. 5c,
where the MFBBs are sequentially filled with food coloring.
The first two MFBBs are filled with all three inlets open
simultaneously. The three colors are partially mixed by
diffusion as they reach the channel branches. As a result,
the chambers in these MFBBs are filled with a food coloring
gradient. The third MFBB is filled chamber by chamber,
alternating and mixing the blue and red food coloring. A
full video of the operation on the FCB is shown in Video S1.
Although the total number of independently addressable chambers is not as high as in monolithic systems
previously presented in the literature, the modular
approach gives the user more freedom in tailoring the
system to experimental requirements. For example, if the
aim is to perform preliminary testing to identify a promising concentration range for the desired efficacy of a
new compound, a system with hundreds of chambers is
unnecessary. In the modular approach, the user can
choose between using only one, two, or all three of the
mLSI MFBBs to suit their aim, without having to design,
fabricate and program a new device. In an analogy to
standard cell culture in microtiter plates, this system can
be considered as offering the ability to switch between
microtiter plates with, e.g., 6-, 48-, or 96-wells.
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
Flow rate (PL/min)
a
Page 8 of 16
c
Flow through MFBB
Independent MFBB operation
t = 0 min
6
4
2
t = 2.5 min
0
00:00
b
00:02
00:04 17:48
17:50
Time hh:mm
17:52
t = 5 min
i.
MFBB
EIB
pMFBB
p FCB
t = 7.5 min
FCB
ii.
MFBB
EIB
pMFBB
t = 10 min
p FCB
FCB
iii.
MFBB
EIB
t = 17.5 min
p FCB
FCB
Flow channels
pMFBB
Flow rate measurement
MFBB control channels
FCB control channels
Fig. 5 Operation of MFBBs through the FCB by sequentially disabling the MFBBs while ‘saving’ the states of their control channels. a A flow
channel in an MFBB was opened, and the flow through the channel was measured. After 1 min, the flow was stopped by pressurizing the control
channel in the MFBB through the FCB. Then, the MFBB was disabled, and the pressure to the FCB for the MFBB control channels was released. After
more than 17 h, the MFBB was re-enabled, and the flow channel was reopened. b Schematic representation of enabling (ON) and disabling (OFF) the
MFBB. c Video frames of sequential MFBB operation
Multi-type MFBB operation via the FCB
To demonstrate that two MFBBs with very different
architectures (regarding both design and materials) can be
operated by the same FCB, a dosing and an mLSI MFBB
were mounted onto the FCB. In the first step, the dosing
MFBB was characterized by measuring the metered
volume of DI water with a pump pressure of 300 mbar
through the high, medium and low hydraulic resistance
channels for a duration of 1–10 s (Fig. 6a). The dynamic
range of the system is demonstrated by the three different
volumetric metering regimes (0–4, 4–40, and 40–140 µL)
in which the MFBB can operate. The plots show linear
behavior, which allows for a predictable volume to be
metered through a combination of pulses from the high-,
medium-, and low-resistance channels. The MFBB is
capable of metering volumes less than 1 μL using the
high-resistance channel and up to 128 μL in 10 s using the
low-resistance channel in array 2 (red). In a 30-s period,
this full range can be covered, yielding a dynamic range of
at least 1:128. This value was lower for resistor array 1
(blue) due to bubbles trapped in the low-resistance valve,
and as such, a dynamic range of at least 1:56 was achieved.
If more time is allowed for profile generation, then a
higher dynamic range can be achieved. An extensive
characterization of this MFBB at different pump pressures
and experimentally determined hydraulic resistances is
presented in Figs. S5–S8 and Table S1.
In the next step, the MFBBs were combined by connecting one of the outlets of the dosing MFBB to an inlet
of the mLSI MFBB with tubing. A flow pressure of
270 mbar was applied to the food coloring at the inlets of
the dosing MFBB, and a pressure of 2.0 bar was used to
operate both the MFBB and FCB valves. Dual operation of
both MFBBs on the same FCB was achieved by
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
a
Dosing MFBB characterization - high dynamic range
High resistance
5
4 – 40 PL
5
50
y = – 0.13 + 0.31x, R 2 = 0.87
3
30
2
20
1
10
R2-1
y = – 2.10 + 3.88x, R 2 = 0.983
R2-2
y = – 3.56 + 6.05x, R 2 = 0.968
y = – 3.09 + 13.10x, R 2 = 0.997
y = – 1.40 + 2.95x, R 2 = 0.966
40
> 40 PL
Low resistance
R3-2
R3-1
y = – 0.26 + 0.37x, R 2 = 0.90
4
0 – 4 PL
Medium resistance
R1-2
R1-1
Metered volume (PL)
Page 9 of 16
120
80
40
0
0
b
2
4
6
8
10
0
2
4
6
8
10
Valve actuation duration (s)
c
Dual MFBB operation principle
Dosing MFBB
mLSI MFBB
0
2
4
6
8
10
Dual MFBB operation via FCB
t=0s
EIB
FCB
t = 42 s
Dosing MFBB
mLSI MFBB
EIB
t = 72 s
FCB
Flow channels
FCB control channels
MFBB control channels
Flow direction
d
Chambers 33 – 64 filled
with food coloring gradient:
1 mm
Fig. 6 Operation of two different MFBBs (a dosing and an mLSI MFBB) via the FCB. a Dynamic range characterization of the dosing MFBB in
terms of flow rate through the three hydraulic resistors at a pump pressure of 300 mbar. b Schematic of the dosing MFBB and the mLSI MFBB
operated via the FCB. By sequentially enabling the MFBBs, the dosing MFBB can be used to fill the chambers of the mLSI MFBB. c Video frames
showing the two MFBBs on the FCB and connected to each other with tubing. d Chambers of the mLSI MFBB filled with red or blue food coloring
(which were selected in the dosing MFBB) or gradients generated by a long pulse of one food coloring followed by a long pulse of the other food
coloring (chambers 33–64). The close-up view of chambers 33–64 consists of stitched brightfield micrographs
successively alternating which MFBB was enabled (schematically shown in Fig. 6b). When the mLSI MFBB was
enabled, a designated chamber was opened, and the
MFBB valve states were saved by disabling the MFBB.
Then, the dosing MFBB was enabled, and red or blue food
coloring was selected by opening the corresponding
valves. The food coloring then flowed into the mLSI
MFBB, filling the open chamber. Figure 6c shows video
frames (Video S2) of chambers 5–8 being filled in this
manner. Figure 6d shows the mLSI MFBB with all
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
chambers filled. Chambers 33–61 are filled with a food
coloring gradient generated by a long red pulse following
a long blue pulse (the chambers were filled in reverse
order). Fully purging the tubing between the two MFBBs
of its content (approximately 8 µL) took approximately
7.5 min. The comparatively large dead volume of the
tubing is a drawback of the current FCB. In future FCB
generations, we will connect the MFBBs via channels in
the FCB, which will allow us to reduce the dead volume to
approximately 1.5 µL (80% reduction). This connection
will decrease the total filling time and save reagents.
Cell culture in the chambers of the mLSI MFBB
The mLSI MFBB is designed to be suitable for multiplexed cell culture. As a proof of principle, HUVECs were
cultured in the chambers of an unmounted mLSI MFBB.
In this case, the glass slide of the MFBB did not have
through-holes; instead, the control channel inlets were
punched through the PDMS from the top. The MFBB was
prepared for cell seeding by coating the flow channels
with PLL-PEG (100 µg/mL in phosphate-buffered saline
(PBS)) to reduce cell adhesion and coating the chambers
with collagen I (0.1 mg/mL in PBS) to promote cell
adhesion. After the cells were seeded in the chambers, a
program was set to exchange the cell medium chamber by
chamber every 3 h.
Figure 7a shows an overview of all chambers after 3 days
of cell culture. The figure consists of 16 live-cell fluorescence images (one per four chambers) where the HUVECs
are visualized by green fluorescent protein (GFP)
expression. The figure confirms that there are HUVECs
present in all chambers. Figure 7b shows the HUVECs in
chambers 6 and 7 at a higher magnification. Figure 7c
shows HUVECs from a different experiment (non-GFPexpressing cells in this case), where cells were fixed after
2 days of culture. The F-actin filaments and nuclei of the
cells were visualized by ActinRed and NucBlue staining,
respectively. The results show that the cells had grown
together to form the cobblestone-like morphology typical
for HUVECs.
Figure 7d shows brightfield images of HUVECs cultured
in two chambers (9 and 10) over the course of 5 days. The
cells were seeded with a high cell number per chamber
(Fig. 7d (i)) such that confluency was reached overnight
(day 1, Fig. 7d (ii)). On day 1, the cells were more elongated than immediately after seeding and had started to
fill in any empty gaps that were left after seeding. By day 3
(Fig. 7d (iii)), the cells had formed a confluent monolayer
in the chambers. This monolayer is typical for healthy
HUVECs. However, at the end of day 4 (Fig. 7d (iv)), the
monolayer became disrupted with the formation of large
gaps. At the bottom of the chambers, significant cell death
was visible, accompanied by a receding monolayer. It was
hypothesized that the cell stress was due to degradation of
Page 10 of 16
the medium in the vial connected to the MFBB inlet.
Therefore, the vial was replaced with one containing fresh
medium. On day 5 (16 h later), the cells showed signs of
recovery as they reformed the monolayer.
To give an indication of how quickly the monolayer
recovers at its edges, the cells at the monolayer edges were
manually counted on days 4 and 5. Areas of the same size
were chosen in ten different chambers, e.g., as shown in
Fig. 7d (iv) and (v) by the black rectangle around the
region of interest. Each area contained a few dozen cells
on day 4, but these covered at most half of the area. The
cell counts are shown in Fig. 7e, whereby the black dots
and error bars represent the means and standard deviations, respectively. On average, the cell population in
these areas increased by 33 ± 17% within 16 h.
Conclusion and outlook
The described platform consisting of the FCB and
MFBBs is, to the best of our knowledge, the first modular
plug-and-play system for mLSI chips. By integrating an
MFBB enabler into the FCB, we can operate up to three of
the same MFBBs in parallel or operate and combine different MFBBs with different operation protocols. The
standardized interface with clamps and O-ring connections
allows for different MFBBs fabricated by different methods
to be combined in a single system, as demonstrated with
our micro-milled dosing MFBB and soft lithography-based
mLSI MFBB. Our modular approach toward creating
automated, highly parallelized cell culturing systems will
give the end-users more flexibility in several aspects. First,
this system provides flexibility in redesigning the microfluidic chips since only the layers in the MFBB are affected.
As long as the new MFBB retains the same interface and a
standardized format, it can be operated via the same reusable FCB. Second, with this system, it becomes possible to
run different experiments on different chips (e.g., with
design criteria tailored to different cell types or cell constructs) simultaneously without having to use multiple
pneumatic control setups for the mLSI chips. Furthermore,
it is possible to exchange MFBBs on the FCB to adjust the
system to a new application.
In this article, we demonstrated the technical functionality of our system. Currently, we are working on the
development of further MFBBs and on using the mLSI
MFBB for stem cell differentiation. In addition, we plan to
improve our platform by making it more broadly compatible with automated imaging systems. At present,
special microscope objectives with long working distances
are needed to image through the FCB. We plan to solve
this problem by removing parts of the FCB underneath
the MFBB regions of interest and by reducing the overall
FCB layer thickness.
In the future, modular MFBBs may also be conceptually
combined with previously reported FCBs19,20, which can
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
a
Page 11 of 16
Chambers 1–32:
Chambers 33–64:
1 mm
b
c
200 Pm
Day 0
ii.
e
Day 1
Cells in region of interest
d i.
200 Pm
200 Pm
Cell population increase
120
100
80
60
40
20
0
98 h
iii.
Day 3
iv.
Day 4 (98 h)
Monolayer
disruption
v.
114 h
Day 5 (114 h)
Recovery
54 cells
92 cells
78 cells
121 cells
Fig. 7 Proof-of-principle HUVEC culture in an unmounted mLSI MFBB. a Live-cell fluorescence images (one image per four chambers) showing
an overview of all the chambers after 3 days of culturing GFP-expressing HUVECs. b Live-cell fluorescence image of GFP-expressing HUVECs in
chambers 6 and 7. c Fluorescence image of fixed HUVECs with the cell F-actin and nuclei stained with ActinRed and NucBlue, respectively. d HUVECs
after seeding and subsequent monolayer formation. The cells were seeded at a high cell density (i) and confluent on day 1 (ii). The monolayer was
still intact on day 3 (iii) but began to deteriorate on day 4 (iv). At this point, the medium in the supply vial was replaced. The cells showed signs of
recovery on day 5 (v) as the monolayer started to reform. The red dots in (iv) and (v) mark the cells counted in the region of interest. e Cells in ten
chambers were counted in regions where the monolayer had deteriorated on day 4 (98 h) and after 16 h of recovery (114 h). The black dots represent
the mean cell count, and the error bars represent the standard deviation. The cell number increased by an average of 33% in these areas
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
route samples from one MFBB to another, decreasing
dead volume. Such a modular platform will greatly facilitate cell culture applications in which MFBBs with different functions (e.g., mixers, sensors, different cells, or
tissues) are connected and integrated. In the future, we
expect that this flexible integration of MFBBs will also be
particularly useful to control and integrate advanced
microfluidic cell culture models known as organs-onchips36,37, as well as their linking into multiorgan “bodyon-a-chip” systems38. Overall, our technology provides a
powerful yet versatile toolset for microfluidic cell culture
applications.
Materials and methods
64-Chamber mLSI MFBB
The mLSI MFBB was designed in CleWin Layout Editor
(version 4.3.6.0). The 64 chambers each measured
1.85 mm × 0.35 mm in length by width and had rounded
corners. The design for the flow layer was scaled by a
factor of 1.01 to compensate for PDMS shrinkage. Furthermore, the valve and bridge designs included tolerances of a few tens of micrometers to facilitate later
alignment of the flow and control layers.
For each mLSI MFBB type (see Fig. S2), two wafer
molds, one for the control layer and one for the flow layer,
were prepared by standard photolithography. For the
control layer, a wafer coated with SU8 (MicroChem, USA)
was used to create 20-µm-high channels. For the type II
flow layer, a wafer coated with SU8 (MicroChem, USA)
was first used to create rectangular channels approximately 48 µm high in the places where there are no valves
in the design. Next, AZ40XT (MicroChemicals, Germany)
was used to create channels with a rounded profile,
approximately 35 µm high. Channel heights were measured with a Dektak® stylus profiler (Veeco, Germany).
For the type I flow layer wafer, all structures were created
using AZ40XT photoresist.
Both types of mLSI MFBBs were fabricated by multilayer soft lithography17. A PDMS (RTV615, Permacol,
The Netherlands) offset ratio was used to bond the flow
(1:7 w/w, curing agent to base polymer) and control (1:20
w/w, curing agent to base polymer) layers together. The
PDMS was mixed, degassed and poured over the
respective wafer. On the control layer wafer, the PDMS
was spin-coated to achieve a layer thickness of approximately 30 µm. Both wafers were cured at 60 °C for 45 min.
The flow layer was cut from the wafer, and the in- and
outlets were punched using a 1-mm hole puncher (Ted
Pella, Inc., USA). The flow layer was aligned on top of the
control layer using an Olympus stereomicroscope. The
layers were cured together at 60 °C overnight. The chip
was then cut from the wafer. For interfacing with the FCB,
the chip was plasma-bonded using a plasma cleaner
(model CUTE, Femto Science, South Korea) to a glass
Page 12 of 16
slide 3 cm × 6 cm × 1 mm in size with 1-mm-diameter
powder-blasted holes in the locations of the control
channel inlets. For the unmounted chip used in the cell
experiments, the inlets for the control channels were
punched using a 0.75-mm hole puncher (Harris Uni-core)
before plasma-bonding the chip to a 1-mm-thick glass
microscope slide.
Approximately, 80% of all the mLSI MFBBs that were
fabricated had at least 60 out of 64 (93–100%) fully independently operable chambers. The reason why in some
cases not all 64 chambers were independently operable is
that the valve membrane was not even in thickness over
the entire chip. This resulted in areas where the pressure
in the control channels was insufficient to close the valve
fully, or if the pressure was increased, flow and control
channel crossings that were supposed to remain open
started to close off. Generally, chips that were cut from the
center of the control layer wafer did not suffer from this
issue, indicating that the main underlying cause is the
photoresist being slightly thicker at the edges.
Liquid dosing MFBB with a high dynamic range
Fabrication of the dosing MFBB consisted of modeling
the 3D geometries in Autodesk Inventor and then generating computer-aided manufacturing files using Autodesk HSM. This was then sent to a Datron Neo computer
numerical control (CNC) milling machine. The MFBB
layers were made from 2-mm-thick PMMA stock. A total
of three single-sided layers and one double-sided layer
were machined, each measuring 30 mm by 30 mm by
2 mm. The hydraulic resistors on layer ①, as shown in
Fig. 2d, varied in dimensions depending on hydraulic
resistance. The high-resistance channels were 250 µm
wide and 100 µm high, the medium-resistance channels
were 250 µm wide and 180 µm high, and the lowresistance channels were 500 µm wide and 180 µm wide.
The control lines were milled into layer ④ as shown in
Fig. 2e, with channels that were 500 µm wide and 500 µm
high. The valves, as shown in Fig. 2b, consisted of a bottom
and top section (layers 2 and 3) with a 0.25-mm Viton
rubber sheet (ACME rubber) clamped between the two
using a 30% clamping ratio. The valve outer diameter was
3.5 mm, and each half was 200 µm high. The individual
PMMA layers were solvent-bonded using a procedure
adapted from the work of Ogilvie et al.39. Each side of the
layers intended to form a bonded interface was exposed to
chloroform (Sigma-Aldrich) vapor for 4 min, followed by
being aligned and pressed together in a custom holder
using a heated hydraulic press. The press was preheated to
65 °C, and the applied pressure was 100 N cm−2. After
20 min, the temperature was reduced to room temperature
over 10 min by water cooling. The bonded chips were then
left overnight before being used. Inlet and outlet tubing
was connected using an NOA 81 optical adhesive.
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
FCB and auxiliary parts
The FCB, MFBB clamps, and EIB were designed in
SolidWorks® (2018). The FCB consisted of five layers and
a flexible membrane. The five layers were required for
valve integration, channel bridging and channel sealing.
The flexible membrane was required for valve actuation.
The FCB channels used for controlling the MFBB were
300 µm wide by 400 µm high. The FCB channels controlling the FCB valves were 500 µm wide by 500 µm high.
All channels were micromilled. The integrated valves
were in a “normally closed” configuration and fit a footprint of 4 mm2. Areas below the MFBB microchambers
were kept channel-free to prevent image distortion. The
clamps were designed with asymmetrical bolt holes to fit
together in a cog-like, space-saving manner (see Fig. S3).
The clamps contained eight bolt holes in total, six of
which were on the side where the O-rings need to be
compressed to form a seal between the FCB and the
MFBB. The EIB had 16 holes for tubing (13 for MFBB
control and 3 for chip enabling) and two bolt holes (see
Fig. S3).
FCB fabrication was outsourced to Micronit Microtechnologies (The Netherlands). The five layers were made
from thermoplastic polystyrene and the flexible membrane
from elastomeric SEBS. All channels in the layers were
micromilled. Holes in the membrane for interlayer channel
connections were created using a drag knife on a CNC
machine. The layers were bonded together by thermal
compression bonding. As a final step, the bolt holes were
drilled, and the outside contour was milled.
In total, six FCBs were fabricated, of which three passed
visual inspection. Of these three, the first one used for
experimental testing was fully functional and therefore
was used for all experiments presented in this article. The
same FCB and auxiliary parts remained fully functional
throughout the series of experiments for platform testing,
characterization, and program optimization.
Automation setup
All of the valves in the MFBBs and the FCB were driven
by pneumatic actuation. Solenoid valves (Festo, The
Netherlands), which were hooked up to a pressurized
airline via a pressure regulator (Festo, The Netherlands),
were used to switch between pressurized air (approximately 1.5 bar relative pressure) and atmospheric pressure
(0 bar relative pressure). The solenoid valves were controlled through a custom LabView (2017, National
Instruments, USA) program via an Easyport (Festo, The
Netherlands) interface. The flow through the MFBBs was
controlled using a pressure pump (Fluigent, Germany)
and set using the aforementioned LabView program.
The custom LabView program contained functions for
automated coating and filling of the channels and chambers in the mLSI MFBB. Furthermore, scripts to control
Page 13 of 16
different MFBBs on a single FCB (e.g., the mLSI and
dosing MFBBs) could be loaded and run. In its current
form, the platform still requires an experienced user for
robust, leak-free assembly due to the variable O-ring
compression described in the fabrication results section.
However, once assembled, the operation of the platform is
simple, and it can even be left unattended while a function
or script is running. For experiments not presented in this
article, four persons with no previous experience in
microfluidics were able to successfully operate unmounted mLSI MFBBs similar to the one presented here after
having had one introductory training session and a few
independent tries on their own.
Platform assembly
Nine 1-mm-diameter stainless steel pins (ERIKS BV,
The Netherlands) were inserted into the nine corresponding holes in the FCB for MFBB alignment. Pieces of
Tygon® tubing (Metrohm, The Netherlands) with an
outer diameter of 2.3 mm were inserted into the EIB on
one end, filled with DI water, and hooked up to the
solenoid valves on the other end. Next, the MFBBs were
aligned on the FCB and then clamped into place. For an
airtight seal, FKM O-rings with an inner diameter of
0.74 mm (ERIKS BV, The Netherlands) were used. The
clamp was fastened using M2 hex bolts (DIN 934)
inserted from the bottom of the FCB and tightened at the
top with M2 nuts (RVS Paleis BV, The Netherlands). The
pressure in the tubing for the MFBB control channels was
increased to 1.6 bar by switching the solenoid valves that
pushed the water through the FCB, filling the MFBB
control channels. Water-filled control channels prevented
air bubbles from forming at the valves in the mLSI MFBB
flow layer during operation.
Flow rate measurements
The flow rates for FCB valve characterization and the
mLSI MFBB pressure retention experiment were measured using an L and an S flow sensor (Fluigent, Germany), respectively, and recorded with a custom LabView
(2017, National Instruments, USA) program.
Cell culture
In preparation for cell seeding, HUVECs (Lonza, Switzerland) or GFP-expressing HUVECs (Angio-Proteomie,
USA) were cultured in collagen I-coated T75 flasks
(CELLCOAT®, Greiner Bio-One) until reaching approximately 80% confluency. These cells were then trypsinized,
centrifuged, and resuspended in endothelial growth medium (EGM) (Cell Applications, Inc., CA, USA) containing
25 mM hydroxyethyl piperazine-ethanesulfonic acid
(HEPES). The cell suspension was filtered through a 40-µm
pore-size filter (BD Falcon™) and then seeded in the previously prepared mLSI MFBB.
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
mLSI MFBB preparation and cell seeding
Prior to cell seeding, the mLSI MFBB was prepared by
selectively coating the flow channel walls to reduce cell
adhesion and protein absorption and by coating the
chamber walls to promote cell adhesion. The MFBB was
exposed to oxygen plasma using a plasma cleaner (model
CUTE, Femto Science, South Korea) to functionalize the
surface with silanol groups. Next, all control channels and
all flow channels were filled with sterile, filtered DI water.
Keeping the chambers closed off, 100 µg/mL PLL-g-PEG
(poly(L-lysine) poly(ethylene glycol)) (SuSoS, Switzerland)
in PBS (Sigma-Aldrich) was flushed through all the
channels and kept at room temperature for half an hour.
Next, 0.1 mg/mL rat tail collagen I (Corning Life Sciences)
in PBS was used to purge the PLL-g-PEG solution and
then fill the chambers. The collagen solution has flowed
through the chambers for 3 min, and the chip was then
incubated for 1 h at 37 °C in the on-stage microscope
incubator. Finally, all of the chambers and flow channels
were filled with EGM (Cell Applications, Inc., CA, USA).
The cells were seeded at 6 × 106 cells/mL through a
pipette tip inserted in one of the inlets. The open top of
the pipette tip was connected to a 3D-printed plug (3D
printer by Formlabs, The Netherlands) with a hole for
tubing, as described by Rho et al.40. Upon hooking up the
tubing to a pressure pump (Fluigent, Germany), the air
pressure inside the pipette tip was increased to 50 mbar.
The chambers were filled with cells sequentially and then
closed off. Next, the channels were flushed with a 1×
trypsin (Invitrogen) solution several times to remove cells
adhering to the channel walls. Finally, the trypsin solution
was purged with EGM, and the LabView program was set
to exchange the medium in the chambers every 3 h.
Incubation system
A custom-built environmental box (Fig. 8) was used to
maintain the MFBB under standard cell culture conditions (37 °C and 5% CO2). It was mounted on an MS-2500
Page 14 of 16
motorized stage (Applied Scientific Instrumentation,
USA), which was situated on a DMI 6000 m microscope
(Leica Microsystems, Germany). The heating plate stage
insert (Tokai Hit, Japan) was controlled using the aforementioned LabView program. The box had an internal
volume of approximately 1.7 L. The removable lid provided easy access to the MFBB during tubing connection
and cell seeding. Air with 5% CO2 was flowed into a
humidity bath inside the box to keep the humidity inside
high and thus prevent the MFBB from drying out. Additional wells filled with DI water were placed around the
MFBB on the heating plate to further increase the
humidity. The temperature was recorded using an NTC
10-kΩ thermistor (Vishay, USA) and documented using
the same LabView program. A CO2 controller (Okolab,
NA, Italy) supplied air with 5% CO2 to the environmental
box. The advantages of this environmental box over a
commercially available system are its low cost, easy chip
access, and designated connections for microfluidic tubing. However, a disadvantage is that condensation occurs
on the interior walls of the box, since these are cooler than
the heating plate. While the environmental box is sufficient in its current state for demonstrating proof-ofprinciple cell culture, long-term cell culture would benefit
from a uniform temperature and humidity distribution
within the box. This can be achieved by encompassing the
microscope in a temperature-controlled system instead of
using a heating plate.
Cell staining and imaging
HUVECs (Lonza, Switzerland) were fixed with 4% paraformaldehyde (Sigma-Aldrich) in PBS and subsequently
permeabilized with 0.3% Triton-X (Sigma-Aldrich) in PBS.
Next, 15 µL/mL of both ActinRed (Thermo Fisher Scientific) and NucBlue (Thermo Fisher Scientific) was added to
the Triton-X solution to visualize the F-actin filaments and
nuclei, respectively. Images were captured using a Leica
DMI 6000 m microscope (Leica Microsystems, Germany)
Environmental box:
Box lid
Tubing connections
MFBB
Medium vial
Heating plate
Water bath
Microscope stage
5% CO2 air inlet
Fig. 8 Top view of the environmental box mounted on an inverted microscope
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
with a pE300ultra LED illumination system (CoolLED, United Kingdom) and an RGB filter cube.
Live-cell images of the GFP-expressing HUVECs
(Angio-Proteomie, USA) were taken with an EVOS FL cell
imaging system using the GFP filter cube. The brightness
and contrast of all images were adjusted using ImageJ.
Acknowledgements
This work was supported by the VESCEL ERC Advanced Grant to A. van den
Berg (grant No. 669768) and the MFManufacturing ESCEL Joint Undertaking
(grant No. 621275-2). The authors thank Jan v. Nieuwkasteele and Hans de Boer
for their help in setting up the environmental box on the microscope. The
authors also thank Johan Bomer for his help with taking the SEM images.
Author details
1
BIOS Lab on Chip Group, MESA+ Institute for Nanotechnology, University of
Twente, Enschede, The Netherlands. 2Mesoscale Chemical Systems, MESA+
Institute for Nanotechnology, University of Twente, Enschede, The
Netherlands. 3Institute for Technology-Inspired Regenerative Medicine,
Maastricht University, Maastricht, The Netherlands. 4Micronit
Microtechnologies, Enschede, The Netherlands. 5Applied Stem Cell
Technologies, TechMed Centre, University of Twente, Enschede, The
Netherlands
Author contributions
A.R.V. designed the system, was involved in all of the experiments and wrote
the article. D.B. designed, fabricated, and tested the dosing MFBB and wrote
part of the article. S.D. provided input on the FCB design and assisted with the
FCB testing experiments. B.A.M.W. assisted in cell culture experiments. R.H.
assisted in designing the FCB/MFBB interface. H.S.R. helped design the setup
and mLSI MFBB fabrication. R.J.B. and M.S. fabricated the FCB and provided
input on the FCB valves. M.B. was involved in many standardization (ISO)
discussions and provided modularity concepts. R.P., A.B., A.D.M., and M.O.
supervised the project. A.D.M. and M.O. provided ideas for the system design
and revised the article.
Conflict of interest
R.J.B., M.S., and M.B. are employed by the Micronit Microtechnologies, and this
work may lead to the development of products (MFBBs and FCBs). Note that
modularity and platform compatibility are ensured and covered by the ISO
standard (Workshop Agreement 23:2013). The remaining authors declare that
they have no conflicts of interest.
Supplementary information accompanies this paper at https://doi.org/
10.1038/s41378-020-00216-z.
Received: 20 March 2020 Revised: 13 August 2020 Accepted: 31 August
2020
References
1. Wu, M. H., Huang, S. Bin. & Lee, G. Bin. Microfluidic cell culture systems for drug
research. Lab Chip 10, 939–956 (2010).
2. Ye, N., Qin, J., Shi, W., Liu, X. & Lin, B. Cell-based high content screening using
an integrated microfluidic device. Lab Chip 7, 1696–1704 (2007).
3. Chen, Q., Wu, J., Zhang, Y. & Lin, J. M. Qualitative and quantitative analysis of
tumor cell metabolism via stable isotope labeling assisted microfluidic chip
electrospray ionization mass spectrometry. Anal. Chem. 84, 1695–1701 (2012).
4. Zhang, Y., Zhang, W. & Qin, L. Mesenchymal-mode migration assay and
antimetastatic drug screening with high-throughput microfluidic channel
networks. Angew. Chem. Int. Ed. 53, 2344–2348 (2014).
5. Woodruff, K. & Maerkl, S. J. A high-throughput microfluidic platform for
mammalian cell transfection and culturing. Sci. Rep. 6, 1–12 (2016).
6. Blazek, M., Betz, C., Nip Hall, M., Zengerle, R. & Meier, M. Proximity ligation assay
for high-content profiling of cell signaling pathways on a microfluidic chip.
Mol. Cell. Proteom. 12, 3898–3907 (2013).
Page 15 of 16
7. Gómez-Sjöberg, R., Leyrat, A. A., Pirone, D. M., Chen, C. S. & Quake, S. R.
Versatile, fully automated, microfluidic cell culture system. Anal. Chem. 79,
8557–8563 (2007).
8. Giobbe, G. G. et al. Functional differentiation of human pluripotent stem cells
on a chip. Nat. Methods 12, 637–640 (2015).
9. Wu, X. et al. In situ characterization of the mTORC1 during adipogenesis of
human adult stem cells on chip. Proc. Natl Acad. Sci. USA 113, E4143–E4150
(2016).
10. Giulitti, S. et al. Direct generation of human naive induced pluripotent stem
cells from somatic cells in microfluidics. Nat. Cell Biol. 21, 275–286 (2019).
11. Brouzes, E. et al. Droplet microfluidic technology for single-cell highthroughput screening. Proc. Natl Acad. Sci. USA 106, 14195–14200 (2009).
12. Wang, B. L. et al. Microfluidic high-throughput culturing of single cells for
selection based on extracellular metabolite production or consumption. Nat.
Biotechnol. 32, 473–478 (2014).
13. Titmarsh, D. M. et al. Microfluidic screening reveals heparan sulfate enhances
human mesenchymal stem cell growth by modulating fibroblast growth
factor-2 transport. Stem Cells Transl. Med. 6, 1178–1190 (2017).
14. Thorsen, T., Maerkl, S. J. & Quake, S. R. Microfluidic large-scale integration.
Science 298, 580–584 (2002).
15. Gagliano, O., Elvassore, N. & Luni, C. Microfluidic technology enhances the
potential of human pluripotent stem cells. Biochem. Biophys. Res. Commun.
473, 683–687 (2016).
16. Morton, J. A. & Pietenpol, W. J. The technological impact of transistors. Proc. IRE
46, 955–959 (1958).
17. Unger, M. A., Chou, H. P., Thorsen, T., Scherer, A. & Quake, S. R. Monolithic
microfabricated valves and pumps by multilayer soft lithography. Science 288,
113–116 (2000).
18. Zhang, C. et al. Ultra-multiplexed analysis of single-cell dynamics reveals logic
rules in differentiation. Sci. Adv. 5, 1–11 (2019).
19. Dekker, S. et al. Standardized and modular microfluidic platform for fast
Lab on Chip system development. Sens. Actuators B Chem. 272, 468–478
(2018).
20. Dekker, S., Isgor, P. K., Feijten, T., Segerink, L. I. & Odijk, M. From chip-in-a-lab to
lab-on-a-chip: a portable Coulter counter using a modular platform. Microsyst.
Nanoeng. 4, 1–8 (2018).
21. Ong, L. J. Y. et al. Self-aligning Tetris-Like (TILE) modular microfluidic platform
for mimicking multi-organ interactions. Lab Chip 19, 2178–2191 (2019).
22. Rhee, M. & Burns, M. A. Microfluidic assembly blocks. Lab Chip 8, 1365–1373
(2008).
23. Loskill, P., Marcus, S. G., Mathur, A., Reese, W. M. & Healy, K. E. μorgano: a Lego®like plug & play system for modular multi-organ-chips. PLoS ONE 10, 1–13
(2015).
24. Vittayarukskul, K. & Lee, A. P. A truly Lego®-like modular microfluidics platform.
J. Micromech. Microeng. 27, 035004 (2017).
25. Shaikh, K. A. et al. A modular microfluidic architecture for integrated biochemical analysis. Proc. Natl Acad. Sci. USA 102, 9745–9750 (2005).
26. Heeren, H. Van, et al. Design guideline for microfluidic device and component
interfaces. Mfm https://doi.org/10.13140/RG.2.1.3318.9364 (2015).
27. Hua, Z. et al. A versatile microreactor platform featuring a chemical-resistant
microvalve array for addressable multiplex syntheses and assays. J. Micromech.
Microeng. 16, 1433–1443 (2006).
28. Hansen, C. L., Sommer, M. O. A. & Quake, S. R. Systematic investigation of
protein phase behavior with a microfluidic formulator. Proc. Natl Acad. Sci. USA
101, 14431–14436 (2004).
29. Wang, Y. Bin et al. An EWOD-based micro diluter with high flexibility on
dilution ratio. Microsyst. Technol. 23, 3645–3651 (2017).
30. Fan, J., Li, B., Xing, S. & Pan, T. Reconfigurable microfluidic dilution for highthroughput quantitative assays. Lab Chip 15, 2670–2679 (2015).
31. Ainla, A., Gözen, I., Orwar, O. & Jesorka, A. A microfluidic diluter based on pulse
width flow modulation. Anal. Chem. 81, 5549–5556 (2009).
32. Woodruff, K. & Maerkl, S. J. Microfluidic module for real-time generation of
complex multimolecule temporal concentration profiles. Anal. Chem. 90,
696–701 (2018).
33. Loessberg-Zahl, J. T. Developing Microfluidic Tooling for 3D Cell-Culture. PhD
thesis (University of Twente, 2019).
34. Grover, W. H., Ivester, R. H. C., Jensen, E. C. & Mathies, R. A. Development and
multiplexed control of latching pneumatic valves using microfluidic logical
structures. Lab Chip 6, 623–631 (2006).
35. Toepke, M. W. & Beebe, D. J. PDMS absorption of small molecules and consequences in microfluidic applications. Lab Chip 6, 1484–1486 (2006).
Vollertsen et al. Microsystems & Nanoengineering (2020)6:107
36. Van Der Meer, A. D. & Van Den Berg, A. Organs-on-chips: breaking the in vitro
impasse. Integr. Biol. 4, 461–470 (2012).
37. Bhatia, S. N. & Ingber, D. E. Microfluidic organs-on-chips. Nat. Biotechnol. 32,
760–772 (2014).
38. Huh, D., Hamilton, G. A. & Ingber, D. E. From 3D cell culture to organs-on-chips.
Trends Cell Biol. 21, 745–754 (2011).
Page 16 of 16
39. Ogilvie, I. R. G. et al. Reduction of surface roughness for optical quality microfluidic devices in PMMA and COC. J. Micromech. Microeng. 20, 065016 (2010).
40. Rho, H. S., Yang Y., Veltkamp H.-W., & Gardeniers, H. Direct delivery of reagents
from a pipette tip to a PDMS microfluidic device. Chips and Tips. https://
blogs.rsc.org/chipsandtips/2015/10/09/?doing_wp_cron=1604042654.
1337950229644775390625 (2015).
|
|
https://openalex.org/W2554747657
|
https://emergency.zaslavsky.com.ua/index.php/journal/article/download/680/728
|
Russian
| null |
Стратифікація періопераційного ризику у хворих із невідкладною хірургічною патологією органів черевної порожнини
|
Medicina neotložnyh sostoânij
| 2,022
|
cc-by
| 2,823
|
УДК 616.318-002.1-089.163:614.8.026 УДК 616.318-002.1-089.163:614.8.026 ÊÐÀÂÅÖ Î.Â., ÊËÈÃÓÍÅÍÊÎ Å.Í., ÅÕÀËÎÂ Â.Â. ÃÓ «Äíåïðîïåòðîâñêàÿ ìåäèöèíñêàÿ àêàäåìèÿ ÌÇ Óêðàèíû», ã. Äíåïð, Óêðàèíà ÑÒÐÀÒÈÔÈÊÀÖÈß ÏÅÐÈÎÏÅÐÀÖÈÎÍÍÎÃÎ ÐÈÑÊÀ
Ó ÁÎËÜÍÛÕ Ñ ÍÅÎÒËÎÆÍÎÉ ÕÈÐÓÐÃÈ×ÅÑÊÎÉ
ÏÀÒÎËÎÃÈÅÉ ÎÐÃÀÍÎÂ ÁÐÞØÍÎÉ ÏÎËÎÑÒÈ Резюме. Актуальность. Сложность оказания качественной медицинской помощи пациентам с ур-
гентной абдоминальной патологией связана с неоднородностью нозологических форм, необходимостью
оценки состояния пациента и проведения дооперационной подготовки в условиях жесткого ограничения
времени. Цель исследования — проведение сравнительной оценки чувствительности прогноза развития
послеоперационных осложнений и смертности по шкалам хирургического риска ASA и POSSUM у боль-
ных с неотложной хирургической патологией органов брюшной полости. Материалы и методы. Обсле-
дованы 130 больных, оперированных в экстренном порядке по поводу острой абдоминальной патологии. Стратификация хирургического риска проводилась с помощью оценочных шкал ASA и POSSUM. После-
операционные осложнения оценивали согласно классификации Clavien — Dindo. Точки контроля: до опе-
рации, 28–30-е сутки после хирургического вмешательства. Результаты исследования. Согласно про-
веденной допериоперационной стратификации хирургического риска по шкале ASA прогнозируемый риск
пери операционной смертности у больных с неотложной хирургической патологией органов брюшной по-
лости до операции составил 21,5 %, что соответствовало уровню 3-го класса. При этом рассчитанные
риски периоперационной смертности и развития послеоперационных осложнений у тех же больных по
шкале POSSUM составили 14,4 и 53,1 % соответственно. Развитие послеоперационных осложнений
отмечено нами у 64 больных, что соответствовало 49,9 %. При наблюдении на протяжении тридцати
дней за послеоперационной летальностью были выявлены 12 случаев госпитальной смерти (13,2 %) при
средних сроках ее наступления к 16-м суткам. Выводы. 1. Оценка степени операционно-анестезиоло-
гического риска по шкале ASA не позволяет точно определить угрозу возникновения послеоперационной
летальности, не учитывает риск возникновения послеоперационных осложнений. 2. Степень операци-
онно-анестезиологического риска по шкале POSSUM достоверно совпадает с фактической частотой
развития послеоперационных осложнений и смертности. Ключевые слова: стратификация хирургического риска, ургентные оперативные вмешательства, п
слеоперационные осложнения, послеоперационная летальность. Îðèãèíàëüíûå èññëåäîâàíèÿ Îðèãèíàëüíûå èññëåäîâàíèÿ Ìåäèöèíà íåîòëîæíûõ ñîñòîÿíèé, p-ISSN 2224-0586, e-ISSN 2307-1230 Original Researches DOI: 10.22141/2224-0586.6.77.2016.82172 Îðèãèíàëüíûå èññëåäîâàíèÿ
Original Researches Îðèãèíàëüíûå èññëåäîâàíèÿ
Original Researches Îðèãèíàëüíûå èññëåäîâàíèÿ / Original Researches Критерии включения: возраст больного более 45 и
менее 75 лет; экстренные оперативные вмешательства с
прогнозируемой кровопотерей не более 500 мл; степень
операционно-анестезиологического
риска
по
шкале
ASA IІІ–IV, отсутствие декомпенсированной патологии
сердечно-сосудистой или дыхательной системы; сахар-
ный диабет в стадии компенсации. фактической летальности пациента недостаточно досто-
верно. Характер прогностических ошибок состоит как из
гипердиагностики, так и из значительной недооценки
предполагаемых рисков. Необоснованная оценка степе-
ни хирургического риска больного сопровождается даль-
нейшими тактическими и стратегическими лечебными
недостатками. К ним были отнесены: отсутствие своев-
ременной госпитализации в отделение интенсивной те-
рапии (73 % умерших больных «прошли мимо» отделе-
ния интенсивной терапии); несоответствие интенсивной
терапии тяжести состояния пациента (ранняя стратифи-
кация пациентов высокого хирургического риска позво-
ляет провести необходимое, более агрессивное лечение)
[1, 3, 5, 6]. Критерии исключения: возраст больного менее 45
или более 75 лет; плановые оперативные вмешательства;
больные с желудочно-кишечными кровотечениями; сте-
пень операционно-анестезиологического риска по шкале
ASA І–ІІ, наличие декомпенсированной патологии сер-
дечно-сосудистой или дыхательной системы; сахарный
диабет в стадии декомпенсации; беременность и период
лактации; аллергические реакции на какой-либо компо-
нент медикаментозной терапии; отказ пациента от уча-
стия в исследовании. Для определения хирургического риска применяют-
ся интегральные шкалы-системы [1–4]. Среди них раз-
личают универсальные системы-шкалы, позволяющие
оценить групповой прогноз, и специальные интегральные
системы. Специальные интегральные системы дают ин-
дивидуальную прогностическую оценку. Одновременно
выделяют оценочные шкалы-системы: общие, сепсиса и
критических состояний, узкоспецифические, хирурги-
ческой оценки. Согласно данным Национального кон-
фиденциального комитета подсчета результатов лечения
и смертности (NCEPOD, 2011), в клинической практике
используется большое количество стратификационных
шкал хирургического риска, не обладающих высокой точ-
ностью прогнозируемых результатов и требующих введе-
ния данных, недоступных в условиях неотложной хирур-
гии [4] (табл. 1). Все пациенты были обследованы согласно протоколу
МЗ Украины № 297 (от 02.04.2010 г.). При этом была вы-
явлена сопутствующая патология: кардиосклероз диффуз-
ный на фоне ишемической болезни сердца (n = 82), ги-
пертоническая болезнь І–ІІ ст. (n = 82), сахарный диабет
ІІ типа в стадии ремиссии (n = 22), хронический бронхит в
стадии ремиссии (n = 14), излишняя масса тела (ожирение
I–II ст.) (n = 62), внегоспитальная пневмония (n = 4), дис-
циркуляторная энцефалопатия І–ІІ ст. (n = 12). В условиях отделения интенсивной терапии, соглас-
но «Стандартам та професійно орієнтованим протоколам
надання невідкладної допомоги хворим з хірургічною
патологією органів живота та грудної клітки» (МЗ Укра-
ины, 2008 г.), предоперационная подготовка состояла
из коррекции дефицита объема циркулирующей крови,
профилактики тромбообразования и раневых инфекций. Ââåäåíèå хирургического вмешательства, сложность проведения
прогностической оценки являются факторами, увели-
чивающими риск возникновения послеоперационных
осложнений при сохраняющихся высоких цифрах ле-
тальности (30–80 %) [3–7]. Неотложная
хирургическая
патология
органов
брюшной полости — острое состояние, требующее не-
отложного хирургического вмешательства. При этом
ургентная лапаратомия является основным методом
как хирургической диагностики, так и хирургического
лечения у этих больных. Ургентная лапаратомия явля-
ется собирательным понятием для более чем 400 разных
видов хирургических вмешательств и составляет около
53 % от общего количества операций [1, 2, 8–10]. Слож-
ность оказания качественной медицинской помощи па-
циентам данной категории связана с неоднородностью
нозологических форм, необходимостью оценки состоя-
ния пациента и проведения дооперационной подготов-
ки в условиях жесткого ограничения времени. Дефицит
объективных инструментально-лабораторных данных
о состоянии больного, не определенный точно объем По данным многоцентрового исследования, анали-
зирующего периоперационную смертность у хирурги-
ческих больных с некардиальной патологией (Lancet,
2012), отношение оценки неблагоприятного прогноза к ¹ 6(77) • 2016
íèé, p-ISSN 2224-0586, e-ISSN 2307-1230
Адрес для переписки с авторами:
Клигуненко Елена Николаевна
E-mail: redact@i.ua
© Кравец О.В., Клигуненко Е.Н., Ехалов В.В., 2016
© «Медицина неотложных состояний», 2016
© Заславский А.Ю., 2016 90 Îðèãèíàëüíûå èññëåäîâàíèÿ / Original Researches Оперативное вмешательство проводилось методом то-
тальной внутривенной анестезии с искусственной вен-
тиляцией легких. Средняя продолжительность операции
составляла 60,6 ± 20,3 минуты. Цель исследования — проведение сравнительной
оценки чувствительности прогноза развития послеопе-
рационных осложнений и смертности по шкалам хирур-
гического риска ASA и POSSUM у больных с неотложной
хирургической патологией органов брюшной полости. Îðèãèíàëüíûå èññëåäîâàíèÿ / Original Researches Îðèãèíàëüíûå èññëåäîâàíèÿ / Original Researches 12 физиологических и 6 интраоперационных параметров
(табл. 3), рекомендована как точный способ определения
рисков возникновения послеоперационных осложнений
и смертности. Ìàòåðèàëû è ìåòîäû Стратификация хирургического риска проводилась с
помощью оценочных шкал ASA и POSSUM. Основой для
шкалы ASA является распределение больных на классы в
зависимости от степени тяжести состояния, что позволяет
прогнозировать процент выживаемости без учета вероят-
ности возникновения послеоперационных осложнений
(табл. 2). Шкала POSSUM (физиологическая и оператив-
ная оценка риска осложнений и смертности) учитывает Обследовано 130 больных, оперированных в экстрен-
ном порядке по поводу острого холецистита (n = 9), ущем-
ленной пахово-мошоночной грыжи (n = 12), ущемленной
вентральной грыжи (n = 4), острой кишечной непрохо-
димости (n = 41), перфоративной язвы желудка (n = 22),
перфоративной язвы двенадцатиперстной кишки (n = 10),
перитонита (n = 32). Среди обследованных было 76 муж-
чин и 54 женщины среднего возраста (60 ± 15 лет). Шкалы оценки риска смертности
Шкалы оценки риска развития осложнений
Шкалы, не учитывающие
интраоперационных данных
— ASA-1
— APACHE II
— Шкала Донати
— Индекс Хардмана
— Шкала оценки болезни
— POSSUM
— ASA
— APACHE II
— Индекс кардиального риска Голдмана
— Шкала Велткампа
— Индекс прогноза развития пневмоний
— Шкала оценки дыхательной недостаточности
Шкалы, учитывающие
интраоперационные данные
— Мангеймский индекс перитонита
— Индекс Рисса
— POSSUM
— P-POSSUM
— Кливлендская колоректальная
модель
— Шкала хирургического риска
— POSSUM
— P-POSSUM
Таблица 1. Шкалы оценки хирургического риска Таблица 1. Шкалы оценки хирургического риска Шкалы оценки риска смертности ¹ 6(77) • 2016 91 www.mif-ua.com, http://emergency.zaslavsky.com.ua Ðåçóëüòàòû èññëåäîâàíèÿ Согласно проведенной допериоперационной страти-
фикации хирургического риска по шкале ASA прогнози-
руемый риск периоперационной смертности у больных с
неотложной хирургической патологией органов брюшной
полости до операции составил 21,5 %, что соответствовало
уровню 3-го класса. При этом рассчитанные риски пери-
операционной смертности и развития послеоперацион-
ных осложнений у тех же больных по шкале POSSUM со-
ставили 14,4 и 53,1 % соответственно. Оценка определяется в процентах согласно формуле:
[R/(1–R) = –7,04 + 0,13 физиологическая оценка ри-
ска + 0,16 операционная оценка риска]. Послеоперационные осложнения оценивали согласно
классификации Clavien — Dindo, 2009. Точки контроля: до операции, 28–30-е сутки после хи-
рургического вмешательства. Анализ средней продолжительности стационарного
лечения определил ее высокую корреляцию с данными
шкалы POSSUM и соответствовал 23 суткам. При этом в
группе больных с прогнозируемой оценкой периопераци-
онных осложнений по шкале POSSUM 50 % продолжи-
тельность стационарного пребывания составляла 11 су-
ток, при оценке > 50 % — 26 дней (P 0,05). Наблюдение проводилось в соответствии с требовани-
ями этического комитета. Статистическую обработку по-
лученных результатов проводили с помощью пакета про-
грамм MS Excel 2007, Statistica 6. Данные представлены
в виде M ± m. Статистически достоверными принимали
значения p < 0,05. Возраст
Класс
по шкале ASA
< 50 лет
50–69 лет
> 70 лет
I
1,6
2
0
II
4,5
8,2
12,9
III
12,4
21
30,6
IV
29,6
44,3
56,8
Таблица 2. Прогнозирование риска смертности по шкале ASA (%) при ургентных/экстренных
хирургических вмешательствах (адаптирована Donati, 2004) ца 2. Прогнозирование риска смертности по шкале ASA (%) при ургентных/экстренных
хирургических вмешательствах (адаптирована Donati, 2004) блица 3. Физиологические и интраоперационные параметры, используемые в шкале POSSUM Физиологические параметры
Интраоперационные параметры
— Возраст
— Наличие сердечно-сосудистой патологии
— Наличие патологии дыхательной системы
— Патологические изменения на ЭКГ
— Систолическое артериальное давление
— Частота сердечных сокращений
— Уровень гемоглобина
— Число лейкоцитов
— Количество мочи
— Содержание Na– плазмы
— Содержание K+ плазмы
— Количество баллов по ШКГ
— Объем оперативного вмешательства (малый, средний,
большой)
— Кратность хирургического вмешательства (лапарато-
мия, релапаратомия)
— Объем интраоперационной кровопотери
— Характер выпота брюшной полости
— Наличие онкопроцесса
— CEPOD (конфиденциальный запрос периоперационных
случаев смерти)
Таблица 3. Îðèãèíàëüíûå èññëåäîâàíèÿ / Original Researches Îðèãèíàëüíûå èññëåäîâàíèÿ / Original Researches Îáñóæäåíèå Нами установлена недостаточная точность опреде-
ления степени периоперационного риска по шкале ASA. При этом мы определили достоверное совпадение факти-
ческого процента развития послеоперационных ослож-
нений и послеоперационной летальности с соответству-
ющими прогностическими цифрами по шкале POSSUM. 7. Ahuja Ashish, Pal Ravinder. Prognostic scoring indicator
in evaluation of clinical outcome in intestinal perforations //
J. Clin. Diagn. Res. — 2013. — 7. — 1953-5. [PMC free article]
[PubMed] 8. Mercer S.J., Guha A., Ramesh V.J. The P-POSSUM
scoring systems for predicting the mortality of neurosurgical
patients undergoing craniotomy: further validation of usefulness
and application across healthcare systems // Indian J. Anaesth. —
2013. — 57. — 587-91. — doi: 10.4103/0019-5049.123332. [PMC
free article][PubMed] [Cross Ref] Ñïèñîê ëèòåðàòóðû Развитие послеоперационных осложнений отмечено
нами у 64 больных, что соответствовало 49,9 %, при этом
большая половина из них (51 %) были классифицированы
по Clavien — Dindo как 2-й и 3-й классы. Наиболее часто
встречались: инфекционные осложнения со стороны ды-
хательной системы (12,8 %), раневые инфекции (8,1 %),
нарушения со стороны желудочно-кишечного тракта
(13,9 %). Нами установлена прямая сильная корреляци-
онная зависимость между длительностью стационарного
пребывания и количеством баллов прогнозируемых ос-
ложнений по шкале POSSUM. Наблюдение на протяже-
нии тридцати дней за послеоперационной летальностью
выявило 12 случаев госпитальной смертности (13,2 %) при
средних сроках наступления летальности к 16-м суткам. 1. Rix T.E., Bates T. Preoperative risk scores for the prediction of
outcome in elderly people who require emergency surgery // World J. Emerg. Surg. — 2007. — 2. — 16. [PubMed] 2. The Royal College of Surgeons of England, Department of
Health. — London: RCS/DH, 2010. The Higher Risk Surgical
Patient: Towards Improved Care for a Forgotten Group. 3. Emergency Surgery, Standards for Unscheduled Surgical Care,
Guidance for Providers, Commissioners and Service Planners. —
London: RCS, 2011. 4. Knowing the Risk: a Review of the Perioperative Care of
Surgical Patients. — NCEPOD, 2011. 5. Horwood J., Ratnam S., Maw A. Decisions to operative: the
ASA grade 5 dilemma // Ann. R. Coll. Surg. Engl. — 2011. — 93(5). —
365-369. [PubMed] 6. Saunders D.I., Murray D., Pichel A.C., Varley S.,
Peden C.J. UK Emergency Laparotomy Network. Variations in
mortality after emergency laparotomy: the first report of the UK
Emergency Laparotomy Network // Br. J. Anaesth. — 2012. —
109(3). — 368-75. — doi: 10.1093/bja/aes165. [PubMed] [Cross
Ref] Âûâîäû 1. Оценка степени операционно-анестезиологиче-
ского риска по шкале ASA не позволяет точно определить
угрозу возникновения послеоперационной летальности,
не учитывает риск возникновения послеоперационных
осложнений. 9. Vester-Andersen
M.,
Lundstr m
L.H.,
Møller
M.H.,
Waldau T., Rosenberg J., M ller A.M. Danish Anaesthesia
Database. Mortality and postoperative care pathways after emergency
gastrointestinal surgery in 2904 patients: a population-based cohort
study // Br. J. Anaesth. — 2014. — 112. — 860-70. — doi: 10.1093/
bja/aet487. [PubMed] [CrossRef] 2. Степень операционно-анестезиологического риска
по шкале POSSUM достоверно совпадает с фактической
частотой развития послеоперационных осложнений и
смертности. Конфликт интересов: авторы заявляют об отсутствии
конфликта интересов. Получено 10.10.16 Получено 10.10.16 Ðåçóëüòàòû èññëåäîâàíèÿ Физиологические и интраоперационные параметры, используемые в шкале POSSUM Класс
Клиническая характеристика
Любое отклонение от нормального течения послеоперационного периода, не требующее медикаментозной,
хирургической, эндоскопической или радиологической коррекции
1-й
Допустимым является применение противорвотных, жаропонижающих, анальгетических, мочегонных
средств, сбалансированных электролитных инфузионных средств, физиотерапии
2-й
Требует медикаментозной коррекции, исключая препараты, указанные в 1-м классе
3-й
Требует хирургического, эндоскопического или радиологического вмешательства
3-й а
Вмешательство без общего обезболивания
3-й б
Вмешательство под общим обезболиванием
4-й
Опасное для жизни осложнение (включая осложнения со стороны центральной нервной системы), требую-
щее интенсивной терапии или госпитализации в отделение интенсивной терапии
4-й а
Изолированная органная дисфункция
4-й б
Полиорганная недостаточность
5-й
Смерть пациента
Таблица 4. Классификация хирургических осложнений по Clavien — Dindo, 2009 92 ÑÒÐÀÒÈÔ²ÊÀÖ²ß ÏÅвÎÏÅÐÀÖ²ÉÍÎÃÎ ÐÈÇÈÊÓ Ó ÕÂÎÐÈÕ ²Ç ÍŲÄÊËÀÄÍÎÞ Õ²ÐÓÐò×ÍÎÞ ÏÀÒÎËÎòªÞ
ÎÐÃÀͲ ×ÅÐÅÂÍί ÏÎÐÎÆÍÈÍÈ періопераційною стратифікацією хірургічного ризику
за шкалою ASA прогнозований ризик періопераційної
смертності у хворих із невідкладною хірургічною пато-
логією органів черевної порожнини до операції стано-
вив 21,5 %, що відповідало рівню 3-го класу. До того ж
розраховані ризики періопераційної смертності та роз-
витку післяопераційних ускладнень у цих же хворих
за шкалою POSSUM становили 14,4 і 53,1 % відповід-
но. Розвиток післяопераційних ускладнень відзначено
нами в 64 хворих, що відповідало 49,9 %. При спосте-
реженні протягом тридцяти днів за післяопераційною
летальністю було виявлено 12 випадків госпітальної
смерті (13,2 %) при середніх термінах її настання до
16-ї доби. Висновки. 1. Оцінка ступеня операційно-
анестезіологічного ризику за шкалою ASA не дозволяє
точно визначити загрозу виникнення післяопераційної
летальності, не враховує ризик виникнення післяопе-
раційних ускладнень. 2. Ступінь операційно-анестезі- Резюме. Актуальність. Складність надання якісної
медичної допомоги пацієнтам з ургентною абдоміналь-
ною патологією пов’язана з неоднорідністю нозологіч-
них форм, необхідністю оцінки стану пацієнта та про-
ведення доопераційної підготовки в умовах жорсткого
обмеження часу. Мета дослідження — проведення по-
рівняльної оцінки чутливості прогнозу розвитку після-
операційних ускладнень і смертності за шкалами хірур-
гічного ризику ASA і POSSUM у хворих із невідкладною
хірургічною патологією органів черевної порожнини. Матеріали та методи. Обстежено 130 хворих, оперова-
них в екстреному порядку з приводу гострої абдоміналь-
ної патології. Стратифікація хірургічного ризику прово-
дилася за допомогою оціночних шкал ASA і POSSUM. Післяопераційні ускладнення оцінювали відповідно
до класифікації Clavien — Dindo. Точки контролю: до
операції, 28-ма — 30-та доба після хірургічного втру-
чання. Результати дослідження. Згідно з проведеною до- ¹ 6(77) • 2016 93 www.mif-ua.com, http://emergency.zaslavsky.com.ua Îðèãèíàëüíûå èññëåäîâàíèÿ / Original Researches Îðèãèíàëüíûå èññëåäîâàíèÿ / Original Researches ологічного ризику за шкалою POSSUM вірогідно збіга-
ється з фактичною частотою розвитку післяопераційних
ускладнень і смертності. Ключові слова: стратифікація хірургічного ризику,
ургентні оперативні втручання, післяопераційні усклад-
нення, післяопераційна летальність. Kravets O.V., Kligunenko E.N., Ekhalov V.V. Dnipropetrovsk State Medical Academy, Ministry of Health of Ukraine, Dnipro, Ukraine Ìåäèöèíà íåîòëîæíûõ ñîñòîÿíèé, p-ISSN 2224-0586, e-ISSN 2307-1230 ¹ 6(77) • 2016
Ìåäèöèíà íåîòëîæíûõ ñîñòîÿíèé, p-ISSN 2224-0586, e-ISSN 2307-1230 Kravets O.V., Kligunenko E.N., Ekhalov V.V. Kravets O.V., Kligunenko E.N., Ekhalov V.V. Dnipropetrovsk State Medical Academy, Ministry of Health of Ukraine, Dnipro, Ukraine STRATIFICATION OF PERIOPERATIVE RISK IN PATIENTS WITH ACUTE ABDOMINAL SURGICAL PATH Summary. Relevance. The complexity of providing qualita-
tive care to patients with urgent abdominal disorders associa ted
with the heterogeneity of entities that require to evaluate the
patient’s condition and perform preoperative preparation un-
der tight time constraints. Objective: a comparative assessment
of the sensitivity of the forecast for the development of postope-
rative complications and lethality by the scale of surgical risk
ASA and POSSUM in patients with acute surgical pathology of
abdominal organs. Materials and methods. The study involved
130 patients operated urgently for acute abdominal pathology. The stratification of surgical risk was performed using rating
scales ASA and POSSUM. Postoperative complications were
evaluated according to the classification of Clavien — Dindo. Control points: before operation, 28–30 hours after surgery. Results. According to a pre-perioperative surgical risk strati-
fication according to ASA predicted risk of perioperative mor-
tality in patients with acute surgical pathology of abdominal organs before surgery was 21.5 %, which corresponded to the
level of class III. Besides calculated risks for perioperative
mortality and postoperative complication in these patients by
POSSUM amounted to 14.4 and 53.1 %, respectively. The
development of postoperative complications was observed
in 64 patients that amounted to 49.9 %. Within thirty days of
following up of postoperative mortality there were registered
12 cases of in-hospital mortality (13.2 %) at average maturity
mortality to 16 days. Conclusions. 1. Evaluation of operational
and anesthetic risk according to ASA may not accurately de-
termine the risk of occurrence of postoperative mortality, does
not consider the risk of postoperative complications. 2. Deter-
mination of operational and anesthetic risk by POSSUM sig-
nificantly coincides with the actual incidence of postoperative
complications and mortality. Key words: stratification of surgical risk, urgent surgery, post-
operative complications, postoperative mortality. 94
|
https://openalex.org/W2752801163
|
https://europepmc.org/articles/pmc5978896?pdf=render
|
English
| null |
Proposal for the creation of a national strategy for precision medicine in cancer: a position statement of SEOM, SEAP, and SEFH
|
Clinical & translational oncology
| 2,017
|
cc-by
| 3,776
|
Proposal for the creation of a national strategy for precision
medicine in cancer: a position statement of SEOM, SEAP,
and SEFH P. Garrido1 • A. Aldaz2 • R. Vera9
• M. A. Calleja3 • E. de A´ lava4,5 •
M. Martı´n5,6 • X. Matı´as-Guiu7,5 • J. Palacios5,8 Received: 8 August 2017 / Accepted: 9 August 2017 / Published online: 31 August 2017
The Author(s) 2017. This article is an open access publication Abstract Precision medicine is an emerging approach for
disease treatment and prevention that takes into account
individual variability in genes, environment, and lifestyle
for each person. Precision medicine is transforming clinical
and biomedical research, as well as health care itself from a
conceptual, as well as a methodological viewpoint, pro-
viding extraordinary opportunities to improve public health
and lower the costs of the healthcare system. However, the
implementation of precision medicine poses ethical–legal,
regulatory, organizational, and knowledge-related chal-
lenges. Without a national strategy, precision medicine,
which will be implemented one way or another, could take
place without the appropriate planning that can guarantee
technical quality, equal access of all citizens to the best
practices, violating the rights of patients and professionals,
and jeopardizing the solvency of the healthcare system. With this paper from the Spanish Societies of Medical
Oncology, Pathology, and Hospital Pharmacy, we highlight
the need to institute a consensual national strategy for the development of precision medicine in our country, review
the national and international context, comment on the
opportunities and challenges for implementing precision
medicine, and outline the objectives of a national strategy
on precision medicine in cancer. Keywords Oncology Precision medicine Consensus Clin Transl Oncol (2018) 20:443–447
https://doi.org/10.1007/s12094-017-1740-0 Clin Transl Oncol (2018) 20:443–447
https://doi.org/10.1007/s12094-017-1740-0 SPECIAL ARTICLE 5
Centro de Investigacio´n Biome´dica en Red de Oncologı´a,
CIBERONC-ISCIII, Madrid, Spain
6
Medical Oncology, Instituto de Investigacio´n Sanitaria
Gregorio Maran˜o´n, Universidad Complutense, Madrid, Spain
7
Pathology and Molecular Genetics, Hospital Universitari de
Bellvitge, IDIBELL Hospital Universitari Arnau de
Vilanova, University of Lleida, IRBLLEIDA, Lleida, Spain
8
Pathology, Ramo´n y Cajal University Hospital, IRYCIS,
University of Alcala´, Madrid, Spain
9
Medical Oncology, Complejo Hospitalario de Navarra,
Pamplona, Spain & R. Vera
rveragar@cfnavarra.es
& M. A. Calleja
mangel.calleja.sspa@juntadeandalucia.es
& J. Palacios
jose.palacios@salud.madrid.org
1
Medical Oncology, Ramo´n y Cajal University Hospital,
IRYCIS, University of Alcala´, Madrid, Spain
2
Pharmacy, Clı´nica Universidad de Navarra, Working Group
PkGen from the SEFH, Pamplona, Spain
3
Pharmacy, Virgen de Macarena University Hospital, Seville,
Spain
4
Pathology, Virgen del Rocı´o University Hospital, Institute of
Biomedicine of Seville (IBiS)/CSIC/University of Sevilla,
Seville, Spain Introduction There is no universal definition for the term ‘‘precision
medicine’’, although probably, the most widely accepted is
the one provided by the US National Institutes of Health
(NIH) that defines it as ‘‘an emerging approach for disease
treatment and prevention that takes into account individual
variability in genes, environment, and lifestyle for each
person’’ [1]. Though at times used interchangeably with
personalized medicine, the National Research Council
prefers the term precision medicine instead, because per-
sonalized
medicine
might
suggest
that
the
different
strategies for treatment and prevention are developed
solely for each individual to the extent that ‘‘individual’’
refers to the specific individual and not in terms of
belonging to a particular biotype, as is truly the case with
precision medicine. By means of several national plans, the United States,
United Kingdom, France, Germany, China, and other
developed countries such as Finland and Estonia have
implemented national strategies endowed with state
funding to mobilize and strengthen the industry and
technological
development
associated
with
precision
medicine, channel the necessary private and public
resources to put them into effect, improve infrastructure,
and increase the current applications of this kind of
medicine. Internationally, the International Consortium for Per-
sonalised Medicine (ICPerMed) constitutes the most rele-
vant
project
in
Europe. It
comprises
the
European
Commission and more than 30 European and extra-Euro-
pean partners and funding agencies [2]. Its main objective
is to stimulate research and the implementation of precision
medicine by means of meetings, workshops, conferences,
surveys, strategic publications, and joint initiatives. It ori-
gin lies in the preparatory workshops organized by the
European Commission, together with several subsequent
initiatives, including the seventh Framework Program and
the establishment of EuroBioForum and the consortium of
CASyM (http://www.casym.eu) in 2011 [3]. This definition gives rise to two fundamental conse-
quences. On the one hand, it entails a change of paradigm in
medicine in that the approach to disease is founded on the
genetic and molecular bases of health and disease to estimate
risks and inform decisions regarding prevention, diagnosis,
and treatment. Illnesses previously considered as a single
disease have now been disaggregated into several entities,
with different causal mechanisms that call for different
strategies. Inversely, diseases that were regarded as disparate
must be approached from the same point of view, given that
they have molecular mechanisms in common. Rationale With this paper from the Spanish Societies of Medical
Oncology (SEOM), Pathology (SEAP), and Hospital
Pharmacy (SEFH), we propose to highlight the need to
institute a consensual national strategy for the development
of precision medicine in our country and promote its
implementation in the clinical practice with equity and
with assurances in terms of quality, efficiency, and legal & R. Vera
rveragar@cfnavarra.es
& M. A. Calleja
mangel.calleja.sspa@juntadeandalucia.es
& J. Palacios
jose.palacios@salud.madrid.org
1
Medical Oncology, Ramo´n y Cajal University Hospital,
IRYCIS, University of Alcala´, Madrid, Spain
2
Pharmacy, Clı´nica Universidad de Navarra, Working Group
PkGen from the SEFH, Pamplona, Spain
3
Pharmacy, Virgen de Macarena University Hospital, Seville,
Spain
4
Pathology, Virgen del Rocı´o University Hospital, Institute of
Biomedicine of Seville (IBiS)/CSIC/University of Sevilla,
Seville, Spain 6
Medical Oncology, Instituto de Investigacio´n Sanitaria
Gregorio Maran˜o´n, Universidad Complutense, Madrid, Spain 7
Pathology and Molecular Genetics, Hospital Universitari de
Bellvitge, IDIBELL Hospital Universitari Arnau de
Vilanova, University of Lleida, IRBLLEIDA, Lleida, Spain 2
Pharmacy, Clı´nica Universidad de Navarra, Working Group
PkGen from the SEFH, Pamplona, Spain 9
Medical Oncology, Complejo Hospitalario de Navarra,
Pamplona, Spain 9
Medical Oncology, Complejo Hospitalario de Navarra,
Pamplona, Spain 3
Pharmacy, Virgen de Macarena University Hospital, Seville,
Spain 4
Pathology, Virgen del Rocı´o University Hospital, Institute of
Biomedicine of Seville (IBiS)/CSIC/University of Sevilla,
Seville, Spain 12 123 12 Clin Transl Oncol (2018) 20:443–447 444 response, and enables the most efficient preventive actions
to be selected for each individual. guarantee, in addition to contributing to the sustainability
of the healthcare system. 123 Introduction In France, for example, the Institut National du Cancer
(INCa) has an institutional framework to incorporate pre-
cision medicine into standard health care and the France
Me´decine Ge´nomique Plan 2025, published in 2016 and
with a projection until 2025, seeks to equip this country
with the means and industrial structure it needs to introduce
this new approach into health care and for this discipline to
be placed as a driver of economic development in France
[4]. Other countries, such as Estonia, Iceland, or the United
Kingdom, have developed initiatives to create population
biobanks that make it possible to establish associations
between biomarkers, clinical history, and lifestyle. The concept of precision medicine necessarily involves
modifying the point at which health care commences,
understanding that patients’ treatment and needs depend
more on their particular characteristics than the generic
name of the disease. Likewise, knowing which nosological
groups a person is predisposed to as an individual will
make it possible to develop better prevention strategies. Furthermore, individuals take a more active role in their
own health, by understanding their natural predisposition to
suffer certain diseases. In the United States, the Precision Medicine Initiative,
announced by then President Obama, allocated 216 million
dollars in the 2016 fiscal year to fund a shared initiative of
the NIH, the National Cancer Institute (NCI), the Food and
Drug Administration (FDA), and the Office of the National
Coordinator for Health Information Technology (ONC). The most distinctive aspect of this project is the creation of
a database in which one million volunteers will provide
genetic data, biological samples, and clinical information
with the aim of predicting risk, understanding how and why
common diseases occur and to improve diagnostic and
treatment strategies [5]. Opportunities Precision medicine is a reality in practical clinical health
care and has begun to shift the paradigms in medicine and
even change how diseases are classified. In general, pre-
cision medicine enhances effectiveness and efficiency,
since it makes it possible for the most appropriate strategies
to be used for each patient on the basis of the molecular
mechanism underlying the illness and the individual’s
genetic variability. Furthermore, it fosters the application
of the most suitable therapeutic scheme for patients, given
that it factors in the genetic variability determining drug
metabolism and pharmacodynamics, together with the
environmental factors that also play out in their disposition. Thus, it prevents exposing patients to drugs that are not
useful for them, decreasing the possibilities of adverse
events related to drugs with no possibility of response, as
well as the secondary complications derived from treating
patients with ineffective drugs and the loss of opportunity
that this entails. The identification of biomarkers and massive sequenc-
ing techniques is based on the collection and analysis of a
tremendous amount of information (‘‘big data’’). In this
context, it is imperative that the confidentiality of sensitive
personal data be guaranteed, especially in multicenter,
multinational projects that call for the shared use of data,
but also within the context of biobanks (despite the fact that
donors are generally anonymous, some biobanks require
that donors can be identified). On the other hand, if samples are used for subsequent
research, doubts may arise as to who actually holds the
property rights over the samples, the validity of the consent
that was given, or about the right to the information (or to
non-information). This occurs to the degree to which genetic
testing makes it possible to identify or confirm the mutations
responsible for a disease that will probably develop in the
future or to identify a predisposition to developing it when
there are as yet no preventive techniques or effective treat-
ments available for many of those genetic diseases. Clear
regulations are, therefore, fundamental with the aim of
guaranteeing that the principle of universal and equal access
to healthcare be guaranteed. Furthermore, it is paramount
that the risk of citizens being excluded on the basis of their
genetic data and their predisposition to suffer certain dis-
eases be approached both legally and ethically. Ethical–legal and regulatory challenges With the development of precision medicine, citizens and
healthcare systems confront new challenges, such as that of
maintaining the balance between risks and benefits, bearing
in mind the unprecedented ethical, economic, social, and
legal implications, in particular with respect to data
protection. Introduction Precision medicine has already become a reality in daily
clinical practice in certain disciplines such as oncology; not
only is its implementation an ethical mandate and obliga-
tion of policy insofar as it represents an indisputable im-
provement in the treatment of patients and prevention of
disease, but it has also been proven to foster the sustain-
ability of the healthcare system in certain cases, by
selecting patients with a greater likelihood of response,
keeping
patients
from
being
exposed
to
expensive,
unnecessary treatments, while minimizing complications
derived from therapies with scant or no possibility of 123 445 Clin Transl Oncol (2018) 20:443–447 To date, a general strategy on precision medicine has not
been developed at state level in Spain. Different National
Strategies compile recommendations for the development
of precision medicine (for instance, the National Health-
care System’s Strategies in Cancer and Rare Diseases). In
addition, there are national initiatives, such as the one put
forth by the National Institute of Health Carlos III [call for
projects in the field of precision medicine, participation in
the Network for Excellency for Research and Innovation
on Exosomes (REDIEX) or a European intergovernmental
organization for lifescience resources (ELIXIR), etc.],
together with local projects, such as the Comprehensive
Plan for Genomic Medicine in Catalonia, the Medical
Genome Project in Andalusia, the Future Clinic project in
the Valencian Region, or the MEDEA project in Extre-
madura [6]. the development of the necessary information technology
capacities. Precision medicine is subject to international
competition and our country should not remain on the side
lines. Finally, precision medicine is proposed as a tool to
contribute to rationalizing healthcare expenditure and to
the sustainability of the healthcare system; generating the
data needed to generalize initiatives that demonstrate cost
effectiveness. Challenges Ethical–legal and regulatory challenges Objectives of a national strategy on precision
medicine Taking into account the benefits, as well as the challenges
derived from this area of medicine, we set forth the fol-
lowing objectives of the different areas as being a priority: Healthcare and quality objectives: •
To raise awareness among the population and decision
makers about the importance of precision medicine in
current medical and healthcare practice and its projec-
tions for the future. Moreover, clinical information and data from comple-
mentary testing are currently safeguarded by the healthcare
profession and/or by the institution that performed the
specific determinations; however, this model is not suit-
able for managing data coming from the next generation of
sequencing and that could have future medical applications
for individuals or for their descendants. •
To incorporate precision medicine into the strategic
plans already in force and to prioritize it in national
health and research strategies, giving it the importance
that scientific evidence confers upon it in each case
uniformly throughout the territory. From a scientific perspective, precision medicine calls
for an even greater understanding of the molecular bases of
disease and of the interaction between genes and the
environment. •
To facilitate access to precision medicine to all patients
with cancer and individuals with rare and common
diseases that are susceptible to it by creating sequencing
platforms that are capable of covering the whole country. Furthermore, studies must be initiated to evaluate the
implementation of healthcare applications, which requires
substantial investment and a multidisciplinary approach. •
To guarantee that the techniques used are accurate and
reliable, assuring the use of the best scientific evidence
available in basic and translational research. Likewise, genetic, pharmacogenetic, and ‘‘omic’’ sci-
ences must be bolstered at the undergraduate and post-
graduate levels of training; promoting the continuous
education offer involving the leading scientific societies
and establishing the accreditation of reference centers. Pharmacogenomics is one part of precision medicine, but it
must be complemented with pharmacology in order for this
new discipline to be created. •
To facilitate the generation of information about health
outcomes. •
To develop the national legal framework to make the
regulation from the European Parliament and the
European Council regarding personal data protection
and the free circulation data feasible as well as to
develop those aspects left to national legislation. Even more important are the challenges associated with
the paucity of knowledge the general population has
regarding precision medicine. Organizational and knowledge-related challenges a relatively small proportion of patients, making it neces-
sary for there to be other models to facilitate access to the
market from a regulatory perspective. From a purely instrumental point of view, information
technology systems must be put into place to enable the
management and sharing of the vast amount of data gen-
erated by means of new generation sequencing techniques
[Big Data and Information and Communications Tech-
nologies (ITC) solutions]. The transformation to precision
medicine calls for new professional roles that are as yet not
included
in
healthcare
systems,
thus
requiring
the
involvement of professionals in the field of bioinformatics
and other professionals that currently participate under the
umbrella of research. Opportunities From an economic perspective, precision medicine is
regarded as an opportunity to develop an industrial sector
of high strategic, healthcare, scientific, and economic
value. The incorporation of our country at an early stage
would provide us with the chance to be technologically
independent in a sector that is more and more necessary,
and would also enable us to export knowledge and tech-
nology in a new industrial sector. All this represents an
unprecedented economic opportunity in our country that
would call for a hefty investment and mobilization of all
parties involved to achieve innovative technological solu-
tions (that include the fields of industry and information
technology) and a new form of economic development that
enables the device to be sustained beyond its start-up and to
respond to several technological challenges, in particular to The ethical dimension is an integral part of the imple-
mentation of an initiative of this nature. We must be able to
respond to the ethical and legal issues that arise from the
consent provided by citizens for the use of their health data
and to the complications derived from data anonymization,
the management of secondary discoveries and of untoward
incidents. 12 123 446 Clin Transl Oncol (2018) 20:443–447 123 Compliance with ethical standards •
To promote studies that analyze how pharmacoge-
nomics and pharmacokinetics relate to one another and
how they relate to measures of health outcomes. Conflict of interest Dr. P. Garrido is advisory board member for
Roche, Pfizer, Abbvie, AstraZeneca, Novartis, Guardant, BMS,
Boehringher, and MSD and has received speaker honorarium from
Roche, BMS, Boehringher, Pfizer. The remaining authors declare that
they have no conflict of interest. •
To stimulate university-level training in this new
branch of knowledge and to develop the new compe-
tences and technology needed to respond to the
challenge of using and interpreting data on a large
scale. Ethical standards The manuscript does not contain clinical studies
or patient data. •
To guarantee training of regulatory agents with the aim
of maintaining the necessary regulatory structure that
can guarantee innovation and make it possible to
protect public health. Open Access This article is distributed under the terms of the
Creative Commons Attribution 4.0 International License (http://crea
tivecommons.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. •
To promote citizens’ knowledge about health and
disease by encouraging the participation of volunteers. Efficiency and sustainability: •
To promote citizens’ knowledge about health and
disease by encouraging the participation of volunteers. •
To put our country among the nations having the
capacity to develop and apply precision medicine and,
therefore, to export knowledge and technology. References 1. National Institute of Health. What is precision medicine? https://ghr.nlm.nih.gov/
primer/precisionmedicine/definition. Accessed 5 Aug 2017. 1. National Institute of Health. What is precision medicine? https://ghr.nlm.nih.gov/
primer/precisionmedicine/definition. Accessed 5 Aug 2017. •
To develop the necessary regulatory frameworks to
guarantee a system to evaluate new drugs, biomarkers,
and efficient diagnostic methods. 2. ICPerMed International Consortium. Action plan. Actionable research and
support activities identified by the International Consortium for Personalised
Medicine. 2017. http://www.icpermed.eu/media/content/ICPerMed_Actionplan_
2017_web.pdf. Accessed 5 Aug 2017. •
To foster a long-term economic model, capable of
integrating and developing the industrial fabric needed
to sustain the incorporation of precision medicine into
health on a large scale. 3. Comisio´n Europea. Horizon 2020 en breve. El Programa Marco de Investigacio´n
e Innovacio´n de la Unio´n Europea. Lux Oficina de Publicaciones de la Unio´n
Europea,
2014. doi:10.2777/80075. http://ec.europa.eu/programmes/hor
izon2020/sites/horizon2020/files/H2020_ES_KI0213413ESN.pdf. Accessed
5
Aug 2017. 4. Aviesan, Alliance Nationale pour les Sciences de la Vie et de la Sante´. France
Me´decine Ge´nomique 2025. http://presse.inserm.fr/wp-content/uploads/2016/06/
Plan-France-me%CC%81decine-ge%CC%81nomique-2025.pdf. Accessed 5 Aug
2017. •
To create an observatory that can monitor the evolution
of this field of medicine in its medical, technological,
ethical, and regulatory dimensions. 5. The White House. Fact sheet: President Obama’s precision medicine initiative. Lister Hill National Centre for Biomedical Communications. U.S. National
Library of Medicine. National Institutes of Health. Dept of Health & Human
Services. 2017. https://obamawhitehouse.archives.gov/the-press-office/2015/01/
30/fact-sheet-president-obama-s-precision-medicine-initiative. Accessed 5 Aug
2017. •
To prepare the legal regulations and code of ethics that
make it possible to respond to the ethical and legal
demands associated with the collection, conservation,
and treatment of clinical and genomic data. 6. Propuesta de Recomendaciones para una Estrategia Estatal de Medicina
Personalizada de Precisio´n. Fundacio´n Instituto Roche. 2017. https://www. institutoroche.es/static/pdfs/Propuesta_de_Recomendaciones_MPP.pdf. Accesed
5 Aug 2017. 6. Propuesta de Recomendaciones para una Estrategia Estatal de Medicina
Personalizada de Precisio´n. Fundacio´n Instituto Roche. 2017. https://www. institutoroche.es/static/pdfs/Propuesta_de_Recomendaciones_MPP.pdf. Accesed
5 Aug 2017. Objectives of a national strategy on precision
medicine The acceptance of treatment
or prevention recommendations can be difficult, especially
bearing in mind that they deal with complex concepts and
that the dissemination of mistaken ideas about a kind of
genetic determinism without factoring in the modulating
effect of lifestyle and environment, could lead to a feeling
of defeatism and helplessness or, in contrast, could lead to
society’s becoming ‘‘medicalized’’, and instigate the per-
formance of unnecessary or dangerous testing, as well as to
potentially mistaken decisions about reproduction. Area of knowledge: •
To accelerate the design and execution of genetics-
based studies, exploring the basic aspects of tumor
biology and setting up a network of knowledge about
oncology that generates data and enables it to be shared
to stimulate information technology and scientific
discoveries and to inform clinical decisions. •
From a regulatory perspective, to promote the perfor-
mance of academic studies on response prediction by
means of biomarkers in those areas not covered by
industry. In this regard, the creation of a national platform is
decisive within the overall project for the incorporation of
precision medicine that can analyze and control the trans-
lation of scientific findings to clinical practice. •
To foster the availability of comprehensive databases
that are validated and accessible and that include
genomic, biomedical, clinical, and lifestyle informa-
tion. To stimulate networking through corporate struc-
tures, enhancing the shared use and access to data Finally, we must be mindful of the fact that in this
context, every new drug or technique can be developed for 123 447 Clin Transl Oncol (2018) 20:443–447 regarding subpopulations, generated both within the
framework of clinical trials, as well as in real life. extraordinary opportunities to improve public health and
lower the costs of the healthcare system. Without a national
strategy, precision medicine, which will be implemented
one way or another, could take place without the appro-
priate planning that can guarantee technical quality, equal
access of all citizens to the best practices, violating the
rights of patients and professionals, and jeopardizing the
solvency of the healthcare system. •
To organize technology that will make it possible to
analyze starting up a national center that enables the
genetic data generated to be processed and used and to
offer services for current applications. •
To develop training for healthcare professionals in the
application
of
precision
medicine
in
healthcare
practice. Conclusion Precision medicine is transforming clinical and biomedical
research, as well as health care itself from a conceptual, as
well
as
a
methodological
viewpoint,
providing 123 12
|
https://openalex.org/W2998319958
|
https://digibug.ugr.es/bitstream/10481/60637/1/remotesensing-12-00083-v2.pdf
|
English
| null |
Bayesian Harmonic Modelling of Sparse and Irregular Satellite Remote Sensing Time Series of Vegetation Indexes: A Story of Clouds and Fires
|
Remote sensing
| 2,019
|
cc-by
| 8,594
|
Received: 6 November 2019; Accepted: 17 December 2019; Published: 24 December 2019 Abstract: Vegetation index time series from Landsat and Sentinel-2 have great potential for following
the dynamics of ecosystems and are the key to develop essential variables in the realm of biodiversity. Abstract: Vegetation index time series from Landsat and Sentinel 2 have great potential for following
the dynamics of ecosystems and are the key to develop essential variables in the realm of biodiversity. Unfortunately, the removal of pixels covered mainly by clouds reduces the temporal resolution,
producing irregularity in time series of satellite images. We propose a Bayesian approach based on a
harmonic model, fitted on an annual base. To deal with data sparsity, we introduce hierarchical prior
distribution that integrate information across the years. From the model, the mean and standard
deviation of yearly Ecosystem Functional Attributes (i.e., mean, standard deviation, and peak’s
day) plus the inter-year standard deviation are calculated. Accuracy is evaluated with a simulation
that uses real cloud patterns found in the Peneda-Gêres National Park, Portugal. Sensitivity to
the model’s abrupt change is evaluated against a record of multiple forest fires in the Bosco Difesa
Grande Regional Park in Italy and in comparison with the BFAST software output. We evaluated the
sensitivity in dealing with mixed patch of land cover by comparing yearly statistics from Landsat
at 30m resolution, with a 2m resolution land cover of Murgia Alta National Park (Italy) using FAO
Land Cover Classification System 2. Keywords: Time-Series; MSAVI2; cloud cover; Ecosystem Functional Attributes (EFA) Keywords: Time-Series; MSAVI2; cloud cover; Ecosystem Functional Attributes (EFA) Keywords: Time-Series; MSAVI2; cloud cover; Ecosystem Functional Attributes (EFA) remote sensing Bayesian Harmonic Modelling of Sparse and
Irregular Satellite Remote Sensing Time Series of
Vegetation Indexes: A Story of Clouds and Fires 1
Institute of Atmospheric Pollution Research–Italian National Research Council C/O Department of Physics,
University of Bari, via Orabona 4, 70125 Bari, Italy; adamo@iia.cnr.it (M.A.);
cristina.tarantino@iia.cnr.it (C.T.) 1
Institute of Atmospheric Pollution Research–Italian National Research Council C/O Department of Physics,
University of Bari, via Orabona 4, 70125 Bari, Italy; adamo@iia.cnr.it (M.A.);
cristina.tarantino@iia.cnr.it (C.T.) 1
Institute of Atmospheric Pollution Research–Italian National Research Council C/O Department of
University of Bari, via Orabona 4, 70125 Bari, Italy; adamo@iia.cnr.it (M.A.);
cristina.tarantino@iia.cnr.it (C.T.) 2
Department of Botany and Inter-University Institute for Earth System Research (IISTA),
University of Granada, 18071 Granada, Spain; dalcaraz@ugr.es y
p
g
Andalusian Center for the Assessment and Monitoring of Global Change (CAESCG), University of Almería
04120 Almería, Spain *
Correspondence: saverio.vicario@iia.cnr.it 1. Introduction The primary productivity of plants is an essential variable both for the biodiversity (as a driver
of the ecosystem’s carrying capacity) and climate (as a driver of evapotranspiration, as well as being
directly involved in carbon fixation). In situ measurements of Gross Primary Productivity (GPP) require
large and costly infrastructures to estimate the CO2 fluxes from an eddy covariance measurement of
net ecosystems exchange. Satellite data is used to obtain measurements on a large temporal and spatial scale. However,
as the signal is highly disturbed by the atmosphere, even the comparison among surface reflectance
values (i.e., atmospherically corrected) from the same geographical location across different images
entails multiple sources of errors. Fortunately, the error is nearly unbiased [1] and has a normal
probability distribution, probably caused by the multiple effect of small source of errors (i.e., in the
atmosphere correction, in pixel geometry, etc.). Remote Sens. 2020, 12, 83; doi:10.3390/rs12010083 www.mdpi.com/journal/remotesensing www.mdpi.com/journal/remotesensing 2 of 16 Remote Sens. 2020, 12, 83 Several tools were developed to both correct noise from the time series of satellite data and to
build robust summary statistics based on seasonality and changes, generally by partitioning values in
a seasonal component and a trend component [2]. Different nonparametric and parametric approaches
are considered in literature. Within a nonparametric approach, is possible to use climatological statistics
where, selecting a yearly time-partitioning (i.e., day, month, and season), the mean value is estimated
across the years to define a seasonal expectation. Deviation from expectation is subsequently analysed
with a moving average or a trend line in order to extract the long term change, whereas residuals
are considered as noise [2,3]. Another nonparametric approach is based on fast Fourier transform
called Singular Spectrum Analysis [2,4], whereas the spectral analysis is used to estimate the seasonal
component. Within the parametric approaches, the most common methods are based on a harmonic
model where a linear regression with a sinusoidal predictor and a trend predictor are used to
decompose the time series signal. The oldest implementation of Harmonic ANalysis of Time Series
(HANTS) ([5,6] focused on the Top of Atmosphere signal with fixed seasonality and trend. A more
recent implementation as Breaks For Additive Season and Trend (BFAST) [7], allows changes both
within seasonal and trend components. 1. Introduction Finally, noticing that some seasonal statistics are difficult
to estimate with few harmonics in case of abrupt seasonal changes, such as the start of the growing
season at higher latitudes, Timesat [8] also added, beside harmonic model, a symmetric Gaussian and
double logistic model to the tool-kit. Both new models are nonlinear and the user needs to explicitly
decide how many growing seasons will need to be considered. All these tools assume that the time
series need to have regularly spaced information and have limited or no capacity to handle missing
data. This regularity assumption apparently seems reasonable, given that satellites feature a highly
regular passing time. However, in case of localities with a seasonal cloud cover, this assumption
does not hold. In nonparametric approaches, irregularities of sampling cause noise that overcomes
the signal [3]. Often, to fulfil the regularity assumption, which is essential for the cited parametric
approaches, data are interpolated using a filtering procedure such as Savitzky–Golay. Nevertheless,
the risk is not only to alter the true signal in case of missing data covering a key moment of one or
more growing seasons, but also to alter the error estimation and therefore to inflate the confidence
in the results given. The free available time series from Landsat and Sentinel-2 satellites are often
irregular due to low-quality filtering due to the presences of clouds, shadows and aerosols. In some
locations they are very sparse, with less than 10 unevenly-spaced observations per year (e.g., in the
Peneda-Gerês National Park in Portugal). This is a very typical situation in cloudy regions, such as in
the tropics and high latitudes, where few yearly observations are usually available [9]. To overcome the limit of pairing non parametric interpolation followed by parametric seasonal
statistics estimation, it is necessary to build tools for time series analysis that are able to handle sparse
and uneven data. In this article, we propose a new method to remove noise and produce seasonal
statistics from time series of satellite images of vegetation indices. As a general approach, we selected
harmonic models that are intrinsically more flexible to handle time series with a different number
of growing seasons per year (typical in the Mediterranean biome [10]). 1. Introduction To test the effectiveness of
the method, we assessed its effect on the key descriptors of the seasonal cycle of vegetation indices,
i.e., Ecosystem Functional Attributes (EFA) as a set of essential variables that synthesize seasonality
variations [11], which are flexible enough to be applied in different regions worldwide. 2.1. Study Areas Three sites were selected in order to evaluate the proposed approach (Figure 1). First, we selected
the Peneda Gerês National Park, because it presents an intense permanent cloud cover and indeed
the need to analyse this region is the initial reason why this method was developed. The region
is characterized by mid-altitude mountains with peaks of less that 1600 m above mean sea level
that constitute a barrier for the clouds between plain of Northern Portugal over the ocean and the 3 of 16 Remote Sens. 2020, 12, 83 continental Spanish plain. The cloud pattern of this region was used to set up a simulation. The second
site is Murgia Alta National Park, a plateau between 300 and 600 m above mean sea level in central
Apulia (Italy), which was selected due to the availability of a very high resolution (2 m) land cover
map based on phenology features. This data was used to validate the phenology recovery of our
Landsat time series. Third, the Bosco Difesa Grande Regional Park is located a few kilometres south of
Murgia Alta National Park; it was selected for the repeated fire events that occurred in a short period
of time over a small area (see Figure 2). It is worth of notice that a very few pixels were hit more than
twice across the four fire events of 2011, 2012, 2013 and 2017, with the two small fires of 2011 and 2013
happening in a near location with no overlap, and in the region which was not hit by the fire in 2012. Figure 1. View of the three study sites over the backgrounds of Terrametrics TrueEarth 2019 images
taken from google map services. In red the areas of interest, while in green the boundary of the
protected areas. Peneda Gêres (a) is show in UTM29N projection, while Murgia Alta and, just south,
Bosco Difesa Grande are shown in panel (b) using UTM33N projection. (c) The location of the area of
interest are shown within European continent. Figure 1. View of the three study sites over the backgrounds of Terrametrics TrueEarth 2019 images
taken from google map services. In red the areas of interest, while in green the boundary of the
protected areas. Peneda Gêres (a) is show in UTM29N projection, while Murgia Alta and, just south,
Bosco Difesa Grande are shown in panel (b) using UTM33N projection. 2.1. Study Areas (c) The location of the area of
interest are shown within European continent. 2.2. Satellites Time Series All satellite scenes belonged to Landsat 5, 7 and 8 collections , considering atmospherically and
geometrically corrected data from USGS (U.S. Geological Survey) (Collection 1 Level2 tier 1). The tier 1
images are already intercalibrated across the Landsat sensors, therefore we used them directly without
further calibration. The fact that some regions of a given scene could have erroneous atmospheric
correction should not impact our analysis, given that only temporally correlated errors, not spatially 4 of 16 Remote Sens. 2020, 12, 83 correlated ones, can impact pixel-based approach. Details on data stacks are given in Table 1. All three
stacks had pixels masked because of the Scan Line Corrector failure of Landsat 7. (a) Times a pixels was hit by a fire in the period
of interest (a) Times a pixels was hit by a fire in the period
of interest (b) Estimated fire extension by combined dNBR data and in situ maximal envelope (b) Estimated fire extension by combined dNBR data and in situ maximal envelope Figure 2. Summary of the four fires that hit the “Bosco Difesa Grande” region as defined by dNBR
analysis (difference of the Normalized Burning Index) and bounded by the fire cadastral delimitation. (a) The four fires are overlapped to observe the number of different fire event that hit each pixel area;
(b) the view of each fire event. Very few experimented 3 fire events. Table 1. Dataset used in this work. Table 1. Dataset used in this work. Table 1. Dataset used in this work. Name Locality
Scenes
n◦X Cells
n◦Y Cells
Years Span
Peneda Gerês
66
2521
2458
2005–2010
Murgia Alta
538
1122
488
2000–2018
Bosco Difesa Grande
192
87
96
2010–2017 Summary Descriptors of the Seasonal Dynamics The interest of summary statistics is to produce compact representation, easy to compare across
different pixels that have different patterns of missing data and overlap different habitats. The
three ecosystem functional attributes (Alcaraz-Segura et al. 2006, 2009, 2013) are the annual mean
value (an estimator of annual primary production), the annual standard deviation (a descriptor of
seasonality of carbon gains) and the day of the year of the maximum vegetation index value (an
indicator of the growing season). These set of metrics are easy to apply to different habitats, as
they are based on a general statistical property of a series of data and, at the same time, they are
ecologically relevant [11–13]. Furthermore, each EFA has the advantage to report different information
from each other, allowing the three dimensions to produce an effective summary of the time series
information. The EFA were added with another dimension that measures change in phenology across
time: the interannual standard deviation of the period (see Formula (6)). This should summarize all
the information not captured yet by the yearly EFA and should be ecologically relevant being a proxy
for the stability of a patch of land in terms of primary productivity. StdInter =
q
Var(VI) −E[Varyearly(VI)]
(6) (6) where Var(VI) is overall variance of the Vegetation index time series, and E[Varyearly(VI)] is the mean
of the yearly variances of the time series. 3.1. Harmonic Models The seasonal component of a vegetation index (VI) signal can be modelled with a simple harmonic
model (see Equation (1)) that tracks the shape of seasonality with increasing fidelity as much K
harmonic are added. Typically, three harmonics are used: annual, biannual and triennial. The model
has two vector parameters: the vector A of amplitudes and the vector δ of phases for the different
sinusoidal function. This model is not linear and needs to be reparametrized as in Equation (2),
to become linear where the two new parameters γ and θ do not have such a straightforward meaning. To correctly parametrize the K integers we use the coefficient f that describes the length of a calendar
year in the same time unit of t, number of days since the 1st of January of the first year of the time series. Remote Sens. 2020, 12, 83 5 of 16 h(A, δ, t) =
K
∑
k=1
Ak sin
2πkt
f
+ δk
(1)
h(γ, θ, t) =
K
∑
k=1
γk sin
2πkt
f
+ θk cos
2πkt
f
(2) (1) (2) To apply the equation to time series, we need to add to the seasonal component the baseline value
a0 and ϵ the noise component (3). To increase the robustness to the fitting procedure of the model,
we assume that the baseline value is constant within a calendar year. This is a simplification in respect
to reality and to other proposed models [7], but it allows to avoid the risk of multiple optimal solutions,
which is possible when the sample could be uneven and sparse. In the first approximation, we force
the seasonality to be constant across the time series, allowing only mean value to change: the Yearly
Anomaly Model (YAM, Equation (4)). At a later stage, we loosen this assumption allowing each year
to have a different seasonality: the Yearly Seasonal Model (YSM, Equation (5)). In this model Γ and Θ
are matrices with K columns (number of harmonics) and Y rows(number of years). VIt =a0 + h(γ, θ, t) + ϵt
(3)
VIt =a0 +
Y
∑
y=1
ay + h(γ, θ, t) + ϵt
(4)
VIt =
Y
∑
y=0
ay + h(Γy, Θy, ty)
+ ϵt
(5) (3) (4) (5) Summary Descriptors of the Seasonal Dynamics Summary Descriptors of the Seasonal Dynamics 3.2. Models Fitting YAM is a linear model with such a moderate number of parameters to be estimated (2K + Y) that,
one or two points per year can be used to fit within a least square approach. On the contrary, although
perfectly linear, YSM would need at least 2K + 2 observations for each year. Further given that
parameters are yearly and not integrated across the time series, it is very likely that the estimate will
be with a large confidence interval and/or biased. In addition, in a least square framework, some EFA Remote Sens. 2020, 12, 83 6 of 16 statistics derived from fitted values would have a confidence interval difficult to estimate, as is the
case of “day of maximum”. To resolve this trade-off, we adopted a Bayesian approach for which it was possible, with a
hierarchical framework, to use informed prior for integrating information across time series years. According to the approach, the uncertainties of statistics of the posterior distribution can be derived by
simply re-sampling from the subsequent distribution itself, taking into account not only the variance
of estimates, as in least square, but also the covariance between model parameters. The availability of
the covariance matrix allows a correct generation of modeled observations (i.e., parametric bootstrap)
from which is possible to estimate accurate expectation and error for the summary statistics. Generally,
Bayesian approaches are hampered by a computation burden, given that no general analytic solution
exists and therefore numerical approaches are taken. Fortunately, an analytic solution was proposed
for an additive linear model, using a conjugated prior approach [14]. A python library [15] that
implements the method within the framework of numpy and sklearn python modules is available. The numpy library allows to make use of multicore computation, which proves to be essential for large
datasets as those in use in the Satellite Remote Sensing community. g
y
The hierarchical strategy used to fit the YSM is displayed in Algorithm 1. First, a YAM model is
fitted on the full time series using a non-informative prior. A lightly informed prior is built from YAM
posterior to inform the YSM of each year: only Γ and Θ location and dispersion are used, while the a
parameter is left with a non-informative prior. The dispersion values are enlarged by multiplying them
by the square root of the total observation counts to simulate a pseudo-count of value 1. 3.2. Models Fitting Second, data
are split per calendar year. For each block of observations, first, YSM is fit using the lightly informed
prior. Then, if the block under examination is not the first one, the YSM model already informed
with previous year data is updated with current year observations. Finally, a model with a simple
trend line model with no seasonality is fitted with non-informative prior. The three fitted models are
compared, using the estimate of the marginal likelihood within a Bayesian factor framework. A value
of 1.6 corresponding to the lower bounds value for “strong support” in the Jeffrey’s Bayesian factor
table is used as threshold. In case no fitted models reach this value of support, the model informed by
previous year is preferred. Algorithm 1: Pseudocode of fitting strategy for the Bayesian model. YSM and YAM are the
harmonic model defined in the text, while TM is a simple trend model. When the model is fit
with no explicit prior definition a flat prior was used. begin
Fit YAM model on full time series TS;
Relax posterior to get lightly informed prior;
foreach year in TS do
Fit YSM model with prior from previous year;
Fit YSM model with lightly informed prior;
Fit TM model that imply lost of seasonality;
Select best model with Bayesian factor;
Define prior of next year with best model posterior;
Extract Yearly Attributes from yearly posterior;
end
Extract Resilience Attribute from overall posterior;
end begin
Fit YAM model on full time series TS;
Relax posterior to get lightly informed prior;
foreach year in TS do
Fit YSM model with prior from previous year;
Fit YSM model with lightly informed prior;
Fit TM model that imply lost of seasonality;
Select best model with Bayesian factor;
Define prior of next year with best model posterior;
Extract Yearly Attributes from yearly posterior;
end
Extract Resilience Attribute from overall posterior;
end The selected fitted model then is used to generate 500 time series replicates with a time frequency
of 15 days that will be used to estimate mean statistics and uncertainties on mean statistics, using
standard deviation over the replicates. 7 of 16 Remote Sens. 2020, 12, 83 7 of 16 3.3. Cost of Model Fitting As for all data analysis for satellite remote sensing time series, computation efficiency is paramount
in order to make their application usable. The python libraries used (xarray, sklearn, and Bayesian
linear model), and how the functions are applied to the stack of data are all optimized in order to
make use of the parallelism implemented in the numpy matrix object. Nevertheless, an estimate of
summary statistics entails numerical simulations that could compromise the efficiency of the estimation
itself. We evaluated the impact of two simulation aspects (i.e., number of sampled days per time
series replicates and the number of replicates) and compared them with the change in time due to the
number of pixel history processed. All three parameters are linear in the range of values explored. The
first aspect has the same high slope than pixel history, and therefore it is costly. The second aspect,
i.e., number of replicates, is well handled by the library (see Figure 3) with a less steep slope. For
this reason, for the first aspect we chose lesser value, 36-yearly samples (one sample every 15 days),
whereas for the second aspect we chose a larger value of 500 replicates, in order to obtain more precise
EFA estimates. Figure 3. Time of execution evaluation. The x-axis is relative at the value of the 3 different
parameters. When one parameter is changed the others are fixed to 36 and 500 for yearly sample and
replicates, respectively. Figure 3. Time of execution evaluation. The x-axis is relative at the value of the 3 different
parameters. When one parameter is changed the others are fixed to 36 and 500 for yearly sample and
replicates, respectively. 4.1. Selection of Vegetation Index In panels (a,c) data are relative to NDVI, while the others to MSAVI2. In panels (a,b) data are Figure 4. Ratio between input and output noise for different values of surface reflectance NIR and
RED. In panels (a,c) data are relative to NDVI, while the others to MSAVI2. In panels (a,b) data are
obtained from numerical simulation with 500 replicates per pair of surface reflectance values, whereas
(c,d) resulted from the derivative approach. Figure 4. Ratio between input and output noise for different values of surface reflectance NIR and
RED. In panels (a,c) data are relative to NDVI, while the others to MSAVI2. In panels (a,b) data are
obtained from numerical simulation with 500 replicates per pair of surface reflectance values, whereas
(c,d) resulted from the derivative approach. This observation leads us to use MSAVI2 for the rest of the analysis and to suggest the user
of our approach to avoid normalized difference indices but seek more robust implementation of
band normalization. This observation leads us to use MSAVI2 for the rest of the analysis and to suggest the user
of our approach to avoid normalized difference indices but seek more robust implementation of
band normalization. 4.1. Selection of Vegetation Index At a first approximation, the method is not addressed to a specific vegetation index and according
to a general inference framework it assumes that the noise is normal and that the error is homogeneous
(i.e., homoscedasticity). We can assume that the surface reflectance has an error which is approximately
normal and that it is homogeneous for a not too high value, as it is possible to infer from the plots in [1]. However, the normality and homoscedasticity of errors is not guaranteed to be preserved after the
index calculation. It is possible to estimate the expected uncertainties propagation for NDVI looking
at the derivative of the formula [16]. We followed the same approach, a sum of square derivative in
respect to both bands, using a symbolic derivative of the formula estimated with [17] for an MSAVI2
that has a very different Formula (7) but uses the same bands. MSAVI2 = (2NIR + 1 −
p
(2NIR + 1)2 −8(NIR −RED))
2
(7) (7) 2 To validate the theoretical approach, we also performed a simulation with 500 replicated, with
the addition of a Gaussian white noise with standard deviation of 0.01, a rounded value of the mean
standard deviations estimated in Table 1 for band 3 and 4 in [1]. Results are shown in Figure 4,
where it is possible to notice that theoretical expectation and simulation match each other. Slightly
higher dispersion in simulation is due to some negative values of reflectance that were not truncated. Looking at theoretical expectation only, it is possible to observe that MSAVI2 produces a much more 8 of 16 Remote Sens. 2020, 12, 83 homogeneous outcome with all values ranging between 1 and 2.5 times the error of input data, with
the exception of the RED value of less than 0.1. On the contrary, NDVI, always ensuring the RED band
a value greater than 0.1, ranges between 0.5 and 14 times the input error, thus making a difference
in the expected standard error of 28 times across values of the same dataset. It is possible to observe
a ratio output/input noise less than 1 in NDVI at a higher value of surface reflectance because it
saturates at a higher level of vegetation cover [18], and thus representing another negative aspect of
the index. Figure 4. Ratio between input and output noise for different values of surface reflectance NIR and
RED. 4.2. Simulation of Cloud Cover Experiment In subfigure (a–c) are
shown yearly mean and stardard deviation, day of the year of maximum and number of observation
per year, respectively. (c) Yearly observation counts (b) Y
l
d
f
i
i
i (b) Yearly day of maximum estimation (c) Yearly observation counts (c) Yearly observation counts Figure 5. Distribution of difference between 423 EFA values across 6 years (2005–2010) in the Peneda
Gerês data set, estimated with a full set of observations and applying on them 100 different cloud
patterns. Estimates with modelled and raw data are respectively blue and orange. In subfigure (a–c) are
shown yearly mean and stardard deviation, day of the year of maximum and number of observation
per year, respectively. Figure 5. Distribution of difference between 423 EFA values across 6 years (2005–2010) in the Peneda
Gerês data set, estimated with a full set of observations and applying on them 100 different cloud
patterns. Estimates with modelled and raw data are respectively blue and orange. In subfigure (a–c) are
shown yearly mean and stardard deviation, day of the year of maximum and number of observation
per year, respectively. 4.2. Simulation of Cloud Cover Experiment To evaluate the performance of our approach on sparse and uneven distribution, we selected a
subset of pixels in the Peneda Gerês dataset for which all observations were available. In this way, 9 of 16 Remote Sens. 2020, 12, 83 we selected 431 pixel series of 66 observations. We applied a 100 random cloud pattern found across
the dataset to each of the pixel series, and estimated EFA for each year of observation, using both our
method and the uncorrected data. Results are displayed in Figure 5, where the importance to correct
the data to obtain credible EFA is clear: corrected data have lower spread and expectation is unbiased. The modelled data have some outliers farther away than raw data, but the five explored quantiles are
generally less spread than raw data. (a) Yearly Mean and Standard deviation
(b) Yearly day of maximum estimation
(c) Yearly observation counts
Figure 5. Distribution of difference between 423 EFA values across 6 years (2005–2010) in the Peneda
Gerês data set, estimated with a full set of observations and applying on them 100 different cloud
patterns. Estimates with modelled and raw data are respectively blue and orange. In subfigure (a–c) are
shown yearly mean and stardard deviation, day of the year of maximum and number of observation
per year, respectively. 4.3. Testing over Forest Fires (a) Yearly Mean and Standard deviation (a) Yearly Mean and Standard deviation ( )
y
(b) Yearly day of maximum estimation
(c) Yearly observation counts
Figure 5. Distribution of difference between 423 EFA values across 6 years (2005–2010) in the Peneda
Gerês data set, estimated with a full set of observations and applying on them 100 different cloud
patterns. Estimates with modelled and raw data are respectively blue and orange. In subfigure (a–c) are
shown yearly mean and stardard deviation, day of the year of maximum and number of observation
per year, respectively. (b) Yearly day of maximum estimation
(c) Yearly observation counts (b) Yearly day of maximum estimation
(c) Yearly observation counts
Figure 5. Distribution of difference between 423 EFA values across 6 years (2005–2010) in the Peneda
Gerês data set, estimated with a full set of observations and applying on them 100 different cloud
patterns. Estimates with modelled and raw data are respectively blue and orange. 4.3. Testing over Forest Fires To test the method’s sensitivity to change in seasonality, the performance was evaluated in case
of events like forest fires, with a known date and a maximal extension. Two large fires and two 10 of 16 10 of 16 Remote Sens. 2020, 12, 83 smaller ones hit the region over the “Bosco Difesa Grande” (BDG) regional park from 2010 to 2017. The official maximal extension was taken from the national fire cadastre [19] and was compared with
the results of a classical dNBR analysis (difference of the Normalized Burning Index in pre- and
post-fire images [20]), using as threshold a decrease of 0.27 of the index, corresponding to “medium
severity” or more (see also [21]). For the subsequent analysis, we considered the area that was hit by
fire at the intersection of the two masks. In fact, dNBR was flagging few pixels outside the cadaster’s
perimeter, probably due to some dry spots, while the cadaster is by construction an overestimated
area (the convex hull includes all burned patches). For this evaluation, we also took into consideration
the BFAST [7] program given that, differently from our approach, it explicitly models abrupt changes. The program requires an evenly sampled time series with a fixed number of observations per year with
no missing data. We regularized the time series to 16 days, using a Savitzky–Golay filter, obtaining 182
scenes. We selected one year as the time between two breaking points, despite the advised value is
four years [2]. The outputs of the two programs are not directly comparable, given that our approach
produced statistics for each year, whereas BFAST produced statistics for each input date. We modified
our approach to identify on the fitted data the day with maximum decrease rate (ratio between
difference in fitted value and difference in time) per year and used this as an estimator of break to
compare it with BFAST. In the comparison (Table 2, see also Appendix A), our approach (indicated as
BM, also known as the Bayesian Model) shows much more favourable results both in terms of bias and
in terms of average deviation. 4.3. Testing over Forest Fires The particularly bad results for the 2017 fire of BFAST (expected value is
422.1 days before true value, with standard deviation of value of 271.1) are probably influenced by the
scarce capacity to discriminate between two breaking points at about one year of distances to each
other: the growth following the 2012 fire ended in 2016 (first breaking point), but a second fire hit the
region in the following July (second breaking point), as shown in Figure 6. 2013
2014
2015
2016
2017
2018
Time
0.0
0.1
0.2
0.3
0.4
0.5
0.6
Resampled
0.025-0.975
Median
Median
Median 2010/11
Bfast est. 0.025-0.975
Fire
Median
Bfast est. MSAVI
Figure 6. Summary of the Breaks For Additive Season and Trend (BFAST) reconstruction over the
pixel that experienced 2012 and 2017 fire based on dNBR analysis. In green the observation after
Savitzky–Golay filter, in dark red the median of the BFAST expectation, in cyan the median of pre-2012
expectation. Vertical dark red line represent BFAST estimation of breaking point, whereas bright red
is the actual fire event. Take note that median estimation and 2.5 and 97.5 quantile of breaking point
estimation overlap in the figure. 2013
2014
2015
2016
2017
2018
Time
0.0
0.1
0.2
0.3
0.4
0.5
0.6
Resampled
0.025-0.975
Median
Median
Median 2010/11
Bfast est. 0.025-0.975
Fire
Median
Bfast est. MSAVI Figure 6. Summary of the Breaks For Additive Season and Trend (BFAST) reconstruction over the
pixel that experienced 2012 and 2017 fire based on dNBR analysis. In green the observation after
Savitzky–Golay filter, in dark red the median of the BFAST expectation, in cyan the median of pre-2012
expectation. Vertical dark red line represent BFAST estimation of breaking point, whereas bright red
is the actual fire event. Take note that median estimation and 2.5 and 97.5 quantile of breaking point
estimation overlap in the figure. 11 of 16 11 of 16 Remote Sens. 2020, 12, 83 The distances between the two events is approximately a year, and is therefore compliant with the
setting that we imposed, but BFAST preferred for all pixels involved to fuse the two events. Summing
the Trend and Seasonal components we built a BFAST expected value. From this, we built the same
summary statistics as those of our approach. 4.3. Testing over Forest Fires First, we built a linear model where the fire history,
coded as four cipher binary variable, tried to predict the standard deviation across years estimated
with our method and BFAST on each pixel. The results were very similar across our approach and
BFAST, with both methods explaining 31.75% of variation. Second, for the 3-yearly EFA statistics, we
built a similar linear model only for the four years when fire event had happened. For each of the
four years we coded with 0 and 1 if the dNBR analysis had a decrease larger than 0.27, and added
as predictor also the year of observation treating it a categorical variable, and 2011 (the first year
of fire) was used as reference. Similar to the inter year standard deviation, the variance explained
between the two approaches is very similar as reported in this instance (Table 3): BFAST greater than
2% in predicting the mean value, while our method results greater than 3.5% and 2.5% in predicting
intra-year variation and day of maximum, respectively. Note that the negative coefficients for the
unburned part in 2012–2017 for the yearly mean statistics are due to the very bad spring of 2012 and to
the patch of old burned areas in the following years. Finally, we looked at the spatial and temporal
local variation of the estimates. Both approaches observed the pixels through time without taking into
account their respective spatial context, so in a good approach local variation should be much lower
than overall scenes variation. As far as statistics are concerned, we chose median of standard deviation
and we selected a 3 × 3 size kernel to define local neighbourhood. On the contrary, the standard
deviation estimated from a temporal moving window of 3 × 3 size, should give values not too low
compared to overall time variation. In fact, both approaches try to minimize a temporal variation,
so the method that leaves more variation is more sensitive to changes. We reported the median value
over the time series for the two approaches (Table 4). The result (Table 4) shows that our approach
produces less local spatial variability than BFAST per day of maximum estimated (the ratio kernel
std on total std is 0.207 versus 0.658 in BFAST), whereas for the other statistics our approach is only
slightly better. 4.3. Testing over Forest Fires A kernel of 9 pixels and a moving window of 3 were used
respectively for space and time domains. For each summary statistic, the mean kernel, the overall and
the ratio of the two values are reported. Table 4. Spatial and time local variation of estimates across methods (our proposed ones, BM, and
BFAST), using standard deviation as metric. A kernel of 9 pixels and a moving window of 3 were used
respectively for space and time domains. For each summary statistic, the mean kernel, the overall and
the ratio of the two values are reported. Space
Time
BFAST
BM
BFAST
BM
maxpos
kernSD
18.289
5.945
1.247
4.490
TotSD
27.787
28.748
6.819
6.986
Rate
0.658
0.207
0.183
0.643
mean
kernSD
0.021
0.021
0.027
0.022
TotSD
0.067
0.066
0.036
0.029
Rate
0.319
0.321
0.747
0.766
std intra
kernSD
0.014
0.014
0.007
0.007
TotSD
0.036
0.038
0.009
0.013
Rate
0.386
0.378
0.708
0.560
std inter
kernSD
0.006
0.006
-
-
TotSD
0.036
0.038
-
-
Rate
0.153
0.146
-
-
4.4. Effect of Land Cover on Vegetation Phenology 4.4. Effect of Land Cover on Vegetation Phenology 4.4. Effect of Land Cover on Vegetation Phenology To evaluate the quality of our prediction, we compared our results over the Murgia Alta National
Park based on Landsat7-8 at 30 m with a land cover prediction inferred with an object based approach
from four seasonal images of Worldview-2 (2 m resolution) taken in 19 April 2011, 5 October 2011,
22 January 2012 and 6 July 2012, respectively [22]. The landcover was inferred using the value of three
indices (NDVI, WBI, Brightness) across the four images and comparing them with knowledge rule on
the seasonality (natural phenology and agricultural practice) of the different land cover types. Finally,
texture features were used to solve the difference between grassland and trees, and open and close
land cover. For each 30 m tile, we calculated the proportion of the 16 land cover classes found within it,
and used those values as predictor for the 3 EFA dimensions of 2012. Three linear models were built:
one with EFA estimated from unmodified USGS data (Raw in Figure 7), one with data corrected with
our approach (noW in Figure 7), and finally a weighted linear model using both our estimate EFA and
the estimate error on the EFA estimate as weight (W in Figure 7). 4.3. Testing over Forest Fires Looking at the temporal local variation again, our method proves to be more effective
in estimating the day of maximum with a higher local variation (0.643 versus 0.183). For the yearly
variation (“std intra”), BFAST has a slightly higher value (0.708 over 0.560) which is not caused by a
higher kernel variation, but by a lower overall variation. Table 2. Bias and average deviation in days of the two methods (our proposed method, BM, and the
reference, BFAST) compared to the true date of fire over the pixel characterized by dNBR smaller than
−0.27, estimated using pairs of Landsat image before and after the known fire date. Negative value of
bias indicates the estimated date prior true date. In each case the nearest break was used to estimate
the statistics. Table 2. Bias and average deviation in days of the two methods (our proposed method, BM, and the
reference, BFAST) compared to the true date of fire over the pixel characterized by dNBR smaller than
−0.27, estimated using pairs of Landsat image before and after the known fire date. Negative value of
bias indicates the estimated date prior true date. In each case the nearest break was used to estimate
the statistics. Bias
Std
Method Fire Event
BM
BFAST
BM
BFAST
27 June 2011
33.3
118.2
51.2
196.1
30 June 2012
21.4
−29.9
47.6
110.6
15 August 2013
−17.7
15.7
62.5
245.6
12 August 2017
−3.1
−422.1
51.4
271.1 12 of 16 Remote Sens. 2020, 12, 83 Table 3. Results from 4 linear models for yearly mean and yearly standard deviation estimated with
our approach (BM) and BFAST that use year of observations and fire events (estimated from dNBR) as
predictors. We report the coefficient and the variance explained, adjusted by number of parameters
(Rsq adj). mean_mean
stdintra_mean
maxpos_mean
BM
BFAST
BM
BFAST
BM
BFAST
Intercept (2011:nofire)
0.330
0.322
0.090
0.080
144.206
145.140
2012:nofire
−0.038
−0.053
−0.007
−0.006
−4.431
−13.457
2013:nofire
−0.053
−0.041
−0.005
0.004
−8.722
3.898
2017:nofire
−0.011
0.006
0.006
0.007
5.722
−8.013
fire
−0.076
−0.069
−0.003
−0.000
−26.258
−29.640
2012:fire
0.023
0.029
0.004
0.011
13.924
34.929
2013:fire
0.071
0.077
0.012
−0.008
4.703
35.068
2017:fire
0.027
0.013
0.018
−0.006
19.348
26.071
Rsq_adj
0.162
0.182
0.048
0.013
0.065
0.041 Table 4. Spatial and time local variation of estimates across methods (our proposed ones, BM, and
BFAST), using standard deviation as metric. Funding: We would like to acknowledge the support of H2020 Ecopotential project with Grant Agreement
No. 641762 for the discussion and the set up of a first version of the algorithm not shown in this paper and
Geoessential an ERA-PLANET project, an action from ERA-NET-Cofund Grant, with Grant Agreement No. 689443
for the actual development of the algorithm and the writing of the paper. 4.3. Testing over Forest Fires The weight was set as proportional
to the inverse of the estimated standard deviation. In case our numerical estimate was zero, we set
the weight as proportional to the inverse of one tenth of the smallest standard deviation recorded in
the stack for that EFA dimension. The results show (Figure 7) that, regarding intra-year variation,
the EFA dimension is best predicted by land cover mapping, closely followed by the mean values. 13 of 16 13 of 16 Remote Sens. 2020, 12, 83 Furthermore, in the consideration of the different estimates of EFA in terms of explained variance, the
relation among dimensions remains the same and systematically in each dimension the best estimator
results our approach, weighted by our estimates of error, whereas the least explained data are the EFA
obtained by unmodified USGS data. Furthermore, in the consideration of the different estimates of EFA in terms of explained variance, the
relation among dimensions remains the same and systematically in each dimension the best estimator
results our approach, weighted by our estimates of error, whereas the least explained data are the EFA
obtained by unmodified USGS data. Figure 7. Variance explained by land cover frequency over the summary statistics. Figure 7. Variance explained by land cover frequency over the summary statistics. Author Contributions: Conceptualization, S.V., M.A. and D.A.-S.; methodology, S.V.; software, S.V.; validation, S.V.
and M.A.; formal analysis, S.V.; investigation, M.A., C.T. and S.V.; data curation, C.T. and M.A.; writing—original
draft preparation, S.V.; writing—review and editing, C.T., M.A. and D.A.-S. All authors have read and agreed to
the published version of the manuscript. 5. Conclusions The aim of the present study is to show that the assumption of a regular time frame to collect
summary statistics that allows using observations that are irregular and sparse, and yet to obtain
robust and compelling statistics, as shown in our cloud cover experiment or in tracking multiple
fire event test case. Furthermore, we took the stance to produce yearly statistics that are partially
informed by long term observation. This is similar to what proposed in [23], but with the difference
that we approached it in an explicit Bayesian framework and not within a rigid system of rules based
on the number of observations available in each year. We are able to use the Bayesian framework
using the conjugate prior and with the assumption that noise is normally distributed. This is quite
a heavy assumption that holds on atmospherically corrected data, thanks to the multiple effect of
overestimation and underestimation that the correction entails, and if no heteroscedasticity is added
by the choice of the vegetation index as we show in the Section 4.1. The application of this method is
limited, in a region with complex orography, by the need to correct data topographic errors such as
shade or diffuse light. NDVI is said to be more robust to these effects, but to be used in this framework
it is necessary to include explicit weight. We plan to do this upgrade in the next release of this software. Further development should go in the direction of producing statistics per object not per single pixel. This would allow to produce a more robust prediction. The software is distributed as open source on
Github and will be available in the computation platform VLAB developed within the GeoEssential
project. The portability is guaranteed by the availability of docker environment. Author Contributions: Conceptualization, S.V., M.A. and D.A.-S.; methodology, S.V.; software, S.V.; validation, S.V. and M.A.; formal analysis, S.V.; investigation, M.A., C.T. and S.V.; data curation, C.T. and M.A.; writing—original
draft preparation, S.V.; writing—review and editing, C.T., M.A. and D.A.-S. All authors have read and agreed to
the published version of the manuscript. Funding: We would like to acknowledge the support of H2020 Ecopotential project with Grant Agreement
No. 641762 for the discussion and the set up of a first version of the algorithm not shown in this paper and
Geoessential an ERA-PLANET project, an action from ERA-NET-Cofund Grant, with Grant Agreement No. 1.
Ju, J.; Roy, D.P.; Vermote, E.; Masek, J.; Kovalskyy, V. Continental-scale validation of MODIS-based and
LEDAPS Landsat ETM+ atmospheric correction methods.
Remote Sens. Environ. 2012, 122, 175–184.
[CrossRef] 5. Conclusions 689443
for the actual development of the algorithm and the writing of the paper. 14 of 16 Remote Sens. 2020, 12, 83 Acknowledgments: We would like to thank the ReCAS Computing Center of the University of Bari, and,
particularly, Stefano Nicotri and Giacinto Donvito for the use of facilities; in particular their Jupiter online access
to the virtual environment for computation. The manuscript was proofread by Lena Rettori. We would like to
thanks the contribution of the two anonymous reviewers. Conflicts of Interest: The authors declare no conflicts of interest. The founders had no role in the design of the
study; in the collection, analyses, or interpretation of data; in the writing of the manuscript; or in the decision to
publish the results. Appendix A. Detailed Comparison of Fire Breaks ppendix A. Detailed Comparison of Fire Breaks
Figure A1. Comparison between estimation of maximum change near the first fire event. Histogram
shows distribution of differences in day of the year between the actual fire event and the estimated one
on the pixel that dNBR analysis identified as hit by this fire event. In the lower part, the two images
show the spatial distribution in the two approaches. The projection used in the map is UTM zone 33N
and extent and orientation is the same as Figure 2a in the main text. Figure A1. Comparison between estimation of maximum change near the first fire event. Histogram
shows distribution of differences in day of the year between the actual fire event and the estimated one
on the pixel that dNBR analysis identified as hit by this fire event. In the lower part, the two images
show the spatial distribution in the two approaches. The projection used in the map is UTM zone 33N
and extent and orientation is the same as Figure 2a in the main text. Figure A2. Same as Figure A1 for the second fire event. Figure A2. Same as Figure A1 for the second fire event. 15 of 16 Remote Sens. 2020, 12, 83 Figure A3. Same as Figure A1 for the third fire event. Figure A3. Same as Figure A1 for the third fire event. Figure A3. Same as Figure A1 for the third fire event. Figure A4. Same as Figure A1 for the forth fire event. Figure A4. Same as Figure A1 for the forth fire event. 3.
De Keersmaecker, W.; Lhermitte, S.; Honnay, O.; Farifteh, J.; Somers, B.; Coppin, P. How to measure
ecosystem stability? An evaluation of the reliability of stability metrics based on remote sensing time series
across the major global ecosystems. Glob. Chang. Biol. 2014, 20, 2149–2161. [CrossRef] [PubMed] 2.
Forkel, M.; Carvalhais, N.; Verbesselt, J.; Mahecha, M.D.; Neigh, C.S.; Reichstein, M. Trend Change detection
in NDVI time series: Effects of interannual variability and methodology. Remote Sens. 2013, 5, 2113–2144.
[CrossRef] j
g
y
g
4.
Jianwen, L.; Yuke, Z. Comparison and application of NDVI time-series reconstruction methods at site scale
on the Tibetan Plateau. Prog. Geogr. 2018, 37, 427–437. [CrossRef] References 3. De Keersmaecker, W.; Lhermitte, S.; Honnay, O.; Farifteh, J.; Somers, B.; Coppin, P. How to measure
ecosystem stability? An evaluation of the reliability of stability metrics based on remote sensing time series
across the major global ecosystems. Glob. Chang. Biol. 2014, 20, 2149–2161. [CrossRef] [PubMed] 4. Jianwen, L.; Yuke, Z. Comparison and application of NDVI time-series reconstruction methods at site scale
on the Tibetan Plateau. Prog. Geogr. 2018, 37, 427–437. [CrossRef] Remote Sens. 2020, 12, 83 16 of 16 16 of 16 5. Zhou, J.; Jia, L.; Menenti, M. Reconstruction of global MODIS NDVI time series: Performance of Harmonic
ANalysis of Time Series (HANTS). Remote Sens. Environ. 2015, 163, 217–228. [CrossRef] 6. Menenti, M.; Azzali, S.; Verhoef, W.; van Swol, R. Mapping agroecological zones and time lag in vegetation
growth by means of fourier analysis of time series of NDVI images. Adv. Space Res. 1993, 13, 233–237. [CrossRef] 7. Verbesselt, J.; Hyndman, R.; Zeileis, A.; Culvenor, D. Phenological change detection while accounting
for abrupt and gradual trends in satellite image time series. Remote Sens. Environ. 2010, 114, 2970–2980. [CrossRef] 8. Jönsson, P.; Eklundh, L. TIMESAT—A program for analyzing time-series of satellite sensor data. Comput. Geosci. 2004, 30, 833–845. [CrossRef] 9. Nemani, R.R.; Keeling, C.D.; Hashimoto, H.; Jolly, W.M.; Piper, S.C.; Tucker, C.J.; Myneni, R.B.; Running,
S.W. Climate-driven increases in global terrestrial net primary production from 1982 to 1999. Science 2003,
300, 1560–1563. [CrossRef] [PubMed] 10. Alcaraz, D.; Paruelo, J.; Cabello, J. Identification of current ecosystem functional types in the Iberian
Peninsula. Glob. Ecol. Biogeogr. 2006, 15, 200–212. [CrossRef] 11. Regos, A.; Gagne, L.; Alcaraz-Segura, D.; Honrado, J.P.; Domínguez, J. Effects of species traits and
environmental predictors on performance and transferability of ecological niche models. Sci. Rep. 2019,
9, 1–14. [CrossRef] [PubMed] 12. Alcaraz-Segura, D.; Lomba, A.; Sousa-Silva, R.; Nieto-Lugilde, D.; Alves, P.; Georges, D.; Vicente, J.R.;
Honrado, J.P. Potential of satellite-derived ecosystem functional attributes to anticipate species range shifts. Int. J. Appl. Earth Obs. Geoinf. 2017, 57, 86–92. [CrossRef] 13. Arenas-Castro, S.; Regos, A.; Gonçalves, J.F.; Alcaraz-Segura, D.; Honrado, J. Remotely Sensed Variables of
Ecosystem Functioning Support Robust Predictions of Abundance Patterns for Rare Species. Remote Sens. 2019, 11, 2086. [CrossRef] 14. Walter, G.; Augustin, T. Bayesian linear regression—Different conjugate models and their (In)sensitivity to
prior-data conflict. In Statistical Modelling and Regression Structures: Festschrift in Honour of Ludwig Fahrmeir;
Physica-Verlag HD: Heidelberg, Germany, 2010; pp. 59–78. [CrossRef] 5. References Asher Bender. Bayesian Linear Model. Available online: https://github.com/asherbender/bayesian-lin
model (accessed on 6 November 2019). 6. Borgogno-Mondino, E.; Lessio, A.; Gomarasca, M.A. A fast operative method for NDVI uncerta
estimation and its role in vegetation analysis. Eur.J. Remote Sens. 2016, 49, 137–156. [CrossRef] 17. Wolfram. Wolframalpha. Available online: https://www.wolframalpha.com (accessed on 6 November
2019). 18. Qi, J.; Chehbouni, A.; Huete, A.; Kerr, Y.; Sorooshian, S. A modified soil adjusted vegetation index. Remote Sens. Environ. 1994, 48, 119–126. [CrossRef] 19. Catasto Incendi. Available online: http://www.simontagna.it/portalesim/catastoincendi.jsp (accessed on 6
November 2019). 20. Keeley, J.E. Fire intensity, fire severity and burn severity: A brief review and suggested usage. Int. J. Wildland Fire 2009, 18, 116–126. [CrossRef] 21. Heisig, J. Step by Step:
Burn Severity mapping in Google Earth Engine. Available online:
http://www.un-spider.org/advisory-support/recommended-practices/recommended-practice-burn-
severity/burn-severity-earth-engine (accessed on 6 November 2019). 22. Adamo, M.; Tarantino, C.; Lucas, R.M.; Tomaselli, V.; Sigismondi, A.; Mairota, P.; Blonda, P. Combined use
of expert knowledge and earth observation data for the land cover mapping of an Italian grassland area:
An EODHaM system application. In Proceedings of the 2015 IEEE International Geoscience and Remote
Sensing Symposium (IGARSS), Milan, Italy, 16–31 July 2015; IEEE,Piscataway, NJ USA, 2015; pp. 3065–3068. [CrossRef] 23. Jönsson, P.; Cai, Z.; Melaas, E.; Friedl, M.A.; Eklundh, L. A method for robust estimation of vegetation
seasonality from Landsat and Sentinel-2 time series data. Remote Sens. 2018, 10, 635. [CrossRef] c⃝2019 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/).
|
https://openalex.org/W4255643721
|
https://bg.copernicus.org/articles/6/2217/2009/bg-6-2217-2009.pdf
|
English
| null |
Liana infestation impacts tree growth in a lowland tropical moist forest
| null | 2,009
|
cc-by
| 9,664
|
Liana infestation impacts tree growth in a lowland tropical moist
forest G. M. F. van der Heijden and O. L. Phillips
Ecology and Global Change, School of Geography, University of Leeds, UK
Received: 16 December 2008 – Published in Biogeosciences Discuss.: 18 March 2009
Revised: 14 September 2009 – Accepted: 28 September 2009 – Published: 16 October 2009 G. M. F. van der Heijden and O. L. Phillips
Ecology and Global Change, School of Geography, University of Leeds, UK
Received: 16 December 2008 – Published in Biogeosciences Discuss.: 18 March 2009
Revised: 14 September 2009 – Accepted: 28 September 2009 – Published: 16 October 2009 G. M. F. van der Heijden and O. L. Phillips
Ecology and Global Change, School of Geography, University of Leeds, UK Received: 16 December 2008 – Published in Biogeosciences Discuss.: 18 March 2009
Revised: 14 September 2009 – Accepted: 28 September 2009 – Published: 16 October 2009 Abstract. Ecosystem-level estimates of the effect of lianas
on tree growth in mature tropical forests are needed to eval-
uate the functional impact of lianas and their potential to af-
fect the ability of tropical forests to sequester carbon, but
these are currently lacking. Using data collected on tree
growth rates, local growing conditions and liana competi-
tion in five permanent sampling plots in Amazonian Peru,
we present the first ecosystem-level estimates of the effect of
lianas on above-ground productivity of trees. By first con-
structing a multi-level linear mixed effect model to predict
individual-tree diameter growth model using individual-tree
growth conditions, we were able to then estimate stand-level
above-ground biomass (AGB) increment in the absence of
lianas. We show that lianas, mainly by competing above-
ground with trees, reduce tree annual above-ground stand-
level biomass increment by ∼10%, equivalent to 0.51 Mg
dry weight ha−1 yr−1 or 0.25 Mg C ha−1 yr−1. AGB incre-
ment of lianas themselves was estimated to be 0.15 Mg dry
weight ha−1 yr−1 or 0.07 Mg C ha−1 yr−1, thus only com-
pensating ∼29% of the liana-induced reduction in ecosys-
tem AGB increment. Increasing liana pressure on tropical
forests will therefore not only tend to reduce their carbon
storage capacity, by indirectly promoting tree species with
low-density wood, but also their rate of carbon uptake, with
potential consequences for the rate of increase in atmospheric
carbon dioxide. Liana infestation impacts tree growth in a lowland tropical moist
forest quence, can be detrimental for host trees by enhancing their
mortality risk (Putz, 1984; Phillips et al., 2005) and reducing
their fecundity (Stevens, 1987; Kainer et al., 2006). Addi-
tionally, there is also considerable evidence that lianas sup-
press individual-tree growth (Putz, 1984; Clark and Clark,
1990). Several studies showed an effect of lianas on tree
growth by experimental removal of lianas (Whigham, 1984;
P´erez-Salicrup and Barker, 2000; Gerwing, 2001; Grauel and
Putz, 2004; Campanello et al., 2007), whilst others compared
growth rates of juvenile trees in the presence and absence of
lianas (Dillenburg et al., 1993a, b; 1995; Schnitzer et al.,
2005). Lianas are apparently effective above-ground competitors
(Stevens, 1987; Campbell and Newbery, 1993), as they can
severely affect the light availability by forming a monolayer
of leaves over the tree crown (Avalos et al., 1999). How-
ever, with their well developed root (Restom and Nepstad,
2004; Cai et al., 2007) and efficient vascular systems (Ew-
ers and Fisher, 1989; Fisher and Ewers, 1995), and high root
extension rate, enabling rapid colonisation of resource-rich
patches of soil (Putz, 1991), it has been suggested that lianas
may also be successful below-ground competitors. Only few
studies have attempted to disentangle the effects of above-
and below-ground liana competition. These generally in-
dicate that below-ground competition for water and nutri-
ents is the dominant mechanism by which lianas affect tree
growth (Dillenburg et al., 1993a, b, 1995; P´erez-Salicrup
and Barker, 2000; Schnitzer et al., 2005; Toledo-Aceves and
Swaine, 2008), and this forms bans for a theory on liana suc-
cess (Schnitzer, 2005). However, most of these studies have
focussed on juvenile trees; adult trees may respond differ-
ently (Barker and P´erez-Salicrup, 2000). To date, no attempt
has been made to separate the relative importance of above-
and below-ground liana competition on tree growth for trees
≥10 cm diameter, which contribute >90% of forest biomass
(Baker et al., 2004a). Biogeosciences, 6, 2217–2226, 2009
www.biogeosciences.net/6/2217/2009/
© Author(s) 2009. This work is distributed under
the Creative Commons Attribution 3.0 License. Biogeosciences 1
Introduction Lianas are woody climbers that are important and character-
istic components of tropical forests (Gentry, 1991). Lianas
rely mainly on trees to support their biomass and, as a conse- Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest 2218 G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest Lianas have been increasing in density, basal area, mean
size, leaf productivity and fecundity in neotropical forests
over the past few decades (Phillips et al., 2002; Wright et
al., 2004; Wright and Calderon, 2006), as a result of chang-
ing atmospheric conditions (e.g. Granados and K¨orner, 2002;
Malhi and Wright, 2004; Phillips et al., 2004) and/or in
response to other human influences upon tropical forests
(Wright et al., 2007). As lianas become more dominant, their
impacts on tree growth and mortality may decrease the ability
of tropical forests to store and sequester carbon. To be able to
better predict the response of tropical forests to environmen-
tal change and anthropogenic disturbance, stand-level esti-
mates of the effect of lianas on above-ground biomass incre-
ment of tropical forests are needed. However, whilst the neg-
ative effect of lianas on tree growth is generally accepted, the
carbon dynamics of lianas themselves have largely been ig-
nored. We therefore do not know the extent to which growth
of lianas may have compensated for a reduction in growth
in tree biomass, although the relatively small investment by
lianas in woody support tissue (Putz, 1983; Gehring et al.,
2004; Cai et al., 2007; Selaya et al., 2007) might suggest
that such compensation will also be small. Moreover, most
studies have focussed on only one or a few tree species (e.g. Putz, 1984; Barker and P´erez-Salicrup, 2000; P´erez-Salicrup
and Barker, 2000; Grauel and Putz, 2004; Campanello et al.,
2007), complicating ecosystem generalisations. Stand-level
estimates of the effect of lianas on tree growth in mature trop-
ical forest ecosystems are currently completely lacking. Tambopata Nature Reserve, Madre de Dios, Peru, in western
Amazonia (12◦48′ S, 69◦43′ W). 2.3
Liana competition The liana census took place between September 2005 and
January 2006, approximately three months before the latest
full tree census. For each tree ≥10 cm dbh, we recorded all
lianas ≥1 cm diameter entering and leaving the tree crown,
and all lianas rooting within one metre from the tree trunk. The diameter of liana stems was measured at 1.30 m from the
last rooting point with a calliper or with a diameter tape for
stems thicker than 10 cm diameter (cf. Gerwing et al., 2006). For lianas with irregular stems, the diameter was measured
in two perpendicular dimensions and the geometric mean
used (Gerwing et al., 2006). For lianas which infested the
tree crown, but for which the rooting point could not be de-
termined, and for lianas leaving the tree crown, the diame-
ter was estimated using 1 cm size-classes at the point where
they entered or left the tree crown and we used the mid-
point of the size-class as a diameter estimate in further analy-
ses. Hemi-epiphytes and climbing monocots (Poaceae, Are-
caceae, Araceae and Cyclanthaceae) were excluded. Further-
more, woody climbers were not separated from non-woody
climbers, because of the difficulties in distinguishing juvenile
lianas from herbaceous climbers. 1
Introduction The plots receive a mean
annual rainfall of 2248 mm, with three months averaging be-
low 100 mm (Clinebell et al., 1995), and are located mainly
on clay and sandy-clay ultisols and inceptisols, at approxi-
mately 260 m above sea level (for more details see Phillips
et al., 2004). Most of the plots were established in 1983,
and have 140–180 species of tree ≥10 cm diameter (Gen-
try, 1988). All trees and lianas >10 cm diameter in the plots
are tagged and remeasured every three to five years, with
the most recent measurements between November 2005 and
April 2006 (for details on census methodology see e.g. Baker
et al., 2004a). 2.2
Tree growth rates Inventory data were available for an approximately three year
census period (2003–2006) for all five plots, with diameter
measured for each trees ≥10 cm at 1.30 m or above buttresses
(dbh). Diameter growth rates (mm yr−1) were determined
arithmetically by dividing the difference in diameter between
the first and the second census by the exact census interval
in years. Following Sheil (1995), we considered diameter
changes between −2 and 40 mm yr−1 as acceptable and ex-
cluded trees with diameter growth rates outside this range. We also omitted all palms, as they lack diameter growth af-
ter the initial establishment period because of their limited
capacity for secondary growth (Tomlinson, 1979). To this end, we made liana-infestation assessments in an
intensely-studied forest site in Amazonian Peru for which
long-term records of growth and species composition for
trees and lianas ≥10 cm diameter are available. We com-
bined growth records with individual tree growth conditions
and liana dominance, in order to assess the effect of lianas
on tree growth whilst also accounting for light availability,
below-ground competition with neighbours and wood den-
sity (e.g. Casper and Jackson, 1997; Muller-Landau, 2004;
King et al., 2005; Coomes and Allen, 2007). This study
presents the first attempt to: (1) predict the effect of lianas on
individual tree diameter growth using a multi-species model;
(2) disentangle above-ground from below-ground competi-
tion with lianas; (3) estimate the effect of liana competition
on stand-level tree above-ground biomass increment; and (4)
estimate to what extent growth of lianas compensates for this
effect. 2.1
Study site This study was conducted in five 1-ha (100×100 m) perma-
nent sample plots of the RAINFOR project (Red Amaz´onica
de Inventarios Forestales; Amazon Forest Inventory Net-
work; http://www.rainfor.org) which are spread across the The leaf area of lianas present in the tree crown can be
used as a measure of above-ground competition with lianas. Liana size is directly related to liana leaf area and biomass Biogeosciences, 6, 2217–2226, 2009 www.biogeosciences.net/6/2217/2009/ www.biogeosciences.net/6/2217/2009/ G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest 2219 (Putz, 1983; Gerwing and Farias, 2000; Gehring et al., 2004). However, as liana stems often grow from tree crown to tree
crown (e.g. Putz, 1984b), their leaf area and biomass may
be spread over more than one tree. Simply using the basal
area of lianas entering the tree crown would therefore over-
estimate the liana presence in a tree crown. We corrected for
this by subtracting the basal area of lianas growing out of the
tree crown (baout, cm2; on average of 7.4% (±0.5 S.E.) of
liana basal area entering the tree crown) from that of liana
growing into the tree crown (bain, cm2); providing a more
accurate estimate of liana leaf area in the crown than using
lianas growing into the tree crown only. petition with neighbouring trees (BCT , cm2 cm−2) grow-
ing within a 10 m radius from the subject tree (cf. Lorimer,
1983): BCT =
X baj/dij
/bai
(3) (3) where bai and baj are the basal area of the subject neigh-
bouring tree, respectively, and dij is the distance from the
neighbouring tree to the subject tree. To avoid edge effects,
we included trees growing within a 10 m buffer zone sur-
rounding the plot, for which diameter and location was also
collected. No information is available about below-ground compe-
tition between adult lianas and trees, we therefore assumed
that lianas rooted within a radius of one metre from the tree
were competing below-ground with the tree and used the sum
of the basal area of these lianas as a measure for below-
ground competition (ba1m, cm2). 2.4.1
Light environment For each tree ≥10 cm dbh, the quantity of solar radiation re-
ceived by the tree crown was estimated using the Crown Il-
lumination Index (CII) (Clark and Clark, 1992), recorded in-
dependently by two observers. The CII consists of an ordinal
scale of 1 to 5, with high CII values indicating high light lev-
els. Canopy openness and direct site factors are closely re-
lated to the CII, which makes it a rapid and reliable method to
estimate the light environment of tree crowns (Davies et al.,
1998; Keeling and Phillips, 2007). The two observers’ esti-
mates of the CII were highly correlated and did not differ sig-
nificantly (Kendall’s index of concordance=0.91, P<0.001). For subsequent analyses, where they differed, the lower CII
estimate was used to be more conservative. d1.3 = 0.070 + 1.02 ∗dvert
(4)
LAGB = exp(−1.484+2.682∗d1.3) /1000
(5) (4) (5) (5) Based on the LAGB values, the liana above-ground produc-
tivity per plot (Mg ha−1 yr−1) was computed. A recent study
in TAM-05 indicated that the AGB of lianas ≥10 cm dmax
contributed to 57% of the total AGB of lianas ≥1 cm dvert
per ha (Phillips et al., 2005). We used this percentage to ob-
tain an estimate of liana AGB and above-ground productivity
of lianas ≥1 cm dvert in each of the plots. 2.1
Study site As tree size, at least par-
tially, reflects the competitive ability of a tree (Schwinning
and Weiner, 1998), we have adjusted the liana basal area
per tree for tree basal area (bai in cm2) to obtain a liana
competition measure for above-ground competition (ACL,
cm2 cm−2) or below-ground competition (BCL, cm2 cm−2)
which is independent of tree size: 2.4.2
Below-ground competition with neighbouring
trees Tree growth may also be influenced by the extent of below-
ground competition. Competition between neighbouring
trees is proportional to the size of the tree and decreases with
increasing distance from the target tree (Casper and Jackson,
1997). We therefore used a simple basal area-distance com-
petition index to describe the extent of below-ground com- 2.4.3
Wood density Wood density is a heritable characteristic and an intrinsic
measure of species-specific growth rate; tree species with
low-density wood grow faster and those with high wood den-
sity wood grow slower (Enquist et al., 1999; Muller-Landau,
2004; King et al., 2005; Chave et al., 2006). Species-specific
wood density values (ρ, g cm−3) were obtained from Chave
et al. (2006). When unavailable, genus- or family-level mean
values were used, following convention (e.g. Baker et al.,
2004b). For the 13 individual trees (0.59%) with no family-
level wood density data, we applied the overall species mean
for Tambopata of 0.64 g cm−3. ACL =
X
(bain −baout) /bai
(1)
BCL =
X
(ba1m) /bai
(2) ACL =
X
(bain −baout) /bai
(1) (1) 2.5
Liana above-ground biomass increment BCL =
X
(ba1m) /bai (2) As part of the plot recensus protocol, the diameter of all
liana stems ≥10 cm are measured at 1.30 m (dvert) above
the ground and at the widest point within 2.5 m above the
ground (dmax). To be able to estimate the contribution of
liana growth to the total AGB increment, we have focussed
here on lianas ≥10 dmax present in both the 2003 and 2006
recensus only. For each liana ≥10 cm dmax, we converted the
dvert into the diameter 1.3 m along the stem (d1.3) for each
census and used this diameter to calculate the liana above-
ground biomass (LAGB, Mg) (Schnitzer et al., 2006): 2.6
Data analysis Our dataset exhibited a hierarchical structure with multiple
levels – individual trees, which are grouped in plots, but also
in species which are nested within genera which are nested www.biogeosciences.net/6/2217/2009/ Biogeosciences, 6, 2217–2226, 2009 G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a l G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest 2220 within families – which can contravene assumptions of inde-
pendence of a general linear model (Gelman and Hill, 2007). To take account of these correlated measures, we constructed
a multi-level Linear Mixed Effect (LME) model to predict
individual tree growth rate (gr, mm yr−1). Multilevel mod-
els include covariates (the fixed effects) for the individual
level and the group levels and random effects to represent
both the unexplained variation within levels and unexplained
variation between levels. They contain two types of models:
1) a model in which coefficients are based upon all the data
combined, similar to a normal multivariate regression model
(the fixed effect model), and 2) a separate submodel for each
level (Gelman and Hill, 2007; Goldstein, 2003). By includ-
ing phylogeny and plot as random effects in the regression
models, we thus account for the impact of variation in these
properties on individual-tree growth rates. for all trees. Subsequently, for each model, we converted
the predicted growth rates into tree diameter at breast height
(D, cm) at the time of the second census. These diameters
and those from the 2003 census were used to calculated tree
AGB (Mg dry weight) for each census and AGB increment
(Mg dry weight ha−1 yr−1) using the equation by Chave et
al. 3
Results where µ indicates the intercept and ε represent the residual
variance and all random effects (α’s) have mean 0 and vari-
ance σ 2
α. To meet the normality and linearity assumptions,
gr, Dt0, ACL, BCL and BCT were all transformed using
the natural log. The model parameters were estimated using
Restricted Maximum Likelihood (REML) (McCulloch and
Searle, 2001). 2.6
Data analysis (2005) for moist forests: AGB = 0.0509
ρD2h
/1000
(7) (7) where h is tree height (m), which was calculated using a lo-
cally derived diameter-height equation (Baker et al., 2007): h = 8.27 ln (D) −8.85
(8) (8) We then compared AGB increment of the model predicting
the current situation with that of the model predicting a situa-
tion where lianas are absent using paired t-tests for each plot
separately and for all plots combined. In our multi-level LME model, we included initial tree
diameter (Dto, mm), CII, wood density (ρ), below-ground
competition with neighbouring trees (BCT ) and liana above-
ground (ACL) and below-ground (BCL) competition as fixed
effects and phylogeny – as a nested design of family (αf ),
genera within families (αgf ), and species within genera
within families (αsgf ) – and plot (αplot) as random effects: Trees with incomplete species identification (11% of to-
tal number of trees) were initially excluded from both model
runs. We estimated their growth rate afterwards using the
fixed effect models, unless family and/or genus-level infor-
mation was available, in which case the relevant random ef-
fects were also included. ln (gr + 2)i = µ + β1 ln (ACL + 0.01)i
+β2 ln (BCL + 0.01)i + β3 ln (Dt0)i
+β4ρi + β5 ln (BCT )i
+β6CIIi + αf [i] + αgf [i] + αsgf [i]
+αplot[i] + ε
(6) ln (gr + 2)i = µ + β1 ln (ACL + 0.01)i
+β2 ln (BCL + 0.01)i + β3 ln (Dt0)i
+β4ρi + β5 ln (BCT )i
+β6CIIi + αf [i] + αgf [i] + αsgf [i]
+αplot[i] + ε
(6) All statistical analyses were carried out using R 2.8.0 (R
Development Core Team, 2008). (6) 3.1
Liana competition Of the 2159 trees inventoried, 50.9% were competing with
lianas: 5.0% only below-ground, 25.8% only above-ground
and 20.5% above- and below-ground. Liana basal area in the
tree crown ranged from 0 to 658 cm2 per tree and from 0
to 0.54 cm2 cm−2 when corrected for tree basal area, averag-
ing 30.2 (±1.81 S.E) cm2 and 0.056 (±0.002 S.E) cm2 cm−2
for trees competing with lianas, and 13.9 (±1.81 S.E) cm2
and 0.026 (±0.001 S.E) cm2 cm−2 for all trees. For basal
area of lianas rooted within 1 m from the tree trunk these
values ranged from 0–578 cm2 and 0–0.72 cm2 cm−2 per
tree, with on average of 30.9 (±2.48 S.E) cm2 and 0.068
(±0.004 S.E) cm2 cm−2 for trees competing with lianas and
7.7 (±0.68 S.E) cm2 and 0.017 (±0.004 S.E) cm2 cm−2 for
all trees. The contribution of each fixed and random effect was as-
sessed by deleting variables one at a time from the full model
and comparing the depleted models with the full model using
an χ2-test based on the log-likelihood ratios (Pinheiro and
Bates, 2000) and the Akaike Information Criterion (AIC),
favouring models with low AIC (Burnham and Anderson,
2002). Inclusion of interaction or polynomial terms did not
significantly improve the model nor did it result in a reduc-
tion of the AIC. Model fit was assessed by evaluating residual
plots and by testing for presence of spatial autocorrelation in
the residuals using the Moran’s I for each plot separately
(Moran’s I<0.015 for all plots) (Pinheiro and Bates, 2000;
Gelman and Hill, 2007). Biogeosciences, 6, 2217–2226, 2009 3.2
Multi-level LME model of tree diameter growth rate Of all variables included in the model, only below-ground
competition with lianas did not significantly contribute to ex-
plaining variance in tree diameter growth (χ2=1.1, P=0.29)
nor did inclusion improve the AIC (3477 vs. 3477). The mea-
sure for below-ground competition with lianas was therefore
excluded from the model. The resulting “best” model was subsequently used to
assess the impact of lianas on ecosystem above-ground
biomass (AGB) increment of trees ≥10 cm dbh. We used the
“best” model to predict tree diameter growth rates for a situ-
ation in which none of the trees were competing with lianas,
i.e. by setting the liana competition part in the model to zero Biogeosciences, 6, 2217–2226, 2009 www.biogeosciences.net/6/2217/2009/ G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest 2221 Table 1. Observed and median predicted above-ground biomass (AGB) increment (Mg dry weight ha−1 yr−1) for current situation, for a
scenario in which lianas are absent, and the average difference in AGB increment between the two scenarios. The 95% prediction interval is
shown between brackets. Only dicot trees measured in the 2003 census that survived until the 2006 census are included. Above-ground biomass increment (Mg dry weight ha−1 yr−1)
Plot
observed
Predicted current situation
Predicted in absence of lianas
Difference
TAM-01
3.68
2.73
(1.51–4.41)
3.06
(1.75–4.85)
TAM-02
3.67
2.34
(1.17–3.94)
2.73
(1.47–4.46)
TAM-05
4.88
3.10
(1.65–5.11)
3.55
(1.99–5.72)
TAM-06
4.61
2.89
(1.61–4.64)
3.20
(1.84–5.06)
TAM-07
5.44
3.44
(1.97–5.45)
3.85
(2.28–6.00)
mean
4.53
2.92
(1.59–4.75)
3.30
(1.88–5.26)
0.38
(0.29–0.51)
610
611
Fig. 1. Parameter estimates of the random effects of the multi-level Linear Mixed Effect (LME) model explaining tree diam
rate (mm yr−1). Bold lines and error bars indicate 50% and 95% confidence interval of the parameter estimates, respectively. N
confidence interval overlaps zero (dashed line), indicating all contribute significantly to explaining tree diameter growth. AC[
ground competition with lianas, dbh[t0] = initial tree diameter, BC[T] = below-ground competition with neighbouring trees, C
illumination index. (
)
(
)
TAM-06
4.61
2.89
(1.61–4.64)
3.20
(1.84–5.06)
TAM-07
5.44
3.44
(1.97–5.45)
3.85
(2.28–6.00)
mean
4.53
2.92
(1.59–4.75)
3.30
(1.88–5.26)
0.38
(0.29–0.51)
610
611
Fig. 1. Parameter estimates of the random effects of the multi-level Linear Mixed Effect (LME) model explaining tree diameter g
rate (mm yr−1). Bold lines and error bars indicate 50% and 95% confidence interval of the parameter estimates, respectively. None 610
611
Fig. www.biogeosciences.net/6/2217/2009/ 3.2
Multi-level LME model of tree diameter growth rate 1. Parameter estimates of the random effects of the multi-level Linear Mixed Effect (LME) model explaining tree diameter growth
rate (mm yr−1). Bold lines and error bars indicate 50% and 95% confidence interval of the parameter estimates, respectively. None of the
confidence interval overlaps zero (dashed line), indicating all contribute significantly to explaining tree diameter growth. AC[L] = above-
ground competition with lianas, dbh[t0] = initial tree diameter, BC[T] = below-ground competition with neighbouring trees, CII = crown
illumination index. ited, inclusion of the random effects considerably decreased
the AIC (AIC=3477) compared to a model without these ef-
fects (AIC=3583). The model generally fitted the observed
data well, but has the tendency to under-predict tree growth
rates greater than 10 mm yr−1 – mostly experienced by larger
trees growing in high light environments (Fig. 2). While this
results in conservative estimates of median stand-level AGB
increment, observed values fall within the 95% prediction
interval of the model (Table 1). As the observed AGB incre-
ment was closer to the upper limit of the prediction interval
than the median, we focus here on the predictions of the for-
mer. The final model (Eq. 6 excluding BCL) shows that above-
ground competition with lianas, wood density, initial tree
diameter and below-ground competition with neighbouring
trees all significantly decrease tree growth, whilst tree growth
was promoted for trees growing in higher light environments
(Fig. 1a). Phylogeny and plot, included as random effects in
the model, only attributed to 10.5% of the variation, with
9.4% explained by phylogeny (4.1% by species, 0.1% by
genera and 5.2% by families) and 1.1% by plot, indicating
that 89.5% of the variation in tree growth rate is explained
by differences between individual trees not related to these
random effects. However, although their contribution to ex-
plaining the variation in tree diameter growth rate was lim- Biogeosciences, 6, 2217–2226, 2009 www.biogeosciences.net/6/2217/2009/ G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest 2222 favourable conditions (i.e. high light and low below-ground
competition with neighbouring trees) tended to be relatively
less affected by lianas compared to trees that were experienc-
ing low light conditions and severe competition with neigh-
bouring trees for below-ground resources (Fig. 2). 4
Discussion Our study provides the first stand-level estimate for the re-
duction in above-ground tree biomass increment caused by
lianas in mature tropical forests, and the first estimate for the
partial compensatory effect of liana growth on this reduction. As expected, competition with lianas reduced tree diame-
ter growth. This reduction, however, was mainly attributed to
the effect of above-ground competition with lianas. Includ-
ing our measure of below-ground competition did not sig-
nificantly improve the model for tree growth, indicating that
its effect was generally too small to detect. Several studies
have shown the importance of below-ground liana compe-
tition on growth of juvenile trees (Dillenburg et al., 1993a,
b; Schnitzer et al., 2005; Toledo-Aceves and Swaine, 2007),
but this effect seems to disappear over time as trees mature
(Dillenburg et al., 1995; Toledo-Aceves and Swaine, 2008),
indicating that the competitive effect of lianas may shift as 3.4
Effect of lianas on stand-level AGB increment On a stand-level, above-ground competition with lianas re-
duced tree AGB increment by an average 0.51 Mg dry weight
ha−1 yr−1 (Table 1). This is equivalent to a liana-induced re-
duction in relative tree AGB growth of ∼10%. As the frac-
tion of carbon in woody tissue of trees is approximately 0.5
(cf. Clark et al., 2001), this implies that lianas reduce carbon
gain by tree growth in the forests of Tambopata by 0.25 Mg
C ha−1 yr−1. The
above-ground
biomass
increment
of
lianas
≥10 cm dmax and lianas ≥1 cm dvert was 0.09 and 0.15 Mg
dry weight ha−1 yr−1, respectively (Table 2). Assuming
carbon content of lianas is comparable to that of trees, the
carbon gain of tropical forests by growth of lianas is 0.04 and
0.07 Mg C ha−1 yr−1 for large lianas and lianas ≥1 cm dvert,
respectively. On average, liana growth of lianas ≥10 cm dmax
compensated for ∼17% and that of the population of lianas
≥1 cm dvert for ∼29% of the liana-induced reduction in
stand-level tree growth. This indicates that lianas decreased
overall average annual ecosystem AGB increment of trop-
ical forests by 0.36 Mg dry weight ha−1 yr−1 and overall
ecosystem carbon gain by 0.18 Mg C ha−1 yr−1. Fig. 2. Effect of lianas competition on tree diameter growth rates
for trees with wood densities between 0.50–0.69 and growing under
different conditions (a) low light and high below-ground competi-
tion with neighbouring trees, (b) medium light and medium below-
ground competition, and (c) high light and low below-ground com-
petition. Grey areas represent the 95% confidence interval of tree
diameter growth rates predicted by the fixed effects model using
median values of each fixed effect as an input variable of the model. Closed circles represent the average observed tree diameter growth
rates for five classes of intensity of liana competition, located on
the midpoint of each liana competition class. Error bars represent
±1 S.E. Percentages in right margin indicate the reduction in growth
rate of trees severely competing with lianas (>0.50 cm2 cm−2)
compared to trees not competing with lianas. 3.2
Multi-level LME model of tree diameter growth rate Compared
to liana-free trees, the model indicates a reduction in tree di-
ameter growth rate between 40 and 65% for trees with wood
densities between 0.50 and 0.69 g cm−3 competing severely
with lianas (0.50 cm2 cm−2) (Fig. 2). These percentages are
slightly reduced for trees with lighter wood (38–54%) and
amplified for trees with higher wood densities (43–82%). 4
Fig. 2. Effect of lianas competition on tree diameter growth rates
for trees with wood densities between 0.50–0.69 and growing under
different conditions (a) low light and high below-ground competi-
tion with neighbouring trees, (b) medium light and medium below-
ground competition, and (c) high light and low below-ground com-
petition. Grey areas represent the 95% confidence interval of tree
diameter growth rates predicted by the fixed effects model using
median values of each fixed effect as an input variable of the model. Closed circles represent the average observed tree diameter growth
rates for five classes of intensity of liana competition, located on
the midpoint of each liana competition class. Error bars represent
±1 S.E. Percentages in right margin indicate the reduction in growth
rate of trees severely competing with lianas (>0.50 cm2 cm−2)
compared to trees not competing with lianas. 3.3
Effect of lianas on tree growth Increasing intensity of liana competition further
reduced tree diameter growth rate (Fig. 2), consistent with
tree-level findings in Central America (Putz, 1984; Grauel
and Putz, 2004; Finegan et al., 1999). The relative amount of
liana basal area (liana basal area per tree basal area) that trees
carried, however, did not seem to exceed ∼0.50 cm2 cm−2. A
possible explanation for this result may reflect a biased sam-
ple of the most heavily infested trees – over the three year
census interval the most moribund trees may have simply
died. More data on liana-competition over time are required
to determine whether this is indeed the case, but we already
have direct evidence that large liana infestation strongly in-
creases tree mortality risk in western Amazonia (Phillips et
al., 2005). a tree gets older. Rooting depths of lianas and trees become
more pronounced with plant size and with lianas also gen-
erally rooting deeper than trees (Holbrook and Putz, 1996;
Restom and Nepstad, 2004), the intensity of below-ground
competition should reduce. Likewise, larger lianas may in-
vest more of their resources in leaves (Putz, 1983; Gehring
et al., 2004; Cai et al., 2007; Selaya et al., 2007), increasing
the leaf area competition between lianas and trees and further
making above-ground competition the dominant mechanism
by which lianas reduce tree growth. The lack of detectable below-ground competition between
lianas and trees may also be influenced by our methodol-
ogy, based upon the basal area of above-ground stems root-
ing within one metre from the tree trunk. This distance may,
for example, not cover all below-ground liana-tree interac-
tions. Furthermore, the correlative approach taken in this
study is not sufficient to draw firm conclusions about the lack
of below-ground competition between lianas and trees. An
experimental approach would help to further explore the rel-
ative importance of the effect of above- and below-ground
competition with lianas on adult tree growth. Especially as
so far the sparse number of experimental studies focussing on
the below-ground interactions between lianas and adult trees
indicate that below-ground competition with lianas affects
some tree species (P´erez-Salicrup and Barker, 2000), but
may not be apparent in others (Barker and P´erez-Salicrup,
2000). 3.3
Effect of lianas on tree growth Tree diameter growth rate decreased with increasing sever-
ity of above-ground liana competition (Fig. 2). The effect of
the liana competition, however, was different for trees grow-
ing under different growing conditions. Trees growing in Biogeosciences, 6, 2217–2226, 2009 www.biogeosciences.net/6/2217/2009/ G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest
2223 G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest
2223 2223 Table 2. Above-ground liana biomass (AGB, Mg dry weight ha−1) for the census in 2003 and 2006 and liana AGB increment (Mg dry weight
ha−1 yr−1) for the associated census interval for lianas ≥10 cm maximum diameter (dmax) and lianas ≥1 cm at 1.30 m (dvert) (calculated by
assuming lianas ≥10 cm dmax represent 57% of the biomass of lianas ≥1 cm dvert; Phillips et al., 2005). Calculations are based upon lianas
measured in the 2003 census that survived until the 2006 census. Plot
Above-ground biomass (Mg dry weight ha−1)
Above-ground biomass increment (Mg dry weight ha−1 yr−1)
Lianas ≥10 cm dmax
Lianas ≥1 cm dvert
Lianas ≥10 cm dmax
Lianas ≥1 cm dvert
2003
2006
2003
2006
TAM-01
2.13
2.26
3.74
3.97
0.05
0.09
TAM-02
2.68
2.94
4.71
5.16
0.10
0.17
TAM-05
3.20
3.52
5.62
6.18
0.14
0.22
TAM-06
2.22
2.43
3.89
4.27
0.09
0.14
TAM-07
3.59
3.76
6.30
6.59
0.07
0.11
mean
2.97
3.01
8.19
5.28
0.09
0.15 be a particular problem for trees already growing in low light
conditions. Increasing intensity of liana competition further
reduced tree diameter growth rate (Fig. 2), consistent with
tree-level findings in Central America (Putz, 1984; Grauel
and Putz, 2004; Finegan et al., 1999). The relative amount of
liana basal area (liana basal area per tree basal area) that trees
carried, however, did not seem to exceed ∼0.50 cm2 cm−2. A
possible explanation for this result may reflect a biased sam-
ple of the most heavily infested trees – over the three year
census interval the most moribund trees may have simply
died. More data on liana-competition over time are required
to determine whether this is indeed the case, but we already
have direct evidence that large liana infestation strongly in-
creases tree mortality risk in western Amazonia (Phillips et
al., 2005). be a particular problem for trees already growing in low light
conditions. 5
Conclusion This study provides the first stand-level estimates of the ef-
fect of lianas on stand-level above-ground biomass produc-
tivity and carbon gain of trees ≥10 cm diameter for a mature
tropical forest. We show that by competing mainly above-
ground with trees, lianas can reduce tree above-ground
biomass growth rate by approximately 0.51 Mg dry weight
ha−1 yr−1 or 0.25 Mg C ha−1 yr−1. With an above-ground
biomass increment of 0.15 Mg ha−1 yr−1 and a carbon gain
of 0.07 Mg C ha−1 yr−1, liana growth only compensates
partly for this reduction. An increase in liana dominance is
expected to increase the relative competition with lianas and
increase the number of trees affected by lianas, which will
lead to a further reduction of tree above-ground biomass in-
crement in the future. Increasing liana dominance is likely
to be a factor reducing the rate of carbon uptake of tropical
forests, with potential consequences for the rate of increase
of atmospheric carbon dioxide. (
g
y
)
p
y
The number of trees competing with lianas and the sever-
ity of the competition may be expected to increase over
time due to the increasing liana pressure on neotropical
forests (Phillips et al., 2002; Wright et al., 2004; Wright
and Calderon, 2006). The relative basal area of large
lianas increased notably in many western Amazonian lo-
cations, including doubling over the previous 20 years
(Phillips et al., 2002). If this were to continue and also
be reflected in smaller liana size-classes, over the next
two decades the mean liana basal area/tree basal area, cur-
rently 0.026 cm2 cm−2 per tree, might conceivably attain
∼0.050 cm2 cm−2 per tree. Based upon our model (Fig. 1),
this would suggest a further increase in the liana-induced
stand-level reduction in tree above-ground biomass incre-
ment from 0.51 Mg dry weight ha−1 yr−1 (now) to 0.74 Mg
dry weight ha−1 yr−1 (mid 2020’s). If the liana-tree impact
at Tambopata is representative of the entire Amazon forest
(∼5.28×108 ha), this would imply a summed annual tree
growth impact of 1.21×108 Mg C, respectively, which most
probably will only be partly compensated by the growth of
lianas themselves. However, these estimates may be con-
servative, as they do not account for 1) any changes in the
number and kinds of trees affected by lianas, and 2) the ac-
tual mortality impact of lianas. 3.3
Effect of lianas on tree growth The carbon fraction of 0.5 we
used to estimate carbon gain by lianas may therefore be too
high. The compensatory effect of lianas may therefore be
smaller than estimated. We conclude that the liana-induced
reductions we report in combined tree and liana AGB pro-
ductivity (0.36 Mg dry weight ha−1 yr−1) and carbon gain
(0.18 Mg C ha−1 yr−1) are probably conservative estimates. search is needed to determine whether the effect of lianas on
tree growth rate found in Tambopata is representative of the
whole Amazon region, but based upon this apparent impact
of lianas on tree growth there is a clear risk that increases in
liana dominance will have significant impacts on the ability
of tropical forests to sequester carbon. Given this, and the hy-
pothesized benefit to lianas of hotter, drier climates (Swaine
and Grace, 2007; Schnitzer, 2005), it is perhaps unfortunate
that no ecosystem vegetation model attempts to account for
lianas. Avalos, G., Mulkey, S. S., and Kitajima, K.: Leaf optical properties
of trees and lianas in the outer canopy of a tropical dry forest,
Biotropica, 31, 517–520, 1999. 5
Conclusion Increased liana infestation
rates may result in more dense-wooded trees competing with
lianas, as the risk of liana infestation is greater for high wood
density trees (van der Heijden et al., 2008). In the current
paper we also show that the relative growth reduction associ-
ated with a given quantum of liana infestation is more severe
in dense-wooded trees than in light-wooded trees. More re- Acknowledgements. We thank Tatiana Boza Espinoza for help
with liana data collection;
the recensus teams of 2003 and
2006: Abel Monteagudo, Antonio Pe˜na, Mar´ıa Ysabel Cazorla,
Isau Huamantupa,
Eur´ıdice Honorio,
Luis Valenzuela,
Mar-
got Huicho, Tim Baker, Javier Silva Espejo, Michael Garcia,
Janira Gonzalez Espinosa; Gabriela L´opez-Gonzalez for help
with the RAINFOR database; and Tim Baker, Emanuel Gloor,
Jerome Chave, Simon Queenborough, Lindsay Banin, and one
anonymous reviewer for helpful discussions and comments on
earlier versions of this manuscript. This research was possible
through grants from the Explorer’s Club, the Coalbourn Trust,
and the Alberta Mennega Foundation, financial support from the
University of Leeds and logistic support from the Instituto National
para Recursos Naturales (INRENA) and Peruvian Safaris S.A. O.L.P. was supported by a NERC Grant and a Leverhulme Trust
Research Fellowship. Edited by: J. Grace 3.3
Effect of lianas on tree growth As the growth rate of smaller lianas may differ from
growth of lianas ≥10 cm dmax, total liana growth may have
been slightly over- or underestimated. Secondly, like trees,
lianas might invest more in photosynthetic material instead
of in woody tissue once they reach a certain size and as the al-
lometric equation used is only based upon a few large lianas
(Schnitzer et al., 2006), the liana biomass and biomass incre-
ment may be overestimated. And thirdly, no data is available
yet on the carbon content in woody liana tissue. The abil-
ity of lianas to replace stems by cloning and the requirement
for flexible stems reduces the need for investment in often
carbon–rich compounds (e.g. lignin) (Hegarty et al., 1991),
which may result in a lower concentration of carbon com-
pounds in their woody tissue. The carbon fraction of 0.5 we
used to estimate carbon gain by lianas may therefore be too
high. The compensatory effect of lianas may therefore be
smaller than estimated. We conclude that the liana-induced
reductions we report in combined tree and liana AGB pro-
ductivity (0.36 Mg dry weight ha−1 yr−1) and carbon gain
(0.18 Mg C ha−1 yr−1) are probably conservative estimates. stand-level tree AGB productivity. However, there is likely
to be some error in these estimates of above-ground produc-
tivity. Firstly, liana biomass estimates are based upon lianas
≥10 cm dmax only, which excludes a large proportion of the
liana stems as only few lianas reach the 10 cm dmax cut-off
point. As the growth rate of smaller lianas may differ from
growth of lianas ≥10 cm dmax, total liana growth may have
been slightly over- or underestimated. Secondly, like trees,
lianas might invest more in photosynthetic material instead
of in woody tissue once they reach a certain size and as the al-
lometric equation used is only based upon a few large lianas
(Schnitzer et al., 2006), the liana biomass and biomass incre-
ment may be overestimated. And thirdly, no data is available
yet on the carbon content in woody liana tissue. The abil-
ity of lianas to replace stems by cloning and the requirement
for flexible stems reduces the need for investment in often
carbon–rich compounds (e.g. lignin) (Hegarty et al., 1991),
which may result in a lower concentration of carbon com-
pounds in their woody tissue. 3.3
Effect of lianas on tree growth On a stand-level, our model predictions suggest that in
the tropical forests of Tambopata lianas reduced stand-level
tree biomass increment by 0.51 Mg dry weight ha−1 yr−1,
equivalent to 0.25 Mg C ha−1 yr−1 (Table 1), indicating that
lianas reduce tree AGB increment and consequently car-
bon gain by approximately 10%. Although the fact that
lianas suppress tree growth is generally accepted (Putz, 1984;
Clark and Clark, 1990; Gerwing, 2001; Grauel and Putz,
2004; Schnitzer et al., 2005; Campanello et al., 2007), lit-
tle research has focussed on quantifying this effect at the
stand-level. Only Gerwing (2001) compared tree growth be-
tween control stands and stands where lianas had been cut or
burned. This study was conducted in logged forest, so the
results may not be applicable to undisturbed mature tropical
forests. Competition with lianas affected inherently slow growing
trees (i.e. dense-wooded trees) more than it affected trees
with fastest growth rate potential (trees with low wood den-
sity). Furthermore, the relative effect of lianas was greater for
trees growing in unfavourable conditions (Fig. 2). Lianas lo-
cate their leaves close to tree leaves, so intimately competing
for leaf space with the tree (Stevens, 1987; Clark and Clark,
1990). Moreover, the low light transmittance of liana leaves
may severely reduce the light available to tree leaves located
underneath the liana canopy (Avalos et al., 1999), which may By themselves contributing to the overall stand-level
AGB increment and carbon gain, lianas compensate par-
tially for the liana-induced reduction in tree growth. For
lianas ≥10 cm dmax and lianas ≥1 cm dvert, we estimate
above-ground biomass productivity of lianas to be 0.09
and 0.15 Mg ha−1 yr−1 (Table 2), respectively, compensat-
ing for ∼17% and ∼29% of the liana-induced reduction in www.biogeosciences.net/6/2217/2009/ Biogeosciences, 6, 2217–2226, 2009 G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest 2224 stand-level tree AGB productivity. However, there is likely
to be some error in these estimates of above-ground produc-
tivity. Firstly, liana biomass estimates are based upon lianas
≥10 cm dmax only, which excludes a large proportion of the
liana stems as only few lianas reach the 10 cm dmax cut-off
point. References J., West, G. B., Charnov, E. L., and Brown, J. H.: Allo-
metric scaling of production and life-history variation in vascular
plants, Nature, 401, 907–911, 1999. Burnham, K. P. and Anderson, D. R.: Model selection and mul-
timodel inference: a practical information-theoretic approach,
Springer Science, New York, 2002. Ewers, F. W. and Fisher, J. B.: Variation in vessel length and diam-
eter in stems of six tropical and subtropical Lianas, Am. J. Bot.,
76, 1452–1459, 1989. Cai, Z.-Q., Poorter, L., Cao, K.-F., and Bongers, F.: Seedling
growth strategies in Bauhinia species: comparing lianas and
trees, Ann. Bot.-London, 100, 831-838, 2007. Finegan, B., Camacho, M., and Zamora, N.: Diameter increment
patterns among 106 tree species in a logged and silviculturally
treated Costa Rican rain forest, Forest Ecol. Manag., 121, 159–
176, 1999. Campanello, P. I., Garibaldi, J. F., Gatti, M. G., and Goldstein, G.:
Lianas in a subtropical Atlantic Forest: Host preference and tree
growth, Forest Ecol. Manag., 242, 250–259, 2007. Fisher, J. B. and Ewers, F. W.: Vessel dimensions in liana and tree
species of Gnetum (Gnetales), Am. J. Bot., 82, 1350–1357, 1995. Campbell, E. J. F. and Newbery, D. M.: Ecological relationships
between lianas and trees in lowland rain forest in Sabah, East
Malaysia, J. Trop. Ecol., 9, 469–490, 1993. Gehring, C., Park, S., and Denich, M.: Liana allometric biomass
equations for Amazonian primary and secondary forest, Forest
Ecol. Manag., 195, 96–83, 2004. Casper, B. and Jackson, R. B.: Plant competition underground,
Annu. Rev. Ecol. Syst., 28, 545–570, 1997. Gelman, A. and Hill, J.: Data analysis using regression and milti-
level/hierarchical models, Cambridge University Press, Cam-
bridge, 2007. Chave, J., Andalo, C., Brown, S., Cairns, M. A., Chambers, J. Q.,
Eames, D., Folster, H., Fromard, F., Higuchi, N., Kira, T., Les-
cure, J.-P., Nelson, B. W., Ogawa, H., Puig, H., Riera, B., and
Yamakura, T.: Tree allometry and improved estimation of car-
bon stocks and balance in tropical forests, Oecologia, 145, 87–
99, 2005. Gentry, A. H.: Changes in plant community diversity and floristic
composition on environmental and geographical gradients, An-
nals of the Missouri Botanical Garden, 75, 1–34, 1988. Gentry, A. H.: Distribution and evolution of climbing plants, in: Bi-
ology of vines, edited by: Putz, F. E. and Mooney, H. A., Cam-
bridge University Press, Cambridge, 3–49, 1991. Chave, J., Muller-Landau, H. C., Baker, T. R., Easdale, T. A., ter
Steege, H., and Webb, C. References Biogeosciences, 6, 2217–2226, 2009 www.biogeosciences.net/6/2217/2009/ G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tro G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest 2225 Baker, T. R., Phillips, O. L., Malhi, Y., Almeida, S., Arroyo, L.,
Di Fiore, A., Erwin, T., Higuchi, N., Killeen, T. J., Laurance, S. G., Laurance, W. F., Lewis, S. L., Monteagudo, A., Neill, D. A.,
N´u˜nez Vargas, P., Pitman, N. C. A., Natalino M. Silva, J., and
V´asquez Mart´ınez, R.: Increasing biomass in Amazonian forest
plots, Phylos. T. Roy. Soc. B, 359, 353–365, 2004a. Davies, S. J., Palmiotto, P. A., Ashton, P. S., Lee, H. S., and
Lafrankie, J. V.: Comparative ecology of 11 sympatric species
of Macaranga in Borneo: tree distribution in relation to hori-
zontal and vertical resource heterogeneity, J. Ecol., 86, 662–673,
1998. Dillenburg, L. R., Whigham, D. F., Teramura, A. H., and Forseth, I. N.: Effects of vine competition on availability of light, water, and
nitrogen to a tree host (Liquidambar styraciflua), Am. J. Bot., 80,
244–252, 1993a. Baker, T. R., Phillips, O. L., Malhi, Y., Almeida, S., Arroyo, L., Di
Fiore, A., Erwin, T., Killeen, T., Laurance, S. G., Laurance, W. F., Lewis, S. L., Lloyd, J., Monteagudo, A., Neill, D., Pati˜no, S.,
Pitman, N., Silva, J. N. M., and V´asquez Mart´ınez, R.: Variation
in wood density determines spatial patterns in Amazonian forest
biomass, Global Change Biol., 10, 545–562, 2004b. Dillenburg, L. R., Whigham, D. F., Teramura, A. H., and Forseth,
I. N.: Effect of below- and aboveground competition from the
vines Lonicera japonica and Parthenocissus quinquefolia on the
growth of the tree host Liquidambar styraciflua, Oecologia, 93,
48–54, 1993b. Baker, T. R., Honorio Conorado, E. N., Phillips, O. L., Martin, J.,
van der Heijden, G. M. F., Garcia, M., and Silva Espejo, J.: Low
stocks of coarse woody debris in a southwest Amazonian forest,
Oecologia, 152, 2007. Dillenburg, L. R., Teramura, A. H., Forseth, I. N., and Whigham,
D. F.: Photosynthetic and biomass allocation responses of Liq-
uidambar styracifula (Hamamelidaceae) to vine competition,
Am. J. Bot., 82, 454–461, 1995. Barker, M. G. and P´erez-Salicrup, D.: Comparative water rela-
tions of mature mahogany (Swietenia macrophylla) trees with
and without lianas in a subhumid, seasonally dry forest in Bo-
livia, Tree Physiol., 20, 1167–1174, 2000. Enquist, B. References E.: Silvicultural effects of lianas, in: Biology of vines,
edited by: Putz, F. E. and Mooney, H. A., Cambridge Univer-
sity Press, Cambridge, UK, 493–501, 1991. Hegarty, M. P., Hegarty, E. E., and Gentry, A. H.: Secondary com-
pounds in vines with an emphasis on those with defensive func-
tions, in: Biology of vines, edited by: Putz, F. E. and Mooney,
H. A., Cambridge University Press, Cambridge, UK, 1991. R Development Core team: R: a language and environment for sta-
tistical computing, R Foundation for Statistical Computing, Vi-
enna, 2008. H. A., Cambridge University Press, Cambridge, UK, 1991. Holbrook, N. M. and Putz, F. E.: Physiology of tropical vines and
hemiepiphytes:plants that climb up and plants that climb down,
in: Tropical Forest Plant Ecophysiology, edited by: Mulkey, S. S., Chazdon, R. L., and Smith, A. P., 1996. Restom, T. G. and Nepstad, D. C.: Seedling growth dynamics of a
deeply rooting liana in a secondary forest in eastern Amazonia,
Forest Ecol. Manag., 190, 190–118, 2004. g
Schnitzer, S. A.: A mechanistic explanation for global patterns of
liana abundance and distribution, Am. Nat., 166, 262–276, 2005. Kainer, K. A., Wadt, L. H. O., Gomes-Sliva, D. A. P., and Capanu,
M.: Liana loads and their association with Bertholletia excelsa
fruit and nut production, diameter growth and crown attributes,
J. Trop. Ecol., 22, 147–154, 2006. Schnitzer, S. A., Kuzee, M. E., and Bongers, F.: Disentangling
above- and below-ground competition between lianas and trees
in a tropical forest, J. Ecol., 93, 1115–1125, 2005. Keeling, H. C. and Phillips, O. L.: A calibration method for the
crown illumination index for assessing forest light environments,
Forest Ecol. Manag., 242, 431–437, 2007. Schnitzer, S. A., DeWalt, S. J., and Chave, J.: Censusing and mea-
suring lianas: a qualitative comparison of the common methods,
Biotropica, 38, 581–591, 2006. King, D. A., Davies, S. J., Nur Supardi, M. N., and Tan, S.: Tree
growth is related to light interception and wood density in two
mixed dipterocarp forests of Malaysia, Funct. Ecol., 19, 445–
453, 2005. Schwinning, S. and Weiner, J.: Mechanisms determining the degree
of size asymmetry in competition among plants, Oecologia, 113,
447–455, 1998. Lorimer, C. G.: Tests of age-independent competition indices for
individual trees in natural hardwood stands, Forest Ecol. Manag.,
6, 343–360, 1983. Selaya, N. G., Anten, N. P. R., Oomen, R. J., Matthies, M., and
Werger, M. J. References A.: Above-ground biomass investments and light
interception of tropical forest trees and lianas early in succession,
Ann. Bot.-London, 99, 141–151, 2007. Malhi, Y. and Wright, J.: Spatial patterns and recent trends in the
climate of tropical rainforest regions, Phylos. T. Roy. Soc. B,
359, 311–329, 2004. Sheil, D.: A critique of permanent plot methods and analysis with
examples from Budongo Forest, Uganda, Forest Ecol. Manag.,
77, 11–34, 1995. McCulloch, C. E. and Searle, S. R.: Generalized, linear and mixed
models, John Wiley & Sons Inc., New York, 2001. Stevens, G. C.: Lianas as structural parasites: the Bursera simaruba
example, Ecology, 68, 77-81, 1987. Muller-Landau, H. C.: Interspecific and inter-site variation in wood
specific gravity of tropical trees, Biotropica, 36, 20–32, 2004. Swaine, M. D. and Grace, J.: Lianas may be favoured by low rain-
fall: evidence from Ghana, Plant Ecol., 192, 271–276, 2007. P´erez-Salicrup, D. and Barker, M. G.: Effect of liana cutting on
water potential and growth of adult Senna multijuga (Ceasalpin-
ioideae) trees in a Bolivian tropical forest, Oecologia, 124, 469–
475, 2000. Toledo-Aceves, T. and Swaine, M. D.: Effect of three species of
climber on the performance of Ceiba pentandra seedlings in gaps
in a tropical forest in Ghana, J. Trop. Ecol., 23, 45–52, 2007. Toledo-Aceves, T. and Swaine, M. D.: Above- and below-ground
competition between the liana Acacia kamerunensis and tree
seedlings in contrasting light environments, Plant Ecol., 196,
233–244, 2008. Phillips, O. L., V´asquez Mart´ınez, R., Arroyo, L., Baker, T. R.,
Killeen, T., Lewis, S. L., Malhi, Y., Mendoza, A. M., Neill, D.,
Vargas, P. N., Alexiades, M., Cer´on, C., Flora, A. D., Erwin, T.,
Jardim, A., Palacios, W., Saldias, M., and Vinceti, B.: Increasing
dominance of large lianas in Amazonian forests, Nature, 418,
770–774, 2002. Tomlinson, P. B.: Systematics and ecology of the Palmae, Annu. Rev. Ecol. Syst., 10, 85–107, 1979. Phillips, O. L., Baker, T. R., Arroyo, L., Higuchi, N., Killeen, T.,
Laurance, W. F., Lewis, S. L., Lloyd, J., Terborgh, J., V´asquez
Mart´ınez, R., Alexiades, M., Almeida, S., Brown, S., Chave, J.,
Comiskey, J. A., Czimczik, C. I., Di Fiore, A., Erwin, T., Kue-
bler, C., Laurance, S. G., Nascimento, H. E. M., Olivier, J., Pala-
cios, W., Pati˜no, S., Pitman, N., Quesada, C. A., Saldias, M., Tor-
res Lezama, A., and Vinceti, B.: Pattern and process in Amazon
tree turnover, 1976–2001, Phylos. T. Roy. Soc. B, 359, 381–407,
2004. References O.: Regional and phylogenetic varia-
tion of wood density across 2,456 Neotropical tree species, Ecol. Appl., 16, 2356–2367, 2006. Gerwing, J. J. and Farias, D. L.: Integrating liana abundance and
forest stature into an estimate of total aboveground biomass for
an eastern Amazonian rainforest, J. Trop. Ecol., 16, 327–335,
2000. Clark, D. A. and Clark, D. B.: Life history diversity of canopy and
emergent trees in a Neotropical rain forest, Ecol. Monogr., 62,
315–344, 1992. Gerwing, J. J.: Testing liana cutting and controlled burning as silvi-
cultural treatments for a logged forest in the eastern Amazon, J. Appl. Ecol., 38, 1264–1276, 2001. Clark, D. A., Brown, S., Kicklighter, D. W., Chambers, J. Q., Thom-
linson, J. R., and Ni, J.: Measuring the net primary productivity
in forests: concepts and field methods, Ecol. Appl., 11, 356–370,
2001. Gerwing, J. J., Schnitzer, S. A., Burnham, R. J., Bongers, F., Chave,
J., DeWalt, S. J., Ewango, C. E. N., Foster, R. B., Kenfack, D.,
Martinez-Ramos, M., Parren, M. P. E., Perez-Salicrup, D. R.,
Putz, F. E., and Thomas, D. W.: A standard protocol for liana
censuses, Biotropica, 38, 256–261, 2006. Clark, D. B. and Clark, D. A.: Distribution and effects on tree
growth of lianas and woody hemi-epiphytes in a Costa Rican
tropical wet forest, J. Trop. Ecol., 6, 321–331, 1990. Goldstein, H.: Multilevel statistical models, 3rd ed., Oxford Uni-
versity Press, London, 2003. Clinebell, R. R., Phillips, O. L., Gentry, A. H., Stark, N., and Zuur-
ing, H.: Predictions of Neotropical tree and liana species richness
from soil and climatic data, Biodivers. Conserv., 4, 56–90, 1995. Granados, J. and K¨orner, C.: In deep shade, elevated CO2 increases
the vigor of tropical climbing plants, Global Change Biol., 8,
1109–1117, 2002. Coomes, D. A. and Allen, R. B.: Effect of size, competition and
altitude on tree growth, J. Ecol., 95, 1084–1097, 2007. Biogeosciences, 6, 2217–2226, 2009 www.biogeosciences.net/6/2217/2009/ G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a lowland tropical moist forest G. M. F. van der Heijden and O. L. Phillips: Liana infestation impacts tree growth in a l 2226 Grauel, W. T. and Putz, F. E.: Effects of lianas on growth and re-
generation of Prioria copaifera in Darien, Panama, Forest Ecol. Manag., 190, 99–108, 2004. Putz, F. E.: The natural history of lianas on Barro Colorado Island,
Panama., Ecology, 65, 1713–1724, 1984. Putz, F. References van der Heijden, G. M. F., Healey, J. R., and Phillips, O. L.: Infes-
tation of trees by lianas in a tropical forest in Amazonian Peru, J. Veg. Sci., 19, 747–756, 2008. Whigham, D. F.: The influence of vines on the growth of Liq-
uidambar styraciflua L. (Sweetgum), Can. J. Forest Res., 14, 37–
39, 1984. Wright, S. J., Calder´on, O., Hernand´ez, A., and Paton, S.: Are lianas
increasing in importance in tropical forests? A 17-year record
from Panama, Ecology, 85, 484–489, 2004. Phillips, O. L., V´asquez Mart´ınez, R., Monteagudo Mendoza, A.,
Baker, T. R., and N´u˜nez Vargas, P.: Large lianas as hyperdynamic
elements of the tropical forest canopy, Ecology, 86, 1250–1258,
2005. Wright, S. J. and Calderon, O.: Seasonal, El Ni˜no and longer term
changes in flower and seed production in a moist tropical forest,
Ecol. Lett., 9, 35–44, 2006. Wright, S. J., Hernandez, A., and Condit, R.: The bushmeat har-
vest alters seedling banks by favouring lianas, large seeds and
seed dispersed by bats, birds, and wind, Biotropica, 39, 363–371,
2007. Pinheiro, J. C. and Bates, D. M.: Mixed-effects models in S and
S-plus, Springer, New York, 2000. Putz, F. E.: Liana biomass and leaf area of a “Tierra Firme” forest in
the Rio Negro Basin, Venezuela, Biotropica, 15, 185–189, 1983. Biogeosciences, 6, 2217–2226, 2009 www.biogeosciences.net/6/2217/2009/ www.biogeosciences.net/6/2217/2009/
|
https://openalex.org/W4226051286
|
https://zenodo.org/records/5717702/files/44%2024003%20EM%2023may21%2012may21%2019oct20%20Y.pdf
|
English
| null |
Speech signal compression and encryption based on sudoku, fuzzy C-means and threefish cipher
|
International Journal of Power Electronics and Drive Systems/International Journal of Electrical and Computer Engineering
| 2,021
|
cc-by
| 5,970
|
International Journal of Electrical and Computer Engineering (IJECE)
Vol. 11, No. 6, December 2021, pp. 5049~5059
ISSN: 2088-8708, DOI: 10.11591/ijece.v11i6.pp5049-5059 International Journal of Electrical and Computer Engineering (IJECE)
Vol. 11, No. 6, December 2021, pp. 5049~5059
ISSN: 2088-8708, DOI: 10.11591/ijece.v11i6.pp5049-5059 5049 5049 ABSTRACT Compression and encryption of speech signals are essential multimedia
technologies. In the field of speech, these technologies are needed to meet
the security and confidentiality of information requirements for transferring
huge speech signals via a network, and for decreasing storage space for rapid
retrieval. In this paper, we propose an algorithm that includes hybrid
transformation in order to analyses the speech signal frequencies. The speech
signal is then compressed, after removing low and less intense frequencies, to
produce a well compressed speech signal and ensure the quality of the
speech. The resulting compressed speech is then used as an input in a
scrambling algorithm that was proposed on two levels. One of these is an
external scramble that works on mixing up the segments of speech that were
divided using Fuzzy C-Means and changing their locations. The internal
scramble scatters the values of each block internally based on the pattern of a
Sudoku puzzle and quadratic map so that the resulting speech is an input to a
proposed encryption algorithm using the threefish algorithm. The proposed
algorithm proved to be highly efficient in the compression and encryption of
the speech signal based on approved statistical measures. ticle histo y:
Received Oct 19, 2020
Revised May 12, 2021
Accepted May 23, 2021 Encryption
Fuzzy C-means
Scrambling
Speech compression
Sudoku puzzle This is an open access article under the CC BY-SA license. This is an open access article under the CC BY-SA license. Corresponding Author:
Amal Hameed Khaleel
Department of Computer Science
Basrah University
Basrah, Iraq
Email: amal_albahrany@yahoo.com Corresponding Author:
Amal Hameed Khaleel
Department of Computer Science
Basrah University
Basrah, Iraq
Email: amal_albahrany@yahoo.com Speech signal compression and encryption based on sudoku,
fuzzy C-means and threefish cipher Iman Qays Abduljaleel, Amal Hameed Khaleel
Department of Computer Science, Basrah University, Iraq Iman Qays Abduljaleel, Amal Hameed Khaleel
Department of Computer Science, Basrah University, Iraq Iman Qays Abduljaleel, Amal Hameed Khaleel
Department of Computer Science, Basrah University, Iraq 1.
INTRODUCTION Transferring multimedia files, such as audio, is a common information security problem. Encryption
and compression technologies are, therefore, needed to overcome difficulties in handling huge amounts of
data that need to be stored and transferred [1]. Speech-based communication has developed in numerous
applications such as teleconferencing, the military, e-learning, and other sectors [2]. Speech is a fundamental
way in which humans communicate information to each other. The major objective of speech encryption is to
provide a high degree of security for the transfer of speech. Encryption can convert the data into unreadable
forms so that only the intended receiver can read and alter the message. The major objective of speech
compression is to represent signals with a smaller number of bits and remove redundancy between
neighbouring samples. The reduction of data should be done in such a way that there is an acceptable loss of
quality [3]. There are two main techniques used to compress the data: lossless compression and lossy
compression [4]. Compression of speech is achieved by neglecting and discarding small and lesser
coefficients and data and then using quantizing and encryption techniques without significant loss of speech
intelligibility [3, 5]. Lossless compression reversibly encodes data, while lossy compression removes
perceptually less significant information [6]. Journal homepage: http://ijece.iaescore.com
5050 5050
0 ISSN: 2088-8708 In the last few years, numerous different performance methods have been used. The most common
techniques in signal compression are: Bousselmi et al. [7], present a simulation algorithm of an audio
compression scheme based on the fast Hartley transforms that offer a higher compression ratio in
combination with a newly modified run-length encoding. Hassan et al. [8] suggest the JPEG scheme
algorithm, commonly used in digital image compression and digital voice signal compression. The method
contains many steps to prepare the speech signal to make it more comparable to the original JPEG technique. Vig and Chauhan [5], use a hybrid multi-resolution wavelet for speech signals with variable duration for
compression. This hybrid wavelet construction uses two transforms (discrete cosine transform-DCT and
Walsh). Aloui et al. [9], suggest a speech signal compression algorithm based on the discrete Hartley
transformation to ensure a low bit rate and achieve high speaking compression efficiency. Currently, the studies concentrate on the mixing between compression and encryption. For example
Al-Azawi and Gaze [10], explain the method for speech signal encryption and compression in a single-step. 2.1. Quantization Quantization is an essential phase in data compression, helping to make approximate mapping of the
transform coefficient values to limit the length of binary representation of integer values [9, 12]. Uniform
quantization is applied in this work to compress the speech signals. The value of the step size is calculated in
(1): (1) Where: 𝑚 = The step size, = The step size, 𝑚𝑚𝑘𝑘= Maximum value, 𝑚𝑚𝑜𝑜= Minimum value, 𝑚𝑚𝑜𝑜= Minimum value, L= The number of quantization levels. 1.
INTRODUCTION Compressive sensing theory ensures that compression and encryption occur in a single-step; in addition, the
contourlet transformation is applied to ensure the basic principle of compressive sensing and is used as the
base encryption. Hameed et al. [11], propose a lightweight system model to process ECG signals efficiently
and securely, using buffer blocks and encryption of signal using the AES-CBC algorithm with 256-bit key
size encryption. This paper explains a new method for speech signal compression and encryption to ensure the high
quality and reliability of the reconstructed signal. Section 2 introduces proposed algorithms. The proposed
system is discussed in section 3 while section 4 presents the experimental results and discussion related to the
performance measurements used to assess the proposed system. Conclusions are summarized in section 5. 2.6. Short-term energy (en)
The voice and the sile (9) (9) 2.2. Discrete cosine transform (DCT) Due to the high correlation within the adjacent coefficient, the DCT can be used for speech
compression. This property helps in efficient data reduction. The discrete cosine transform concentrates the
content of the information into relatively few coefficients of transformation because it identifies information
pieces that can be effectively disposed of without seriously reducing the quality of the signal [13]. The DCT
of 1-D sequence X is calculated by [3]: (2)
(3)
(4) (2) (3) (4) (4) where where N= Length = Inverse discrete cosine transform (IDCT) Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059 Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059
5051 Int J Elec & Comp Eng
5051 5051 ISSN: 2088-8708 2.8. Threefish algorithm Threefish is a tweakable block cipher (i.e. three parameters are required as the key input, a tweak
value, and a message block). Three types of keys inputted as 256, 512, and 1024 bits, are used by the
threefish algorithm, and their block size is the same as the key size. Threefish's design philosophy is that a
greater number of simple rounds is safer than fewer complex rounds [23]. Threefish comprises three
operations: rotation of bits to the left, bitwise exclusive OR (⊕), and modulo 264 addition (
). Details of
the threefish algorithm can be found in [24]. 2.4. Quadratic map The quadratic map is a basic example of a Quadratic Chaotic, one-dimensional, and nonlinear. The
quadratic map equation can be defined as [16, 17], (8) (8) e the initial conditions specify that r is the chaotic behaviour parameter and n is the number of iterations. 5 and x0=0.1 [18]. 2.7. Fuzzy C-means The clustering technique is one of the most important techniques used in data mining. Clustering
algorithms are useful in dealing with signal similitude and uncertainty. Fuzzy C-means (FCM) is a fuzzy
theory-based algorithm that enables the element to belong to multiple classes with varying memberships. Details of fuzzy C-means algorithm can be found in [22]. 2.3. Fractional fourier transform (FrFT) Fractional fourier transform (FrFT) FrFT is a generalized Fourier transform, and is also known as angular Fourier transform [14]. FrFT
is a linear operator with angle (α) and signal (f (t)) according to (5) [15]: (5) (5) (5) (6) (6) (7) (7) (7) where where where
δ(t) = Represents the dirac function, α: represents the angle of rotation (α = α π /2),
ƒˊ(t) = The inverse fractional fourier transform. e
= Represents the dirac function, α: represents the angle of rotation (α = α π /2),
Th i
f
ti
l f
i
t
f where
δ(t) = Represents the dirac function, α: represents the angle of rotation (α = α π /2), ƒˊ(t) = The inverse fractional fourier transform. 2.5. Sudoku puzzles p
Sudoku puzzles are generated by removing some elements from the sudoku matrix but keeping some
hints for a unique solution [19]. The central idea of the Sudoku solution is to change the pixel pairs selected
in the cover signal using an index matrix [20]. 2.6. Short-term energy (en)
The voice and the silence are separated by the thresholds of en(i). The en(i) formulae is as [21]: 3.
PROPOSED ALGORITHMS In this study, the compressed speech file was encrypted after scrambling it, and thus this work
consists of, compression, scrambling, and encryption algorithms, in addition to two secondary algorithms for
generating the three keys. The proposed algorithm is shown in Figure 1. Speech signal compression and encryption based on sudoku, fuzzy C-means… (Iman Qays Abduljaleel)
5052
052 ISSN: 2088-8708 Figure 1. The general structure of proposed algorithm Figure 1. The general structure of proposed algorithm 3.1. The hybrid speech compression algorithm The following steps explain the hybrid speech compression algorithm:
a. Read the speech file. b. Divide the speech file into blocks, and each block has a size of 512 values. h bl
k d
h f ll
i c. For each block, do the following: 1. Calculate the 1-D of DCT. 2. Sort the resulting values in descending order. 3. Remove small values using the threshold parameter. 4. Reconstruct the block based on 1D 1-D of IDCT 4. Reconstruct the block based on 1D 1-D of IDCT. 4. Reconstruct the block based on 1D 1 D of IDCT. 5. Use the FrFT transformation for each block to get two values (magnitude and phase) from it. 6. Calculate the average (avrg) magnitude for each block using the following relationship: avrg= me
(|magnitude|2). (|
g
| )
7. For all the calculated magnitude values, test them with the value of avrg as follows: 8. If the value of magnitude is greater than the value of avrg, keep the value with the same value of
magnitude in the same location (NewMagnitude = magnitude). 9. Else if the condition is not met, replace the value of magnitude with the value zero (NewMagnitude =
0). 10. Generate the speech signal based on the magnitude value after adjustment in addition to the pha
value, as follows: a1=NewMagnitude.*COS (phase); a2= NewMagnitude.*SIN (phase); N=complex (a1,a2); p
g
( )
d. Assemble the modified blocks in a one-dimensional vector that represents the compressed speech file. e
Use quantize for a reduced bitrate and increased the compactness of the data d. Assemble the modified blocks in a one-dimensional vector that represents the compressed speech file Use quantize for a reduced bitrate and increased the compactness of the data. e. Use quantize for a reduced bitrate and increased the compactness of the data. f. Save the compressed speech. f. Save the compressed speech. Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059 3.2. The scrambling algorithm g
g
This is divided into two parts: Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059
5053 5053 Int J Elec & Comp Eng ISSN: 2088-8708 3.3. Encryption algorithm 3.3.1. Keys of the encryption algorithm 3.3.1. Keys of the encryption algorithm y
yp
g
Three keys were used in the encryption algorithm as follows: a. Random-quadratic algorithm (to generate keys used in the threefish algorithm) a. Random-quadratic algorithm (to generate keys used in the threefish algorithm)
The keyT generation process is described in the steps below: The keyT generation process is described in the steps below: 1. For each speech block, generate eight of keys based on quadratic map equations. 2. Test the generated values as they should be positive, non-repeating and b 2. Test the generated values as they should be positive, non-repeating and between 1- 9. 3. Use the values that meet the above test to create the eight keys. 4. Repeat steps 1-3 to generate eight new keys (KeyT) until blocks of keys are generated equal to the
specified number of speech blocks. b. The energy on fuzzy C-means algorithm (to generate the third key) b. The energy on fuzzy C-means algorithm (to generate the third key)
The key3 generation process is described in the steps below: b. The energy on fuzzy C-means algorithm (to generate the third key)
The key3 generation process is described in the steps below: gy
y
g
(
g
y)
The key3 generation process is described in the steps below: y g
p
p
1. Divide the original sign into blocks, with each block containing 256 values. 2. Calculate the short time energy value for each block. 3. Find the 16 blocks with the highest values of short-time energy and convert each block into
16×16 binary matrix. 4. Use the fuzzy c-means algorithm on binary arrays to get a 16-bit binary key. 5. Repeat steps 2-4 on 16 blocks to get 256 values representing 32 symbols, which is the third key
(key3). 3.2.2. An internal scrambling (to change the sequence of data within blocks) The internal scrambling procedure is explained in the following steps: a. Generate a key sequence of eight non-repeating keys for each block of the speech signal, using the
random-quadratic algorithm. b. For each successive two blocks of the speech signal, do the following:
1. Generate a Sudoku puzzle of size 9 × 9 equal to the number of values of each block (i.e. 81 values)
using eight non-repeating random-quadratic keys. 2. Convert the resulting vector from each block into a 9 × 9 matrix. 3. Use the values in the Sudoku puzzle to change the values in each row according to the new locations
in it. 4. Use the values in the Sudoku puzzle to change the values in each column according to the new
locations in it. 5. Swap the odd rows between the two matrices of the two consecutive blocks (i.e. the rows to be
swapped are 1, 3, 5, 7, and 9) to create more complexity by mixing internally between values. d. Convert the matrices resulting from each block to a one-dimensional vecto Combine the resultant one-dimensional vectors of all the blocks to get the new speech signal after th
internal scrambling. e. Combine the resultant one-dimensional vectors of all the blocks to get the new speech signal afte
internal scrambling. 3.2.1. External scrambling (to change the blocks sequences) The external scrambling procedure is explained in the following steps:
a. Read the compressed speech file. The external scrambling procedure is explained in the following steps:
a. Read the compressed speech file. Divide the speech signal into blocks, each segment of 81 value and keep the total number of blocks, b. Divide the speech signal into blocks, each segment of 81 value and keep the total number of blocks,
c
Divide the total number of blocks into three equal parts and adding the fractional surplus specifically t Divide the total number of blocks into three equal parts, and adding the fractional surplus specifically
the end of the third part. d. Read the block value indicator from each part until the end of the three parts as follows: e index of the block from the end of the third segment 2. Read the index of the block from the beginning of the first part and save it in the new vector. 3. Read the index of the block from the beginning of the second part and save it in the new vector. 4. After the end of the first and second parts, and in the event of a surplus in the third part, add the
remaining unaddressed to the end of the new vector. g
e. Use the new vector for the locations of the blocks after replacing them to change the locations of their
contents in the original speech signal and get the first stage of the scrambling. Speech signal compression and encryption based on sudoku, fuzzy C-means… (Iman Qays Abduljalee 3.3.2. Encryption algorithm The following steps explain the encryption algorithm: The following steps explain the encryption algorithm: put the two keys (key1 and key2) with a size of 32 cha p
y (
y
y )
b. Generate a third key (key3) using the energy on fuzzy C-means algor b. Generate a third key (key3) using the energy on fuzzy C-means algorithm. c. Use the XOR function between the first key and the third key to getting a new key xoredkey1 Speech signal compression and encryption based on sudoku, fuzzy C-means… (Iman Qays Abduljaleel)
5054 ISSN: 2088-8708 d. Set the value of a tweak value with the size of 16 characters. e. Set the constant value C240 by 8 characters (i.e. 64 bits). e. Set the constant value C240 by 8 characters (i.e. 64 bits). y
(
)
f. Divide the speech signal into several blocks (i.e. 16 values for each block). g. Use the random-quadratic algorithm to generate a series of keys (KeyT) equal to the number of blocks at
this stage. h. For each block, test value from the generated keychain as follows: 1. If the key value in the keychain (KeyT) is divisible by 2 (i.e. the key value is even) then encode the
block values based on the threefish algorithm and xoredkey1 as the primary key. 1. If the key value in the keychain (KeyT) is divisible by 2 (i.e. the key value is even) then encode the
block values based on the threefish algorithm and xoredkey1 as the primary key. g
y
p
y
y
2. If the key value in the keychain (KeyT) is not divisible by 2 (i.e. the key value is odd), encode the
block values based on the threefish algorithm and key2 as the primary key. 2. If the key value in the keychain (KeyT) is not divisible by 2 (i.e. the key value is odd), encode the
block values based on the threefish algorithm and key2 as the primary key. i. Repeat step 8 until all of the speech signal blocks are finished. Repeat step 8 until all of the speech signal blocks are finished. j. Merge the blocks into one audio vector and save it to a wav speech file. j. Merge the blocks into one audio vector and save it to a wav speech file. b.
Segmental signal-to-noise-ratio (SNRseg) b. Segmental signal-to-noise-ratio (SNRseg) b. Segmental signal-to-noise-ratio (SNRseg) b. Segmental signal-to-noise-ratio (SNRseg) b. Segmental signal-to-noise-ratio (SNRseg) b. Segmental signal-to-noise-ratio (SNRseg) (11) (11) c. frequency-weighed signal-to-noise ratio (fwSNRseg) c. frequency-weighed signal-to-noise ratio (fwSNRseg) frequency-weighed signal-to-noise ratio (fwSNRseg) c. frequency-weighed signal-to-noise ratio (fwSNRseg) (12) (12) d. Correlation coefficient (CC):rxy 4. RESULTS AND DISCUSSION This work was conducted using the R2018b MATLAB programme. Equipment included a Core i7
PC with Intel Processor, 2.60 GHz CPU, and 6.00 GB RAM. The tested speech file was loaded from the
"NOIZEUS" database produced by male and female speakers. Two different "16 KHZ" frequency messages
were used from the database, one of which included only vowels (voiced) speech, and the other included
voiced and voiceless continuous speech. The statistical measures used to assess the performance of the
system in the encryption and decryption processes included (SNR, SNRseg, fwSNRseg, CC, LLR) [25], [26],
[27], the statistical measures in compression used included (CR, SNR, SSSNR, PSNR, MSE). The equations
of these measures were [2], [9], [10], [28]: a. Signal-to-noise-ratio (SNR) (10) (10) h.
Mean square error (MSE) (18) (18) i. Compression ratio (CR) ompression ratio (CR) i. Compression ratio (CR) i. Compression ratio (CR) (19) (19) (19) (20) (20) Where: Where:
X and y = block samples of the original and encrypted speech signal, respectively X and y = block samples of the original and encrypted speech signal, respectively M = the number of frames in the signal of speech M = the number of frames in the signal of speech g
p
L = the number of samples in the speech signal L = the number of samples in the speech signal K = the number of sub-bands in the speech signal W (j, m) = Weight in an mth frame on the jth sub-band
̃ W (j, m) = Weight in an mth frame on the jth sub-band
̃ (j, m) and X̃ (j, m) = the spectrum magnitude of the original and distorted speech signal, respectively
T X (j, m) and X (j, m) = the spectrum magnitude of the original and distorted speech signal, respectively
a0 and ac = the original LPC and cipher speech signal vectors, respectively, aT = transform R0= the automatic correlation matrix of the original speech signals 0= the automatic correlation matrix of the original speech signals s, r = the original and the reconstructed speech signal, respectively. n = the reconstructed audio signal length s, r = the original and the reconstructed speech signal, respectively. r = the original and the reconstructed speech signal, respectively. g
g
Table 1 shows that the (PSNR) values are high, as are the (SNR and SSSNR) values, while the
(MSE) values are lower. The compression ratio is generally good, as shown in Figure 2, because the audio
signal data is characterized by building the sound at its high and low frequencies. Therefore, frequencies that
represent noise that can be dispensed with by converting their values to zero values were looked for, so as to
ensure that the file was reduced without losing important data. Table 1. d.
Correlation coefficient (CC):rxy d. Correlation coefficient (CC):rxy d. Correlation coefficient (CC):rxy (13)
(14) (13) (14) e. Log-likelihood ratio (LLR) (15)
spectral signal to noise ratio (SSSNR) (15) f. Segmental spectral signal to noise ratio (SSSNR) f. Segmental spectral signal to noise ratio (SSSNR) f. Segmental spectral signal to noise ratio (SSSNR) f. Segmental spectral signal to noise ratio (SSSNR) (16) (16) Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059 ISSN: 2088-8708
5055
5055 ISSN: 2088-8708 Int J Elec & Comp Eng g. Peak signal to noise ratio (PSNR) (17)
h. Mean square error (MSE)
(18) (17) (17) (17)
h. Mean square error (MSE)
(18) h. Mean square error (MSE) h. Mean square error (MSE) h. Mean square error (MSE) h.
Mean square error (MSE) Speech signals compression measurements
Speech File
Length
Compession Ratio
CR %
SNR (dB)
SSSNR (dB)
PSNR
MSE
Signal1
2
2.0100
50.2483
12.299
-14.790
41.368
7.2978E-05
Signal2
2
2.0028
50.0695
11.842
-16.606
41.632
6.8680E-05
Signal3
2
2.0012
50.0295
11.958
-15.931
42.063
6.2188E-05
Signal4
3
2.0285
50.7014
11.657
-15.864
40.557
8.7965E-05
Signal5
3
2.0071
50.1763
12.553
-14.340
41.813
6.5874E-05
Signal6
3
1.9993
49.9813
12.575
-15.132
40.987
7.9679E-05 The conversions (DCT and FrFT) were used because the (DCT) one has the ability to display
frequency and to remove low frequencies that are lower than the threshold value we identify based on the
experience. Meanwhile, (FrFT) was used to deconstruct the signal for its frequencies and compare it with the
total energy value of each block to which the signal was divided. In this way, transforms are conducted
sequentially to zero and the signal reconstructed to ensure that the largest number of iterations of the zero
values are obtained and to ensure firm pressure without losing any important value. See Table 2 for the results of the proposed encryption method. In this table, the values (SNR,
SNRseg, and fwSNRseg) are clearly low. The measure (CC) values are also very small, while the (LLR)
value is high, thus showing a big difference between the original signal and the coded signal, and low
residual intelligibility. This indicates that the encryption quality introduced by the proposed method is high. In Table 3, the values of (SNR and SNRseg) are obviously high whereas the values of (fwSNRseg
and LLR) are low. As for measure (CC) values, they are close to one, indicating the intelligibility of the
signal. This means the quality of decryption of the compressed signal introduced through the study’s method
is high. Speech signal compression and encryption based on sudoku, fuzzy C-means… (Iman Qays Abduljaleel)
5056
56 ISSN: 2088-8708 Figure 2. Original and Compressed speech signal with CR=50% Figure 2. Original and Compressed speech signal with CR=50% Table 2. Speech signal encryption
Speech File
Length (ms)
SNR
SNRseg
fwSNRseg
CC
LLR
Signal1
2
-24.2149
-30.8442
-24.1010
-0.0033
11.643
Signal2
2
-24.9066
-31.8127
-24.5255
-0.0019
11.305
Signal3
2
-25.2374
-31.3639
-24.4974
0.0032
11.608
Signal4
3
-24.2528
-31.3048
-23.1309
-0.0029
11.810
Signal5
3
-24.5107
-30.8492
-24.1927
-0.0004
11.915
Signal6
3
-23.6707
-30.5503
-23. 0611
0.0026
11.732
Table 3. h.
Mean square error (MSE) Speech signal decryption
Speech File
Length (ms)
SNR
SNRseg
fwSNRseg
CC
LLR
Signal1
2
170.7144
161.522
0.000002
0.9999
2.911E-14
Signal2
2
169.2952
158.098
0.000002
0.9999
3.354E-14
Signal3
2
168.7221
157.875
0.000003
0.9999
3.271E-14
Signal4
3
170.7142
161.519
0.000002
0.9999
2.909E-14
Signal5
3
171.7090
162.246
0.000002
0.9999
2.691E-14
Signal6
3
172.1243
162.919
0.000002
0.9999
2.682E-14 Table 2. Speech signal encryption
Speech File
Length (ms)
SNR
SNRseg
fwSNRseg
CC
LLR
Signal1
2
-24.2149
-30.8442
-24.1010
-0.0033
11.643
Signal2
2
-24.9066
-31.8127
-24.5255
-0.0019
11.305
Signal3
2
-25.2374
-31.3639
-24.4974
0.0032
11.608
Signal4
3
-24.2528
-31.3048
-23.1309
-0.0029
11.810
Signal5
3
-24.5107
-30.8492
-24.1927
-0.0004
11.915
Signal6
3
-23.6707
-30.5503
-23. 0611
0.0026
11.732 In Tables 4 and 5, transformations (DCT and FrFT) were both used separately to assess the
efficiency of the algorithm and to evaluate the effect of the combination of both, as shown in Table 4,
whereas the (SNR, PSNR, and MSE) values were better in Table 5. This means that the (FrFT) conversion
preserves important frequency values, even if they are very small. It was therefore used after converting the
(DCT) to remove the low frequencies individually while keeping them if they were within the specified mass
energy range. The results of using both (DCT and FrFT) transformations shown in Table 1 of the proposed
method. Figure 3 illustrates how, by comparing Figures 3(a) and 3(b), the compression maintains high and
low signal frequencies, meaning that the speech signal remains understood. The scrambling methods
(external and internal) are very effective when compared to Figures 3(a), (3(c), and 3(d)). Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059
Table 4. Compression measurements using DCT only
Speech File
Length
Compession Ratio
CR %
SNR (dB)
SSSNR (dB)
PSNR
MSE
Signal1
2
1.1060
9.5841
9.3841
-4.0845
37.1877
1.9109e-04
Signal2
2
1.1026
9.3053
11.034
-3.5951
39.4358
1.1387e-04
Signal3
2
1.1019
9.2477
9.9516
2.7511
37.1468
1.9289e-04
Signal4
3
1.1005
9.1322
11.098
4.1698
38.6680
1.3589e-04
Signal5
3
1.1150
10.313
10.649
4.2098
38.4895
1.4160e-04
Signal6
3
1.1043
9.4449
11.122
6.3955
39.6179
1.0920e-04 Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059
5057 5057 Int J Elec & Comp Eng ISSN: 2088-8708 Table 5. REFERENCES ]
X. Wang and Y. Su, “An Audio Encryption Algorithm Based on DNA Coding and Chaotic System,” IEEE Acces
vol. 8, pp. 9260–9270, 2020, doi: 10.1109/ACCESS.2019.2963329. pp
[2]
O. A. Imran, S. F. Yousif, I. S. Hameed, W. N. Al-Din Abed, and A. T. Hammid, “Implementation of El-Gamal
algorithm for speech signals encryption and decryption,” Procedia Comput. Sci., vol. 167, no. Iccids 2019,
pp. 1028–1037, 2020, doi: 10.1016/j.procs.2020.03.402. pp
j p
[3]
S. S. M. V. Patil, A. Gupta, and A. Varma, “Audio and Speech Compression Using DCT and DWT Techniques,”
Int. J. Innov. Res. Sci. Eng. Technol., vol. 2, no. 5, pp. 1712–1719, 2013. g
pp
[4]
A. Tsegaye and G. Tariku, “Audio Compression Using DWT and RLE Techniques,” Am. J. Electr. Electron. Eng.,
vol. 7, no. 1, pp. 14–17, 2019, doi: 10.12691/ajeee-7-1-3. [5]
R. Vig and S. S. Chauhan, “Speech Compression using Multi-Resolution Hybrid Wavelet using DCT and Walsh
Transforms,” Procedia Comput. Sci., vol. 132, pp. 1404–1411, 2018, doi: 10.1016/j.procs.2018.05.070. p
pp
j p
]
B. Kim and Z. Rafii, “Lossy audio compression identification,” Eur. Signal Process. Conf., vol. 2018, 201
pp. 2459–2463, doi: 10.23919/EUSIPCO.2018.8553611. pp
[7]
S. Bousselmi, N. Aloui, and A. Cherif, “DSP Real-Time Implementation of an Audio Compression Algorithm by
using
the
Fast
Hartley
Transform,”
Int. J. Adv. Comput. Sci. Appl.,
vol. 8,
no. 4,
2017,
doi: 10.14569/ijacsa.2017.080462. j
[8]
T. A. Hassan, R. H. Al-Hashemy, and R. I. Ajel, “Speech Signal Compression Algorithm Based on the JPEG
Technique,” J. Intell. Syst., vol. 29, no. 1, pp. 554–564, 2020, doi: 10.1515/jisys-2018-0127. q
y
pp
j y
[9]
N. Aloui, S. Bousselmi, and A. Cherif, “New algorithm for speech compression based on discrete hartley
transform,” Int. Arab J. Inf. Technol., vol. 16, no. 1, pp. 156–162, 2019. f
pp
[10] M. K. M. Al-Azawi and A. M. Gaze, “Combined speech compression and encryption using chaotic compressive
sensing
with
large
key
size,”
IET
Signal
Process.,
vol. 12,
no. 2,
pp. 214–218,
2018,
doi: 10.1049/iet-spr.2016.0708. p
[11] M. E. Hameed, M. M. Ibrahim, and N. A. Manap, “Compression and encryption for ECG biomedical signal in
healthcare system,” Telkomnika Telecommunication Comput. Electron. Control., vol. 17, no. 6, pp. 2826–2833,
2019, doi: 10.12928/TELKOMNIKA.v17i6.13240. [12] P. K. R. Manohar, M. Pratyusha, R. Satheesh, S. Geetanjali, and N. Rajasekhar, “Audio Compression Using
Daubechie Wavelet,” IOSR J. Electron. Commun. Eng. Ver. III, vol. 10, no. 2, pp. 2278–2834, 2015,
doi: 10.9790/2834-10234144. [13] Z. h.
Mean square error (MSE) Compression measurements using FrFT only
Speech File
Length
Compession Ratio
CR %
SNR (dB)
SSSNR (dB)
PSNR
MSE
Signal1
2
1.7350
42.3631
-3.8010
-4.2846
25.0240
0.0031
Signal2
2
1.8201
45.0580
-3.8062
-4.9822
25.7154
0.0027
Signal3
2
1.7812
43.8581
-4.7720
-5.0119
25.0686
0.0031
Signal4
3
1.9829
49.5688
-3.4913
-6.4298
24.6873
0.0034
Signal5
3
1.8110
44.7819
-3.4585
-3.3707
25.5687
0.0028
Signal6
3
1.5022
33.4310
-3.5961
-3.6306
25.0242
0.0031 Furthermore, as shown in Figure 3, by comparing Figures 3(a) and 3(e), the encrypted waveform of
the speech signal is unintelligible, and completely uniform which indicates a significant deviation from the
acquired speech signal. Thus, by comparing Figures 3(a) and 3(f), it can be seen that the waveforms of the
obtained and decrypted signals are identical, implying better accuracy and quality of the reconstructed signal. Speech signal compression and encryption based on sudoku, fuzzy C-means… (Iman Qays Abduljaleel)
(a)
(b)
(c)
(d)
(e)
(f)
Figure 3. The stages of the proposed working method, a) original signal 1, b) compressed signal 1,
c) scrambling1 of compressed signal 1, d) scrambling2 of compressed signal1, e) encrypted signal1,
f) decrypted signal1 (a) (b) (a) (b) ( )
(d) (c) (d) (c) (d)
(f) (e) (f) (e) Figure 3. The stages of the proposed working method, a) original signal 1, b) compressed signal 1,
c) scrambling1 of compressed signal 1, d) scrambling2 of compressed signal1, e) encrypted signal1,
f) decrypted signal1 Speech signal compression and encryption based on sudoku, fuzzy C-means… (Iman Qays Abduljaleel
5058
5058 ISSN: 2088-8708 5. CONCLUSION There is always a demand for compressed audio data with high cybersecurity. By encrypting the
compressed speech, we get fast speech data transmission after compressing it because it is smaller in size and
simultaneously secure. This study consists of three basic algorithms: hybrid compression, scrambling and
encryption algorithms, where scrambling consists of both external and internal scrambling algorithms, in
addition to two secondary algorithms to generate the keys, depending on fuzzy C-means and quadratic map
techniques. The purpose of this work is to shrink large speech signal files before encrypting them to provide
sufficient space during correspondence, in addition to transmission speed, as well as adding a complexity to
any attempt to penetrate because there are several stages before the encryption process. This experiment has
demonstrated that the proposed method outperforms other current techniques. Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059 REFERENCES T. Drweesh and L. E. George, “Audio Compression Based on Discrete Cosine Transform, Run Length and High
Order Shift Encoding,” International Journal of Engineering and Innovative Technology (IJEIT), vol. 4, no. 1,
pp. 45–51, 2014. [14] K. Pramila R. and G. Shital S., “A Survey Paper on Different Speech Compression Techniques,” IJARIIE, vol. 2,
no. 5, pp. 736–741, 2016. , pp
,
[15] B. T. Krishna, “Fractional Fourier transform: A survey,” ACM Int. Conf. Proceeding Ser., 2012, pp. 751–757,
doi: 10.1145/2345396.2345519. [16] C. R. Revanna and C. Keshavamurthy, “A new selective document image encryption using GMM-EM and mixed
chaotic system,” Int. J. Appl. Eng. Res., vol. 12, no. 19, pp. 8854–8865, 2017. [17] C. R. Revanna and C. Keshavamurthy, “A novel priority based document image encryption with mixed chaotic
systems using machine learning approach,” Facta Univ. - Ser. Electron. Energ., vol. 32, no. 1, pp. 147–177, 2019,
doi: 10.2298/fuee1901147r. [18] N. Ramadan, H. E. H. Ahmed, S. E. Elkhamy, and F. E. A. El-samie, “Chaos-Based Image Encryption Using an
Improved Quadratic Chaotic Map,” Am. J. Signal Process., vol. 6, no. 1, pp. 1–13, 2016,
doi: 10.5923/j.ajsp.20160601.01. [19] Y. Wu, Y. Zhou, J. P. Noonan, K. Panetta, and S. Agaian, “Image encryption using the Sudoku matrix,” Mob. Multimedia/Image Process. Secur. Appl., vol. 7708, Art. No. 77080P, 2010, doi: 10.1117/12.853197. 0] S. Ijeri, S. Pujeri, S. B, and U. B A, “Image Steganography using Sudoku Puzzle for Secured Data Transmission
Int. J. Comput. Appl., vol. 48, no. 17, pp. 31–35, 2012, doi: 10.5120/7443-0460. p
pp
,
, pp
,
,
[21] Y. Zhang, D. Xiao, Q. Ren, S. Guo, and F. Mo, “An effective speech compression based on syllable division,”
Proc. Meet. Acoust., vol. 29, no. 1, Art. no. 055002, 2016, doi: 10.1121/2.0000480. Int J Elec & Comp Eng, Vol. 11, No. 6, December 2021 : 5049 - 5059 5059 Int J Elec & Comp Eng ISSN: 2088-8708 [22] J. Kong, J. Hou, M. Jiang, and J. Sun, “A novel image segmentation method based on improved intuitionistic fuzzy
C-Means clustering algorithm,” KSII Trans. Internet Inf. Syst., vol. 13, no. 6, pp. 3121–3143, 2019,
doi: 10.3837/tiis.2019.06.020. [23] M. Usman et al., “A Comprehensive Comparison of Symmetric Cryptographic Algorithms by Using Multiple
Types of Parameters,” International Journal Of Computer Science And Network Security, vol. 18, no. 12,
pp. 131–137, 2018. [24] P. G. Ayathri, K. U. N. A. S. Ateesh, and C. H. Speech signal compression and encryption based on sudoku, fuzzy C-means… (Iman Qays Abduljaleel) REFERENCES N. Avya, “High-Throughput Hardware Implementation of Three
Fish Block Cipher Encryption and Decryption on FPGA,” International Journal of VLSI System Design And
Communication Systems, vol. 03, no. 08, pp. 1325–1329, 2015. y
pp
[25] S. F. Yousif, “Speech Encryption Based on Zaslavsky Map,” J. Eng. Appl. Sci., vol. 14, no. 17, pp. 6392–6399,
2019, doi: 10.36478/jeasci.2019.6392.6399. [26] E. Hato and D. Shihab, “Lorenz and Rossler Chaotic System for Speech Signal Encryption,” Int. J. Comput. Appl.,
vol. 128, no. 11, pp. 25–33, 2015, doi: 10.5120/ijca2015906670. [27] A. H. Khaleel and I. Q. Abduljaleel, “A novel technique for speech encryption based on k-means clustering and
quantum chaotic map,” Bulletin of Electrical Engineering and Informatics (BEEI), vol. 10, no. 1, pp. 160–170,
2021, doi: 10.11591/eei.v10i1.2405. ,
[28] A. H. Khaleel and I. Q. Abduljaleel, “Secure image hiding in speech signal by steganography-mining and
encryption,” Indonesian Journal of Electrical Engineering and Computer Science (IJEECS), vol. 21, no. 3,
pp. 1692–1703, 2021, doi: 10.11591/ijeecs.v21.i3.pp1692-1703.
|
https://openalex.org/W2090561355
|
https://ojs.uel.br/revistas/uel/index.php/mediacoes/article/download/9333/8031
|
Portuguese
| null |
Categorias morais e política: uma abordagem etnográfica do voto numa favela do Recife
|
Mediações
| 1,998
|
cc-by
| 8,351
|
O
, ~I O
, ~
::I Pesquisadora do Centre d'Ethnologie et de Sociologie da Universidade de Lille-ll/;
Doutora em Sociologia pela Universidade de Lille-lll. A partir de uma pesquisa de campo realizada numa favela urbanizada do Recife -
a
Brasília Teimosa -, este artigo analisa o uso de categorias morais no deciframento da política, o impacto da mídia na interpretação das atividades políticas, o en
da eficácia das práticas clientelistas e os determinantes da escolha eleitoral E
ste artigo ambiciona apresentar resultados de
uma pesquisa de campo realizada em Brasília
Teimosa, favela urbanizada do Recife, entre o
início de 1992 e o final de 1994. 1 Sendo o universo estudado
particularmente limitado (16 913 pessoas morando numa
península de 51 ,17 ha), não pretendemos apresentar análises
válidas para o conjunto do Brasil de hoje, mas reflexões que
podem servir como base de comparação para estudar o
comportamento eleitoral nas camadas de baixa renda. Ao
contrário dos estudos de comunidade influenciados pelo
funcionalismo, não consideramos o local investigado como
uma parte da totalidade cujos elementos são idênticos aos do
todo. Entretanto, por mais parciais que sejam os resultados
obtidos no estudo de um "pedacinho" da sociedade, uma
abordagem micro-analítica baseada em métodos qualitativos
(observações, entrevistas, conversas informais, convivência
prolongada com o grupo investigado) possibilita um melho
entendimento de fenômenos geralmente percebidos através
de surveys nacionais utilizando sofisticados métodos
entendimento de fenômenos geralm
métodos quantitativos. I..:
Palavras-chave: política; favela; I.. percebidos através de surveys nacionais utilizando
núdia; cidadania; pobreza; Recife. moradores de Brasília Teimosa comentam a aparição dos
primeiros sinais das campanhas eleitorais. O fato de
identificar o período eleitoral ao conjunto das atividades
políticas constitui, provavelmente, uma das chaves da relação
que essa população tem com a política e, conseqüentemente,
de seu comportamento eleitoral.3 Com efeito, não é possível
realizar a análise do voto em Brasília Teimosa sem levar em
conta, permanentemente, o lugar incerto da esfera política
-
no sentido de esfera distinta da vida social -
no grupo CATEGORIAS MORAIS E POLíTICA: uma
abordagem etnográfica do voto
numa favela do Recife abordagem etnográfica do voto
numa favela do Recife importância das categorias morais em Brasília Teimosa ant
de evocar o impacto da núdia no deciframento da política,
enfraquecimento das práticas clientelistas e os determinant
da escolha eleitoral. o USO DE CATEGORIAS MORAIS
NO DECIFRAMENTO DA POLíTICA
Para se entender o comportamento eleitoral dos
moradores de Brasília Teimosa, cabe enfatizar, inicialmente, de surveys nacionais utilizando sofisticados métodos
quantitativos. Ou seja, as análises micro e as análises macro
não se opõem mas se completam, na medida em que são modos
diversos de dar conta da realidade social. Com efeito, é
justamente na variação de escalas de análise que encontramos
ibilid d d
d
tõ
l
2 y
quantitativos. Ou seja, as análises micro e as análises macro
não se opõem mas se completam, na medida em que são modos
diversos de dar conta da realidade social. Com efeito, é cas e De um modo geral, a relação que os moradores de
rasília Teimosa mantêm com a política não difere,
ndamentalmente, daquela dos moradores do Jardim das
amélias, bairro pobre da periferia de São Paulo estudado
s fins da década de 70. (CALDEIRA, 1984) O que eles
amam "o mundo da política" é visto como um ulliverso
talmente separado da experiência dos pobres. Os advérbios
lugar que utilizam para designar a Prefeitura, o Senado
u o Palácio do Planalto referem-se à distância
comensurável entre o "povo" e os eleitos: "lá", "dentro",
m cima". As palavras "política" e "político" evocam
áticas imorais, que o "trabalhador", cuja identidade é
fillida pela "honestitade" e pela "moralidade" deve evitar rtence plenamente à sociedade, o reconhecimento de uma
entidade social positi va ("um pai de fanulia responsável",
ma dona de casa esforçada", "um trabalhador competente",
m rapaz de bem", "uma moça educada", "um bom
asileiro", etc.). O respeito se manifesta na idéia de que as
gras necessárias ao funcionamento harmonioso da
ciedade e à preservação da ordem social devem ser
tritamente observadas. Essas regras (as "obrigações")
pendem da posição social de cada um e referem-se às
ações entre casais, parentes, arrugas, vizinhos e entre
trão e empregado. Essas regras exigem contrapartidas,
sto que "quem respeita tem que ser respeitado": enquanto
ovedor das necessidades familiares, o pai de família
manda dentro de casa"; cabendo à mãe tomar conta dos
hos, estes lhe devem obediência; cada um deve ajudar seus
migos e poder contar com eles; caso o empregado tenha
m problema cuja solução não é prevista pela legislação
balhista (falta de dinheiro para comprar um remédio,
mplicações adrrunistrativas), o patrão tem que resolvê-lo,
lo menos em parte. importância das categorias morais em Brasília Teimosa ant
de evocar o impacto da núdia no deciframento da política,
enfraquecimento das práticas clientelistas e os determinant
da escolha eleitoral. O respeito permite compreender uma
s formas de gestão da diferença social numa sociedade
storicamente autoritária e profundamente desigual, na
edida em que ele assegura a certeza, àqueles que estão
aixo na escala social -
e que têm dúvidas quanto ao fato
pertencer plenamente à sociedade -, de que têm um lugar
lorizado, mesmo que subalterno, dentro dessa sociedade. as o respeito também é reivindicado em nome do
rtencimento ao gênero humano. O que justifica a exigência
um tratamento respeitoso é o fato de ser "gente", o fato
pertencer à sociedade pelo cumprimento das "obrigações"
dispensáveis à vida social.6 Como se vê, o respeito é uma
tegoria que se caracteriza pela ambivalência, revelando
nto o valor dado a relações fundadas num princípio
erárquico (marido-mulher, pai-filho, patrão-empregado)
mo o valor dado à igualdade fillida pela honestitade e pela moralidade , deve evitar. Vale notar que o retomo do regime democrático não
oduziu uma aproximação entre as instituições políticas e
moradores de Brasília Teimosa. Freqüentemente
rmulada a respeito das eleições, a expressão "a política
ssa, a vida continua" indica a forte indiferença quanto à
tureza do regime político em vigor. Aliás, eles raramente
am as palavras "autoritarismo", "ditadura", "regime
ilitar" e "democracia" nas suas falas sobre os
ontecimentos políticos. Quando se pergunta sobre o que
nsam dos regimes militar e democrático, ou se poderiam
plicar a diferença entre ditadura e democracia, apenas uma
unoria diferencia os dois tipos de regime, definindo a
emocracia como um regime de liberdade política
racterizado pela escolha dos governantes.4 Muitos, até
nfessam não entender o significado de tais perguntas
sinceramente, não sei te explicar"; "não entendo nada desse
gócio"). Em suma, a transição democrática não é percebida
mo algo relevante para interpretar o que eles consideram
r as principais mudanças da última década: o crescimento
desemprego a inflação e o aumento da violência urbana desemprego, a inflação e o aumento da violência urbana. No entanto, a ausência de interesse pela política não
gllifica que os moradores de Brasília Teimosa não tenham
pectativas associadas aos políticos. Ao contrário, eles têm
ma idéia precisa das funções dos eleitos: "fazer para o
vo", "ajudar a pobreza", "acertar os problemas do pobre". m "político bom" é aquele que "cumpre seus deveres" ou,
mo um entrevistado afirmou, "é político bom se realmente
abalhasse, seja honesto e cumpre seus deveres. importância das categorias morais em Brasília Teimosa ant
de evocar o impacto da núdia no deciframento da política,
enfraquecimento das práticas clientelistas e os determinant
da escolha eleitoral. O político
je é só para ler jornal, tomar café pequeno e criticar uns
s outros que estão na política." Respondendo sobre quais
riam os deveres de um político, o mesmo entrevistado
clarou que "dever do político é trabalhar e defender quem
egeu ele " mo o valor dado à igualdade. Mas a noção de respeito envolve conexões com o
ciframento da política. Trata-se de uma palavra muito
lizada na avaliação do comportamento dos políticos, pois,
mo já visto, eles têm "obrigações" específicas que devem
mprir em respeito ao povo. Todos os entrevistados
ncordavam com a idéia de que os políticos
eqüentemente identificados aos governantes) "não
peitam o povo" -
mais exatamente, "não respeitam
ais" ou "não respeitam como antigamente. Segundo
mando,? "hoje, o governo não respeita mais o cidadão,
não faz nada para os pobres. Os cidadãos são eles, os
líticos. Mas o zé-qualquer, não tratam ele como cidadão."
e não é tratado como cidadão "porque eles esqueceram
obrigações deles. Hoje, o político não cumpre mais seus
veres, não faz nada para os pobres, ele só pensa em
ubar. Eu já te falei de Getúlio Vargas, de Juscelino
es fizeram muito para os pobres. Mas, hoje, os políticos
quecem " egeu ele. Essa idéia dos "deveres" (ou "obrigações") dos eleitos
ra com os eleitores remete a um ponto essencial da maneira
la qual eles decifram a política: a imbricação constante do
cial e do político. Com efeito, o sentido dado ao elo político
ao seu enfraquecimento) procede do sentido dado ao elo
cial. As ações dos políticos (eleitos ou não) são interpretadas
ravés de categorias morais utilizadas na avaliação da
alidade das relações sociais com os indivíduos oriundos do
esmo grupo social, bem como com os membros das camadas
ciais favorecidas Tudo depende do comportamento quecem. O que se nota aqui é a pregnância da forma de
itimação política instaurada por Getúlio Vargas. Velhos e
vens, homens e mulheres, concordam: "Getúlio foi o
elhor presidente do Brasil".8 O desenvolvimento da
islação previdenciária e trabalhista durante o Estado Novo
ida como uma "doação de direitos aos pobres". Trata-se ciais favorecidas. Tudo depende do comportamento. Entre essas categorias morais, o "respeito" (palavra
ue remete, também, à idéia da "falta de respeito") se
staca.5 O respeito exprime o reconhecimento de que se
jove
mel
legis
é tid
ev. Mediações, Londrina, v. 3, n. 1, p. 53-60, jan./jun. 1998 ciais favorecidas. o IMPACTO DA MíDIA NO
DECIFRAMENTO DA POLíTICA "No rádio, escuto A hora do Brasil, que é às 7 horas. Escuto,
e vejo muita crítica, e que o político está mais se
preocupando não é com o interesse popular, mas com
interesse na vida do outro político, do outro candidato. É
como você vê essas campanhas ridículas, que eles não falam
o que querem fazer com a população, para a população,
mas se 'fulano roubou mais do que eu', 'fulano tem uma
casa melhor', 'você viu o que ele fez antes' -
como ele
roubou menos ou como ele irá roubar mais. Os políticos
não querem saber nada, eles só querem saber da vida do
outro político." (Renata) "No rádio, escuto A hora do Brasil, que é às 7 horas. Escuto,
e vejo muita crítica, e que o político está mais se
preocupando não é com o interesse popular, mas com
interesse na vida do outro político, do outro candidato. É
como você vê essas campanhas ridículas, que eles não falam
o que querem fazer com a população, para a população,
mas se 'fulano roubou mais do que eu', 'fulano tem uma
casa melhor', 'você viu o que ele fez antes' -
como ele
roubou menos ou como ele irá roubar mais. Os políticos
não querem saber nada, eles só querem saber da vida do
outro político." (Renata) Apesar de os moradores de Brasília Teimosa
freqüentemente dizerem "não entender nada na política", eles
recebem e restituem a informação política da mídia por meio
de dispositivos cognitivos formados a partir de suas
categorias de deciframento da política. Ao contrário do que
o senso comum dos grupos mais favorecidos deixa a entender,
eles não repetem passivamente as mensagens divulgadas pelo
rádio e pela televisão.9 Como HOGGART (1957) mostrou,
a propósito da recepção das mensagens culturais pelas classes
populares inglesas, eles reinterpretam a informação política
através de seu sistema de valores. Observa-se, também, que
os mais críticos em relação ao políticos são aqueles que mais
assistem aos noticiários televisivos e ao horário eleitoral
gratuito durante as campanhas eleitorais, 10 sendo que muitos
gostam de imitar Boris Casoy, afirmando enfaticamente: "é
uma vergonha", "é preciso passar o Brasil a limpo", "lugar
de corrupto é a cadeia" Eles também dão muita importância ao que os eleitos
"fazem", o que explica o fato de conhecerem principalmente
os nomes dos políticos que tiveram passagem por cargos
executivos. importância das categorias morais em Brasília Teimosa ant
de evocar o impacto da núdia no deciframento da política,
enfraquecimento das práticas clientelistas e os determinant
da escolha eleitoral. Tudo depende do comportamento. Entre essas categorias morais, o "respeito" (palavra
e remete, também, à idéia da "falta de respeito") se
staca.5 O respeito exprime o reconhecimento de que se 4 ev. Mediações, Londrina, v. 3, n. 1, p. 53-60, jan./jun. 1998 de uma referência central na memória política de muitos
moradores de Brasília Teimosa multiplicação dos partidos, a partir de 1979, parece ter criado
uma desordem, causando uma certa inteligibilidade do
sistema político. Quando havia apenas dois partidos, a
ARENA representava o poder político ("o governo") e o
MDB a oposição. Como explica Maria das Graças,
"antigamente, na época do presidente militar, tinha dois
partidos: na minha infância era ARENA e MDB. Depois,
veio outros partidos. É difícil governar essas coisas. Hoje
são milhares, que você não sabe o valor deles." Enfim, a
dicotomia esquerda/direita quase nunca é utilizada para
explicar a estruturação do campo político. Para a maioria
dos entrevistados, uma pergunta sobre a diferença existente
entre um político de esquerda e um político de direita não
faz sentido, e os que respondem, freqüentemente opõem o
"político justo", que "cumpre seus deveres", portanto
"direito" ao "político errado" "de esquerda"Y moradores de Brasília Teimosa. Devido à forte degradação do ambiente econômico
desde o início da década de 80, os recursos de legitimação
dos governantes diminuiram consideravelmente. Além de
uma crise de legitimidade, o enfraquecimento da capacidade
de intervenção do Estado produz um sentimento de perda de
sentido dos sinais políticos instituídos. Daí decorre um dos
principais problemas da instituição política do social e,
portanto, da democracia no Brasil. Com efeito, sendo a esfera
política decifrada através de obrigações morais derivadas
das representações dos fundamentos do elo social, as
atividades políticas nunca são verdadeiramente percebidas
como uma esfera autônoma da vida social. Ou, como nesse
período fundador do primeiro governo Vargas, a ação dos
governantes é vista como a realização de uma obrigação e,
neste caso, elo social e elo político se confundem. Ou, como
hoje, a incapacidade dos eleitos em perpetuar essa forma de
legitimação provoca o descrédito em relação aos políticos e
às instituições políticas e, então, a política é vista como
totalmente separada da vida respeitável, à qual os setores
populares aspiram. direito , ao político errado , de esquerda Y
De um modo geral, as informações do rádio e da
televisão corroboram e reforçam as representações e as
categorias de deciframento da política. importância das categorias morais em Brasília Teimosa ant
de evocar o impacto da núdia no deciframento da política,
enfraquecimento das práticas clientelistas e os determinant
da escolha eleitoral. Poucos entrevistados
acreditavam nas promessas ("eles prometem mas não
cumprem"). Quase todos viam a vida política como umjogo
entre políticos e insistiam na falta de interesse dos eleitos
pelos pobres o IMPACTO DA MíDIA NO
DECIFRAMENTO DA POLíTICA Respondendo sobre quem consideram os
políticos mais importantes, citam o presidente da República,
o governador de Pernambuco, o prefeito do Recife e,
raramente deputados senadores e vereadores aramente, deputados, senadores e vereadores. Um dos resultados mais imprevistos da pesquisa diz
respeito ao impacto do impeachment de Fernando Collor
sobre as representações políticas de muitos moradores que
votaram nele. Apesar de não ter participado das passeatas
pelo impeachment, acompanharam o processo. A maioria
dos que eram inicialmente contra a cassação de Collor
passou a aprovar a decisão dos parlamentares. Entretanto,
onge de ser interpretado como uma prova de moralização
da política, o impeachment acentuou a desconfiança nas
nstituições políticas e no voto como meio de escolha de
políticos. Na época de realização da pesquisa, era comum
ouvir uma colocação como "depois de Collor, ninguém
acredita". O que chama a atenção, aqui, é a denúncia da
corrupção e, mais exatamente, a perda de legitimidade
provocada pela revelação dos casos de corrupção. Em
contraste, havia, até pouco tempo atrás, uma tolerância à
corrupção cujo melhor exemplo podia ser encontrado no de corrupto é a cadeia . Para uma população que lê muito pouco jornais e
revistas, o rádio e a televisão são efetivamente as principais
fontes de informação política, permitindo um conhecimento
relativo da esfera política. Enquanto apenas 59% dos
favelados do Rio de Janeiro conheciam o nome do presidente
da República no final da década de 60, (PERLMAN, 1977)
todos os entrevistados de Brasília Teimosa sabiam quem era
o presidente. No entanto, poucos conheciam mais de dois
partidos políticos e a filiação partidária dos políticos mais
conhecidos, o que, no final das contas, é bastante lógico num
país em que o sistema partidário é particularmente fraco e
em que os políticos mudam com freqüencia de partidos. A
esse respeito, vale salientar que, longe de permitir uma
representação melhor da diversidade dos interesses, a 55 amoso slogan de Adernar de Barros na década de 2) a abundância das ofertas de transação. Na cidade,
eleitor pode escolher entre uma oferta eleitoral
versificada. o IMPACTO DA MíDIA NO
DECIFRAMENTO DA POLíTICA Caso ainda não tenha uma relação patrão
iente, ela tende a perder a dimensão afetiva que existia
ntigamente no campo para tomar uma dimensão
strumental.16 Em Brasília Teimosa, constatamos que muitos
oradores em busca de tijolos, sacos de cimento ou colchões
angloriavam-se de ter solicitado a vários candidatos
l 0: "Rouba mas faz." (BARBOSA, 1992, p.22)
A interpretação da informação eleitoral não difere
ndamentalmente. Antes de mais nada, os moradores de
rasília Teimosa prestam atenção às realizações dos
andidatos, às promessas não cumpridas lembradas pelos
dversários no guia eleitoral e às acusações de corrupção. 12
s comentários sobre o horário eleitoral gratuito são os
esmos que aqueles que exprimem sobre as novelas:
gosto", "não gosto", "odeio". Muitos enfatizam que todos
rometem a mesma coisa, o que comprova que "são todos
entirosos". Aliás, é forçoso constatar a semelhança das
romessas eleitorais: o combate contra o desemprego,
elhorias na educação e na saúde, a luta contra a violência
pela reforma agrária. Por ter observado a difusão do
rograma nos lares de Brasília Teimosa nas eleições de
992 e 1994, constatamos essa atenção seletiva às
ensagens políticas. Os comentários geralmente partem de
agmentos e nunca se esboçam discursos argumentados. oucos candidatos são "bons", tal político é "ladrão", outro
"safado". Sem ilusões, muitos concordam: "de todo jeito,
dos são iguais, nenhum presta; eles não fazem porra
enhuma" multanemente;
3) a impossibilidade de ter a certeza da lealdade de
m eleitor. Os candidatos não dispõem da possibilidade de
scalizar o voto de um cliente. Em Brasília Teimosa, muitos
eitores não votam nos candidatos que deram bens. onforme um dos entrevistados, "eu acho que está
elhorando, sabe, o brasileiro, ele está acordando. Porque
ntigamente um político chegava e iludia você com um saco
e cimento. Hoje em dia, ele não ilude mais ninguém. Aquela
essoa pega o saco de cimento daquele camarada e não vota
ele, manda ele para a puta que o pariu, e está certo. Está
lh
d " elhorando";
4) a multiplicação dos atores políticos num contexto
e descentralização administrativa. O desenvolvimento da
ferta eleitoral, com o fim do sistema bipartidário e a
escentralização, produziu o enfraquecimento das máquinas
olíticas e a disseminação dos intermediários. Não há mais
situação de quase monopólio no acesso aos recursos
úblicos, que permitia a formação e a manutenção de redes
e influência eleitoral. o IMPACTO DA MíDIA NO
DECIFRAMENTO DA POLíTICA (DINIZ, 1982) Agora, a importância
a barganha política entre o Executivo e os parlamentares
rovoca uma realocação desses recursos entre muitos
líti o ENFRAQUECIMENTO DA
EFiCÁCIA DAS PRÁTICAS
CLlENTELlSTAS olíticos;
5) um aumento do custo das práticas clientelistas,
ovocado por duas razões: a forte concorrência entre
olíticos e a mudança das expectativas, devida à urbanização. olocados em situação de concorrência pela generalização
a dimensão instrumental na relação candidato-eleitor, os
andidatos devem, com efeito, gastar muito para poder
tisfazer um número suficiente de demandas, visando
ceber em troca os votos necessários ao sucesso eleitoral. liás, numa favela urbanizada como Brasília Teimosa, a
trutura das preferências dos moradores mudou com o passar
o tempo e elevou o nível de exigências: eles não se
tisfazem mais com a posse da terra, a instalação de esgotos
u o calçamento das ruas; hoje, eles pedem aos candidatos
olsas de estudos e, sobretudo, empregos, bens muito mais
fíceis de serem distribuídos. Daí decorre um forte aumento
as despesas eleitorais e, face a essas demandas, poucos
andidatos dispõem dos recursos que permitem atender aos
di t O comportamento eleitoral dos setores populares
asileiros foi, freqüentemente, explicado pela noção de
lientelismo". Entretanto, observa-se derrotas de candidatos
ue recorrem a tais práticas, enquanto outros se elegem sem
ntrar nesse tipo de transação. 13 Da mesma maneira, os dados
olhidos sugerem que, mesmo que às vezes eles cheguem a
edir ajuda a políticos ou aceitem doações, os moradores de
rasília Teimosa não votam sistematicamente neles como
ontrapartida. Aqui, chama-se a atenção para a necessidade
e abandonar, ou ao menos limitar, o uso da noção de
ientelismo, na medida em que, mais uma vez, se verifica
ue o uso indiscriminado de um instrumento de análise
mpede que se realize uma análise com maior precisão.14
sta pesquisa sugere, efetivamente, que a relação patrão
iente, que sustentava os "currais eleitorais" e O "voto de
abresto"nas campanhas nordestinas, não resistiu à
b
i
ã rbanização. 15
Num bairro como Brasília Teimosa, a diminuição
a eficácia das práticas clientelistas pode ser explicada por
i f t dintes;
6) a evocação dos direitos do cidadão. O voto
mbém é considerado um dos direitos do cidadão -
entre
quais o "direito ao respeito" e "o direito à dignidade" se
stacam -, cuja utilização não depende, necessariamente,
did
i di id
i
l ti
t
d
líti eis fatores:
1) o descrédito em relação aos políticos tem um
mpacto sobre a interpretação das transações entre candidatos
eleitores durante o peóodo eleitoral. Poucos eleitores vêem
ssas práticas como a manifestação do dever do político. er tais obras pararem pouco após o pleito;
resp
ev Mediações Londrina v 3 n 1 p 53 60 jan /jun 1998 o ENFRAQUECIMENTO DA
EFiCÁCIA DAS PRÁTICAS
CLlENTELlSTAS Ao
ontrário, a maior parte dos entrevistados denunciava a "caça
os votos". As obras realizadas nos meses que antecedem as
leições também não iludem uma população acostumada a
t i
b
ó
l it is fatores:
1) o descrédito em relação aos políticos tem um
mpacto sobre a interpretação das transações entre candidatos
eleitores durante o peóodo eleitoral. Poucos eleitores vêem
sas práticas como a manifestação do dever do político. Ao
ntrário, a maior parte dos entrevistados denunciava a "caça
os votos". As obras realizadas nos meses que antecedem as
eições também não iludem uma população acostumada a
t i
b
ó
l it s medidas individuais ou coletivas tomadas por políticos. Convém acrescentar que a maior parte dos moradores
e Brasília Teimosa não considera o fato de ter recebido um
em ou uma ajuda de um político como o recebimento de
m ''favor'' que estabelece uma relação de reciprocidade. A
it d
b
j d
di
d
líti s obras pararem pouco após o pleito;
resp
Mediações Londrina v 3 n 1 p 53 60 jan /jun 1998 m
6 pretender fazer uma tipologia, podemos distinguir
analiticamente quatro atitudes, que diferem em função da
idade e da situação socioeconômica, e nas quais encontram
se os principais fatores de enfraquecimento das práticas
clientelistas acima apontados: quando chega o tempo para votar, que é um dever meu. Desde
que os homens deram o direito ao analfabeto, eu tirei meu
título. Quando chega o dia da eleição, eu vou votar. Futuramente, eu arranjo um negócio de emprego. Quando o
cara procura saber meu título, eu não vou dizer que sou
analfabeto. Meu interesse é votar." 1) Para uma minoria de moradores, essencialmente
com mais de 60 anos, votar em quem "fez um favor" ou
"ajudou" constitui uma obrigação moral do eleitor, que, por
sua vez, "ajuda" e exprime sua gratidão. Quem "não dá o
voto" em troca de uma ajuda recebida é um "ingrato". A
importância dada à reciprocidade e à continuidade da relação
faz com que apenas neste caso a relação candidato-eleitor
apresente alguns elementos de uma relação de patronagem. Como nos Estados Unidos e na França, a abstenção,
em Brasília Teimosa, pode remeter a duas razões: uma
inserção
social fraca
ou
um
comportamento
fundamentalmente político, que se manifesta na recusa
voluntária de exprimir uma escolha política. o ENFRAQUECIMENTO DA
EFiCÁCIA DAS PRÁTICAS
CLlENTELlSTAS (SUBILEAU
& TOlNET, 1985) E os casos de votos nulos e brancos não
são em nada diferentes. Para lsaura, "o voto é importante,
mas do jeito que as coisas vão, o voto está cansado de ser
enganado. Voto nulo." 2) Entre os eleitores com menos de 40 anos, e também
entre aqueles que enfrentam condições de vida
particularmente precárias, o voto tende a ser considerado
como um "bem de troca", no sentido apontado por QUEIROZ
(1973). Nesta lógica, "é dando que se recebe", como se diz
freqüentemente em Brasília Teimosa para justificar a busca
da transação eleitoral mais interessante. Nesta última parte, vamos propor elementos de
resposta à questão sobre os principais determinantes da
escolha eleitoral em Brasília Teimosa. Como é sabido, um determinante fundamental do
comportamento eleitoral reside nas características dos
métodos eleitorais. Tal observação vale particularmente no
caso do Brasil, onde uma legislação complexa produz fortes
efeitos no decorrer do processo eleitoral. A maioria desses
efeitos foi
analisada pelos cientistas socIaIs. (MAINWARING, 1991; LIMA JR., 1991) No entanto, um
impacto negligenciado do sistema eleitoral no
comportamento eleitoral está na compreensão diferenciada
do método majoritário e do método proporcional. Trata-se,
sem dúvida nenhuma, de um aspecto da lógica do voto em
Brasília Teimosa a ser destacado antes de ir mais adiante na
análise da escolha dos candidatos. 3) Entre os jovens adultos e os que têm uma situação
social relativamente boa em relação aos critérios locais, a
idéia predominante é a de que as doações no período das
campanhas eleitorais é um procedimento vergonhoso,
financiado pelo dinheiro público desviado. No lugar de
"favor", trata-se de uma "compra de votos" efetuada por
políticos corruptos que tiram proveito da situação de
necessidade de muitos eleitores. Conseqüentemente, não se
pode aceitar uma transação dessas sem perverter a idéia de
cidadania embutida no voto. 4) Outra minoria de moradores, geralmente jovens e
com poucos recursos, julga que receber um bem não implica
uma obrigação de lealdade eleitoral, na medida em que o
candidato só faz restituir uma pequena parte do que ele
"roubou". De qualquer forma, visto que os candidatos devem
"dar alguma coisa" para se eleger, o fato de "ajudar" não é
um critério para diferenciá-los. Além do mais, quem não
vota num candidato em troca de um bem é freqüentemente
tido como "esperto", "que engana os que enganam o povo". o ENFRAQUECIMENTO DA
EFiCÁCIA DAS PRÁTICAS
CLlENTELlSTAS 4) Outra minoria de moradores, geralmente jovens e
com poucos recursos, julga que receber um bem não implica
uma obrigação de lealdade eleitoral, na medida em que o
candidato só faz restituir uma pequena parte do que ele
"roubou". De qualquer forma, visto que os candidatos devem
"dar alguma coisa" para se eleger, o fato de "ajudar" não é
um critério para diferenciá-los. Além do mais, quem não
vota num candidato em troca de um bem é freqüentemente
tido como "esperto", "que engana os que enganam o povo". análise da escolha dos candidatos. A respeito do método majoritário, pode-se dizer que
os moradores do bairro, sem conhecer todas as suas
especificidades, têm um conhecimento relativamente bom
do mesmo. Explicam que "é o mais votado que se elege" e
são capazes de citar os candidatos às eleições para presidente
da República, governador e prefeito. O sistema de
representação proporcional apresenta, ao contrário, um baixo
grau de inteligibilidade. Dois aspectos da forma assumida
por esse método no Brasil o explicam: o número muito
elevado de candidatos e, sobretudo, a complexidade do
processo de designação dos eleitos. Sobre o primeiro aspecto,
vale notar que, apesar da presença de dezenas de cabos
eleitorais em Brasília Teimosa, a maior parte dos candidatos
é totalmente desconhecida: os entrevistados raramente
conseguiam citar mais de cinco nomes e, depois do dia da
eleição, freqüentemente não sabiam quais os candidatos
eleitos e nem o resultado dos candidatos em que tinham
votado. O acesso muito limitado ao horário eleitoral gratuito
desses candidatos, a lentidão da apuração dos votos, o fato
de que os resultados globais só são divulgados pelos diários
e a primazia do Executivo sobre o Legislativo nas
representações políticas podem ser apontados como as
principais explicações. O segundo aspecto é o mais
preocupante quanto à possibilidade de um melhor
deciframento dos processos políticos e à própria
inteligibilidade da democracia. Ele remete à total ignorância
da maneira pela qual as cadeiras são preenchidas depois da
obtenção do quociente eleitoral, do quociente partidário e A ESCOLHA ELEITORAL A despeito do descrédito na política e da dúvida
quanto à eficácia do voto como meio eficaz de mudar as
condições de vida, os moradores de Brasília Teimosa votam. É certo que as taxas de abstenção e de votos nulos e brancos
são um pouco mais altas no bairro do que no Recife, mas se
trata de uma das características do comportamento eleitoral
nas camadas de baixa renda. (ALKMIM, 1991, p.13-37)
Nota-se, no entanto, um forte valor dado ao direito de voto,
uma das marcas do reconhecimento de que se pertence
plenamente à sociedade. 17 Principalmente para os
analfabetos, excluídos do sufrágio até 1985, a obtenção deste
direito político põe fim a uma situação de inferioridade
jurídica e ao estigma que freqüentemente lhes vedava o
acesso ao mercado do trabalho porque não possuíam título
eleitoral. Conforme explicou Sebastião, "me interesso só
Rev. Mediações, Londrina, v. 3, n. 1, p. 53-60, jan./jun. Rev. Mediações, Londrina, v. 3, n. 1, p. 53-60, jan./jun. 1998 57 político; meu político é aquele [gargalhadas]; 'Aqui [este]
é ladrão; vote nesse, o Poluca' . Poluca fazia campanha pra
ele: 'Ladrão por ladrão, Poluca é a solução'." da utilização das sobras. Com efeito, os moradores de Brasília
Teimosa não apenas acreditam que, como no sistema
majoritário, "é o mais votado que se elege", mas também
não sabem que, votando num determinado candidato, eles
podem contribuir para a eleição de um candidato em quem
nunca teriam votado. Por importante que seja, a coleta de votos dos cabos
leitorais não explica em si mesma o comportamento dos
leitores de Brasília Teimosa. Os resultados mostram que
andidatos com exércitos de cabos eleitorais nem sempre
onseguem muitos votos no bairro, enquanto outros, contando
om poucos desses agentes políticos, obtêm uma boa votação. A respeito da escolha eleitoral, os dados concernem a quase
00 eleitores entrevistados nas eleições de 1992 e de 1994. Apesar da importância do material colhido, a análise do voto
m Brasília Teimosa a partir das variáveis tradicionalmente
utilizadas pela sociologia eleitoral (sexo, idade, ocupação,
nível de instrução, nível de renda) foi bastante decepcionante. Com efeito, elas apenas permitiam estabeler correlações (a)
ntre ser evangélico e votar nos candidatos a cargos legislativos
apoiados pelos pastores, (b) entre ser evangélico e votar em
Fernando Henrique Cardoso para presidente da República, e
c) entre a ocupação do candidato escolhido nas eleições
proporcionais e a ocupação do eleitor. A ESCOLHA ELEITORAL Além disso, a maior
parte dos eleitores não levava em conta os partidos dos
andidatos nem as incompatibilidades das alianças eleitorais
nessas eleições. Comportamentos que correspondem à falta
de conhecimento dos partidos. Era, portanto, impossível
xplicar o voto em Brasília Teimosa pela identificação
partidária. Da complexidade desse método proporcional
decorrem os riscos de votos brancos e nulos, de erros e de
ecursos perante a Justiça Eleitoral, induzidos pela
omplexidade da utilização da cédula, outro aspecto
menosprezado nas análises do comportamento eleitoral no
Brasil. As observações realizadas nas sessões eleitorais de
Brasília Teimosa revelaram, efetivamente, as dificuldades
ncontradas por muitos eleitores no preenchimento da cédula,
ais como o esquecimento de nomes ou dos números dos
andidatos e os erros ortográficos.1 8 g
O número elevado de candidatos às eleições
roporcionais também reforça o papel dos cabos eleitorais
a mobilização dos eleitores. Dadas a fraca
nstitucionalização dos partidos e a visibilidade reduzida da
ompetição às assembléias legislativas, o candidato que não
ispõe desses agentes na coleta de votos tem poucas chances
e ter uma votação expressiva nos bairros populares. Em
Brasília Teimosa, esses political workers distribuem
ropanganda nas casas, mandam pintar os nomes dos
andidatos nas paredes, organizam os comícios, lembram o
trabalho" que os candidatos "fizeram para o povo", recebem
s demandas de ajuda (assistência administrativa, empregos,
emédios, bolsas de estudo, material de construção) e
distribuem bonés, camisetas e chaveiros. Inserido nas mesmas
edes sociais que os eleitores (igreja, clube de futebol, grupo
arnavalesco, clube de mães, associação de moradores,
ategoria profissional, etc.), o cabo eleitoral tenta convencê
os, em nome de sua participação nesses grupos, a votar no(s)
andidato(s) pelo(s) qual/quais ele atua. Vale notar,
ntretanto, que muitos cabos eleitorais partilham a visão
xtremamente negativa da esfera política anteriormente
vocada, e afirmam trabalhar para os candidatos unicamente
pelo dinheiro. Alguns até conseguem ser contratados por
vários candidatos, que, logicamente, ignoram tal situação. Em alguns casos, a busca de uma remuneração, a convicção
política, a amizade e a lógica da troca se combinam. É o
aso de Chico, cabo eleitoral de quatro candidatos à Câmara
dos Vereadores: André Campos, que é quem o paga; o petista
Paulo Rubem, em quem ele vota enquanto simpatizante do
PT; o amigo Ivan Rodrigues; e Poluca, que deu camisas ao
eu time, o Botafogo de Brasília Teimosa. CONCLUSÃO 13 Como bem o apontou George Avelino Filho, a forte taxa de renovação
na Câmara dos Deputados e nas assembléias legislativas, observada em
todos os Estados, revela que a utilização eleitoreira de recursos públicos
não garante a reeleição, o que contradiz a tese segundo a qual a vida
política brasileira está nas mãos de oligarquias regionais que controlam
clientelas. (AVELINO FILHO, 1994, p.225-240) 13 Como bem o apontou George Avelino Filho, a forte taxa de renovação
na Câmara dos Deputados e nas assembléias legislativas, observada em
todos os Estados, revela que a utilização eleitoreira de recursos públicos
não garante a reeleição, o que contradiz a tese segundo a qual a vida
política brasileira está nas mãos de oligarquias regionais que controlam
clientelas. (AVELINO FILHO, 1994, p.225-240) 13 Como bem o apontou George Avelino Filho, a forte taxa de renovação
na Câmara dos Deputados e nas assembléias legislativas, observada em
todos os Estados, revela que a utilização eleitoreira de recursos públicos
não garante a reeleição, o que contradiz a tese segundo a qual a vida
política brasileira está nas mãos de oligarquias regionais que controlam
clientelas. (AVELINO FILHO, 1994, p.225-240) O segundo concerne ao impacto da mídia. Sair da visão
do papel diabólico da televisão constitui um primeiro passo,
já dado por muitos analistas. Uma maior atenção às lógicas de
recepção das mensagens políticas (durante as campanhas
eleitorais e também fora delas) permitiria ir mais adiante. A
utilização de vários métodos (questionário, observação,
entrevistas individual e coletiva) é indispensável. 14 Jean-François Médard define a relação de clientela ou patronagem como
"uma relação de dependência pessoal não ligada ao parentesco que reside
numa troca recíproca de favores entre duas pessoas, o patrão e o cliente,
que controlam recursos desiguais." (MÉDARD, 1976, p.103) Para
Gellner, "o termo clientelismo (ou, ainda, patronagem) designa um certo
tipo de relação política, ou seja, a relação, de caráter dissimétrico,
existente entre um patrão e um cliente, na qual o primeiro traz sua
proteção ao segundo enquanto este oferece seu apoio em retorno, e se
estabelece num estado de relativa submissão." (GELLNER, 1991, p.563
564) O terceiro reside na decomposição das antigas relações
patrão-cliente herdadas do mundo rural, e remete à questão
complexa da pluralidade das formas de se pertencer à
sociedade e da diversidade das identidades sociais e políticas
na cidade. A ESCOLHA ELEITORAL Na medida
em que "a falta de governo" é uma das explicações
freqüentemente mencionadas para dar conta dos problemas
da sociedade brasileira, os eleitores dão preferência a
candidatos identificados, que já atuaram conforme "as
obrigações dos políticos". Os candidatos acusados de
corrupção podem pagar um preço alto, tal como, em
Pernambuco, o ex-senador Ney Maranhão, que em 1994 não
conseguiu sequer se eleger à Assembleia Legislativa do Estado. Em contraste, uma reputação de competência vale muitos
votos. Foi o caso de Fernando Henrique Cardoso, cuja eleição
é geralmente atribuída ao sucesso do Plano Real. Armando
explica que votou em Fernando Henrique porque "entre todos,
na minha opinião era o melhor." E era o melhor porque "eu
não sei se o plano que ele criou foi eleitoreiro, mas pelo menos
tivemos dois ou três meses feliz, as coisas mais baratas. Se
depois acabar, foi um bom tempo que acabou-se logo." A ESCOLHA ELEITORAL Na escolha eleitoral dos moradores de Brasília
Teimosa, podia-se, entretanto, encontrar a distinção,
stabelecida por Azis Simão num estudo sobre o voto dos
perários paulistas na década de 50, entre "comportamento
olítico" nas eleições a cargos executivos e "comportamento
e simpatia" nas eleições a funções legislativas. (citado por
TOURAINE, 1976, p.183). Quanto mais local a eleição,
maior a importância de uma relação entre o candidato e o
leitor. Tanto mais que o fato de um partido ter um número
e candidatos à mesma cadeira produz uma despolitização e
ma territorialização da escolha, sendo o eleitor levado a
scolher em função de critérios não partidários. A despeito dessas duas racionalidades eleitorais, a
scolha deriva, essencialmente, da imagem dos candidatos,
onstruída através das categorias de deciframento da política
Os eleitores votam preferencialmente nos candidatos que "já
zeram" e comprovaram "experiência" e "competência". A
déia é que o candidato tem que "mostrar a folha de serviços"
ara merecer o voto. Os resultados da pesquisa em Brasília
Teimosa comprovam que os cargos de direção nos órgãos
úblicos constituem, como RODRIGUES (1987) salientou,
plataformas de lançamento". Para deputado estadual,
Gabriela votou em Cadoca, secretário de Turismo na
refeitura do Recife, porque "ele fez muita coisa pelo turismo;
le mostrou um trabalho muito bom." Segundo ela, "ele
ncentivou o turismo, gera muitos empregos. Organizou a
Recifolia, que foi uma maravilha. Ele fez muita coisa para
s recifenses se divertir." Eu trabalhava pra André Campos porque estava precisando
de dinheiro, desempregado. Fazendo boca de urna, estava
ambém fazendo campanha pra outro, Paulo Rubem, do
PI. Assim, quando não tinha ninguém [que trabalhava para
o André Campos por perto] ( ...) já estava com o papel de
Paulo Rubem, entregava e convencia a pessoa a votar em
Paulo Rubem. Depois de doze horas, fui pra casa almoçar. Aqui, um colega meu era candidato a vereador: Ivan
Rodrigues. Fiz campanha pra ele também (...) Naquele dia,
iz outra campanha pra vereador: para Poluca, que mora
na Várzea-está financiando o time que eu faço parte ( ...)
Os vereadores todos são concorrentes, mas eu tinha meu A ênfase na "experiência" dos candidatos não remete
penas ao valor dado à capacidade de "fazer", mas também
xprime o desejo de muitos eleitores, de evitar governantes 8 ev. Mediações, Londrina, v. 3, n. 1, p. 53-60, jan./jun. 1998 irresponsáveis. O impacto desgastante do governo de Fernando
Collor se tomou uma justificativa desse critério. NOTAS I Este texto condensa algumas idéias desenvolvidas em tese de
doutoramento em Sociologia orientada por Daniel Pécaut na École des
Hautes Études en Sciences Sociales, publicada pela Maison des Sciences
de I'Hornrne. (VIDAL, 1998) I Este texto condensa algumas idéias desenvolvidas em tese de
doutoramento em Sociologia orientada por Daniel Pécaut na École des
Hautes Études en Sciences Sociales, publicada pela Maison des Sciences
de I'Hornrne. (VIDAL, 1998) 2 A esse respeito, ver os artigos reunidos por REVEL (1996). 2 A esse respeito, ver os artigos reunidos por REVEL (1996). 3 Nota-se que a expressão "Chegou a época da política" também foi
registrada por PALMEIRA & HEREDIA (1993) no interior de
Pernambuco. Esse fato aponta para as limitações do valor científico de análises feitas
4
a partir de pesquisas quantitativas sobre a preferência pela democracia
ou pela ditadura. Esse fato aponta para as limitações do valor científico de análises feitas
4
a partir de pesquisas quantitativas sobre a preferência pela democracia
ou pela ditadura. 5 Nos limites deste texto, não podemos examinar a especificidade e a
complexidade dos usos da categoria "respeito" nos discursos dos
moradores de Brasília Teimosa. Para uma análise mais detalhada,
consultar VIDAL (1998). 5 Nos limites deste texto, não podemos examinar a especificidade e a
complexidade dos usos da categoria "respeito" nos discursos dos
moradores de Brasília Teimosa. Para uma análise mais detalhada,
consultar VIDAL (1998). 6 É por isso que a maioria dos moradores de Brasília Teimosa concordam
com a violência da polícia contra os delinqüentes ou com a barbaridade
do sistema penitenciário. Pelo fato de ter um comportamento opondo-se
ao ideal de relações sociais fundadas na confiança e na convi viabilidade,
o "marginal" sai do quadro da humanidade, não passa de um "animal"
(geralmente, um "cachorro") e, conseqüentemente, não pode ser tratado
como "gente". 6 É por isso que a maioria dos moradores de Brasília Teimosa concordam
com a violência da polícia contra os delinqüentes ou com a barbaridade
do sistema penitenciário. Pelo fato de ter um comportamento opondo-se
ao ideal de relações sociais fundadas na confiança e na convi viabilidade,
o "marginal" sai do quadro da humanidade, não passa de um "animal"
(geralmente, um "cachorro") e, conseqüentemente, não pode ser tratado
como "gente". CONCLUSÃO 7 Os nomes de pessoas grafados em itálico, no texto, referem-se a pessoas
entrevistadas. A partir do caso de Brasília Teimosa não é possível,
como já dissemos na introdução, construir uma quadro
completo do comportamento eleitoral das camadas de baixa
renda no Brasil urbano de hoje. A relevância dos resultados
obtidos para uma teoria acabada do voto popular depende
tanto de um trabalho comparativo com outros estudos
localizados como do cruzamento das abordagens qualitativa
e quantitativa. É mais adequado salientar os pontos aqui
analisados que merecem inclusão numa agenda de pesquisas
na qual seriam objeto de uma reflexão mais profunda. 8 A respeito da noção de legitimação, ver LAGROYE (1985). 9 Contra essa visão mainslream da influência da mídia, que se encontra
em muitos paises, ver GAMSON (1992). 9 Contra essa visão mainslream da influência da mídia, que se encontra
em muitos paises, ver GAMSON (1992). la A partir de uma pesquisa realizada em várias regiões do Brasil, Conrad
P. Kottak enfatiza esta correlação entre o número de horas passadas vendo
televisão e a falta de confiança no governo como sendo "o maior impacto
da televisão sobre todas as formas de crença". (KOTTAK, 1991, p.78) 11 Sobre o processo de constituição da dicotomia esquerda/direita, ver
GAUCHET (1992, p.394-467). Nota-se que a incapacidade de definir a
esquerda e a direita também se encontra em países onde a competição
política é historicamente mais estável. (BUTLER & STOKES, 1969) 11 Sobre o processo de constituição da dicotomia esquerda/direita, ver
GAUCHET (1992, p.394-467). Nota-se que a incapacidade de definir a
esquerda e a direita também se encontra em países onde a competição
política é historicamente mais estável. (BUTLER & STOKES, 1969) O primeiro diz respeito à pregnância das categorias
morais e do significado dado ao estilo de governo de Getúlio
Vargas no deciframento da política. Caberia estudar mais
fundo a correlação entre, por um lado, a retomada dessas
categorias pelos candidatos e sua identificação (implícita ou
explícita) a essa figura política e, por outro lado, os
determinantes da escolha eleitoral. 12Sobre a influência da televisão no comportamento eleitoral, ver
STRAUBHAAR et al (1993) e SILVA (1993). 12Sobre a influência da televisão no comportamento eleitoral, ver
STRAUBHAAR et al (1993) e SILVA (1993). Rev. Mediações, Londrina, v. 3, n. 1J p. 53-60, jan./jun. 1998 CONCLUSÃO Requer notadamente a não-separação do social e
do político, ou seja, num plano acadêmico, ciência política e
sociologia, ou sociologia política e sociologia urbana. 15 Sobre as formas de dominação política que existiam (e ainda existem
em vários lugares) no interior do Brasil, ver LEAL (1986) e GRAHAM
(1990). I· Há mais de vinte anos atrás, em Santa Brígida, povoado do norte da
Bahia, o eleitor já tendia a utilizar seu voto como um "bem de troca". (QUEIROZ, 1973) O quarto refere-se aos efeitos sobre a escolha eleitoral
na complexidade do sistema eleitoral e da cédula, visto que,
em muitos casos, a peculiaridade dos resultados ou as taxas
de votos nulos e brancos não resultam apenas da incapacidade
política dos eleitores, e sim da própria legislação eleitoral. 17 Como nos casos francês e americano, o contraste entre o que estava em
jogo nas lutas pelo direito de voto e no absencionismo mais forte nos
grupos que acabavam de conquistá-lo provém da dimensão de integração
simbólica de integração social em posição de iguais que esse direito Rev. Mediações, Londrina, v. 3, n. 1J p. 53-60, jan./jun. 1998 59 tinha para os que não faziam parte do corpo político. (ROSANVALLON 1992; SHKLAR 1991) tinha para os que não faziam parte do corpo político. (ROSANVALLON 1992; SHKLAR 1991) RODRIGUES, L. M. Quem é quem na Constituinte. Urna análise sócio
política dos partidos e deputados. São Paulo: OESP-Maltese Editores,
1987 (ROSANVALLON, 1992; SHKLAR, 1991)
18 É certo que para um observador francês, acostumado a votar com cédulas
impressas com o nome do candidato ou da chapa, o ato de votar parece
singularmente complicado no Brasil, em particular para os eleitores que
não dominam bem o português escrito. A respeito da evolução das
práticas eleitorais na França, ver GARRIGOU (1992) e ROSANVALLON
(op cit ) 1987. ROSANVALLON, P. Le sacre du citoyen. Histoire du suffrage uni versei
en France Paris: Gallimard 1992 en France. Paris: Gallimard, 1992. SHKLAR, J. La citoyenneté américaine. La quête de l'intégration. Paris:
Calmann Lévy 1991 Calmann Lévy, 1991. SILVA, C. E. Lins da. The brazilian case: manipulation by lhe media? In:
SKIDMORE, T. (ed.). Television, politics and the transition to
democracy in Latin America. BaltimorelLondon: The John Hopkins
University Press 1993 p 137 144 REFERÊNCIAS BIBLIOGRÁFICAS University Press, 1993. p.137 144. STRAUBHAAR, J. et aI. The brazilian case: influencing lhe voter. In:
SKIDMORE, T. (ed.). Television, politics and the transition to
democracy in Latin America. BaltimorelLondon: The John Hopkins
University Press 1993 p 118 136 ALKMIM, A. C. R. A participação eleitoral e seus correlatos sócio
econômicos. In: LIMA JR. O. (ed.). Sistema eleitoral brasileiro. Teoria
e prática Rio de Janeiro: IuperjlRio Fundo Editora 1991 p 13 37 University Press, 1993. p.118 136. SUBILEAU, F. & TOINET, M. F. L'abstentionnisme en France et aux États
Unis: mélhodes et interprétatioDs. In: GAXIE, D. (ed.). Explication du
vote. Un bilan des études électorales en France. Paris: Presses de la
Fondation Nationale des Sciences Politiques 1985 p 175 198 e prática. Rio de Janeiro: IuperjlRio Fundo Editora, 1991. p.13 37. AVELINO FILHO, G. Oientelismo e política no Brasil. Revisitando velhos
problemas Novos Estudos Cebrap n 38 p 225 240 mar 1994 problemas. Novos Estudos Cebrap, n. 38, p.225 240, mar. 1994. BARBOSA, L. O jeitinho brasileiro. A arte de ser mais igual que os outros. Rio de Janeiro: Campus 1992 q
,
p
TOURAINE A Les sociétés dépendantes Gembloux: Duculot 1976 Rio de Janeiro: Campus, 1992. BUTLER, D. & STOKES, D. Political change in Britain. Forces shaping
electoral choice London: MacMiIlan/St Marlin Press 1969 ,
p
,
VIDAL, D. La politique au quartier. Rapports sociaux et citoyenneté à
Recife Paris: Éditions de la Maison des Sciences de I'Hornrne 1998 electoral choice. London: MacMiIlan/St. Marlin Press, 1969. CALDEIRA, T. O cotidiano dos moradores da periferia e o que pensam
do poder e dos poderosos São Paulo: Brasiliense 1984 do poder e dos poderosos. São Paulo: Brasiliense, 1984. DINIZ, E. Voto e máquina política. Patronagem e clientelismo no Rio de
Janeiro Rio de Janeiro: Paz e Terra 1982 Janeiro. Rio de Janeiro: Paz e Terra, 1982. GAMSON, W. Talking politics. Carnbridge: Carnbridge University Press,
1992 1992. GARRIGOU, A. Le vote et la vertu. Cornrnent les français sont devenus
électeurs. Paris: Presses de la Fondation Nationale des Sciences
Politiques 1992 Politiques, 1992. GAUCHET, M. La droite et la gauche. In: NORA, P. (ed.). Les lieux de
mémoire, IlI. Les France 1. Conflits et partages. Paris: GaUimard, 1992. p 394 467 p.394 467. GELLNER, E. Patronage. In: BONTE, P. & IZARD, M. (eds.). Dictionnaire
de l'ethnologie et de l'anthropologie Paris: PUF 1991 de l ethnologie et de l anthropologie. Paris: PUF, 1991. REFERÊNCIAS BIBLIOGRÁFICAS GRAHA..t\1, R. Patronage and politics in the nineteenth-century Brazil. Stanford: Stanford University Press 1990 Stanford: Stanford University Press, 1990. HOGGART, R. The uses ofliteracy. London: Chatto and Windus, 1957. ,
f
y
,
KOTTAK, C. P. Television's impact on values and local Iife in Brazil. Jornal ofCommunications v
41 n I winter 1991 Jornal ofCommunications, v. 41, n. I, winter. 1991. LAGROYE, J. La légitimation. Traité de science politique. Tome 1. Paris:
PUF 1985 p 395-467 ,
p
LEAL, V. N. Coronelismo, enxada e voto. O município e o regime
representativo no Brasil São Paulo: Alfa-Ômega J986 (1949) representativo no Brasil. São Paulo: Alfa Ômega, J986. (1949)
LIMA JR. O. (ed.). Sistema eleitoral brasileiro. Teoria e prática. Rio de
Janeiro: IupeljlRio Fundo Editora 1991 p j
,
MAINWARING, S. Políticos, partidos e sistemas eleitorais. O Brasil numa
perspectiva comparativa. Novos Estudos Cebrap, n. 29, p.34-58, mar. 1991 99 . MÉDARD, J. F. Le rapport de clientele: du phénomene social à I'analyse
politique. Revue Française de Science Politique, v. 26, n. I, p.103
124 fév 1976 ,
9
PALMEIRA, M. & HEREDIA, B. Le temps de la politique. Études Rurales,
n 131-132 p 73-87 1993 n. 131 132, p.73 87, 1993. PERLMAN, J. O mito da marginalidade. Favelas e política no Rio de
Janeiro Rio de Janeiro: Paz e Terra 1977 ,
QUEIROZ, M. I. P. de. Política, ascensão social e liderança num povoado
baiano. In: O campesinato brasileiro: ensaios sobre civilização e grupos
rusticos no Brasil Petrópolis: Vozes 1973 p lOO-122 p
,
p
REVEL, J. (ed.). Jeux d'échelles. La micro-analyse à l'expérience. Paris:
SeuillGallimard, 1996. Rev. Mediações, Londrina, v. 3, n. 1, p. 53-60, jan./jun. 1998 60
|
https://openalex.org/W3167028114
|
http://ira.lib.polyu.edu.hk/bitstream/10397/92082/1/Li_Impact_Cation_Stoichiometry.pdf
|
English
| null |
Impact of Cation Stoichiometry on the Crystalline Structure and Superconductivity in Nickelates
|
Frontiers in physics
| 2,021
|
cc-by
| 6,455
|
BRIEF RESEARCH REPORT
published: 03 September 2021
doi: 10.3389/fphy.2021.719534 BRIEF RESEARCH REPORT Edited by:
Le Wang,
Pacific Northwest National Laboratory
(DOE), United States Reviewed by:
Fang Yang,
Institute of Physics (CAS), China
Ariando,
National University of Singapore,
Singapore
Danfeng Li,
City University of Hong Kong, China Reviewed by:
Fang Yang,
Institute of Physics (CAS), China
Ariando,
National University of Singapore,
Singapore
Danfeng Li,
City University of Hong Kong, China *Correspondence:
Yuefeng Nie
ynie@nju.edu.cn *Correspondence:
Yuefeng Nie
ynie@nju.edu.cn Specialty section:
This article was submitted to
Condensed Matter Physics,
a section of the journal
Frontiers in Physics Keywords: nickelate film, infinite layer, superconductivity, molecular beam epitaxy, cation stoichiometry Impact of Cation Stoichiometry on
the Crystalline Structure and
Superconductivity in Nickelates
Yueying Li 1,2, Wenjie Sun 1,2, Jiangfeng Yang 1,2, Xiangbin Cai 3, Wei Guo 1,2, Zhengbin Gu 1,2,
Ye Zhu 4 and Yuefeng Nie 1,2* 1National Laboratory of Solid State Microstructures, Jiangsu Key Laboratory of Artificial Functional Materials, College of
Engineering and Applied Sciences, Nanjing University, Nanjing, China, 2Collaborative Innovation Center of Advanced
Microstructures, Nanjing University, Nanjing, China, 3Department of Physics, The Hong Kong University of Science and
Technology, Hong Kong, China, 4Department of Applied Physics, Research Institute for Smart Energy, The Hong Kong
Polytechnic University, Hong Kong, China The recent discovery of superconductivity in infinite-layer nickelate films has aroused
great interest since it provides a new platform to explore the mechanism of high-
temperature superconductivity. However, superconductivity only appears in the thin
film form and synthesizing superconducting nickelate films is extremely challenging,
limiting the in-depth studies on this compound. Here, we explore the critical parameters
in the growth of high-quality nickelate films using molecular beam epitaxy. We found that
stoichiometry
is
crucial
in
optimizing
the
crystalline
structure
and
realizing
superconductivity in nickelate films. In precursor NdNiO3 films, optimal stoichiometry
of cations yields the most compact lattice while off-stoichiometry of cations causes
obvious lattice expansion, influencing the subsequent topotactic reduction and the
emergence of superconductivity in infinite-layer nickelates. Surprisingly, in-situ reflection
high energy electron diffraction indicates that some impurity phases always appear once
Sr ions are doped into NdNiO3 although the X-ray diffraction data are of high quality. While these impurity phases do not seem to suppress the superconductivity, their
impacts on the electronic and magnetic structure deserve further studies. Our work
demonstrates
and
highlights
the
significance
of
cation
stoichiometry
in
the
superconducting nickelate family. INTRODUCTION Over the past decades, there have been a great number of investigations on the superconductivity in
nickelates, as they are natural analogs of high-Tc cuprates [1–8]. More recently, superconductivity
was eventually found in the hole-doped infinite-layer nickelates [9], which have a layered structure
and 3d9−x electronic configuration similar to those of cuprate superconductors. This significant
discovery provides a new platform to explore the mechanism of high-temperature superconductivity
and triggers intense research interests [10–16]. Comprehensive theoretical studies have been
reported [17–25], whereas experimental progress is still limited and several key issues remain
unsolved. First, nickelates display some properties distinct from cuprates despite similar structures
[13, 22, 26]. Second, superconductivity has only been observed in nickelate thin films, while bulk
samples show an insulating behavior [27, 28]. These puzzles cast shadow on the understanding of Received: 02 June 2021
Accepted: 23 July 2021
Published: 03 September 2021 Edited by:
Le Wang,
Pacific Northwest National Laboratory
(DOE), United States Keywords: nickelate film, infinite layer, superconductivity, molecular beam epitaxy, cation stoichiometry METHODS XRD patterns shown in Figure 1A demonstrate clear (00l)
reflections, indicating the reasonable crystalline quality in these
samples. Figure 1B shows a plot of the OOP lattice constants
calculated from the (002) peak position as a function of the
nominal Nd:Ni flux ratio (represented by the blue triangles), as
well as the corresponding Gaussian fit (yellow dashed line). An
increment of the OOP lattice constant is observed in both sides of
the flux ratio deviated from the optimal value. Given that the in-
plane lattice is fully strained to the substrates as revealed by the
reciprocal space mapping (RSM) shown in Figure 1C, it is clear
that off-stoichiometry gives rise to a lattice expansion, similar
with the situation in SrTiO3 [39]. Since the (002) peak position
over 48° was deemed to be indispensable for superconductivity
[33], we note the sensitivity of the OOP lattice constant to cation
stoichiometry should attract more attention. The NdNiO3 and Nd1-xSrxNiO3 films were epitaxially grown on
TiO2-terminated
(001)-oriented
SrTiO3
single-crystalline
substrates using a DCA R450 MBE system. Before the growth,
we used the quartz crystal microbalance (QCM) to measure a
rough beam flux. The value of flux is for reference only, for it
depends strongly on the background pressure, installation angle
of the crucibles of sources, and the shape of the source materials. During the growth, RHEED was employed to monitor the growth
process and surface quality. The films were grown at 550—650°C
(measured by a thermocouple thermometer) and under an
oxidant (distilled ozone) background pressure of ∼4.0 × 10–6
Torr. A residual gas analyzer (RGA) was utilized to real-time
monitor the ozone partial pressure, which is essential for the
stabilization of the oxidation state of Ni3+x. SrTiO3 substrates
were etched in buffered HF acid for about 70 s and annealed in
flowing pure oxygen at 1,000°C for 80 min before growth to
obtain a TiO2-terminated step-and-terrace surface [36]. The film
crystalline structure was examined by XRD using a Bruker D8
Discover diffractometer. The resolution of our 2θ-ω scans is
0.0071°. And the step length of 2θ in the XRD measurements
is 0.04°. The terraced micromorphology of films was revealed by
Asylum Research MFP-3D atomic force microscopy (AFM). Specimens for cross-sectional scanning transmission electron
microscopy (STEM) were prepared by focused ion beam (FIB)
techniques. Effect of Cation Stoichiometry on NdNiO3
Films Taking the advantage of MBE technique, a series of NdNiO3 films
with different Nd:Ni flux ratios were grown. For many perovskite
oxides ABO3, the deposition time for each source can be extracted
precisely using a shuttered mode [37, 38] because the alternative
growth of AO and BO2 monolayers leads to RHEED intensity
oscillations with intensity reaching a maximum (or minimum)
value at the end of depositing one full atomic monolayer. However, the intensity at the end of growing an atomic
monolayer for NdNiO3 is not the maximum (or minimum)
value. Hence, the co-deposition method where AO and BO2
layers are deposited simultaneously is adopted. The period of
RHEED oscillations in the co-deposition corresponds to the
growth of one unit cell [37, 38]. The nominal ratio of Nd and
Ni was roughly calibrated to 1:1 based on QCM measurements. Then, we adjust the relative Nd:Ni flux ratio precisely by
successively changing the deposition time for Ni, which
effectively alters the cation stoichiometry. In this work, we employed molecular beam epitaxy (MBE) to
grow perovskite neodymium nickelate films with different cation
stoichiometries which are of significance in optimization and
reproduction of superconductivity in nickelate films. We found
that off-stoichiometry in both nickel-rich and nickel-poor films
leads to obvious lattice expansion, which is shown to hinder the
subsequent
topotactic
reduction
and
the
emergence
of
superconductivity
in
infinite-layer
nickelates. In
addition,
based on the stoichiometry effect, the out-of-plane (OOP)
lattice constant is found to be helpful in the MBE growth
calibration. Finally, an impurity phase in the Sr-doped samples
was always shown in reflection high energy electron diffraction
(RHEED) patterns, which can coexist with superconductivity. Citation: Li Y, Sun W, Yang J, Cai X, Guo W,
Gu Z, Zhu Y and Nie Y (2021) Impact of
Cation Stoichiometry on the Crystalline
Structure and Superconductivity
in Nickelates. Li Y, Sun W, Yang J, Cai X, Guo W,
Gu Z, Zhu Y and Nie Y (2021) Impact of
Cation Stoichiometry on the Crystalline
Structure and Superconductivity
in Nickelates. Front. Phys. 9:719534. doi: 10.3389/fphy.2021.719534 Front. Phys. 9:719534. doi: 10.3389/fphy.2021.719534 September 2021 | Volume 9 | Article 719534 Frontiers in Physics | www.frontiersin.org 1 MBE Growth of Nickelate Superconductors Li et al. underlying physics of high-Tc superconductivity. Therefore, more
experimental progress is undoubtedly required. were acquired on JEOL JEM ARM 200F outfitted with an ASCOR
fifth-order probe corrector. In order to attain an infinite-layer
phase, Nd0.8Sr0.2NiO3 was sealed in a vacuum chamber together
with ∼0.1 g CaH2 powder and then heated to 280°C for 4 h, with a
warming (cooling) rate of 10–15°C/min [9]. Temperature-
dependent resistivity was measured via the standard van der
Pauw geometry in a homemade transport property measurement
system. However, the difficulty in reproducing the superconductivity
in infinite-layer nickelates is obvious in light of only a few
precedents
for
successful
synthesis
of
superconducting
nickelates [9, 12, 29, 30]. Recent reports of the observation on
the superconductivity in hole-doped LaNiO2, which was not
superconducting previously, also emphasize the importance of
the film quality [31, 32]. Some influential factors are reported, for
instance, the increasing target ablation, different laser fluences in
the pulsed laser deposition (PLD), and (002) peak positions in
X-ray diffraction (XRD) scans, offering meaningful guidance for
the Nd1-xSrxNiO3 growth [33]. Some indirect evidence hints their
relevance to the stoichiometry [34, 35], which deserves, but still
lacks, a thorough investigation. METHODS The error bars come from the fitting error of diffraction peaks. (C) Reciprocal space mappings around SrTiO3 (103) peak for NdNiO3
films with different flux ratios. Figure 1B, the c-lattice constants as a function of stoichiometry
can be nicely fitted with the Gaussian function shown below: y
)
e
e
y
r
f
e
e
e
. e
,
e
e
4
s
t
e
e
e
D
oscillations
confirm
the
layer-by-layer
growth
mode,
the
period of which marked in Figure 2A is exactly the time
required to deposit a layer of one unit cell NdNiO3. The
thickness obtained from the RHEED oscillation curve is 27
u.c., which is in good agreement with the fit of Kiessig fringes
[43] shown in Figure 2B. The rocking curve measurement
(Figure 2C) shows a full width at half-maximum (FWHM)
value
of
0.017°,
indicating
a
high
degree
of
crystalline
perfection. The RHEED patterns taken along [110] and [100]
directions are shown as insets of Figure 2A. The half-order
diffractions can be observed, manifesting the existence of NiO6
octahedral rotation [44]. In the atomic-resolution ADF-STEM
images shown in Figures 2D,E, an abrupt and straight interface
between the SrTiO3 substrates and the NdNiO3 film is observed. The film shows a high crystalline quality with well-ordered Nd
and Ni atoms (denoted by orange and green circles, respectively)
forming the perovskite lattice, and no defects such as atomic
intermixing and stacking faults are observed. The smooth surface
with a terraced morphology is achieved and revealed by AFM
imaging (Figure 2F). Effect of Cation Stoichiometry on the
Emergence of Superconductivity
The growth of Sr-doped NdNiO3 is conducted using a similar
co-deposition
method
based
on
both
optimal
and
off-
stoichiometric NdNiO3. Shutter times (deposition time per oscillations
confirm
the
layer-by-layer
growth
mode,
the
period of which marked in Figure 2A is exactly the time
required to deposit a layer of one unit cell NdNiO3. The
thickness obtained from the RHEED oscillation curve is 27
u.c., which is in good agreement with the fit of Kiessig fringes
[43] shown in Figure 2B. The rocking curve measurement
(Figure 2C) shows a full width at half-maximum (FWHM)
value
of
0.017°,
indicating
a
high
degree
of
crystalline
perfection. The RHEED patterns taken along [110] and [100]
directions are shown as insets of Figure 2A. The half-order
diffractions can be observed, manifesting the existence of NiO6
octahedral rotation [44]. METHODS Atomic-resolution annular dark-field (ADF) images Based on this finding, the OOP lattice constant can be
employed in turn as a unique indicator of stoichiometry and
aided in the calibration of beam flux ratio which is essential in
MBE growth. As mentioned above, the precise deposition time of
each source is not available using the shuttered mode. In the co-
deposition, although the oscillations are observed, the overall
intensity shows little dependence on the variation of the Nd:Ni
flux ratio, which is commonly employed in the growth of other
systems [40, 41]. Hence, another specific way is demanded to
conduct the calibration. Using the OOP lattice constant as an
indicator is proved to be feasible and reliable. As shown in September 2021 | Volume 9 | Article 719534 Frontiers in Physics | www.frontiersin.org 2 MBE Growth of Nickelate Superconductors Li et al. FIGURE 1 | Effect of cation stoichiometry on NdNiO3 films. (A) XRD 2θ-ω scans of NdNiO3 films with different nominal Nd:Ni flux ratios. The curves are vertically
offset for clarity. (B) Pseudo-cubic lattice constant along the (00l) direction as a function of the nominal Nd:Ni flux ratio. The blue triangles and yellow dashed line represent
the experimental data and the corresponding Gaussian fit result, respectively. The red closed stars denote the data points obtained in another set of experiment,
according to the numerical order marked in the figure, while the open star is another possible position for the No. 1 sample. The black dashed line denotes the c-axis
lattice constant of the No. 1 sample. The error bars come from the fitting error of diffraction peaks. (C) Reciprocal space mappings around SrTiO3 (103) peak for NdNiO3
films with different flux ratios. FIGURE 1 | Effect of cation stoichiometry on NdNiO3 films. (A) XRD 2θ-ω scans of NdNiO3 films with different nominal Nd:Ni flux ratios. The curves are vertically
offset for clarity. (B) Pseudo-cubic lattice constant along the (00l) direction as a function of the nominal Nd:Ni flux ratio. The blue triangles and yellow dashed line represent
the experimental data and the corresponding Gaussian fit result, respectively. The red closed stars denote the data points obtained in another set of experiment,
according to the numerical order marked in the figure, while the open star is another possible position for the No. 1 sample. The black dashed line denotes the c-axis
lattice constant of the No. 1 sample. METHODS In the atomic-resolution ADF-STEM
images shown in Figures 2D,E, an abrupt and straight interface
between the SrTiO3 substrates and the NdNiO3 film is observed. The film shows a high crystalline quality with well-ordered Nd
and Ni atoms (denoted by orange and green circles, respectively)
forming the perovskite lattice, and no defects such as atomic
intermixing and stacking faults are observed. The smooth surface
with a terraced morphology is achieved and revealed by AFM
imaging (Figure 2F). y 3.797 −0.037 × e
−x−1.006
0.083
2
. (1) (1) The deviation of the flux ratio from the optimum can be
estimated from the fitted parabolic function. A real practice of the
calibration process is specifically shown in Figure 1B denoted by
the red stars. The NdNiO3 samples were grown in the order
shown by the numbers in the figure. The OOP lattice constant of
the first sample is indicated by the black dashed line. Thus, the
deviation of the beam flux ratio away from the optimum can be
determined. Note that both No. 1 and No. 1′ positions are
possible for this sample with only the lattice constant known. Hence, No. 2 and No. 3 samples were both grown, in which the
dosage of nickel was reduced and increased, respectively,
according to the deviation. The values of the OOP lattice
constant of the two samples are within expectations, and the
Nd:Ni flux ratio for No. 3 is nearly the optimum. The No. 4
sample was also grown to further prove the validity of this
method and the result was consistent. It should be noted that
other factors such as anion concentration also affects the lattice
[42], which could explain the slight changes in exact OOP lattice
constants of our films. Frontiers in Physics | www.frontiersin.org Effect of Cation Stoichiometry on the
Emergence of Superconductivity As such, our results demonstrate the
significance
of
stoichiometry,
which
could
impede
the
complete transformation of perovskite phase to infinite-layer
phase and hinder the superconductivity when the deviation is
more than 10%. unit cell) for Nd and Ni are corresponding to a single period of
RHEED intensity oscillations during the NdNiO3 co-deposition
growth. The period of SrTiO3 film is also calibrated in advance
to obtain the precise shutter time of Sr. Taking Nd0.8Sr0.2NiO3
for instance, in the one-unit-cell growth, the shutters of Sr, Nd,
and Ni opened together and Sr closed at 20% shutter time, Nd at
80%, and Ni at 100%. The
RHEED
intensity
oscillations
of
18
u.c. thick
Nd0.8Sr0.2NiO3 under the optimal flux ratio are shown in
Figure 3A. The oscillations are not perfectly smooth but still
sustained for a long time. The variation in the shape of RHEED
oscillations across the growth is due to the interface effect because
the growth of NdNiO3 on SrTiO3 is heteroepitaxial, which is
commonly seen in the growth of other materials [45, 46]. The
disparity in the crystalline quality originating from stoichiometry
is obvious from the comparison of 2θ-ω diffraction patterns of
Nd0.8Sr0.2NiO3 films under different flux ratios (Figures 3B,D). The deviation from stoichiometry in our experiment is 10 and
15% nominally. In both Nd-rich and Ni-rich cases, the (002)
diffraction peaks of off-stoichiometric Nd0.8Sr0.2NiO3 films are
relatively weaker and broader and the peak positions are below
48°, marked by the yellow dashed line. The corresponding
temperature-dependent
resistivities
exhibit
metal–insulator
transitions or show an insulating behavior (Figure 4A). After
topotactic reduction, some diffraction peaks corresponding to the
reduced phase are observed in 10% off-stoichiometric samples,
which are relatively weaker than the optimal sample. Few obvious Furthermore, for the optimal Nd0.8Sr0.2NiO3 (inset of
Figure 3A), though the diffraction pattern of Nd0.8Sr0.2NiO3 is
clear and sharp as shown by the green arrows, there exists
impurity phases as indicated by the red dashed open circles,
so do most of our Sr-doped samples. It should be noted that no
corresponding diffraction peak was detected in XRD scans,
suggesting a possible short-range order of the impurity phases,
but its chemical composition is not clear up to now. Even so, these
impurity phases do not seem to suppress the superconductivity in
Nd1-xSrxNiO2 (Figure 4B). As shown in Figure 3B, after
topotactic reduction, the OOP lattice constant shrinks to
∼3.38 Å (calculated from the (001) peak position). Effect of Cation Stoichiometry on the
Emergence of Superconductivity The growth of Sr-doped NdNiO3 is conducted using a similar
co-deposition
method
based
on
both
optimal
and
off-
stoichiometric NdNiO3. Shutter times (deposition time per Then, a series of NdNiO3 films were grown using the
calibration process mentioned above. The persistent RHEED September 2021 | Volume 9 | Article 719534 Frontiers in Physics | www.frontiersin.org 3 MBE Growth of Nickelate Superconductors Li et al. FIGURE 2 | Structural characterizations of optimal NdNiO3 films. (A) RHEED intensity oscillations taken along the (110) direction and RHEED patterns (inset) of a 27
u.c. thick NdNiO3 film grown on SrTiO3 substrates. The period of the oscillations denoted by the arrow indicates the time needed for the growth of one-unit-cell-thick
NdNiO3 by the co-deposition mode. (B) Magnification of the high-resolution XRD 2θ-ω scan of the 27 u.c. NdNiO3 film at a low incident angle with clear Kiessig fringes,
and the corresponding fit of film thickness is shown as the yellow dashed line. (C) Rocking curves of the NdNiO3 film and SrTiO3 substrate. The values of FWHM are
both obtained in a linear scale. (D, E) Cross-sectional STEM-ADF images of an 18 u.c. thick NdNiO3 film on SrTiO3 substrates under different magnifications. (F) A
representative AFM image of the surface morphology showing clear terraces of the NdNiO3 film. FIGURE 2 | Structural characterizations of optimal NdNiO3 films. (A) RHEED intensity oscillations taken along the (110) direction and RHEED patterns (inset) of a 27
u.c. thick NdNiO3 film grown on SrTiO3 substrates. The period of the oscillations denoted by the arrow indicates the time needed for the growth of one-unit-cell-thick
NdNiO3 by the co-deposition mode. (B) Magnification of the high-resolution XRD 2θ-ω scan of the 27 u.c. NdNiO3 film at a low incident angle with clear Kiessig fringes,
and the corresponding fit of film thickness is shown as the yellow dashed line. (C) Rocking curves of the NdNiO3 film and SrTiO3 substrate. The values of FWHM are
both obtained in a linear scale. (D, E) Cross-sectional STEM-ADF images of an 18 u.c. thick NdNiO3 film on SrTiO3 substrates under different magnifications. (F) A
representative AFM image of the surface morphology showing clear terraces of the NdNiO3 film. infinite-layer phase is detected when the deviation is up to 15%,
though the perovskite phase is still clear before reduction
(Figures 3C,D). As expected, the insulating behaviors are
revealed in all off-stoichiometric samples after reduction, as
shown in Figure 4B. Effect of Cation Stoichiometry on the
Emergence of Superconductivity According
to the documented doping level dependence of the OOP lattice
constant [12, 15], the actual Sr concentration in our film is
consistent with the nominal value determined in the growth
process. We also employed the Scherrer equation (2) to estimate
the thickness of the nickelate film in the infinite-layer phase
[33, 47]: September 2021 | Volume 9 | Article 719534 Frontiers in Physics | www.frontiersin.org 4 Li et al. MBE Growth of Nickelate Superconductors FIGURE 3 | Effect of cation stoichiometry on the reduction of Nd1-xSrxNiO3. (A) RHEED intensity oscillations and pattern (inset) of an 18 u.c. thick optimal
Nd0.8Sr0.2NiO3 film grown on SrTiO3 substrates. The red open dashed circles and green arrows indicate the diffractions of the impurity phases and the perovskite phase
of the film, respectively. (B) High-resolution XRD 2θ-ω scans of the nickelate films grown under an optimal flux ratio. The Nd0.8Sr0.2NiO3 film before and after capping the
SrTiO3 layer is called bare and capped Nd0.8Sr0.2NiO3, respectively. The dashed line represents the critical two theta values of 48°. (C) High-resolution XRD 2θ-ω
scans of as-grown and reduced Nd-rich Nd0.8Sr0.2NiO3 films. (D) High-resolution XRD 2θ-ω scans of as-grown and reduced Ni-rich Nd0.8Sr0.2NiO3 films. FIGURE 3 | Effect of cation stoichiometry on the reduction of Nd1-xSrxNiO3. (A) RHEED intensity oscillations and pattern (inset) of an 18 u.c. thick optimal
Nd0.8Sr0.2NiO3 film grown on SrTiO3 substrates. The red open dashed circles and green arrows indicate the diffractions of the impurity phases and the perovskite phase
of the film, respectively. (B) High-resolution XRD 2θ-ω scans of the nickelate films grown under an optimal flux ratio. The Nd0.8Sr0.2NiO3 film before and after capping the
SrTiO3 layer is called bare and capped Nd0.8Sr0.2NiO3, respectively. The dashed line represents the critical two theta values of 48°. (C) High-resolution XRD 2θ-ω
scans of as-grown and reduced Nd-rich Nd0.8Sr0.2NiO3 films. (D) High-resolution XRD 2θ-ω scans of as-grown and reduced Ni-rich Nd0.8Sr0.2NiO3 films. FIGURE 4 | Effect of cation stoichiometry on the transport properties of Nd1-xSrxNiO3 and Nd1-xSrxNiO2. Temperature-dependent resistivity for reduced nickelate
films grown under optimal and off-stoichiometric flux ratios before (A) and after (B) reduction. The resistivities of several samples were scaled for clarity, as denoted in the
legends. Inset of B shows the zoom-in view at low temperatures from 3 to 30 K of optimal Nd0.8Sr0.2NiO2 sample. Effect of Cation Stoichiometry on the
Emergence of Superconductivity The onset transition temperature is about 14.7 K, and
zero resistivity is achieved at about 4.7 K. FIGURE 4 | Effect of cation stoichiometry on the transport properties of Nd1-xSrxNiO3 and Nd1-xSrxNiO2. Temperature-dependent resistivity for reduced nickelate
films grown under optimal and off-stoichiometric flux ratios before (A) and after (B) reduction. The resistivities of several samples were scaled for clarity, as denoted in the
legends. Inset of B shows the zoom-in view at low temperatures from 3 to 30 K of optimal Nd0.8Sr0.2NiO2 sample. The onset transition temperature is about 14.7 K, and
zero resistivity is achieved at about 4.7 K. September 2021 | Volume 9 | Article 719534 Frontiers in Physics | www.frontiersin.org 5 MBE Growth of Nickelate Superconductors Li et al. dScherrer
kλ
b cos θ
(2) controlled carefully. For MBE, PLD, and many other growth
techniques,
lots
of
parameters
have
an
impact
on
the
stoichiometry,
including
beam
flux
ratio,
chemical
composition of targets, growth temperature, laser plume, laser
fluence, and target ablation [34, 35, 49–53]. These growth
parameters can be adjusted by referring to our findings about
the stoichiometry dependence on the OOP lattice constant. Finally,
although
the
superconductivity
is
not
obviously
affected by the impurity phases in Sr-doped nickelates, further
investigation on their potential impacts on the electronic and
magnetic structure is demanded. (2) where dScherrer is the Scherrer thickness; K is the Scherrer
constant, which is 1.091 in our case [33]; λ is the wavelength
of X-ray which is 1.5418 Å; and θ and b are the Bragg angle and
the full width at half maximum intensity of the corresponding
diffraction peak, respectively. The calculated Scherrer thickness
(58.07 Å) basically matches with the situation where the
precursor perovskite has been fully converted into the infinite-
layer structure (60.84 Å). Moreover, XRD patterns of the Nd1-
xSrxNiO3 film usually show a double-peak-like feature after
capping with SrTiO3 layers, which is reminiscent of the
stacking faults in previous reports [33, 48]. However, we
measured the same sample before and after capping and
found the peak only appearing in the latter (Figure 3B),
implying that the peak at ∼48o is more corresponding to the
first-order thickness fringe of the SrTiO3 capping layer, the
intensity of which is enhanced by both the film and substrate. FUNDING This work was supported by the National Natural Science
Foundation of China (Grant Nos. 11774153, 11861161004, and
51772143), the Fundamental Research Funds for the Central
Universities (Grant Nos. 0213-14380198 and 0213-14380167),
the Research Grants Council of Hong Kong (N_PolyU531/18),
and the Hong Kong Polytechnic University grant (No. ZVRP). Given the sensitivity of the structure of nickelate films to the
variation of cation stoichiometry, any growth parameters that
may affect the final stoichiometry in the films should be CONCLUSION YN conceived the project. YL, WS, and WG grew the nickelate
films. YL, WS, WG, and JY conducted the materials and
structural characterization. XC and YZ conducted the STEM
measurements. JY, YL, and WS conducted the reduction
experiments. YL
and
WS
performed
the
transport
measurements. YL and YN prepared the manuscript with
contribution from all authors. YL acknowledges discussions
with JW and HS. In summary, optimization of the quality of nickelate films was
investigated in this work using MBE. The crystalline lattice and
topotactic reduction of nickelates are both susceptible to off-
stoichiometry. Obvious
lattice
expansion
caused
by
off-
stoichiometry
was
observed
in
NdNiO3
films,
and
the
crystalline
structure
and
transport
properties
are
both
influenced after subsequent topotactic reduction. Our finding is
consistent with a previous report, where the (002) peak position
over 48o in the precursor phase nickelate is deemed as the requisite
for superconductivity [33]. In addition, we introduced a new
practical method using the OOP lattice constant to calibrate the
Nd:Ni flux ratio in NdNiO3 growth. Moreover, we found the
repetitive appearance of some impurity phases in RHEED patterns
for most of our Sr-doped samples, which appear to be unavoidable
but do not seem to suppress the superconductivity. DATA AVAILABILITY STATEMENT The original contributions presented in the study are included in
the article/Supplementary Material; further inquiries can be
directed to the corresponding author. REFERENCES Critical Nature of the Ni Spin State in
Doped
NdNiO2. Phys
Rev
Lett
(2020)
124(20):207004. doi:10.1103/
PhysRevLett.124.207004 19. Katukuri VM, Bogdanov NA, Weser O, van den Brink J, and Alavi A. Electronic
Correlations
and
Magnetic
Interactions
in
Infinite-Layer
NdNiO2. Phys Rev B (2020) 102(24):102. doi:10.1103/PhysRevB.102.241112 40. Zhang TW, Mao ZW, Gu ZB, Nie YF, and Pan XQ. An Efficient and Reliable
Growth Method for Epitaxial Complex Oxide Films by Molecular Beam
Epitaxy. Appl Phys Lett (2017) 111(1):011601. doi:10.1063/1.4990663 20. Leonov I, Skornyakov SL, and Savrasov SY. Lifshitz Transition and Frustration
of Magnetic Moments in Infinite-Layer NdNiO2 upon Hole Doping. Phys Rev
B (2020) 101(24):101. doi:10.1103/PhysRevB.101.241108 41. Sun HY, Zhang CC, Song JM, Gu JH, Zhang TW, Zang YP, et al. Epitaxial
Optimization of Atomically Smooth Sr3Al2O6 for Freestanding Perovskite
Films by Molecular Beam Epitaxy. Thin Solid Films (2020) 697:137815. doi:10.1016/j.tsf.2020.137815 21. Wu X, Di Sante D, Schwemmer T, Hanke W, Hwang HY, Raghu S, et al. Robust Dx2−y2 -wave Superconductivity of Infinite-Layer Nickelates. Phys Rev
B (2020) 101(6):101. doi:10.1103/PhysRevB.101.060504 42. Heo S, Oh C, Son J, and Jang HM. Influence of Tensile-Strain-Induced Oxygen
Deficiency on Metal-Insulator Transitions in NdNiO3−δ Epitaxial Thin Films. Sci Rep (2017) 7(1):4681. doi:10.1038/s41598-017-04884-2 22. Botana AS, and Norman MR. Similarities and Differences between LaNiO2
and CaCuO2 and Implications for Superconductivity. Phys Rev X (2020) 10(1):
10. doi:10.1103/PhysRevX.10.011024 43. Björck M, and Andersson G. GenX: an Extensible X-ray Reflectivity
Refinement Program Utilizing Differential Evolution. J Appl Cryst (2007)
40(6):1174–8. doi:10.1107/S0021889807045086 23. Zhang Y, Lin L-F, Hu W, Moreo A, Dong S, and Dagotto E. Similarities and
Differences between Nickelate and Cuprate Films Grown on a SrTiO3
Substrate. Phys Rev B (2020) 102(19):102. doi:10.1103/PhysRevB.102.195117 44. Catalano S, Gibert M, Fowlie J, Íñiguez J, Triscone J-M, and Kreisel J. Rare-
earth nickelates RNiO3: Thin Films and Heterostructures. Rep Prog Phys
(2018) 81(4):046501. doi:10.1088/1361-6633/aaa37a 24. Sakakibara H, Usui H, Suzuki K, Kotani T, Aoki H, and Kuroki K. Model
Construction and a Possibility of Cupratelike Pairing in a New D9 Nickelate
Superconductor
(Nd,Sr)NiO2. Phys
Rev
Lett
(2020)
125(7):077003. doi:10.1103/PhysRevLett.125.077003 45. Schöffmann P, Pütter S, Schubert J, Zander W, Barthel J, Zakalek P, et al. Tuning the Co/Sr Stoichiometry of SrCoO2.5 Thin Films by RHEED Assisted
MBEgrowth. Mater Res Express (2020) 7(11):116404. doi:10.1088/2053-1591/
abc58b 25. Been E, Lee W-S, Hwang HY, Cui Y, Zaanen J, Devereaux T, et al. Electronic
Structure Trends across the Rare-Earth Series in Superconducting Infinite-Layer
Nickelates. REFERENCES 6. Poltavets VV, Lokshin KA, Nevidomskyy AH, Croft M, Tyson TA,
Hadermann J, et al. Bulk Magnetic Order in a Two-Dimensional
Ni1+/Ni2+(d9/d8)
Nickelate,
Isoelectronic
with
Superconducting
Cuprates. Phys
Rev
Lett
(2010)
104(20):206403. doi:10.1103/
PhysRevLett.104.206403 1. Chen
CH,
Cheong
S-W,
and
Cooper
AS. Charge
Modulations
in
La2−xSrxNiO4+y: Ordering of Polarons. Phys Rev Lett (1993) 71(15):2461–4. doi:10.1103/PhysRevLett.71.2461 7. Han MJ, Wang X, Marianetti CA, and Millis AJ. Dynamical Mean-Field
Theory of Nickelate Superlattices. Phys Rev Lett (2011) 107(20):206804. doi:10.1103/PhysRevLett.107.206804 2. Anisimov VI, Bukhvalov D, and Rice TM. Electronic Structure of Possible
Nickelate Analogs to the Cuprates. Phys Rev B (1999) 59(12):7901–6. doi:10.1103/PhysRevB.59.7901 8. Zhang J, Botana AS, Freeland JW, Phelan D, Zheng H, Pardo V, et al. Large
Orbital Polarization in a Metallic Square-Planar Nickelate. Nat Phys (2017)
13(9):864–9. doi:10.1038/Nphys4149 3. Lee K-W, and Pickett WE. Infinite-layer LaNiO2: Ni1+ is not Cu2+. Phys Rev B
(2004) 70(16). doi:10.1103/PhysRevB.70.165109 3. Lee K-W, and Pickett WE. Infinite-layer LaNiO2: Ni1+ is not Cu2+. Phys Rev B
(2004) 70(16). doi:10.1103/PhysRevB.70.165109 4. Chaloupka J, and Khaliullin G. Orbital Order and Possible Superconductivity
in LaNiO3/LaMO3 Superlattices. Phys Rev Lett (2008) 100(1):016404. doi:10.1103/PhysRevLett.100.016404 9. Li D, Lee K, Wang BY, Osada M, Crossley S, Lee HR, et al. Superconductivity in
an Infinite-Layer Nickelate. Nature (2019) 572(7771):624–7. doi:10.1038/
s41586-019-1496-5 4. Chaloupka J, and Khaliullin G. Orbital Order and Possible Superconductivity
in LaNiO3/LaMO3 Superlattices. Phys Rev Lett (2008) 100(1):016404. doi:10.1103/PhysRevLett.100.016404 5. Hansmann P, Yang X, Toschi A, Khaliullin G, Andersen OK, and Held K. Turning
a Nickelate Fermi Surface into a Cupratelike One through Heterostructuring. Phys
Rev Lett (2009) 103(1):016401. doi:10.1103/PhysRevLett.103.016401 5. Hansmann P, Yang X, Toschi A, Khaliullin G, Andersen OK, and Held K. Turning
a Nickelate Fermi Surface into a Cupratelike One through Heterostructuring. Phys
Rev Lett (2009) 103(1):016401. doi:10.1103/PhysRevLett.103.016401 10. Hepting M, Li D, Jia CJ, Lu H, Paris E, Tseng Y, et al. Electronic Structure of
the Parent Compound of Superconducting Infinite-Layer Nickelates. Nat
Mater (2020) 19(4):381–5. doi:10.1038/s41563-019-0585-z September 2021 | Volume 9 | Article 719534 Frontiers in Physics | www.frontiersin.org 6 MBE Growth of Nickelate Superconductors Li et al. 32. Zeng SW, Li CJ, Chow LE, Cao Y, Zhang ZT, Tang CS, et al. Superconductivity
in Infinite-Layer Lanthanide Nickelates. (2021). Available at: https://arxiv.org/
abs/2105.13492 (Accessed May 27, 2021). doi:10.21203/rs.3.rs-576278/v1 11. Rossi M, Lu H, Nag A, Li D, Osada M, Lee K, et al. Orbital and Spin Character
of Doped Carriers in Infinite-Layer Nickelates (2020). REFERENCES ArXiv [Preprint]
Available at: https://arxiv.org/abs/2011.00595v1 (Accessed November 1,
2020). 33. Lee K, Goodge BH, Li D, Osada M, Wang BY, Cui Y, et al. Aspects of the
Synthesis of Thin Film Superconducting Infinite-Layer Nickelates. APL Mater
(2020) 8(4):041107. doi:10.1063/5.0005103 12. Zeng S, Tang CS, Yin X, Li C, Li M, Huang Z, et al. Phase Diagram and
Superconducting Dome of Infinite-Layer Nd1−xSrxNiO2 Thin Films. Phys Rev
Lett (2020) 125(14):147003. doi:10.1103/PhysRevLett.125.147003 34. Preziosi D, Sander A, Barthélémy A, and Bibes M. Reproducibility and Off-
Stoichiometry Issues in Nickelate Thin Films Grown by Pulsed Laser
Deposition. AIP Adv (2017) 7(1):015210. doi:10.1063/1.4975307 y
13. Goodge BH, Li D, Lee K, Osada M, Wang BY, Sawatzky GA, et al. Doping
Evolution of the Mott-Hubbard Landscape in Infinite-Layer Nickelates. Proc
Natl Acad Sci U.S.A (2021) 118(2):e2007683118. doi:10.1073/pnas.2007683118 35. Breckenfeld E, Chen Z, Damodaran AR, and Martin LW. Effects of
Nonequilibrium Growth, Nonstoichiometry, and Film Orientation on the
Metal-To-Insulator Transition in NdNiO3 Thin Films. ACS Appl Mater Inter
(2014) 6(24):22436–44. doi:10.1021/am506436s 14. Wang BY, Li D, Goodge BH, Lee K, Osada M, Harvey SP, et al. Isotropic Pauli-
Limited Superconductivity in the Infinite-Layer Nickelate Nd0.775Sr0.225NiO2. Nat Phys (2021) 17(4):473–7. doi:10.1038/s41567-020-01128-5 15. Li D, Wang BY, Lee K, Harvey SP, Osada M, Goodge BH, et al. Superconducting Dome in Nd1−xSrxNiO2 Infinite Layer Films. Phys Rev
Lett (2020) 125(2):027001. doi:10.1103/PhysRevLett.125.027001 36. Kawasaki M, Takahashi K, Maeda T, Tsuchiya R, Shinohara M, Ishiyama O,
et al. Atomic Control of the SrTiO3 Crystal Surface. Science (1994) 266(5190):
1540–2. doi:10.1126/science.266.5190.1540 37. Britze K, and Meyer-Ehmsen G. High Energy Electron Diffraction at
Si(001)
Surfaces. Surf
Sci
(1978)
77(1):131–41. doi:10.1016/0039-
6028(78)90166-8 16. Gu Q, Li Y, Wan S, Li H, Guo W, Yang H, et al. Single Particle Tunneling
Spectrum of Superconducting Nd1-xSrxNiO2 Thin Films. Nat Commun (2020)
11(1):6027. doi:10.1038/s41467-020-19908-1 17. Nomura Y, Hirayama M, Tadano T, Yoshimoto Y, Nakamura K, and Arita R. Formation of a Two-Dimensional Single-Component Correlated Electron
System and Band Engineering in the Nickelate Superconductor NdNiO2. Phys Rev B (2019) 100(20):100. doi:10.1103/PhysRevB.100.205138 38. Clarke S, and Vvedensky DD. Origin of Reflection High-Energy Electron-
Diffraction
Intensity
Oscillations
during
Molecular-Beam
Epitaxy:
A
Computational Modeling Approach. Phys Rev Lett (1987) 58(21):2235–8. doi:10.1103/PhysRevLett.58.2235 39. Brooks CM, Kourkoutis LF, Heeg T, Schubert J, Muller DA, and Schlom DG. Growth of Homoepitaxial SrTiO3 Thin Films by Molecular-Beam Epitaxy. Appl Phys Lett (2009) 94(16):162905. doi:10.1063/1.3117365 18. Jiang M, Berciu M, and Sawatzky GA. REFERENCES Phys Rev X (2021) 11(1):11. doi:10.1103/PhysRevX.11.011050 46. Paik H, Chen Z, Lochocki E, Seidner H. A, Verma A, Tanen N, et al. Adsorption-controlled Growth of La-Doped BaSnO3 by Molecular-Beam
Epitaxy. APL Mater (2017) 5(11):116107. doi:10.1063/1.5001839 26. Zhao D, Zhou YB, Fu Y, Wang L, Zhou XF, Cheng H, et al. Intrinsic Spin
Susceptibility and Pseudogaplike Behavior in Infinite-Layer LaNiO2. Phys Rev
Lett (2021) 126(19):197001. doi:10.1103/PhysRevLett.126.197001 47. Klug JHP, and Alexander LE: X-ray Diffraction Procedures for Polycrystalline
and Amorphous Materials In: Ben Post, editors Berichte der Bunsengesellschaft
für physikalische Chem. New York-Sydney-Toronto: John Wiley & Sons
(1975). 79(6):553
1974,
966
Seiten,
Preis:
£
18.55. doi:10.1002/
bbpc.19750790622 27. Wang B-X, Zheng H, Krivyakina E, Chmaissem O, Lopes PP, Lynn JW, et al. Synthesis and Characterization of Bulk Nd1−xSrxNiO2 and Nd1−xSrxNiO3. Phys
Rev Mater (2020) 4(8):4. doi:10.1103/PhysRevMaterials.4.084409 48. Zeng SW, Yin XM, Li CJ, Tang CS, Han K, Huang Z, et al. Observation of
Perfect Diamagnetism and Interfacial Effect on the Electronic Structures in
Nd0.8Sr0.2NiO2 Superconducting Infinite Layers (2021). ArXiv [Preprint]
Available at: https://arxiv.org/abs/2104.14195 (Accessed April 29, 2021). 28. Li Q, He C, Si J, Zhu X, Zhang Y, and Wen H-H. Absence of Superconductivity
in Bulk Nd1−xSrxNiO2. Commun Mater (2020) 1(1):1. doi:10.1038/s43246-
020-0018-1 29. Gao Q, Zhao Y, Zhou X, and Zhu Z. Preparation of Superconducting Thin
Film of Infinite-Layer Nickelate Nd0.8Sr0.2NiO2. Chin Phys Lett (2021) 38(7):
077401. doi:10.1088/0256-307X/38/7/077401 49. Seo SSA, Nichols J, Hwang J, Terzic J, Gruenewald JH, Souri M, et al. Selective
Growth of Epitaxial Sr2IrO4 by Controlling Plume Dimensions in Pulsed Laser
Deposition. Appl Phys Lett (2016) 109(20):201901. doi:10.1063/1.4967450 30. Zhou X-R, Feng Z-X, Qin P-X, Yan H, Wang X-N, Nie P, et al. Negligible
Oxygen Vacancies, Low Critical Current Density, Electric-Field Modulation,
In-Plane Anisotropic and High-Field Transport of a Superconducting
Nd0.8Sr0.2NiO2/SrTiO3 Heterostructure. Rare Met (2021) 40(10):2847–54. doi:10.1007/s12598-021-01768-3 50. Kobayashi K, Kamata N, Fujimoto I, Okada M, and Suzuki T. Effect of Growth
Conditions on Stoichiometry in MBE-Grown GaAs. J Vac Sci Technol B (1985)
3(2):753–5. doi:10.1116/1.583135 51. Schiller S, Beister G, and Sieber W. Reactive High Rate D.C. Sputtering:
Deposition Rate, Stoichiometry and Features of TiOx and TiNx Films with
Respect to the Target Mode. Thin Solid Films (1984) 111(3):259–68. doi:10.1016/0040-6090(84)90147-0 31. Osada M, Wang BY, Goodge BH, Harvey SP, Lee K, Li D, et al. Nickelate
Superconductivity without Rare-Earth Magnetism: (La,Sr)NiO2. (2021). Available at: https://arxiv.org/abs/2105.13494 (Accessed May 27, 2021). 52. Selinder TI, Larsson G, Helmersson U, Olsson P, Sundgren JE, and Rudner S.
Target Presputtering Effects on Stoichiometry and Deposition Rate of Y-Ba-
Cu-O Thin Films Grown by Dc Magnetron Sputtering. Appl Phys Lett (1988)
52(22):1907–9. doi:10.1063/1.99740 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. 53. Nilsen O, Lie M, Fjellvåg HF, and Kjekshus A. Rare Earth Oxide Thin
FilmsGrowth of Oxides with Complex Stoichiometry by the ALD Technique,
Exemplified by Growth of La1–xCaxMnO3. Rare Earth Oxide Thin Films. In:
M Fanciulli and G Scarel, Editors.Topics in Applied Physics. Berlin,
Heidelberg): Springer Berlin Heidelberg (2006). p. 87–100. Frontiers in Physics | www.frontiersin.org September 2021 | Volume 9 | Article 719534 REFERENCES September 2021 | Volume 9 | Article 719534 Frontiers in Physics | www.frontiersin.org 7 Li et al. MBE Growth of Nickelate Superconductors 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. 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. Copyright © 2021 Li, Sun, Yang, Cai, Guo, Gu, Zhu and Nie. 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. September 2021 | Volume 9 | Article 719534 Frontiers in Physics | www.frontiersin.org 8
|
https://openalex.org/W4393327564
|
http://jatiswara.unram.ac.id/index.php/js/article/download/177/150
|
Indonesian
| null |
Kajian Yuridis Tentang Keberadaan Pertambangan Rakyat
|
Jatiswara
| 2,018
|
cc-by
| 7,862
|
ABSTRAK Penelitian ini bertujuan mengkaji keberadaan wilayah pertambangan rakyat di Kabupaten Sumbawa
apakah telah sesuai atau tidak dengan ketentuan peraturan perundang-undangan yang berlaku dan
mengkaji langkah-langkah apa yang dilakukan oleh Pemerintah Daerah terkait dengan keberadaan dan
aktifitas pertambangan rakyat tersebut. Adapun Jenis penelitiannya adalah penelitian normatif empris
dengan metode pendekatan peraturan perundang-undangan, pendekatan konseptual, dan pendekatan
Empiris. Hasil penelitian menunjukkan bahwa Keberdaaan wilayah petambangan rakyat di Kabupaten
Sumbawa belum sesuai dengan ketentuan yang berlaku, karena sampai saat ini lokasi yang dijadikan
sebagai tempat melakukan kegiatan pertambangan rakyat belum ditetapkan sebagai wilayah
pertambangan rakyat dan para pelaku kegiatan pertambangan rakyat tidak memiliki izin pertambangan
rakyat (IPR) dalam melaksankan kegiatan pertambangan rakyat dan Adapun langkah-langkah
dilakukan oleh pemerintah Kabupaten Sumbawa terkait dengan keberadaan dan aktifitas pertambangan
rakyat yaitu melakukan sosialisasi berkaitan dengan peraturan perundang-undangan pertambangan
Mineral dan Batubara serta sosialisasi berkaitan dengan dampak negatif dari adanya kegiatan
pertamabangan rakyat bagi lingkungan dan kesehatan dan melakukan penertiban bagi pelaku
pertambangan rakyat. Kata Kunci: Pertambangan Rakyat Kata Kunci: Pertambangan Rakyat KAJIAN
YURIDIS
TENTANG
KEBERADAAN
PERTAMBANGAN RAKYAT Arief Rahman
Fakultas Hukum Universitas Mataram
Lombok, NTB, Indonesia
Email : ariefrahmanburaeng@yahoo.com Diman Ade Mulada
Fakultas Hukum Universitas Mataram
Lombok, NTB, Indonesia
Email : dimanademulada@yahoo.com 274
Arief Rahman | [Kajian Yuridis…] [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] A. PENDAHULUAN dalam ketentuan Pasal 33 ayat (3) UUD 1945,
bahwa bumi, air, ruang angkasa dan kekayaan
alam yang terkandung didalamnya dikuasai
oleh negara dan dipergunakan untuk sebesar-
besarnya kemakmuran rakyat. Indonesia adalah merupakan salah satu dari
negara di dunia yang memiliki kekayaan
sumber daya alam yang berlimpah. Kekayaan
alam ini bukanlah buatan manusia, melainkan
pemberian dari Allah SWT, oleh sebab itu
manusia
memiliki
tanggungjawab
untuk
mengelola
dan
memanfaatkannya
untuk
kepentingan umat manusia. Di Indonesia
Negara memiliki kewenangan untuk menguasai
sumber daya alam, sebagaimana yang diatur Kekayaan alam yang berlimpah itu salah
satunya terdapat didalam perut bumi, seperti:
batu bara, emas, minyak bumi, nikel, pasir dan
lain sebaginya. Seiring dengan perkembangan
zaman
dan
peningkatan
taraf
kehidupan
masyarakat
yang
menuntut
pemenuhan 274 [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Vol. 33 No. 3 November 2018] kebutuhan yang semakin meningkat, maka
manusia mulai melakukan berbagai cara untuk
memenuhi kebutuhan hidup mereka. Salah satu
cara yang dilakukan adalah dengan melakukan
kegiatan
pertambangan. Kegiatan
pertambangan adalah rangkaian kegiatan dalam
rangka
upaya
pencarian,
penambangan
(penggalian), pengolahan, pemanfaatan dan
penjualan bahan galian. Saat ini sektor
pertambangan di Indonesia merupakan sektor
yang berfungsi mendapatkan devisa Negara
paling besar, namun keberadaan kegiatan dan/
atau usaha tambang di Indonesia kini banyak
dipersoalkan oleh berbagai kalangan dalam hal
implementasinya, Negara sering dihadapkan
pada kondisi dilematis antara pemanfaatan
optimal dengan kerugian lingkungan dan
sosial.1 Ini disebabkan karena keberadaan
kegiatan usaha tambang telah menimbulkan
dampak negatif di dalam pengusahaan bahan
galian.2 Oleh sebab itu untuk menghindari
dampak
negatif
tersebut
maka
kegiatan
pertambangan harus dilakukan sesuai dengan
ketentuan yang berlaku. kebutuhan yang semakin meningkat, maka
manusia mulai melakukan berbagai cara untuk
memenuhi kebutuhan hidup mereka. Salah satu
cara yang dilakukan adalah dengan melakukan
kegiatan
pertambangan. Kegiatan
pertambangan adalah rangkaian kegiatan dalam
rangka
upaya
pencarian,
penambangan
(penggalian), pengolahan, pemanfaatan dan
penjualan bahan galian. Saat ini sektor
pertambangan di Indonesia merupakan sektor
yang berfungsi mendapatkan devisa Negara
paling besar, namun keberadaan kegiatan dan/
atau usaha tambang di Indonesia kini banyak
dipersoalkan oleh berbagai kalangan dalam hal
implementasinya, Negara sering dihadapkan
pada kondisi dilematis antara pemanfaatan
optimal dengan kerugian lingkungan dan
sosial.1 Ini disebabkan karena keberadaan
kegiatan usaha tambang telah menimbulkan
dampak negatif di dalam pengusahaan bahan
galian.2 Oleh sebab itu untuk menghindari
dampak
negatif
tersebut
maka
kegiatan
pertambangan harus dilakukan sesuai dengan
ketentuan yang berlaku. menimbulkan
pencemaran
dan
kerusakan
lingkungan yang tidak terkendali.3 Kabupaten Sumbawa adalah salah satu
wilayah di Indonesia yang saat ini marak
dilakukan kegiatan pertambangan rakyat. 1 Adrian Sutedi.(2011). Hukum Pertambangan ,
Jakarta: Sinar Grafika, hlm.1
2 Salim HS.(2005). Hukum Pertambangan Indonesia
Jakarta: Raja Grafindo Persada, hlm.5. [Kajian Yuridis…] | Arief Rahman
275
3 Nandang Sudrajat.(2010). Teori dan Praktik
Pertambangan Indonesia Menurut Hukum, Jakarta: PT
Buku Seru, hlm. 76. 3 Nandang Sudrajat.(2010). Teori dan Praktik
Pertambangan Indonesia Menurut Hukum, Jakarta: PT
Buku Seru, hlm. 76. 4 Amiruddin dan Zainal Asikin.(2004). Pengantar
Metode Penelitian Hukum, Cetakan Kedua, Jakarta : PT.
Raja Grafindo, hlm. 118. A. PENDAHULUAN Salah
satu jenis pertambangan rakyat yang saat ini
marak dilakukan di Kabupaten Sumbawa
adalah melakukan kegiatan penambangan emas,
karena kita ketahui bahwa Pulau Sumbawa
merupakan salah satu wilayah yang banyak
memiliki
kandungan
emas. Para
pelaku
penambang tidak hanya berasal dari daerah
kabupaten Sumbawa saja, tetapi juga berasal
dari luar daerah kabupaten Sumbawa, seperti
daerah
Lombok,
Tasikmalaya,
Sukabumi,
Madura, Palembang, Flores, Ambon, Manado,
Palembang dan lain-lain. Adapun beberapa
lokasi pertambangan rakyat yang ada di
Kabupaten Sumbawa yang memiliki kandungan
emas yang potensial antara lain: 1. Olat Labaong yang berada di Desa Hijrah
Kecamatan Lape; 2. Olat Cabe yang berada di Kecamaan Moyo
Hilir; y
g
Adapun
salah
satu
bentuk
kegiatan
pertambangan yang saat ini sedang marak
terjadi adalah kegiatan pertambangan rakyat. Kegiatan
pertambangan
rakyat
adalah
merupakan kategori pertambangan skala kecil,
yang diusahakan secara tradisional. Kegiatan
Pertambangan rakyat biasanya dilakukan oleh
masyarakat setempat dengan pelaku usaha yang
tidak diimbangi dengan peralatan, fasilitas,
pengetahuan,
dan
permodalan. Disamping
keterbatasan
tadi,
kendala
aturan
turut
memperparah situasi dan kondisi, sehingga
tambang rakyat cenderung dilakukan tanpa izin
(PETI), sehingga rentan terhadap kecelakaan
dan
keselamatan
kerja,
dan
terkadang 3. Kecamatan Lantung; 4. Olat Paya yang berada di Kecamatan
Empang; 5. Dodo Rinti yang berada di Kecamatan
Lenang Guar; dan masih banyak titik lain
diwilayah
Kabupaten
Sumbawa
yang
memiliki kandungan emas. Kegiatan
penambangan
rakyat
yang
dilakukan di wilayah Kabupaten Sumbawa rata-
rata menggunakan alat seadanya (sederhana)
dalam melakukan kegiatan penambangan. Alat
sederhana
yang
digunakan
oleh
para
penambang
dalam
melakukan
aktifitas
tambangnya seperti mengolah dan memecah
bebatuan mereka menggunakan gelendong. Setelah melalui proses gelondngan batu akan 275 [Kajian Yuridis…] | Arief Rahman [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Vol. 33 No. 3 November 2018] pecah dan terpisah mineral berharga seperti
emas, perak, dan perunggu. Emas yang
terkandung didalamnya masih berwarna silver
kemudian diproses lagi dengan memasukkan
raksa atau merkuri yang dilanjutkan dengan
memijitnya menggunakan kanebo dan nanti
emas akan menempel di kanebo tersebut. Setelah diperoleh hasil emas yang menempel
dikanebu kemudian dilanjutkan ke proses
berikutnyanya yaitu dengan membakar emas
berwarna silver menggunakan api (las) ,
kemudian batu tersebut berubah warna menjadi
emas. Hasil emas akan lebih maksimal lagi jika
melalui proses kembali yakni sisa limbah
dimasukkan ke dalam sebuah tong dan
kemudian dicampur dengan CN dan karbon
yang akan dibakar kembali sehingga hasilnya
pun lebih banyak. sesuai dengan ketentuan peraturan perundang-
undangan yang berlaku. Berdasarkan uraian latar belakang diatas,
maka ada beberapa rumusan masalah yang
diangkat dalam penelitian ini yaitu: 1. 1. Jenis Penelitian Bertolak
dari
judul
dan
perumusan
permasalahan seperti di atas, maka jenis
penelitian ini adalah penelitian hukum normatif
(doktrinal) dan penelitian hukum empris (non
doktrinal). Pada penelitian hukum normatif
(hukum diktrinal), hukum dikonsepkan sebagai
apa yang tertulis dalam peraturan perundang-
undangan
(law
in
book)
atau
hukum
dikonsepkan sebagai kidah atau norma yang
merupakan patokan berprilaku manusia yang
dianggap pantas.4 Sedangkan penelitian hukum
empris (hukum non doktrinal), yaitu penelitian
yang berorentasi pada permasalahan yang
bersifat menyoroti keadaan sosial, sehingga
lebih banyak di dasarkan pada pengumpulan
data lapangan. Namun dibalik cerita penambang banyak
memperoleh
hasil
emas
dari
kegiatan
penambangan yang dilakukan, ternyata ada
kisah yang memilukan dimana tidak sedikit
pula dari penambang yang jadi korban
meninggal didaerah galian tersebut dikarenakan
longsor (runtuhnya galian) didaerah tempat
mereka melakukan kegiatan penambangan
emas. Dan hal ini sama sekali tidak pernah
menyurutkan keinginan mereka untuk menggali
bebatuan
dan
mengolahnya
sehingga
menghasilkan kandungan emas dan dari hasil
penjualan emas tersebut digunakan unuk
memenuhi kebutuhan hidup mereka beserta
anggota
keluarganya. Semangat
pantang
menyerah adalah prinsip mereka. Kejadian serta
kisah yang memilukan itu kerap menimpa para
penambang
rakyat
di
sejumlah
teampat
termasuk di kabupaten Sumbawa, bisa jadi
karena ketidaktahuan dan kecerobohan mereka
dengan mengabaikan tekhnik penambangan
yang baik. Untuk itulah maka sosialisasi
tentang
tehknik
melakukan
kegiatan
penambangan
serta
dampak-dampak
dari
kegiatan tersebut terhadap lingkungan perlu
disampaikan oleh dinas/intstansi terkait. Semua
itu
baru
bisa
terlaksana
jika
kegiatan
pertambangan rakyat dilakukan secara legal A. PENDAHULUAN Apakah keberdaaan wilayah petambangan
rakyat di Kabupaten Sumbawa sudah sesuai
dengan
mekanisme
yang
ditentukan
didalam peraturan perundang-undangan? 2. Langkah-langkah apa yang dilakukan oleh
pemerintah
daerah
terkait
dengan
keberadaan dan aktifitas pertambangan
rakyat yang terjadi di Kabupaten Sumbawa? 276
Arief Rahman | [Kajian Yuridis…] [Kajian Yuridis…] | Arief Rahman
277
5 Ashofa Burhan.(2001). Metodelogi Penelitian
Hukurn, Jakarta: Rineka cipta, hlm. 26
6 Adi Rianto.(2015). Metodelogi Penelitian Sosial
don Hukum, Jakarta: Granit, hlm. 70.
7 Moleong Lexi J.(2005). Metode penelitian
Kuatitatif, Bandung: Remaja Rosdakarya, hlm. 186 a. Tekhnik Observasi c. Pendekatan empiris yaitu pendekatan yang
dilakukakan untuk memahami bagaimana
aturan hukum pertambanganngan rakyat
dilaksanakan dalam praktek di Kabupaten
Sumbawa. Metode observasi atau pengamatan adalah
kegiatan yang dilakukan dengan menggunakan
panca indra mata (untuk melihat), telinga
(untuk mendengar), hidung (untuk mencium),
adalah sebagai alat bantu untuk melalrukan
pengamatan (observasi), sehingga observasi
disebut sebagai suatu cara pengumpulan data
dengan menggrrnakan kemampuan panca indra
untuk mendapatkan data dilapangan. Burhan
mengungkapkan
pengamatan
merupakan
metode yang pertama yang di gunakan dalam
penelitian ilmiah, dan menuntut di penuhinya
syarat-syarat tertentu yang merupakan suatu
jaminan bahwa hasil pengamatan memang
sesuai dengan kenyataan yang menjadi sasaran
penelitian.5 Sedangkan Adi Rianto mengatakan
cara pengamatan, yakni mengamati gejala yang
di teliti, dalam hal ini panca indra manusia
(pengelihatan dan pendengaran) di perlukan
unhrk menangkap gejala yang diamati, apa
yang di dengar dan di lihat kemudian dicatat
dan selanjunya catatan tersebut dianalisis.6 4. Teknik Pengumpulan Data Karena sumber data dalam penelitian terdiri
dari data lapangan dan data kepustakaan maka
pengumpulan
data
dalam
penelitian
ini
dilakukan dengan: 2. Metode Pendekatan Sesuai dengan jenis penelitian diatas, maka
metode pendekatan yang diguanakan sebagai
berikut : a. Pendekatan peraturan perundang-undangan
(statute approach) yaitu pendekatan yang
dilakukan
dengan
mempelajari
atau
menelaah peraturan perundang-undangan 276 [Vol. 33 No. 3 November 2018] yang berhubungan dengan permasalahan
dalam tesis ini. yang berhubungan dengan permasalahan
dalam tesis ini. narasumber yang terkait dengan masalah
yang diteliti. b. Pendekatan
konseptual
(conceptual
approach),
yaitu
pendekatan
yang
dilakukan dengan mempelajari pandangan-
pandangan
dan
doktrin-doktrin
yang
berkembang dalam ilmu hukum yang
berhubungan dengan permasalahan dalam
tesis ini. a. Data Kepustakaan. Data kepustakaan dalam penelitian hukum,
mencangkup bahan hukum primer, bahan
hukum skunder dan bahan hukum tersier. Adapun ketiga bahan hukum dimaksud dapat
dijelaskan sebagai berikut : 1. Bahan hukum primer, yaitu bahan hukum
yang mengikat yang terdiri dari Peraturan
Perundang-undangan yang berkaitan dengan
masalah yang akan diteliti, 2. Bahan hukum sekunder, yaitu bahan hukum
yang
memberikan
penjelasan
terhadap
bahan hukum primer, yang terdiri dari
berbagai kepustakaan mengenai kehutanan,
pendapat-pendapat para sarjana (doktrin),
karya ilmiah lainnya yang terkait masalah
dalam penelitian ini. 3. Sumber dan Jenis Data Berdasarkan metode pendekatan di atas
maka yang menjadi sumber dan jenis data
dalam penelitian ini adalah data kepustakaan
dan data lapangan. a. Data Kepustakaan. C. PEMBAHASAN b. Potensi Hasil Laut Barat : Kabupaten Sumbawa Barat. Barat : Kabupaten Sumbawa Barat. Kabupaten Sumbawa memiliki luas wilayah
8.493 km² dengan memiliki jumlah kecamatan
sebanyak 24 wilayah yang terdiri dari:
Kecamatan Empang, Kecamatan Sumbawa,
Kecamatan Plampang, Kecamatan Batu Lanteh,
Kecamatan
Lape,
Kecamatan
Lopok,
Kecamatan Utan, Kecamatan Moyo Hilir,
Kecamatan Alas, Kecamatan Moyo Hulu,
Kecamatan
Ropang,
Kecamatan
Lunyuk,
Kecamatan
Tarano,
Kecamatan
Maronge,
Kecamatan Unter Iwes, Kecamatan Rhee,
Kecamatan Buer, Kecamatan Moyo Utara,
Kecamatan Lantung, Kecamatan Orong Telu,
Kecamatan Lenangguar, Kecamatan Labangka,
Kecamatan Labuhan Badas dan Kecamatan
Alas Barat. Sedangkan Jumlah penduduk
Kabupaten Sumbawa saat ini sekitar kurang
lebih 507.715. 8 M. Junus Melalatoa.(1988). Ensiklopedi nasional
Indonesia, Jilid 15. Jakarta: Cipta Adi Pustaka, hlm. 387. c. Teknik Dokomentasi Yaitu tekhnik pengumpulan data yang
diperoleh dengan menghimpun, mengkaji
bahan-bahan hukum yang berupa peraturan
perundang-undangan,
buku-buku,
artikel
ilmiah, laporan-laporan penelitian dan bahan
kepustakaan lainnya yang berbungan dengan
permasalahan dalam penelitian ini. 278
Arief Rahman | [Kajian Yuridis…] b. Teknik Wawancara Wawancara merupakan percakapan dengan
maksud tertentu yang dilahirkan oleh dua belah
pihak,
yaitu
antara
pewawancara
yang
mengajukan pertanyaan dan yang diwawancarai
yang memberikan jawaban atas pertanyaan itu.7
Penulis memperoleh data lapangan melalui 3. Bahan hukum tersier, yaitu bahan hukum
yang
memberikan
petunjuk
maupun
penjelasan terhadap bahan hukum primer
dan bahan hukum sekunder, yang terdiri
dari Kamus Besar Bahasa Indonesia dan
kamus hukum. b. Data Lapangan yaitu data yang diperoleh
langsung dari lapangan penelitian dengan
cara
melakukan
wawancara
kepada [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Vol. 33 No. 3 November 2018] Utara : Laut Flores dan Teluk Saleh; Utara : Laut Flores dan Teluk Saleh; Utara : Laut Flores dan Teluk Saleh; C. PEMBAHASAN
Keberadaan
Pertambangan
Rakyat
Di
Kabupaten Sumbawa. c. Potensi Peternakan; 5. Analisis Bahan Hukum/Data. Dari semua bahan hukum atau data yang
berhasil dikumpulkan, kemudian diolah, dan
dianalisis secara kualitatif dengan maksud
untuk memperoleh suatu jawaban tentang
Kajian Yuridis Keberadaan Izin Pertambangan
Rakyat Di Kabupaten Sumbawa, sehingga
diperoleh suatu kesimpulan yang signifikan
dengan pokok permasalahan yang diangkat
melalui metode deskriptif yaitu dalam bentuk
uraian yang dirumuskan dengan pola pikir yang
runtun dan logis. Analisis kulitatif dilakukan
dengan cara deduktif induktif, yaitu menarik
suatu kesimpulan dari data yang sifatnya umum
ke
khusus
untuk
memperoleh
kejelasan
terhadap
suatu
kebenaran,
sehingga
memperoleh gambaran yang jelas terkait
masalah yang diteliti Wilayah
Kabupaten
Sumbawa
juga
mencakup sejumlah pulau-pulau di sebelah
utara Pulau Sumbawa, termasuk Pulau Moyo
(pulau terbesar), Pulau Medang, Pulau Panjang,
Pulau Liang, Pulau Ngali dan Pulau Rakit. Selain itu juga Wilayah Kabupaten Sumbawa
punya lima gunung. Gunung Batu Lanteh
mempunyai ketinggian 1.730 meter di atas
permukaan laut, Gunung Takan 1.400 meter,
Gunung Jaran Pusang 1.283 meter, Gunung
Tongo 1.167 meter dan Gunung Dodo 1.147
meter.8 Adapun beberapa potensi alam di
Kabupaten Sumbawa yang dijadikan sebagai
penopang ekonomi masyarakatnya yaitu: a. Potensi Pertanian dan Perkebunan; Utara : Laut Flores dan Teluk Saleh; wawancara secara langsung dengan para
narasumber yang terkait dengan permasalahan
yang diteliti yaitu masyarakat yang terlibat
dalam kegiatan pertambangan rakyat dan
pemerintah daerah dalam hal ini Dinas
Pertambangan. Timur : Kabupaten Dompu; Selatan : Samudra Hindia; [Vol. 33 No. 3 November 2018] No. Kecamatan
Lokasi
Jenis Komuditas
10
Kecamatan Maronge
- Olat Grutuk
- Gili Kele
- Maja
- Batuan
- Emas
-Emas
11
Kecamatan Plampang
- Klepe
- Sejari
- Teluk Santong
- Batuan
- Batuan
- Emas
12
Kecamatan Empang
- Gapit
- Batuan
13
Kecamatan Ropang
- Dodo Rintih
- Emas
14
Kecamatan Lantung
- Labangkang
- Toyang
- Omal Pandang
- Emas
- Emas
- Emas
15
Kecamatan Lunyuk
- Emang lestari
- Pasir besi
Sumber data: Dinas Pertambangan dan Mineral pertambangan yang ada dikabupaten Sumbawa,
khususnya potensi pertambangan emas. Karena
kita ketahui bersama saat ini di kabupaten
Sumbawa kegiatan penambangan emas sedang
gencar-gencarnya
dilakukan. Para
pelaku
penambangan tidak hanya para pemilik modal
besar dalam bentuk perusahaan saja, tetapi juga
para pemilik modal kecil juga ikut serta dalam
melakukan kegiatan penambangan emas, baik
itu dalam bentuk kelompok maupun orang
perseorangan. Untuk para pemilik modal kecil
yang ikut melakukan kegiatan penambangan
emas dapat dikategorikan dalam jenis kegiatan
pertambangan rakyat. Pertambangan rakyat
adalah
suatu
usaha
pertambangan
yang
dilakukan dalam wilayah pertambangan rakyat
oleh rakyat secara kecil-kecilan atau secara
gotong royong dengan menggunakan alat-alat
sederhana
dalam
melakukan
kegiatan
penambangan. Artinya
bahwa
proses
pelaksanaan
pertambangan
rakyat
masih
bersifat
tradisional. Adapun
lokasi-lokasi
tambang yang menjadi obyek pertambangan
rakyat di Kabupaten Sunbawa Besar, antara
lain: g
Kabupaten Sumbawa g
Kabupaten Sumbawa Sehingga dari tabel diatas, kita dapat
melihat ada beberapa lokasi penambangan emas
rakyat yang terdapat di wilayah kabupaten
Sumbawa antara lain yaitu: di wilayah
Kecamatan Alas Barat Tempatnya di Lekong,
Kecamatan Alas tempatnya di Juran Alas,
Kecamatan Maronge tempatnya di Gili Kele
dan Maja, Kecamatan Plampang tempatnya di
Teluk Santong, Kecamatan Ropang Tempatnya
di Dodo Rintih, dan Kecamatan Lantung
tempatnya di Labangkang, Toyang, dan Omal
Padang. Adapun para subyek yang melakukan
kegitan
penambangan
emas
rakyat
di
Kabupaten Sumbawa tidak hanya masyarakat
Sumbawa saja, tetapi juga datang dari luar
daerah kabupaten Sumbawa seperti, Lombok,
Madura,
Bandung,
Tasikmalaya,
Garut,
Sukabumi, Palembang, Riau, Aceh, Ambon,
Flores, Manado, Goa, bahkan Papua. Dalam
melakukan kegiatan penambangan emas rakyat,
para
penambang
melakukan
kegiatan
penambangannya pada beberapa lokasi, yaitu: Daftar Lokasi Penambangan Rakyat Tanpa Daftar Lokasi Penambangan Rakyat Tanpa
Izin Di Kabupaten Sumbawa 2016
No. Kecamatan
Lokasi
Jenis Komuditas
1
Kecamatan Alas Barat
- Lekong
- Samping Putri
Balkis
- Emas
- Batuan
2
Kecamatan Alas
- Ai Tawar
- Juran Alas
- Keramat
- Batuan
- Emas
- Batuan
3
Kecamatan Buer
- Berang DS. d. Potensi Pertambangan. d. Potensi Pertambangan. Kabupaten
Sumbawa
adalah
sebuah
kabupaten di Provinsi Nusa Tenggara Barat,
Indonesia. Ibukotanya adalah Sumbawa Besar. Kabupaten ini terletak di sebagian besar bagian
barat Pulau Sumbawa dengan batas-batas
wilayahnya sebagai berikut: Dari keempat potensi alam yang dijadikan
penompang ekonomi masyarakat diatas, peneliti
ingin mengkaji lebih dalam mengenai potensi [Vol. 33 No. 3 November 2018] Kalabeso
- Batuan
4
Kecamatan Utan
- Dsn Batu Rea Bale Berang
- Brang Utan
- Tanah
- Batuan
5
Kecamatan Labu Badas
- Sungai kanar
- SungaiKayu Madu
- Pelita Nusantara
- Sebelum pelabuhan Badas
- Samping karantina
- Batuan
- Batuan
- Batuan
- Batuan
- Batuan
6
Kecamatan Sumbawa
- Sepanjang sungai sumbawa
dari pekat berang bara bugis
berang biji dan lempeh. - Gunung setia
- Batuan
- Batuan
7
Kecamatan Unter Iwes
- Nijang sepanjang desa sering. - Bantuan
8
Kecamatan Lape
- Labaong
- Emas
9
Kecamatan Lopok
- Labaong
- Bungai Baegtango
- Emas
- Batuan Daftar Lokasi Penambangan Rakyat Tanpa
Izin Di Kabupaten Sumbawa 2016 a) Penambangan dilakukan diatas tanah hak
milik; b) Penambangan
dilakukan
diatas
tanah
Negara; c) Penambangan
dilakukan
pada
wilayah
kawasan hutan. Dalam
memilih
lokasi
kegiatan
penambangan, para penambang tidak boleh
secara serta sesuai
dengan keinginannya
memilih lokasi mana yang akan dilakukan
kegiatan penambangan emas. Para penambang [Kajian Yuridis…] | Arief Rahman 279 [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Vol. 33 No. 3 November 2018] Perwakilan Rakyat Republik Indonesia (DPR
RI). Wilayah
pertambangan
yang
sudah
ditetapkan dalam kurun waktu tertentu dapat
dilakukan
perubahan,
tentunya
harus
berdasarkan hasil peneyelidikan dan penelitan. terlebih dahulu harus mengecek apakah lokasi
tempat mereka ingin melakukan kegiatan
penambangan telah ditetapkan oleh pemerintah
sebagai wilayah pertambangan rakyat (WPR)
atau tidak, meskipun wilayah tersebut memiliki
banyak kandungan emas. Adapun tahapan-
tahapan suatu wilayah dapat ditetapkan sebagai
wilayah pertambangan rakyat (WPR) sebagai
berikut: Setalah
dilakukan
penetapan
wilayah
pertambangan (WP), kemudian dilanjutkan ke
tahap penetapan wilayah pertambangan rakyat
(WPR). Wilayah Pertambangan Rakyat (WPR)
adalah bagian dari wilayah pertambangan
tempat dilakukan kcgiatan usaha pertambangan
rakyat. Berikut
tahapan-tahapan
dalam
melakukan penetapan wilayah pertambangan
rakyat (WPR): 1. Melakukan
Perencanaan
wilayah
pertambangan. Perencanaan
wilayah
pertambangan
dilakukan melalui 2 Tahap yaitu: 1. Melakukan kegiatan eksplorasi pada
wilayah usaha pertambangan a. Melakukan
Inventarisasi
potensi
pertambangan. Inventarisasi potensi pertambangan
dilakukan
dengan
tujuan
untuk
mengumpulkan data dan informasi
potensi
pertambangan
yang
dapat
digunakan sebagai dasar penyusunan
rencana
penetapan
Wilayah
Pertambangan. Inventarisasi
potensi
pertambangan dilakukan dengan cara
melakukan penyelidikan dan penelitian
pertambangan. Walaupun pada waktu melakukan
penetapan wilayah pertambangan sudah
terdapat data peta potensi mineral
dan/atau
batubara,
pejabat
yang
berwenang menetapkan wilayah usaha
pertambanagn dapat juga melakukan
kegiatan ekspolarasi untuk memperoleh
data dan informasi. 280
Arief Rahman | [Kajian Yuridis…] [Vol. 33 No. 3 November 2018] Data dan informasi hasil eksplorasi
kemudian harus diolah menjadi peta
potensi / cadangan mineral dan /atau
batubara yang minimal memuat sebaran
potensi/ cadangan mineral dan/atau
batubara. Peta
potensi/
cadangan
mineral dan/atau Batubara dibuat dalam
bentuk lembar peta dan digital dan
digunakan untuk menyusun rencana
wilayah pertambangan rakyat (WPR). b. Menyusun
Rencana
Wilayah
Pertambangan. b. Menyusun
Rencana
Wilayah
Pertambangan. Penyusunan
rencana
wilayah
pertambangan dituangkan dalam lembar
peta dan dalam bentuk digital. Peta
harus
menggambarkan
wilayah
pertambangan dalam bentuk zona yang
di-delineasi dalam garis putus-putus. Rencana wilayah pertambangan bisa
terdiri atas wilayah usaha pertambangan
(WUP), wilayah pertambangan rakyat
(WPR), dan atau wilayah pencandangan
nasional (WPN) tergantung dari hasil
evaluasi menteri. 2. Penyusunan
rencana
wilayah
pertambangan rakyat (WPR)
Penyusuna
rencana
wilayah
pertambangan rakyat (WPR) dalam
wilayah pertambangan didasarkan pada
peta potensi mineral dan/atau batubara
serta peta potensi/ cadangan mineral
dan/atau batubara dan juga harus
memenuhi beberapa kriteria wilayah
pertambangan rakyat (WPR). Berikut
kriteria wilayah pertambangan rakyat
(WPR): 2. Penetapan Wilayah Pertambangan 2. Penetapan Wilayah Pertambangan Penetapan wilayah pertambangan dilakukan
oleh
menteri
setelah
terlebih
dahulu
berkoordinasi dengan gubernur, bupati atau
walikota serta berkonsultasi dengan Dewan 280
Arief Rahman | [Kajian Yuridis…] [Vol. 33 No. 3 November 2018] [Vol. 33 No. 3 November 2018] Dengan telah ditetapkannya suatu wilayah
menjadi
wilayah
pertambangan
rakyat,
kemudian hasil penetapan tersebut dituangkan
atau dimasukkan dalam bentuk peta rencana
tata ruang wilayah, dalam hal ini rencana tata
ruang wilayah Kabupaten Sumbawa. Sehingga
atas dasar itu kemudian dijadikan sebagai acuan
dalam memberikan izin usaha pertambangan
rakyat bagi subyek yang ingin melakukan
kegiatan pertambangan rakyat. Para penambang
emas
sebelum
melakukan
kegiatan
pertambangan rakyat, terlebih dahulu harus
mengantongi atau memiliki izin pertambangan
rakyat (IPR) dari pejabat yang berwenang. Menurut Undang-Undang Nomor 4 Tahun 2009
Tentang Pertambangan Mineral dan Batubara
disebutkan bahwa pejabat yang berwenang
mengeluarkan izin pertambangan rakyat adalah
Bupati/Walikota, kemudian Bupati/Walikota
dapat melimpahkan kewenangan pelaksanaan
pemberian IPR kepada camat sesuai dengan
ketentuan
peraturan
perundang-undangan. Namun
dalam
perkembangannya
setelah
dikeluarkannya Undang-Undang Nomor 23
Tahun 2014 Tentang Pemerintah Daerah, pada
bagian
lampirannya
diatur
mengenai
kewenangan mengeluarkan izin pertambangan
rakyat tidak lagi berada pada Bupati/Walikota
tetapi menjadi kewenangan Gubernur. Izin
Pertambangan
Rakyat
adalah
izin
untuk
melaksanakan
usaha
pertambangan
dalam
wilayah pertambangan rakyat dengan luas
wilayah
dan
investasi
terbatas. Untuk
memperoleh izin pertambangan rakyat (IPR)
ada beberapa tahapan yang harus dilalui, yaitu: a. mempunyai
cadangan
mineral
sekunder yang terdapat di sungai
dan/atau diantara tepi dan tepi
sungai; b. mempunyai cadangan primer logam
atau batubara dengan kedalaman
maksimal 25 (dua puluh lima)
meter; c. merupakan endapan teras, dataran
banjir, dan endapan sungai purba; d. luas maksimal WPR scbesar 25 (dua
puluh lima) hektare; e. menyebutkan jenis komoditas yang
akan ditambang; f. merupakan wilayah atau tempat
kegiatan tambang rakyat yang sudah
dikerjakan sekurang-kurangnya 15
(lima belas) tahun; g. tidak tumpang tindih dengan WUP
dan WPN; dan h. merupakan
kawasan
peruntukan
pertarnbangan
sesuai
dengan
rencana tata ruang. 9 Wawancara dengan Bapak Sahabuddin, Selaku
Mantan Sekretaris Dinas Pertambnagan Kabupaten
Sumbawa, Pada Tanggal 10 November 2017 [Vol. 33 No. 3 November 2018] [Vol. 33 No. 3 November 2018] 2) Melakukan
evaluasi
terhadap
permohonan izin pertambangan rakyat
Gubernur melakukan evaluasi terhadap
permohonan
dan
persyaratan
yang
diajukan
oleh
pemohon
izin
pertambangan
rakyat
apakah
telah
sesuai
dengan
persyaratan
yang
ditentukan atau tidak. Kalau tidak sesuai
dengan persyaratan, maka Gubernur
akan
menolaknya
dengan
cara
pemberitahuan secara tertulis disertai
dengan
alasan
penolakannya. Jika
diterima maka juga akan diberitahukan
secara tertulis. rakyat tidak memiliki izin dari pejabat yang
berwenang.9 Langkah-Langkah
Yang
Dilakukan
Pemerintah
Sumbawa
Terkait
Dengan
Keberadaan Dan Aktifitas Pertambangan
Rakyat. Langkah-Langkah
Yang
Dilakukan
Pemerintah
Sumbawa
Terkait
Dengan
Keberadaan Dan Aktifitas Pertambangan
Rakyat. Arief Rahman | [Kajian Yuridis…] 3. Penetapan Wilayah Pertambangan Rakyat
(WPR) 3. Penetapan Wilayah Pertambangan Rakyat
(WPR) Penetapan wilayah pertambangan dilakukan
setelah wilayah di dalam wilayah pertambangan
(WP) memenuhi kriteria untuk ditetapkan
menjadi wilayah pertambangan rakyat (WPR). Pejabat yang berwenang untuk menetapkan
wilayah pertambangan rakyat (WPR) adalah
Bupati/Walikota. Penetapan
wilayah
pertambangan
rakyat
(WPR)
disampaikan
secara tertulis oleh Bupati/Walikota kepada
Menteri dan Gubernur. Sebelum menetapkan
wilayah
pertambangan
rakyat
(WPR),
Bupati/Walikota
terlebih
dahulu
harus
berkoordinasi
dengan pemerintah provinsi
untuk mendapatkan pertimbangan berkaitan
dengan data dan informasi yang dimiliki oleh
pemerintah provinsi dan berkonsultasi dengan
Dewan Perwakilan Rakyat Daerah (DPRD)
kabupaten/kota untuk meperoleh pertimbangan
berkaitan dengan pertambangan rakyat. 1) Mengajukan
permohonan
izin
pertambangan rakyat Permohonan izin pertambangan rakyat
dibuat
dalam
bentuk
tertulis
dan
ditujukan kepada Gubernur disertai
dengan
melampirkan
persyaratan-
persyaratan
yang
harus
dilengkapi
seperti:
Persyaratan
Administratif,
Persyaratan Tekhnis, dan Persayaratan
financial. [Kajian Yuridis…] | Arief Rahman 281 10 Wawancara dengan Bapak Guntur Selaku Pelaku
Penambangan Rakyat, Pada Tanggal 11 November 2017 [Kajian Yuridis…] | Arief Rahman
283
11 Ibid.
12 Wawancara dengan Bapak Syamsudin Selaku
Teknisi Lubang Pada Tanggal 11 November 2017. Langkah-Langkah
Yang
Dilakukan
Pemerintah
Sumbawa
Terkait
Dengan
Keberadaan Dan Aktifitas Pertambangan
Rakyat. Mempersiapakan
alat-alat
untuk
melakukan kegiatan penambangan
Setelah tenda selesai dibuat kemudian
para
penambang
mempersiapkan
peralatan yang akan digunakan untuk
melaksankan
kegiatan
penambangan,
seperti cangkul, betel, palu, dulang,
linggis, senter kepala, sarung tangan,
jenset, blower, karung, terpal, bambu, tali,
papan kayu dan alat-alat lainnya. c. Mempersiapakan
alat-alat
untuk
melakukan kegiatan penambangan
Setelah tenda selesai dibuat kemudian
para
penambang
mempersiapkan
peralatan yang akan digunakan untuk
melaksankan
kegiatan
penambangan,
seperti cangkul, betel, palu, dulang,
linggis, senter kepala, sarung tangan,
jenset, blower, karung, terpal, bambu, tali,
papan kayu dan alat-alat lainnya. 2. Mereka memiliki pekerjaan, tapi hasilnya
belum dapat menutupi biaya kebutuhan
sehari-hari sehingga melakukan kegiatan
penambangan emas; 3. Melihat keuntungan yang lumayan besar
jika melakukan kegiatan penambangan
emas. Dalam
melaksanakan
kegiatan
penambangan
emas,
para
penambang
menggunakan
cara
tradisional
dalam
melakukan kegiatannya. Artinya bahwa alat-
alat yang digunakan oleh para penambang tidak
menggunakan peralatan yang canggih dan
modern
tetapi
menggunakan
alat
yang
sederhana seperti cangkul, betel, palu, dulang,
linggis, senter, sarung tangan, mesin jenset,
blower, karet sumur, karung, terpal, bambu,
papan kayu, tali nilon dan lain sebagainya. Adapun tahapan-tahapan yang dilakukan oleh
para penambang rakyat dalam melakukan
kegiatan penambangan emas secara tradisonal
yang dilakukan di Kabupaten Sumbawa adalah
sebagai berikut: p p
y
y
d. Melakukan penggalian pada lokasi yang
telah dipilih. Sebelum
melakukan
kegiatan
penggalian tambang emas, terlebih dahulu
para penambang melakukan pembagian
tugas
dalam
melaksanakan
kegiatan
penambangan. Pembagian tugas tersebut
meliputi:11 d. d. Melakukan penggalian pada lokasi yang
telah dipilih. Sebelum
melakukan
kegiatan
penggalian tambang emas, terlebih dahulu
para penambang melakukan pembagian
tugas
dalam
melaksanakan
kegiatan
penambangan. Pembagian tugas tersebut
meliputi:11 1) Bertugas
sebagai
orang
yang
menyediakan segala kebutuhan yang
diperlukan selama proses penggalian; 2) Bertugas
sebagai
orang
yang
memasukkan hasil penambangan material
emas kedalam karung. 3) Bertugas sebagai orang yang mengangkut
hasil material emas yang sudah di galih ke
atas sumur. a. Penentuan lokasi tambang
Dalam menentukan lokasi yang akan
ditambang
dilakukan
dengan
cara
menggunakn dulangan. Dulangan adalah
alat yang digunakan untuk menentukan
titik kandungan emas. Biasanya orang-
orang yang melakukan pencaharian titik
lokasi yang memiliki kandungan emas
adalah tekhnisi yang didatangkan dari luar
kota Sumbawa besar, seperti: lampung,
tasikmalaya, dan manado.10 4) Bertugas sebagai pelaksana tekhnis dari
kegiatan pertambangan emas. Pelaksanaan
tekhnis ini berkaitan dengan melakukan
kegiatan penggalian lokasi tambang yang
telah ditentukan. Penggalian dilakukan
dengan menggunakan alat-alat seperti:
linggis,
cangkul,
dan
palu
untuk
memperoleh jalur emas. b. Pembuatan tenda pada lokasi kegiatan
penambangan emas. Langkah-Langkah
Yang
Dilakukan
Pemerintah
Sumbawa
Terkait
Dengan
Keberadaan Dan Aktifitas Pertambangan
Rakyat. Kabupaten Sumbawa merupakan salah satu
wilayah di Indonesia yang dapat dikatakan
beruntung
karena
dianugrahi
beberapa
kekayaan alam yang cukup berlimpah. Salah
satu bentuk kekayaan alam yang terdapat di
wilayah Kabupaten Sumbawa adalah barang
tambang jenis mineral. Mineral adalah senyawa
anorganik yang terbentuk di alam, yang
memiliki sifat fisik dan kimia tertentu serta
susunan kristal teratur atau gabungannya yang
membentuk batuan, baik dalam bentuk lepas
atau padu. Salah satu jenis barang tambang
mineral yang banyak terdapat dikabupaten
Sumbawa
adalah
mineral
logam
emas. Sehingga dengan melihat potensi tersebut
menjadi magnet atau daya tarik bagi para
penambang
untuk
melakukan
kegiatan
pertambangan emas. Kegiatan penambangan
emas dapat dikelompokkan menjadi 3 (tiga)
kelompok yaitu: Penambangan skala besar,
penambangan
skala
menengah
dan
penambangan skala kecil. 3) Menerbitkan izin pertambangan rakyat
Izin
pertambangan
rakyat
akan
diterbitkan
apabila
pemohon
telah
memenuhi segala persyaratan yang
ditentukan. Jika telah terpenuhi segala
persyaratan tersebut maka Gubernur
akan menrbitkan izin pertambangan
rakyat untuk diberikan kepada pemohon
yang telah memenuhi segala persyaratan
untuk memperoleh izin pertmbangan
rakyat. 3) Menerbitkan izin pertambangan rakyat
Izin
pertambangan
rakyat
akan
diterbitkan
apabila
pemohon
telah
memenuhi segala persyaratan yang
ditentukan. Jika telah terpenuhi segala
persyaratan tersebut maka Gubernur
akan menrbitkan izin pertambangan
rakyat untuk diberikan kepada pemohon
yang telah memenuhi segala persyaratan
untuk memperoleh izin pertmbangan
rakyat. Dengan
telah
memperoleh
izin
pertambangan Rakyat (IPR) dari pejabat yang
berwenang maka para penambang kemudian
berkewajiban untuk melaksanakan kegiatan
usaha pertambangan pada lokasi wilayah yang
telah ditentukan dalam izin tersebut. Pemberian
izin pertambangan rakyat (IPR) tidak secara
otomatis dengan pemberian hak atas tanah,
maka konsekuensinya apabila mau melakukan
kegiatan
pertambangan
di
wilayah
pertambangan rakyat sesuai dengan lokasi izin
pertambangan rakyat harus dibebaskan terlebih
dahulu dari pemegang haknya. Di Kabupaten
Sumbawa, semua kegiatan pertambangan rakyat
dilakukan pada wilayah yang belum ditetapkan
sebagai kawasan wilayah pertambangan rakyat,
meskipun
diwilayah
tersebut
banyak
mengandung kandungan emasnya dan mereka
dalam melakukan kegiatan usaha pertambangan Di Kabupaten Sumbawa saat ini yang
paling
banyak
melakukan
kegiatan
penambangan emas ialah kelompok penambang
emas skala kecil atau biasa kita kenal dengan
istilah pertambangan rakyat. Para pelaku
pertambangan
rakyat
biasanya
adalah
masyarakat
golongan
ekonomi
menengah
kebawah. Mereka mau melakukan kegiatan
pertambangan disebabkan karena beberapa hal
yaitu: 1. Karena mereka tidak memiliki pekerjaan
sama sekali; Arief Rahman | [Kajian Yuridis…] 282 [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Vol. 33 No. 3 November 2018] c. 11 Ibid.
12 Wawancara dengan Bapak Syamsudin Selaku
Teknisi Lubang Pada Tanggal 11 November 2017. [Vol. 33 No. 3 November 2018] [Vol. 33 No. 3 November 2018] Ketika
penambang
telah
menemukan
jalur
emas
maka
selanjutnya mereka melakukan kegiatan
pembetelan
pada
bebatuan
yang
terindikasi
mengandung
kandungan
emas dengan mengikuti jalur tersebut
sampai habis. Hasil bebatuan yang telah
dibetel
tersebut
kemudian
oleh
penambang lainnya dimasukkan ke
dalam karung yang berukuran 25
kilogram
(kg). Setelah
material
bebatuan emas terisi penuh dikarung
kemudian di angkat menggunakan tali
nilon serta roda penarik yang terbuat
dari kayu untuk di tarik ke atas
permukaan
lubang. Berdasarkan
wawancara dengan Bapak Bahudin
selaku teknisi lubang, ada dua jenis
bentuk emas yang terdapat di kabupaten
Sumbawa yaitu:13 Emas butiran dan
emas debu. f. Melakukan Pengolahan emas. Untuk proses pengolahan emas biasanya
dilakukan langsung pada lokasi tambang
emas rakyat atau juga bisa dilakukan
didalam
wilayah
desa
tergantung
dimana gelondongnya ditaruh oleh
penambang
emas.14
Gelondong
merupakan
alat
untuk
mengolah
bebatuan
menjadi
halus
dengan
mengunakan air raksa sebagai cairan
untuk menarik emas yang terkandung
dalam bebatuan tersebut. g. Melakukan penguningan emas
Penguningan
emas
adalah
merupakan
kegiatan
pengecoran
terhadap emas yang masih mentah yang
di
peroleh
pada
saat
melakukan
penggelondongan. Karena warna emas
yang
diperoleh
setelah
melakukan
penggelondongan
adalah
berwarna
silver maka harus dilakukan kegiatan
penguningan
emas. Kegiatan
penguningan emas dilakukan dengan
menggunakan alat pompa cor. Alat
pompa cor adalah merupakan alat
sederhana yang paling sering digunakan
oleh
penjual
perhiasaan
untuk
menguningkan warna emas. g. Melakukan penguningan emas
Penguningan
emas
adalah
merupakan
kegiatan
pengecoran
terhadap emas yang masih mentah yang
di
peroleh
pada
saat
melakukan
penggelondongan. Karena warna emas
yang
diperoleh
setelah
melakukan
penggelondongan
adalah
berwarna
silver maka harus dilakukan kegiatan
penguningan
emas. Kegiatan
penguningan emas dilakukan dengan
menggunakan alat pompa cor. Alat
pompa cor adalah merupakan alat
sederhana yang paling sering digunakan
oleh
penjual
perhiasaan
untuk
menguningkan warna emas. e. Pengangkutan material emas dari lokasi
tambang menuju tempat pengolahan
emas. emas. Pengangkutan material emas dari
lokasi
tambang
menuju
tempat
pengolahan
emas
mengunakan
kendaraan dan juga bisa menggunakan
batuan dari hewan ternah yaitu kuda
tergantung
letak
lokasi
penambangannya. Kalau
lokasi
penambangannya berada pada wilayah
yang tidak memiliki akses jalan masuk
maka alat angkut yang digunakan adalah
menggunakan hewan ternak yaitu kuda,
tapi jika akses masuk ke lokasi tambang
tersebut ada maka pengangkutan hasil
tambang
emas
bisa
menggunakan
kendaraan, baik itu kendaraan roda dua
maupun
kendaraan
roda
empat
tergantung besar jalan menuju lokasi
pertambangan rakyat tersebut. h. Penjualan hasil tambang emas. Hasil emas yang telah melalui proses
penguningan,
kemudian
oleh
penambang dijual kepada pembeli emas. 14 Op. Cit wawancara dengan Bapak Guntur. 13 Wawancara dengan Bapak M. Amirin Selaku
Pelaku Penambang Emas Rakyat Pada Tanggal 11
November 2017. 284
Arief Rahman | [Kajian Yuridis…]
13 Wawancara dengan Bapak M. Amirin Selaku
Pelaku Penambang Emas Rakyat Pada Tanggal 11
November 2017. Langkah-Langkah
Yang
Dilakukan
Pemerintah
Sumbawa
Terkait
Dengan
Keberadaan Dan Aktifitas Pertambangan
Rakyat. Setelah memperoleh lokasi yang akan
ditambang, para penambang kemudian
membuat tenda dengan menggunakan
terop sebagai atapnya dan bambu sebagai
tiangnya pada tempat atau lokasi yang
akan dilakukan penggalian tambang emas. b. Pembuatan tenda pada lokasi kegiatan
penambangan emas. b. Pembuatan tenda pada lokasi kegiatan
penambangan emas. Setelah memperoleh lokasi yang akan
ditambang, para penambang kemudian
membuat tenda dengan menggunakan
terop sebagai atapnya dan bambu sebagai
tiangnya pada tempat atau lokasi yang
akan dilakukan penggalian tambang emas. Berdasarkan
hasil
wawancara
dengan bapak Herudin selaku teknisi
lubang, bahwa jenis- jenis jalur emas di
dalam lubang antara lain:12 Berdasarkan
hasil
wawancara
dengan bapak Herudin selaku teknisi
lubang, bahwa jenis- jenis jalur emas di
dalam lubang antara lain:12 a) Jalur Baygon; b) Jalur tancap; c) Jalur nampar. 283 [Vol. 33 No. 3 November 2018] Hasil penjualan emas tersebut kemudian
akan dibagi rata oleh para penambang. Kegiatan penambangan rakyat meskipun
dilakukan
secara
tradisional
akan
tetapi
menimbulkan dampak atau akibat. Dampak itu
dapat berupa dampak positif dan juga dampak
negatif. Dampak positif dari adanya keberadaan
pertambangan rakyat di Kabupaten Sumbawa
antara lain: 1. Membuka
atau
menciptkan
Lapangan 1. Membuka
atau
menciptkan
Lapangan
Pekerjaan; 1. Membuka Pekerjaan; 14 Op. Cit wawancara dengan Bapak Guntur. [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Vol. 33 No. 3 November 2018] terjadinya longsor dikarenakan teknik
penambangan
yang
digunakan
penambang
dalam
melakukan
penggalian
tidak
secara
berjenjang
(trap-trap),
tetapi
dilakukan
sesuai
dengan kemauan mereka , sehingga
tanah yang digali tersebut rentan runtuh
(longsor)
dan
dapat
mengancam
keselamatan jiwa para penambang. Yaitu dengan adanya kegiatan pertambangan
rakyat tentu saja ini dapat menarik minat
masyarakat
untuk
ikut
serta
dalam
melakukan kegiatan pertambangan rakyat
dengan
melihat
keuntungan
yang
menjanjikan dari hasil penambangan emas. Yaitu dengan adanya kegiatan pertambangan
rakyat tentu saja ini dapat menarik minat
masyarakat
untuk
ikut
serta
dalam
melakukan kegiatan pertambangan rakyat
dengan
melihat
keuntungan
yang
menjanjikan dari hasil penambangan emas. Selain itu juga bagi masyarakat yang tidak
mau menjadi pelaku penambangan rakyat
dapat
membuka
usaha
pada
wilayah
pertambangan, seperti usaha warung makan,
usaha keperluan kegiatan penambangan dan
usaha-usaha lainnya. 2) Kerusakan air
Yaitu disebabkan karena limbah dari sisa
penambangan
emas
dibuang
secara
sembarangan dan biasanya limbah hasil
penambangan emas tersebut dibuang
langsung ke kali atau sungai sehingga
mencemari air kali tersebut. 2. 2. Meningkatkan pendapatan masyarakat;
Yaitu dengan ikut sertanya masyarakat
dalam pelaksanaan kegiatan pertambangan
rakyat tentu saja mereka akan memperoleh
hasil dari apa yang mereka kerjakan. Sehingga awalnya mereka tidak memiliki
pendapatan karena tidak bekerja, dengan ikut
serta dalam kegiatan pertambangan rakyat
akhirnya mereka memperoleh penghasilan
dan
pekerjaan,
selain
itu
juga
bagi
penambang yang awalnya sudah memiliki
pekerjaan
tapi
dengan
ikut
serta
berpartisipasi dalam kegiatan pertambangan
rakyat
juga
memperoleh
penghasilan
tambahan. Sehingga
dengan
adanya
pertambangan rakyat dapat meningkatkan
pendapatan masyarakat. 3) Kerusakan Hutan
Kerusakan hutan dapat terjadi apabila
kegiatan penambangan emas rakyat
dilakukan pada wilayah kawasan hutan,
adapun dampak yang timbul dari adanya
kegiatan pertambangan rakyat dikawasan
hutan yaitu rusaknya ekosistem hutan,
rusaknya ketahan hutan sehingga dapat
menyebabkan terjadinya banjir, longsor,
kekeringan dan lain sebaginya. 4) Pencemaran Udara b. [Kajian Yuridis…] | Arief Rahman [Vol. 33 No. 3 November 2018] Menurunnya moral masyarakat;
Dapat dilihat dengan banyaknnya terjadi
peristiwa saling bunuh didalam lubang
tambang yang dilakukan antar penambang,
dikarenakan mereka ingin mendapatkan
keuntungan sendiri dari kegiatan penambang
yang mereka lakukan secara bersama-sama
tanpa mempedulikan aturan agama dan
hukum yang berlaku. Sedangkan dampak negatif yang timbul dari
adanya kegiatan pertambangan emas rakyat
yaitu: a. Minumbulkan kerusakan lingkungan;
Kerusakan lingkungan yang diakibatkan dari
kegiatan pertambangan rakyat meliputi: c. Menimbulkan Gangguan Kesehatan
Disebabkan karena pembuangan limbah dari
kegiatan
penambangan
emas
secara
sembarangan, padahal kita ketahui bersama
bahwa limbah dari sisa penambangan emas
itu sangat berbahaya bagi kesehatan. Limbah
tersebut mengandung belerang ( b), Merkuri
(Hg), Asam Slarida (Hcn), Mangan (Mn),
Asam sulfat (H2sO4), dan Pb. Hg dan Pb
merupakan
logam
berat
yang
dapat 1) Kerusakan tanah
Yaitu Terdapatnya lubang-lubang bekas
melakukan kegiatan penambangan yang
tidak mungkin ditutup kembali yang
menyebabkan terjadinya kubangan air
dengan kandungan asam yang sangat
tinggi sehingga mengakibatkan tanaman
tidak dapat berkembang dengan baik
(menurunnya tingkat kesuburan tanah). Selain itu juga dapat menyebabkan 285 [Kajian Yuridis…] | Arief Rahman [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Vol. 33 No. 3 November 2018] 1) Tata cara dan syarat-sayarat yang harus
dipenuhi
oleh
subyek
yang
ingin
memperoleh izin pertambangan rakyat;
Untuk
memperoleh
izin
pertambangan
rakyat,
maka
subyek
tersebut
harus
mengajukan permohonan kepada pejabat
yang berwenang dalam hal ini adalah
Gubernur sebagaimana yang diatur dalam
Undang-Undang Nomor 23 Tahun 2014
dengan melampirkan beberapa persyaratan
antara lain yaitu: menyebabkan berbagai penyakit seperti:
penyakit kulit, ganguan syaraf sensori
paraesthesia, kepekaan menurun dan sulit
menggerakkan
jari
tangan
dan
kaki,
pengliatan menyempit, daya pendengaran
menurun , serta rasa nyeri pada lengan dan
paha, ganguan syaraf motorik, lemah sulit
berdiri, mudah jatuh dan ataksia tremor,
gerakan lambat dan sulit bicara, gangguan
lain gangguan mental sakit kepala dan
hipersalivas dan lain sebagainya. a) Persyaratan Administratif
Yaitu persyaratan yang berkaitan dengan
dokument-dokument yang harus dilengkapi,
seperti: Kartu tanda penduduk (KTP),
komoditas tambang yang dimohon, surat
keterangan dari kelurahan/desa setempat,
nomor pokok wajib pajak (NPWP), akte
pendirian koperasi yang telah disahkan oleh
pejabat yang berwenang Sehingga dengan melihat dampak negatif
yang timbul dari kegiatan pertambnagan
rakyat
illegal
tersebut,
maka
pihak
pemerintah
harus
segera
mengambil
langkah-langkah apa yang harus dilakukan
sehingga dampak negatif dari adanya
kegiatan pertambangan rakyat illegal bisa
dihindari
atau
diminimalisir. 286
Arief Rahman | [Kajian Yuridis…] [Vol. 33 No. 3 November 2018] kelompok
tidak
perlu
melampirkan
persyaran finansial. kelompok
tidak
perlu
melampirkan
persyaran finansial. (5) menyampaikan
laporan
pelaksanaan
kegiatan usaha pertambangan rakyat secara
berkala kepada pemberi IPR. (5) menyampaikan
laporan
pelaksanaan
kegiatan usaha pertambangan rakyat secara
berkala kepada pemberi IPR. p
y
2) Subyek-subyek yang berhak memperoleh
izin pertambangan rakyat;
Subyek yang berhak untuk memperoleh izin
pertambangan
rakyat
adalah
penduduk
setempat
baik
dapat
berupa
orang
perseorangan, kelompok dan koperasi. 2) Subyek-subyek yang berhak memperoleh
izin pertambangan rakyat; p
p
(6) menaati
ketentuan
persyaratan
teknis
pertambangan. 5) Sanksi-sanksi yang dijatuhkan bagi subyek
yang melanggar ketentuan pertambangan
mineral dan batubara. Bentuk sanksi-sanksi yang dapat dijatuhkan
kepada subyek yang melakukan pelanggaran
pertambangan
terhadap
ketentuan
pertambangan
mineral
dan
batubara,
meliputi: 5) Sanksi-sanksi yang dijatuhkan bagi subyek
yang melanggar ketentuan pertambangan
mineral dan batubara. p
g
p
p
3)
Luas wilayah yang bisa diberikan
kepada pemegang izin pertambangan rakyat;
Luas
wilayah
yang
diberikan
kepada
pemegang
izin
pertambangan
rakyat
tergantung dari bentuk subyek hukumnya. Jika subyeknya orang perseorangan maka
luas wilayah maximal yang diberikan adalah
1 (satu) Ha, Jika subyeknya dalam bentuk
kelompok maka luas wilayah maximal yang
diberikan adalah 5 (lima) Ha, dan Jika
subyeknya dalam bentuk koperasi maka luas
wilayah maximal yang diberikan adalah 10
(sepuluh) Ha, dengan jangka waktu 5 (lima)
tahun dan dapat dilakukan perpanjangan. a) Sanksi Pidana;
Yaitu hukuman yg dijatuhkan kepada subyek
pertambangan rakyat yang melanggar isi
peraturan
perundang-undang
dibidang
Pertambangan mineral dan batubara. Bentuk-
bentuk
sanksi
pidana
dalam
bidang
pertambangan rakyat yaitu: pidana penjara,
pidana denda, pidana pemberatan, dan
pidana tambahan. 4) Hak
dan
Kewajiban
pemegang
izin
pertambangan rakyat; b) Sanksi Administratif;
Yaitu Sanksi yang dijatuhkan oleh pemberi
izin terhadap pemegang Izin Pertambangan
Rakyat
yg
disebabkan
melakukan
pelanggaran terhadap substansi izin dan
ketentuan Perundang-undangan yang berlaku
mengenai kewajiban yang harus dilakukan
oleh
subyek
pemegang
izin. Sanksi
administratif dapat berbentuk peringatan
tertulis, penghentian sementara sebagian atau
seluruh
kegiatanpertambangan
rakyat;
pencabutan izin pertambangan rakyat. a) Hak Pemegang Izin Pertambangan Rakyat,
meliputi: (1) mendapat pembinaan dan pengawasan di
bidang keselamatan dan kesehatan kerja,
lingkungan,
teknis
pertambangan,
dan
manajemen dari Pemerintah dan/ atau
pemerintah daerah; dan (2) mendapat bantuan modal sesuai dengan
keten tual? peraturan perundang-undangan. b) Kewajiban Pemegang Izin Pertambangan
Rakyat, meliputi: (1) melakukan kegiatan penamba.ngan paling
larnbat
3
(tiga)
bulan
setelah
IPR
diterbitkan; b. Sosialisasi
mengenai
akibat
dari
dilakukannya kegiatan pertambangan rakyat
illegal bagi lingkungan dan kesehatan. [Vol. 33 No. 3 November 2018] Berikut
langkah-langkah yang harus dilakukan oleh
pihak pemerintah yaitu: b) Persyaratan Tekhnis
Yaitu persyaratan yang berkaitan dengan
teknik atau metode yang digunakan dalam
melakukan kegitan pertambangan, berkaitan
dengan keamanan dan keselamatan kegiatan
pertambangan,
dan
lain
sebaginya. Persyaratan teknis ini dibuat dalam bentuk
surat
pernyataan
dari
pemohon,
yang
memuat paling sedikit mengenai: 1. Melakukan Sosialisasi
Sosialisasi merupakan proses pengembangan
potensi kemanusiaan melalui penyerapan
nilai-nilai, norma-norma, dan beragam aspek
kebudayaan
masyarakat
seutuhnya. Sosialisasi memungkinkan orang berperilaku
sesuai dengan nilai dan norma yang berlaku
bagi masyarakat, sehingga terhindar dari
perilaku
asosial
atau
perilaku
yang
bertentangan
dengan
nilai
dan
norma
masyarakat. Adapun jenis-jenis sosialisai
yang disampaikan oleh pihak pemerintah
dalam
kaitannya
dengan
pertambangan
rakyat iilegal, meliputi: (1) Sumuran pada IPR paling dalam 25 (dua
puluh lima) meter; (2) Menggunakan
pompa
mekanik,
penggelundungan atau permesinan dengan
jumlah tenaga maksimal 25 (dua puluh
lima) horse power untuk 1 (satu) IPR; dan (3) Tidak menggunakan alat berat dan bahan
peledak. a. Sosialisasi Mengenai Isi Ketentuan Peraturan
Perundang-Undangan Pertambangan. Yang disampaikan dalam kegiatan sosialisasi
ini adalah mengenai isi dari ketentuan
peraturan
perundang-undangan
yang
mengatur mengenai pertambangan mineral
dan
batubara. Adapun
materi
yang
disampaikan dalam sosialisi ini adalah
berkaitan dengan: c) Persayaratan Finansial
Yaitu persyaratan berkaitan dengan laporan
keuangan.Laporan
keuangan
yang
disampaikan adalah laporan keuangan 1
tahun terakhir.Untuk syarat finansial ini
hanya berlaku bagi subyek berupa koperasi,
sedangkan untuk orang perseorangan dan c) Persayaratan Finansial 286
Arief Rahman | [Kajian Yuridis…] 286 [Kajian Yuridis…] | Arief Rahman 15
Mariangan,
Ilmu
Administrasi
Manajemen,
(Jakarta: Alfabeta, 2004) , hal. 61 [Vol. 33 No. 3 November 2018] Pada sosialisasi ini menjelaskan mengenai
apa akibat yang akan terjadi jika kegiatan
penambangan
dilakukan
secara
illegal
dengan tidak memperhatikan standar tata
cara
melakukan
kegiatan
usaha
pertambangan rakyat bagi lingkungan dan
kesehatan. Bagi lingkungan tentu apabila (2) mematuhi peraturan perundang-undangan dl
bidang keselamatan dan kesehatan kerja
pertambangan, pengelolaan lingkungan, dan
memenuhi standar yang berlaku; (3) mengelola
lingkungan
hidup
bersama
pemerintah daerah; (4) membayar iuran tetap dan iuran produksi;
dan 287 [Kajian Yuridis…] | Arief Rahman [Vol. 33 No. 3 November 2018] kegiatan penambangan tidak memperhatikan
standar
yang
sudah
ditentukan
dalam
melakukan pengusahaan pertambangan maka
akan mengakibatkan terjadinya: c. Melakukan
pengawasan
terhadap
pelaksanaan kegiatan pertambangan; d. Melakukan
pengawasan
mengenai
pengelolaan lingkungan hidup, reklamasi,
dan pasca tambang. 1. Kerusakan terhadap tanah seperti terjadinya
longsor pada saat penambang melakukan
kegiatan penambangan didalam lubang yang
digali, turunnya tingkat kesuburan tanah
yang disebabkan karena pembuangan limbah
dari
kegiatan
penambangan
secara
sembarangan oleh para pelaku tambang,
terdapat banyak lubang-lubang bekas galian
pertambangan yang tidak mungkin ditutup
kembali, dan lain sebaginya e. Melakukan pengawasan yang berkaitan
dengan kewajiban keuangan pemegang izin
pertambangan rakyat. Sedangkan
untuk
bentuk-bentuk
pembinaan yang dilakukan oleh pemeritah
dalam
kaitannya
dengan
pertambangan
rakyat adalah sebagai berikut: 1) pemberian pedoman dan standar pelaksanaan
pengelolaan usaha pertambangan; 2) pemberian
bimbingan,
supervisi,
dan
konsultasi; 2. Tercemarnya air dikarenakan pembuangan
limbah tambang yang dibuang ke kali atau
sungai sehingga mencemari air sungai atau
kali tersebut. 3) Pemberian pendidikan dan pelatihan; dan 4) Melakukan
perencanaan,
penelitian,
pengembangan, pemantauan, dan evaluasi
pelaksanaan
penyelenggaraan
usaha
pertambangan
di
bidang
mineral
dan
batubara. 3. Merusak ekositem hutan dan ketahan hutan
sehingga
dapat
menyebabkan
terjadinya
banjir,
longsor,
kekeringan
dan
lain
sebaginya. Sedangkan
dampak
bagi
kesehatan
apabila pertambangan rakyat tidak dilakukan
berdasarkan standar yang telah ditentukan
maka akan menimbulkan berbagai macam
penyakit salah satunya adalah penyakit kulit. 3. Merusak ekositem hutan dan ketahan hutan
sehingga
dapat
menyebabkan
terjadinya
banjir,
longsor,
kekeringan
dan
lain
sebaginya. 3. Melakukan penertiban
Penertiban dilakukan dengan meminta
bantuan dari aparat penegak hukum, apabila
ada
subyek
yang
melakukan
kegiatan
penambangan
tanpa
memiliki
izin
pertambangan rakyat, atau memiliki izin tapi
melakukan kegiatan penambangannya diluar
area izin yang diberikan kepada mereka atau
juga
melakukan
kegiatan
pertambangan
rakyat pada lokasi milik subyek lain yang
telah memperoleh izin untuk melakukan
kegiatan penambangan. Tentunya sebelum
melakukan penertiban terlebih dahulu pelaku
tambang dihimbau untuk berhenti melakukan
kegiatan
penambangan
karena
telah
melakukan pelangggran ketentuan perundang-
undangan dibidang pertambangan mineral
dan batubara.. 288
Arief Rahman | [Kajian Yuridis…] 288
Arief Rahman | [Kajian Yuridis…]
15
Mariangan,
Ilmu
Administrasi
Manajemen,
(Jakarta: Alfabeta, 2004) , hal. 61 [Vol. 33 No. 3 November 2018] Sehingga nanti para pelaku
yang terjaring operasi penertiban tersebut
tentunya akan dikenakan sanksi sesuai dengan
jenis perbuatan atau pelanggaran yang
dilakukan. 3. Melakukan penertiban 3. Melakukan penertiban
Penertiban dilakukan dengan meminta
bantuan dari aparat penegak hukum, apabila
ada
subyek
yang
melakukan
kegiatan
penambangan
tanpa
memiliki
izin
pertambangan rakyat, atau memiliki izin tapi
melakukan kegiatan penambangannya diluar
area izin yang diberikan kepada mereka atau
juga
melakukan
kegiatan
pertambangan
rakyat pada lokasi milik subyek lain yang
telah memperoleh izin untuk melakukan
kegiatan penambangan. Tentunya sebelum
melakukan penertiban terlebih dahulu pelaku
tambang dihimbau untuk berhenti melakukan
kegiatan
penambangan
karena
telah
melakukan pelangggran ketentuan perundang-
undangan dibidang pertambangan mineral
dan batubara.. Sehingga nanti para pelaku
yang terjaring operasi penertiban tersebut
tentunya akan dikenakan sanksi sesuai dengan
jenis perbuatan atau pelanggaran yang
dilakukan. 2. Melakukan Pengawasan dan Pembinaan. Pengawasan adalah proses dimana pimpinan
ingin
mengetahui
hasil
pelaksanaan
pekerjaan yang dilakukan apakah telah
sesuai dengan rencana, perintah, tujuan,
kebijakan yang telah ditentukan.15 Adapun
bentuk-bentuk pengawasan yang dilakukan
oleh pihak pemerintah berdasarkan ketentuan
yang berlaku yaitu: a. Melakukan pengawasan apakah subyek yang
melakukan kegiatan pertambangan rakyat
telah mengantongi izin atau belum; b. Melakukan
pengawasan
mengenai
keselamatan dan kesehatan kerja para
penambang; 288
Arief Rahman | [Kajian Yuridis…] [Jurnal Hukum
JJJAAATTTIIISSSW
W
WAAARRRAAA] [Vol. 33 No. 3 November 2018] Berdasarkan
hasil
wawancara16
bahwa
langkah-langkah sebagaimana yang dimaksud
dalam uraian diatas telah dilakukan oleh pihak
pemerintah daerah kabupaten Sumbawa (Dinas
Pertamabangan) dengan mengadakan sosialisasi
ke wilayah-wilayah kecamatan yang terdapat
kegiatan pertambangan rakyat. Dan juga telah
melakukan penertiban kepada pelaku-pelaku
pertambangan rakyat yang illegal termasuk juga
penertiban alat-alat yang mereka gunakan seperti
gelondongan dengan melibatkan pemerintah
desa. Meskipun upaya itu sudah dilakukan
nampaknya masyarakat cenderung mengabaikan
hal tersebut sehingga mereka tetap saja
melaksankan aktifitasnya sesuai dengan yang
mereka kehendaki. Dan hal itu berlangsung
dalam beberapa bulan selama lokasi tambang itu
masih mengandung deposit bahan galian yang
mampu dieksploitasi dengan menggunakan alat-
alat sederhana yang mereka gunakan. Pada
akhirnya kegiatan pertambangan rakyat itu
berhenti sendiri kalau mereka sudah tidak
mampu lagi mengeksploitasinya berdasarkan
kemampuan alat-alat sederhana yang mereka
gunakan meskipun kandungan emas maupun
kandungan lainnya di lokasi/lahan tempat
kegiatan pertambanagan rakyat itu masih ada. Mineral dan Batubara serta sosialisasi berkaitan
dengan dampak negatif dari adanya kegiatan
pertamabangan rakyat bagi lingkungan dan
kesehatan dan melakukan penertiban bagi
pelaku pertambangan rakyat. 16 Op.Cit. wawancara dengan Bapak Sahabuddin. DAFTAR PUSTAKA
Buku Adi
Rianto.(2015). Metodelogi
Penelitian
Sosial don Hukum, Jakarta: Granit. Adrian Sutedi.(2011). Hukum Pertambangan ,
Jakarta: Sinar Grafika. Amiruddin
dan
Zainal
Asikin.(2008). Pengantar
Metode
Penelitian
Hukum,
Jakarta: PT. Raja Grafindo Persada. Ashofa Burhan.(2001). Metodelogi Penelitian
Hukurn, Jakarta: Rineka cipta. Gatot
Supramono.(2012). Hukum
Pertambangan Mineral Dan Batubara Di
Indonesia, Jakarta: Rineka Cipta. Mariangan.(2004). Ilmu
Administrasi
Manajemen, Jakarta: Alfabeta. Moleong Lexi J.(2005). Metode penelitian
Kuatitatif, Bandung: Remaja Rosdakarya. Nandang Sudrajai.(2010). Teori dan Praktik
Pertambangan Indonesia Menurut Hukum,
Jakarta: PT Buku Seru. N.H.T Siahaan.(2009). Hukum Lingkungan, cet
kedua, Jakarta: Pancuran alam. D. KESIMPULAN Salim
HS.(2005). Hukum
Pertambangan
Indonesia, Jakarta: PT. Raja Grafindo
Persada. Keberdaaan wilayah petambangan rakyat di
Kabupaten Sumbawa belum sesuai dengan
ketentuan yang berlaku, karena sampai saat ini
lokasi
yang
dijadikan
sebagai
tempat
melakukan
kegiatan
pertambangan
rakyat
belum
ditetapkan
sebagai
wilayah
pertambangan rakyat dan para pelaku kegiatan
pertambangan rakyat tidak memiliki izin
pertambangan rakyat (IPR) dalam melaksankan
kegiatan pertambangan rakyat. Soerjono Soekanto dan Sri Mamuji.(1985). Penelitian
Hukum
Normatif
–
Suatu
Tinjauan Singkat, Jakarta: Rajawali Press. Peraturan Perundang-Undangan. Indonesia, Undang-Undang No. 4 Tahun 2009
tentang
Pertambangan
Mineral
Dan
Batubara. Indonesia, Undang-Undang No. 23 Tahun 2014
Tentang Pemerintah Daerah. Indonesia, Peraturan Pemerintah Nomor 22
Tahun
2010
Tentang
Wilayah
Pertambangan. Peraturan Perundang-Undangan. Arief Rahman | [Kajian Yuridis…] Peraturan Perundang-Undangan. Indonesia, Undang-Undang No. 4 Tahun 2009
tentang
Pertambangan
Mineral
Dan
Batubara. Langkah-langkah
dilakukan
oleh
pemerintah Kabupaten Sumbawa terkait dengan
keberadaan dan aktifitas pertambangan rakyat
yaitu melakukan sosialisasi berkaitan dengan
peraturan perundang-undangan pertambangan Indonesia, Undang-Undang No. 23 Tahun 2014
Tentang Pemerintah Daerah. Indonesia, Peraturan Pemerintah Nomor 22
Tahun
2010
Tentang
Wilayah
Pertambangan. [Kajian Yuridis…] | Arief Rahman 289 [Vol. 33 No. 3 November 2018] Indonesia, Peraturan Pemerintah Nomor 23
Tahun 2010 Tentang Pelaksanaan Kegiatan
Usaha
Pertambangan
Mineral
Dan
Batuabara. Indonesia,
Peraturan
Daerah
Kabupaten
Sumbawa Nomor 9 Tahun 2011 Tentang
Izin Pertambangan Rakyat. Indonesia, Peraturan Pemerintah Nomor 23
Tahun 2010 Tentang Pelaksanaan Kegiatan
Usaha
Pertambangan
Mineral
Dan
Batuabara. Indonesia,
Peraturan
Daerah
Kabupaten
Sumbawa Nomor 9 Tahun 2011 Tentang
Izin Pertambangan Rakyat. Indonesia,
Peraturan
Daerah
Kabupaten
Sumbawa Nomor 9 Tahun 2011 Tentang
Izin Pertambangan Rakyat. Arief Rahman | [Kajian Yuridis…] 290
|
https://openalex.org/W4394813343
|
https://chemrxiv.org/engage/api-gateway/chemrxiv/assets/orp/resource/item/661a0545418a5379b0bd11e3/original/computational-mechanistic-insights-into-reversible-and-irreversible-covalent-inhibitors-targeting-sars-co-v-2-mpro.pdf
|
English
| null |
Computational Mechanistic Insights into Reversible and Irreversible Covalent Inhibitors Targeting SARS-CoV-2 Mpro
| null | 2,024
|
cc-by
| 6,284
| ERROR: type should be string, got "https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Abstract The treatment of SARS-CoV-2 can be accomplished by an effective suppression of its 3CL \nprotease (3CLpro), also known as the main protease (Mpro) and nonstructural protein 5 (nsp5). Covalent inhibitors can irreversibly and selectively disable the protease, particularly when they are \nhighly exothermic. Herein we delve into the distinct kinetic behaviors exhibited by two covalently \nlinked SARS-CoV-2 inhibitors. One of these inhibitors features a nitrile reactive group, while the \nother has this group replaced by an alkyne group, a less reactive electrophile. Our investigations \ninvolve the assessment of pertinent free energy surfaces through the utilization of both ab initio \nand empirical valence bond (EVB) simulations. The calculated free energy profiles show that \nsubstituting the nitrile group with alkyne significantly increases the overall reaction exothermicity. This leads to an efficient inhibition, even though the reaction of the nitrile group has a substantially \nlower barrier than the alkyne group. We examine the time-dependence of IC50 inhibition by \napplying a novel kinetic simulation approach, which is particularly important in studies of covalent \ninhibitors with a very exothermic bonding step. Our computational approach reproduces the \nobserved binding kinetics and appears to provide a powerful tool for studies of covalent inhibitors. This leads to an efficient inhibition, even though the reaction of the nitrile group has a substantially \nlower barrier than the alkyne group. We examine the time-dependence of IC50 inhibition by \napplying a novel kinetic simulation approach, which is particularly important in studies of covalent \ninhibitors with a very exothermic bonding step. Our computational approach reproduces the \nobserved binding kinetics and appears to provide a powerful tool for studies of covalent inhibitors. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Introduction The coronavirus disease 2019 (COVID-19), caused by the severe acute respiratory syndrome \ncoronavirus 2 (SARS-CoV-2), has been one of the most devastating pandemics of recent times. There has been significant effort to develop antiviral therapeutics targeting two proteases of SARS-\nCoV-2: the main protease (Mpro) and papain-like protease (PLpro).1–3 Out of these targets, Mpro, also \nknown as 3-chymotrypsin-like protease (3CLpro), has received significant attention in the \ndevelopment of antivirals, i.e., protease inhibitors, to combat COVID-19,4–7 with the fundamental \naim to disrupt the function and life cycle of SARS-CoV-2.8 Several small-molecule inhibitors of \nSARS-CoV-2 Mpro have been discovered, with a few progressing into early-phase human clinical \ntrials.9,10 Covalent enzyme inhibitors are of significant interest as biochemical tools and therapeutic \ndrugs. Previous authors have summarized the distinctive advantages and disadvantages of covalent \nenzyme inhibition in drug and inhibitor design.11–13 As the treatment of COVID-19 requires \ndisabling the activity of Mpro, covalent inhibitors with high exothermicity and irreversible binding \nto Mpro can be important candidates for antiviral treatments. A notable therapeutic strategy for \nCOVID-19 is to design inhibitors with an electrophilic reactive group (“warhead”) that binds to \nthe nucleophilic target cysteine 145 (Cys145) in Mpro. Cys145 is essential for the catalytic activity \nof Mpro, so blockage or modification of this residue is detrimental to the virus.14–18 Nirmatrelvir is \na new FDA-approved medication developed for the treatment of COVID‑1919 that has a nitrile \nwarhead and binds covalently and reversibly to Cys145. There are several known derivatives of \nnirmatrelvir, some of which are reversible, while others lead to irreversible catalytic reactions. Recently, Zhang and co-workers have demonstrated the effectiveness of latent electrophilic \nwarheads,20, such as terminal alkynes, in inhibiting Mpro compared to more reactive electrophiles \nlike acrylamides. These terminal alkyne warheads demonstrate marked specificity for Mpro due to \ntheir lack of intrinsic reactivity, which circumvents nonspecific binding to other cellular proteins. Upon activation within Mpro's active site, these warheads have shown potent inhibition, as \nconfirmed through biochemical assays and structural analysis via X-ray crystallography. Notably, \nthese terminal alkyne-based inhibitors have also exhibited promising antiviral activity in cellular \nmodels of COVID-19, indicating their potential as effective therapeutic agents. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 System Equilibration Our study began with the utilization of a co-crystal structure of the main protease (Mpro) of SARS-\nCoV-2 and the drug nirmatrelvir. The specific structure employed was sourced from the Protein \nData Bank (PDB), under the identifier 7RFS.24 In this structure, nirmatrelvir is observed to be \ncovalently bonded to the cysteine residue at position 145 (Cys145) of the protease. To investigate \nthe effects of an alkyne derivative, we referenced a similar co-crystal structure wherein the \nderivative forms a covalent bond at the same cysteine residue, as detailed in the study by Zhang et \nal. (PDB 8FY6).20 Following the selection of the initial structures, we performed molecular \ndynamics simulations using the GROMACS software suite (version 2021)25 with 40 ns trajectories. The Amber force field (ff14sb) was employed to model the interactions within the system. Subsequently, we carefully selected suitable initial configurations from the simulation trajectories \nto serve as starting points for the subsequent calculations involving the empirical valence bond \n(EVB) method. In order to define the force field parameters for the ligand atoms, we referred to \nthe generalized Amber force field (GAFF) using AmberTools 21.26 Introduction License: CC BY 4.0 Our prior computational investigations into covalent inhibitors targeting Mpro explored the \nmechanism of α-ketoamide inhibitors18 and the estimation of their absolute binding free energies.21 \nThis study centers on a comparative analysis between nirmatrelvir and its alkyne-substituted \ncounterpart, where the nitrile group is substituted with an alkyne group22,23 (see Figure 1). Our \nobjective is to elucidate the underlying factors responsible for the disparate behavior exhibited by \nthese inhibitors, particularly with regard to the time-dependent inhibition process. To achieve this \ngoal, we conducted a comprehensive exploration of the reaction mechanisms associated with each \ninhibitor through ab initio and empirical valence bond (EVB) simulations. A prior experimental \nstudy20 has shown that the alkyne derivative inhibits Mpro approximately five times less effectively \nthan nirmatrelvir, with an IC50 value of ~0.76 μM for nirmatrelvir and IC50 ≥ 0.063 μM for the \nalkyne derivative, following a preincubation period of three hours.22,24 Our simulations have not \nonly substantiated the exothermic nature of the alkyne substitution but also replicated the \ncorresponding time-dependent IC50 trend, corroborating the assertion that the alkyne derivative is \na more potent inhibitor compared to nirmatrelvir. Figure 1: Chemical structure for nirmatrelvir (a) and its alkyne derivative (b), in which the nitrile reactive \ngroup is substituted with an alkyne group. a\nb b b a a Figure 1: Chemical structure for nirmatrelvir (a) and its alkyne derivative (b), in which the nitrile reactive \ngroup is substituted with an alkyne group. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 EVB Simulations The EVB methodology utilizes a hybrid quantum mechanics/molecular mechanics (QM/MM) \nframework to model chemical reactions through a combination of relevant diabatic states. This \nenables an efficient exploration of reaction processes,33,34 as detailed in the Supplementary \nInformation. Prior studies have validated the utility of EVB in analyzing protease inhibition \nthermodynamics.18,35–38 Our EVB calculations were executed with the Q6 simulation software package.39 Within these \nsimulations, the active site of the reaction—comprising the inhibitor's reactive groups, Cys145, \nHis41, and a catalytic water molecule in nitrile—was designated as region 1. The remainder of the \nenzyme-solvent system was categorized as region 2. Electrostatic potential (ESP) charges for \natoms in region 1 were derived from Gaussian 16 calculations,27 which were then transformed into \nRestrained Electrostatic Potential (RESP) charges using the Antechamber tool from AmberTools \n21.26 The initial position of the sulfur in cysteine was used to set the center of the simulations \nsphere. The system was immersed in a water sphere with a diameter of 25 Å, where the water \nmolecules were described by the TIP3P model40 and subjected to the SCAAS boundary \nconditions,41 where the long-range effects were treated by the local reaction field.42 The multi-stage optimization of each reaction step commenced with a local energy minimization, \nconstraining all heavy atoms with a force constant of 20 kcal/ (mol Å2), followed by a gradual \nrelaxation of these restraints and a temperature increase from 5 to 300 K over 1 ns for system \nequilibration. Subsequent to this, free-energy perturbation/umbrella sampling (FEP/US)43 \nsimulations were conducted on the equilibrated systems to obtain the free-energy profiles. Ab \ninitio activation and reaction energy data from reference solution reactions were then employed to \nfine-tune the EVB Hamiltonian for each step of the reaction mechanism. For comprehensive \nsampling, we performed five umbrella sampling replicas, each comprising 100 frames with a 5 ps \nduration per frame to ensure statistical reliability and robustness of the results. Ab initio Calculations The reaction mechanisms pertinent to the aqueous phase, crucial for the calibration of EVB study \n(see below) were explored using ab initio computational methods. The study entailed modifying \nthe inhibitor molecules under consideration by truncating their reactive groups and capping the \nresulting sites with a methane moiety, as depicted in Figures S1 and S2 in the Supplementary \nInformation section. For the computational analysis, we employed the Gaussian 16 software \npackage.27 The quantum mechanical calculations were executed using Density Functional Theory \n(DFT), specifically applying the M06-2X functional combined with the 6-311+G(d,p) basis set to \nensure a balance of computational efficiency and accuracy.28–31 Additionally, the conductor-like \npolarizable continuum model (CPCM)32 was utilized to simulate solvent effects within these \ncalculations. Both the geometry optimizations and energy evaluation were conducted under this \ntheoretical framework. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Time-dependent kinetic simulations In the case of very exothermic covalent inhibitors, the justification of the use of the standard kinetic \nassay equations is far from obvious. Thus we used a kinetic simulation to evaluate the time https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 dependence of the competitive inhibition of Mpro in the experimental assay conditions by solving \nthe first-order system of equations as described in ref35, with the exception that the inhibitor may \nbe reversible. That is, competitive inhibition is described by the scheme, where E is the enzyme, S is the substrate, P is the product, I and I* are the free and bound inhibitors, \nand EI is the covalently bound enzyme-inhibitor complex. The equilibrium constant 𝐾! = 𝑘\"#/𝑘#, \nand catalytic rate 𝑘#,%&' of the substrate are determined by experimental characterization of the \nenzyme. The equilibrium constant 𝐾( = 𝑘\")/𝑘) is determined from the calculated PDLD/S-LRA/β \nbinding affinity,44 ∆𝐺*!+, by 𝐾( = 𝑒-.!\"#$/0%1 M, while the rates 𝑘2 and 𝑘\"2 are determined from \nthe barrier and reverse barrier, respectively, in the EVB profile using the Arrhenius relation. As \nthe second step of the inhibition scheme is the covalent and possibly irreversible step, 𝑘2 is \nequivalently denoted as 𝑘!+&%'. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Results and Discussion The key residues of Mpro include Cys145, His41, His163, His172, Glu166, and Ser144 (Figure 2) \nin its active site, which together form the oxyanion hole for the covalent and non-covalent binding \ninteractions. The catalytic dyad Cys145-His41, in which the N𝜀2 atom of His41 is 3.6Å away from \nthe SG atom of Cys145, participates in the first proton transfer. We initially observed that the \nprotonation state of His163 plays a crucial role in catalytic activity and binding affinity. One \npossible rationale is that the position of carbonyl oxygen in pyrrolidin-2-one of the inhibitors is \nstabilized by hydrogen bonding with His163. Thus, we proceeded with our calculations assuming \nN𝜀2 in His163 is protonated. We explored different ionizable states of His164 and His172 and \noverall, we found no significant changes in the EVB energy barrier when changing the protonated \nnitrogen from N𝜀2 to N𝛿1 or to both. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Figure 2: Structure of Mpro covalently bound with the alkyne derivative of nirmatrelvir (PDB 8FY6). Surrounding key residues for binding and catalytic activity are also shown. The binding pose and the \nconformers of the catalytic residue are essentially identical to the structure of Mpro covalently bound with \nnirmatrelvir (PDB 7RFS). GLU166\nHIS172\nSER144\nHIS163\nCYS145\nHIS164\nHIS41\nASP187 GLU166\nHIS172\nSER144\nHIS163\nCYS145\nHIS164\nHIS41\nASP187 Figure 2: Structure of Mpro covalently bound with the alkyne derivative of nirmatrelvir (PDB 8FY6). Surrounding key residues for binding and catalytic activity are also shown. The binding pose and the \nconformers of the catalytic residue are essentially identical to the structure of Mpro covalently bound with \nnirmatrelvir (PDB 7RFS). Figure 2: Structure of Mpro covalently bound with the alkyne derivative of nirmatrelvir (PDB 8FY6). Surrounding key residues for binding and catalytic activity are also shown. The binding pose and the \nconformers of the catalytic residue are essentially identical to the structure of Mpro covalently bound with \nnirmatrelvir (PDB 7RFS). https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Ab Initio Calculations As a starting point, we explored potential reaction pathways for the covalent binding of nitrile and \nalkyne functional groups to cysteine in a solution phase. These pathways will serve as reference \nreactions for our subsequent EVB calculations in water. We delineated each reaction pathway into \ntwo primary steps: a proton transfer between a cysteine and a histidine residue, and a concerted \nmechanism involving a proton transfer coupled with a nucleophilic attack (PT-NA), which can \noccur directly or with solvent assistance (see Figure 3). https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Figure 3: Reaction mechanisms for (a) nirmatrelvir and (b) its alkyne-substituted derivative. We examine \na solvent-assisted concerted proton transfer-nucleophilic attack step for nitrile group of nirmatrelvir, while \nfor the alkyne group we examine a direct mechanism. SH\nN\nNH\nN\nH\nO\nR\nS\nCys145\nN\nNH\nHis41\nH\n-\n+\nCys145\nHis41\nN\nH\nO\nS\nR\nCys145\nN\nH\nO\nN\nS\nHN\nNH\nH O H\n-\nR\n+\nHis41\nCys145\nSH\nN\nNH\nCys145\nHis41\nN\nH\nO\nHN\nS\nR\nCys145\na\nb a N\nH\nO\nN\nS\nHN\nNH\nH O H\n-\nR\n+\nHis41\nCys145\nSH\nN\nNH\nCys145\nHis41\nN\nH\nO\nHN\nS\nR\nCys145\na\nb SH\nN\nNH\nN\nH\nO\nR\nS\nCys145\nN\nNH\nHis41\nH\n-\n+\nCys145\nHis41\nN\nH\nO\nS\nR\nCys145\nN\nH\nO\nN\nS\nHN\nNH\nH O H\n-\nR\n+\nHis41\nCys145\nSH\nN\nNH\nCys145\nHis41\nN\nH\nO\nHN\nS\nR\nCys145\na\nb NH SH\nN\nNH\nN\nH\nO\nR\nS\nCys145\nN\nNH\nHis41\nH\n-\n+\nCys145\nHis41\nN\nH\nO\nS\nR\nCys145\nHis41\nCys145\nb b b Figure 3: Reaction mechanisms for (a) nirmatrelvir and (b) its alkyne-substituted derivative. We examine \na solvent-assisted concerted proton transfer-nucleophilic attack step for nitrile group of nirmatrelvir, while \nfor the alkyne group we examine a direct mechanism. Figure 3: Reaction mechanisms for (a) nirmatrelvir and (b) its alkyne-substituted derivative. We examine \na solvent-assisted concerted proton transfer-nucleophilic attack step for nitrile group of nirmatrelvir, while \nfor the alkyne group we examine a direct mechanism. The calibration of the EVB simulations was informed by these mechanistic explorations, as \ndetailed in Figure S3. Our attempt to identify the transition state for a water-assisted mechanism \nfor the alkyne group proved unsuccessful. Ab Initio Calculations However, we do not expect the absence of this pathway \nto significantly affect the energy barrier. This is based on the assumption that the non-polar nature \nof the alkyne group most likely hinders the introduction of water, unlike the polar nitrile group, \nwhich showed a lower energy barrier with a water-assisted mechanism compared to a direct \nmechanism (vide infra). We also investigated alternate possible mechanism involving the role of \nAsp187 in stabilizing the transition state. This mechanism, however, was found to be insufficiently \nendothermic to validate the proposed Cys145-His41-Asp187 catalytic triad hypothesis.45 As a result of these findings, we focused on a direct PT-NA mechanism for the alkyne group. In \ncontrast, for the nitrile group, attention was directed towards a mechanism facilitated by water, as \ndepicted in Figure 3. Alternative mechanisms, including those involving Asp187 and the potential \ncatalytic triad, are illustrated in Figure S4 for further reference. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 EVB Calculations As detailed above, the ab initio calibrated EVB Hamiltonian for the reaction in solution provides \nthe basis for modeling the corresponding enzymatic reactions. The calibrated EVB parameters as \nwell as a summary of the reaction routes that were explored by EVB simulation are given in the \nSupporting Information. Each step was evaluated in a reverse order, starting from the available \ncorresponding structures for the covalent form of the ligand, and we specifically focus on direct \nPT-NA mechanism for the considered warhead. In Figure 4, we present the EVB free energy \nprofile in protein as well as the reference reaction in water for nirmatrelvir, whereas that for the \nalkyne derivative are depicted in Figure 5. The PT-NA step emerged as the kinetic bottleneck for \nboth inhibitors, presenting a reaction barrier (Δ𝐺‡) of 17.5 kcal/mol, which corresponds to an \ninactivation rate constant (𝑘!+&%'), of the order of 1 s\"). This finding is in agreement with a Δ𝐺‡ \npredicted by another QM/MM approach, which posits a 16.3 kcal/mol barrier (𝑘!+&%' ≈10 s\")) \nfor the nitrile group, with a lower exothermicity. 46 Nirmatrelvir\nPT\nΔG‡=20.4\nΔG‡=17.5\nΔG0=-0.1\nΔG0=-1.6\nProton Transfer-\nNucleophilic Attack\nWater\nProtein\n-5\n0\n5\n10\n15\n20\n25\nReaction Coordinate\nEnergy (kcal/mol) Proton Transfer-\nNucleophilic Attack Reaction Coordinate Reaction Coordinate Figure 4: EVB profile for the reaction mechanism of nirmatrelvir, showing that the active site reduces the \nbarrier of the same reaction in water by about 3 kcal/mol and essentially no exothermicity. Figure 4: EVB profile for the reaction mechanism of nirmatrelvir, showing that the active site reduces the \nbarrier of the same reaction in water by about 3 kcal/mol and essentially no exothermicity. Similarly, for the alkyne group, the PT-NA step is the rate-limiting step, presenting an energy \nbarrier of 20.8 kcal/mol and a correspondingly slow inactivation (𝑘!+&%' ≈0.01 𝑠\")). This reaction Similarly, for the alkyne group, the PT-NA step is the rate-limiting step, presenting an energy \nbarrier of 20.8 kcal/mol and a correspondingly slow inactivation (𝑘!+&%' ≈0.01 𝑠\")). This reaction https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 step is notably exothermic and irreversible, with a substantial reaction free energy (Δ𝐺4) of -40 \nkcal/mol. For the overall reaction, the activation energy Δ𝐺‡ for the alkyne group is quantified at \n22.7 kcal/mol, and the reaction results in Δ𝐺4 of -35 kcal/mol. EVB Calculations Figure 5: EVB profile for the reaction mechanism of the nirmatrelvir alkyne derivative, which has a \nhigher barrier in protein and significant exothermicity, approximately 35 kcal/mol in both water and \nprotein. Alkyne Derivative\nPT1\nΔG‡=29.6\nΔG‡=22.7\nΔG0=-35\nProton Transfer-\nNucleophilic Attack\nWater\nProtein\n-40\n-30\n-20\n-10\n0\n10\n20\n30\nReaction Coordinate\nEnergy (kcal/mol) Alkyne Derivative\nPT1\nΔG‡=29.6\nΔG‡=22.7\nΔG0=-35\nProton Transfer-\nNucleophilic Attack\nWater\nProtein\n-40\n-30\n-20\n-10\n0\n10\n20\n30\nReaction Coordinate\nEnergy (kcal/mol) Reaction Coordinate Reaction Coordinate Figure 5: EVB profile for the reaction mechanism of the nirmatrelvir alkyne derivative, which has a \nhigher barrier in protein and significant exothermicity, approximately 35 kcal/mol in both water and \nprotein. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Kinetics Simulation of Inhibitor Selectivity At this point, we must deal with the task of connecting the estimated and observed kinetics. We \napproach this task using a similar kinetics simulation approach to the strategy we developed \npreviously in the study of the irreversible inhibition of tyrosine kinases.35 In general, we can expect \nthat IC50 and 𝐾( are connected in the situation of reversible inhibitor binding. However, here we \nhave two different reactions: one with an extremely exothermic and irreversible reaction, and \nanother that has smaller exothermicity and is reversible. As a result, it is ideal to use the calculated \nreaction free-energy profiles and kinetic simulations to replicate the experimental observable, \nwhich is the time-dependent IC50(t). This should be done in addition to comparing the value of \n𝑘677 = 𝑘!+&%'/𝐾(, as implied by the binding energies and reaction rates. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 We used a simple competitive inhibition scheme to generate the trend of the experimentally \nobserved kinetics. The inhibition assay was simulated, subjecting the enzyme to pre-incubation \nwith the inhibitor for a certain amount of time, and then calculating the initial velocity of product \nformation upon adding the substrate to the assay. We used the same initial conditions as the assay \nused by Zhang and co-workers20 ([𝑆]4 = 20 µM and [𝐸]4 = 0.5 µM). In addition, the initial \nconditions for the alkyne derivative were taken as [𝑆]4 = 20 µM and [𝐸]4 = 0.5 µM. Additional \nsimulation details and assay-dependent parameters are listed in the Supplementary Information. Table 1 lists the calculated kinetic and thermodynamic parameter along with simulated and \nexperimental IC50 values. Our analysis yielded binding affinities of ∆𝐺*!+, = -7.5 kcal/mol for \nnirmatrelvir and ∆𝐺*!+, = −9.7 kcal/mol for its alkyne derivative from our PDLD/S-LRA/β \ncalculations (additional information on the binding energy calculations can be found in the SI). Table 1: Summary of calculated energetics and simulated IC50 values, compared with \nexperimental IC50 values.20 Energies are in kcal/mol while IC50 values are in µM. Compound \nEVB \nPDLD \nSimulated IC50 \nExperimental IC50 \n \n∆𝐺‡ \n∆𝐺\" \nΔ𝐺#$%& \n30s \n15min \n3h \n0h \n15min \n3h \nNirmatrelvir \n17.5 \n-1.6 \n-7.5 \n22 \n1.0 \n0.5 \n0.34 ± 0.11 \n0.56 ± 0.32 \n0.76 ± 0.27 \nAlkyne-Deriv. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Kinetics Simulation of Inhibitor Selectivity 22.7 \n-35 \n-9.7 \n22 \n0.9 \n0.3 \n15.72 ± 7.29 \n0.30 ± 0.12 \n0.063 ± 0.015 Table 1: Summary of calculated energetics and simulated IC50 values, compared with \nexperimental IC50 values.20 Energies are in kcal/mol while IC50 values are in µM. Table 1: Summary of calculated energetics and simulated IC50 values, compared with \nexperimental IC50 values.20 Energies are in kcal/mol while IC50 values are in µM. p\ng\nµ\nCompound \nEVB \nPDLD \nSimulated IC50 \nExperimental IC50 \n \n∆𝐺‡ \n∆𝐺\" \nΔ𝐺#$%& \n30s \n15min \n3h \n0h \n15min \n3h \nNirmatrelvir \n17.5 \n-1.6 \n-7.5 \n22 \n1.0 \n0.5 \n0.34 ± 0.11 \n0.56 ± 0.32 \n0.76 ± 0.27 \nAlkyne-Deriv. 22.7 \n-35 \n-9.7 \n22 \n0.9 \n0.3 \n15.72 ± 7.29 \n0.30 ± 0.12 \n0.063 ± 0.015 The simulated time-dependent IC50 curves are shown in Figure 6. The IC50(t) of both nirmatrelvir \nand its alkyne derivative is predicted to be 250 nM after 3 hours of pre-incubation. However, the \nalkyne derivative initially has a much larger IC50 (10 𝜇M) without any preincubation. The \nexperimental value of 𝑘899 for the alkyne inhibitor20 is 5.3 × 10: M\")s\") while the calculated \n𝑘899 value based on our EVB and binding affinity calculations is 2.3 × 10; M\")s\"). The deviation \nbetween the experimental and predicted IC50 likely originates from a discrepancy in the binding \naffinity, which may be in part due to the experimental relative error. It is also possible that \nPDLD/S-LRA/β is underestimating the binding energy of the inhibitors. Measurements of 𝐾( of \nthese inhibitors at higher precision would help to clarify the issue. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 Figure 6: Simulated incubation assay of Mpro under different preincubation times with the inhibitors, \nnirmatrelvir (a) and its alkyne derivative (b). The IC50 is obtained as the inhibitor concentration for which \nthe velocity of product formation is cut by 50% (dashed line). The irreversibility of the reaction with the \nalkyne warhead is apparent by strong dependence of the IC50 on pre-incubation time. Kinetics Simulation of Inhibitor Selectivity 0h\n30s\n15m\n3h\n1\n10\n100\n1000\n104\n105\n0.0\n0.2\n0.4\n0.6\n0.8\n1.0\n[I] (nM)\nv0([I]) (Norm.)\nNirmatrelvir\n(a)\n0h\n30s\n15m\n3h\n1\n10\n100\n1000\n104\n105\n0.0\n0.2\n0.4\n0.6\n0.8\n1.0\n[I] (nM)\nv0([I]) (Norm.)\nAlkyne\nDerivative\n(b) 0h\n30s\n15m\n3h\n1\n10\n100\n1000\n104\n105\n0.0\n0.2\n0.4\n0.6\n0.8\n1.0\n[I] (nM)\nv0([I]) (Norm.)\nNirmatrelvir\n(a) 0h\n30s\n15m\n3h\n1\n10\n100\n1000\n104\n105\n0.0\n0.2\n0.4\n0.6\n0.8\n1.0\n[I] (nM)\nv0([I]) (Norm.)\nAlkyne\nDerivative\n(b) Figure 6: Simulated incubation assay of Mpro under different preincubation times with the inhibitors, \nnirmatrelvir (a) and its alkyne derivative (b). The IC50 is obtained as the inhibitor concentration for which \nthe velocity of product formation is cut by 50% (dashed line). The irreversibility of the reaction with the \nalkyne warhead is apparent by strong dependence of the IC50 on pre-incubation time. Data Availability Optimized and transition state ab initio structures used for the EVB reference reactions are \navailable at https://github.com/Mojgan-Asadi/mpro-ab-initio. Conclusions The main protease (Mpro) of the coronavirus, a cysteine protease featuring a Cys145-His41 \ncatalytic dyad, is essential for viral replication and the subsequent infection in humans. The present \nstudy builds on the existing body of work on SARS-CoV-2 Mpro inhibitors, highlighting covalent \ninhibition as a particularly promising strategy in the development of antiviral drugs. Specifically, \nthe inhibitors nirmatrelvir and its analogs can act on Mpro either reversibly or irreversibly to \nobstruct the virus's lifecycle. Our investigation delved into the thermodynamics of inhibition by two distinct inhibitors, each \ncharacterized by different reactive groups i.e., one bearing a nitrile group and the other an alkyne \ngroup. By employing both EVB and PDLD/S-LRA/β simulations, we were able to delineate the https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 binding energetics associated with both covalent and non-covalent interactions of these \ncompounds. The insights from our kinetic modeling, detailed in Table 1, align with experimental \ndata and notably reveal the superior efficacy of the alkyne-modified inhibitor over a duration of \nthree hours. Nonetheless, to reconcile certain qualitative deviations observed at shorter intervals, \nfurther experiments with reduced relative errors are necessary. A point of ongoing inquiry is the \nprecise binding affinities of nirmatrelvir and its derivatives. The study notes that the binding \naffinity is subject to significant variation depending on the tautomeric form of HIS163; however, \nno other histidine residue has been found to exert a comparable influence. In conclusion, while there remains room for refinement in our results, it is important to \nacknowledge the contribution of our work in simulating the time-dependent potency of covalent \ninhibitors. This approach, as exemplified in the context of Mpro inhibitors, promises to be a valuable \ntool in the identification and subsequent pharmaceutical assessment of potential lead compounds. In conclusion, while there remains room for refinement in our results, it is important to \nacknowledge the contribution of our work in simulating the time-dependent potency of covalent \ninhibitors. This approach, as exemplified in the context of Mpro inhibitors, promises to be a valuable \ntool in the identification and subsequent pharmaceutical assessment of potential lead compounds. Acknowledgments This work was supported by the National Institutes of Health R35 GM122472 and the National \nScience Foundation Grant MCB 2142727. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 (2) Gao, X.; Qin, B.; Chen, P.; Zhu, K.; Hou, P.; Wojdyla, J. A.; Wang, M.; Cui, S. Crystal \nStructure of SARS-CoV-2 Papain-like Protease. Acta Pharm. Sin. B 2021, 11 (1), 237–245. \nhttps://doi.org/10.1016/j.apsb.2020.08.014. References: (1) Gajjar, N. D.; Dhameliya, T. M.; Shah, G. B. In Search of RdRp and Mpro Inhibitors \nagainst SARS CoV-2: Molecular Docking, Molecular Dynamic Simulations and ADMET \nAnalysis. J. Mol. Struct. 2021, 1239, 130488. https://doi.org/10.1016/j.molstruc.2021.130488. (2) Gao, X.; Qin, B.; Chen, P.; Zhu, K.; Hou, P.; Wojdyla, J. A.; Wang, M.; Cui, S. Crystal \nStructure of SARS-CoV-2 Papain-like Protease. Acta Pharm. Sin. B 2021, 11 (1), 237–245. https://doi.org/10.1016/j.apsb.2020.08.014. (3) Silva, L. R.; da Silva Santos-Júnior, P. F.; de Andrade Brandão, J.; Anderson, L.; Bassi, Ê. J.; Xavier de Araújo-Júnior, J.; Cardoso, S. H.; da Silva-Júnior, E. F. Druggable Targets https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 from Coronaviruses for Designing New Antiviral Drugs. Bioorg. Med. Chem. 2020, 28 \n(22), 115745. https://doi.org/10.1016/j.bmc.2020.115745. from Coronaviruses for Designing New Antiviral Drugs. Bioorg. Med. Chem. 2020, 28 \n(22), 115745. https://doi.org/10.1016/j.bmc.2020.115745. (4) (4) Dai, W.; Zhang, B.; Jiang, X.-M.; Su, H.; Li, J.; Zhao, Y.; Xie, X.; Jin, Z.; Peng, J.; Liu, F.;\nLi, C.; Li, Y.; Bai, F.; Wang, H.; Cheng, X.; Cen, X.; Hu, S.; Yang, X.; Wang, J.; Liu, X.; \nXiao, G.; Jiang, H.; Rao, Z.; Zhang, L.-K.; Xu, Y.; Yang, H.; Liu, H. Structure-Based \nDesign of Antiviral Drug Candidates Targeting the SARS-CoV-2 Main Protease. Science \n2020, 368 (6497), 1331–1335. https://doi.org/10.1126/science.abb4489. (5) Ullrich, S.; Nitsche, C. The SARS-CoV-2 Main Protease as Drug Target. Bioorg. Med. Chem. Lett. 2020, 30 (17), 127377. https://doi.org/10.1016/j.bmcl.2020.127377. (6) Mengist, H. M.; Dilnessa, T.; Jin, T. Structural Basis of Potential Inhibitors Targeting \nSARS-CoV-2 Main Protease. Front. Chem. 2021, 9. (7) Ziebuhr, J.; Herold, J.; Siddell, S. G. Characterization of a Human Coronavirus (Strain \n229E) 3C-like Proteinase Activity. J. Virol. 1995, 69 (7), 4331–4338. https://doi.org/10.1128/jvi.69.7.4331-4338.1995. p\ng\nj\n(8) Poduri, R.; Joshi, G.; Jagadeesh, G. Drugs Targeting Various Stages of the SARS-CoV-2 \nLife Cycle: Exploring Promising Drugs for the Treatment of Covid-19. Cell. Signal. 2020, \n74, 109721. https://doi.org/10.1016/j.cellsig.2020.109721. (9) Gao, K.; Wang, R.; Chen, J.; Tepe, J. J.; Huang, F.; Wei, G.-W. Perspectives on SARS-CoV-\n2 Main Protease Inhibitors. J. Med. Chem. 2021, 64 (23), 16922–16955. https://doi.org/10.1021/acs.jmedchem.1c00409. (10) Gimeno, A.; Mestres-Truyol, J.; Ojeda-Montes, M. J.; Macip, G.; Saldivar-Espinoza, B.; \nCereto-Massagué, A.; Pujadas, G.; Garcia-Vallvé, S. Prediction of Novel Inhibitors of the \nMain Protease (M-pro) of SARS-CoV-2 through Consensus Docking and Drug Reposition. Int. J. Mol. Sci. 2020, 21 (11), 3793. (\n)\n(11) Tuley, A.; Fast, W. The Taxonomy of Covalent Inhibitors. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 References: Biochemistry 2018, 57 (24), \n3326–3337. https://doi.org/10.1021/acs.biochem.8b00315. (12) Mestres, J.; Gregori-Puigjané, E.; Valverde, S.; Solé, R. V. The Topology of Drug–Target \nInteraction Networks: Implicit Dependence on Drug Properties and Target Families. Mol. Biosyst. 2009, 5 (9), 1051–1057. https://doi.org/10.1039/B905821B. y\n,\n( ),\np\ng\n(13) Singh, J.; Petter, R. C.; Baillie, T. A.; Whitty, A. The Resurgence of Covalent Drugs. Nat. Rev. Drug Discov. 2011, 10 (4), 307–317. https://doi.org/10.1038/nrd3410. (14) Banerjee, R.; Perera, L.; Tillekeratne, L. V. Potential SARS-CoV-2 Main Protease \nInhibitors. Drug Discov. Today 2021, 26 (3), 804–816. (15) Al-Khafaji, K.; AL-DuhaidahawiL, D.; Taskin Tok, T. Using Integrated Computational \nApproaches to Identify Safe and Rapid Treatment for SARS-CoV-2. J. Biomol. Struct. Dyn. 2020, 1–9. https://doi.org/10.1080/07391102.2020.1764392. (16) Tung Ngo, S.; Hai Nguyen, T.; Thanh Tung, N.; Khanh Mai, B. Insights into the Binding \nand Covalent Inhibition Mechanism of PF-07321332 to SARS-CoV-2 M Pro. RSC Adv. 2022, 12 (6), 3729–3737. https://doi.org/10.1039/D1RA08752E. (17) Paul, A. S.; Islam, R.; Parves, M. R.; Mamun, A. A.; Shahriar, I.; Hossain, M. I.; Hossain, \nM. N.; Ali, M. A.; Halim, M. A. Cysteine Focused Covalent Inhibitors against the Main \nProtease of SARS-CoV-2. J. Biomol. Struct. Dyn. 2022, 40 (4), 1639–1658. https://doi.org/10.1080/07391102.2020.1831610. (18) Mondal, D.; Warshel, A. Exploring the Mechanism of Covalent Inhibition: Simulating the \nBinding Free Energy of α-Ketoamide Inhibitors of the Main Protease of SARS-CoV-2. Biochemistry 2020, 59 (48), 4601–4608. https://doi.org/10.1021/acs.biochem.0c00782. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 (19) Cokley, J. A.; Gidal, B. E.; Keller, J. A.; Vossler, D. G. PaxlovidTM Information From FDA \nand Guidance for AES Members. Epilepsy Curr. 2022, 22 (3), 201–204. https://doi.org/10.1177/15357597221088415. p\ng\n(20) Ngo, C.; Fried, W.; Aliyari, S.; Feng, J.; Qin, C.; Zhang, S.; Yang, H.; Shanaa, J.; Feng, P.; \nCheng, G.; Chen, X. S.; Zhang, C. Alkyne as a Latent Warhead to Covalently Target SARS-\nCoV-2 Main Protease. J. Med. Chem. 2023, 66 (17), 12237–12248. https://doi.org/10.1021/acs.jmedchem.3c00810. (21) Zhou, J.; Saha, A.; Huang, Z.; Warshel, A. Fast and Effective Prediction of the Absolute \nBinding Free Energies of Covalent Inhibitors of SARS-CoV-2 Main Protease and 20S \nProteasome. J. Am. Chem. Soc. 2022, 144 (17), 7568–7572. https://doi.org/10.1021/jacs.2c00853. (22) Brewitz, L.; Dumjahn, L.; Zhao, Y.; Owen, C. D.; Laidlaw, S. M.; Malla, T. R.; Nguyen, D.;\nLukacik, P.; Salah, E.; Crawshaw, A. D.; Warren, A. J.; Trincao, J.; Strain-Damerell, C.; \nCarroll, M. W.; Walsh, M. A.; Schofield, C. J. References: Alkyne Derivatives of SARS-CoV-2 Main \nProtease Inhibitors Including Nirmatrelvir Inhibit by Reacting Covalently with the \nNucleophilic Cysteine. J. Med. Chem. 2023, 66 (4), 2663–2680. https://doi.org/10.1021/acs.jmedchem.2c01627. (23) Tan, B.; Sacco, M.; Tan, H.; Li, K.; Joyce, R.; Zhang, X.; Chen, Y.; Wang, J. Exploring \nDiverse Reactive Warheads for the Design of SARS-CoV-2 Main Protease Inhibitors. Eur. J. Med. Chem. 2023, 259, 115667. https://doi.org/10.1016/j.ejmech.2023.115667. (24) Owen, D. R.; Allerton, C. M.; Anderson, A. S.; Aschenbrenner, L.; Avery, M.; Berritt, S.; \nBoras, B.; Cardin, R. D.; Carlo, A.; Coffman, K. J. An Oral SARS-CoV-2 Mpro Inhibitor \nClinical Candidate for the Treatment of COVID-19. Science 2021, 374 (6575), 1586–1593. Boras, B.; Cardin, R. D.; Carlo, A.; Coffman, K. J. An Oral SARS-CoV-2 Mpro Inhibitor \nClinical Candidate for the Treatment of COVID-19. Science 2021, 374 (6575), 1586–1593. (25) Van Der Spoel, D.; Lindahl, E.; Hess, B.; Groenhof, G.; Mark, A. E.; Berendsen, H. J. C. GROMACS: Fast, Flexible, and Free. J. Comput. Chem. 2005, 26 (16), 1701–1718. https://doi.org/10.1002/jcc.20291. (25) Van Der Spoel, D.; Lindahl, E.; Hess, B.; Groenhof, G.; Mark, A. E.; Berendsen, H. J. C. GROMACS: Fast, Flexible, and Free. J. Comput. Chem. 2005, 26 (16), 1701–1718. https://doi.org/10.1002/jcc.20291. (26) Maple, J. R.; Dinur, U.; Hagler, A. T. Derivation of Force Fields for Molecular Mechanics \nand Dynamics from Ab Initio Energy Surfaces. Proc. Natl. Acad. Sci. 1988, 85 (15), 5350–\n5354. https://doi.org/10.1073/pnas.85.15.5350. p\ng\np\n(27) Frisch, M. ea; Trucks, G. W.; Schlegel, H. B.; Scuseria, G. E.; Robb, M. A.; Cheeseman, J. R.; Scalmani, G.; Barone, V.; Petersson, G. A.; Nakatsuji, H. Gaussian 16, 2016. (28) Zhao, Y.; Truhlar, D. G. The M06 Suite of Density Functionals for Main Group \nThermochemistry, Thermochemical Kinetics, Noncovalent Interactions, Excited States, and \nTransition Elements: Two New Functionals and Systematic Testing of Four M06-Class \nFunctionals and 12 Other Functionals. Theor. Chem. Acc. 2008, 120 (1), 215–241. https://doi.org/10.1007/s00214-007-0310-x. (29) Francl, M. M.; Pietro, W. J.; Hehre, W. J.; Binkley, J. S.; Gordon, M. S.; DeFrees, D. J.; \nPople, J. A. Self‐consistent Molecular Orbital Methods. XXIII. A Polarization‐type Basis \nSet for Second‐row Elements. J. Chem. Phys. 1982, 77 (7), 3654–3665. https://doi.org/10.1063/1.444267. (30) McLean, A. D.; Chandler, G. S. Contracted Gaussian Basis Sets for Molecular Calculations. I. Second Row Atoms, Z=11–18. J. Chem. Phys. 1980, 72 (10), 5639–5648. https://doi.org/10.1063/1.438980. (31) Spitznagel, G. W.; Clark, T.; von Ragué Schleyer, P.; Hehre, W. J. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 References: An Evaluation of the \nPerformance of Diffuse Function-Augmented Basis Sets for Second Row Elements, Na-Cl. J. Comput. Chem. 1987, 8 (8), 1109–1116. https://doi.org/10.1002/jcc.540080807. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 (32) Barone, V.; Cossi, M. Quantum Calculation of Molecular Energies and Energy Gradients in \nSolution by a Conductor Solvent Model. J. Phys. Chem. A 1998, 102 (11), 1995–2001. https://doi.org/10.1021/jp9716997. (33) Warshel, A.; Weiss, R. M. An Empirical Valence Bond Approach for Comparing Reactions \nin Solutions and in Enzymes. J. Am. Chem. Soc. 1980, 102 (20), 6218–6226. https://doi.org/10.1021/ja00540a008. (34) Kamerlin, S. C. L.; Warshel, A. The Empirical Valence Bond Model: Theory and \nApplications. WIREs Comput. Mol. Sci. 2011, 1 (1), 30–45. https://doi.org/10.1002/wcms.10. p\ng\n(35) Asadi, M.; Xie, W. J.; Warshel, A. Exploring the Role of Chemical Reactions in the \nSelectivity of Tyrosine Kinase Inhibitors. J. Am. Chem. Soc. 2022, 144 (36), 16638–16646. (36) Oanca, G.; Asadi, M.; Saha, A.; Ramachandran, B.; Warshel, A. Exploring the Catalytic \nReaction of Cysteine Proteases. J. Phys. Chem. B 2020, 124 (50), 11349–11356. https://doi.org/10.1021/acs.jpcb.0c08192. (37) Tandarić, T.; Prah, A.; Stare, J.; Mavri, J.; Vianello, R. Hydride Abstraction as the Rate-\nLimiting Step of the Irreversible Inhibition of Monoamine Oxidase B by Rasagiline and \nSelegiline: A Computational Empirical Valence Bond Study. Int. J. Mol. Sci. 2020, 21 (17), \n6151. https://doi.org/10.3390/ijms21176151. (38) Prah, A.; Purg, M.; Stare, J.; Vianello, R.; Mavri, J. How Monoamine Oxidase A \nDecomposes Serotonin: An Empirical Valence Bond Simulation of the Reactive Step. J. Phys. Chem. B 2020, 124 (38), 8259–8265. (39) Bauer, P.; Barrozo, A.; Purg, M.; Amrein, B. A.; Esguerra, M.; Wilson, P. B.; Major, D. T.; \nÅqvist, J.; Kamerlin, S. C. L. Q6: A Comprehensive Toolkit for Empirical Valence Bond \nand Related Free Energy Calculations. SoftwareX 2018, 7, 388–395. https://doi.org/10.1016/j.softx.2017.12.001. (40) Mark, P.; Nilsson, L. Structure and Dynamics of the TIP3P, SPC, and SPC/E Water Models \nat 298 K. J. Phys. Chem. A 2001, 105 (43), 9954–9960. https://doi.org/10.1021/jp003020w. (40) Mark, P.; Nilsson, L. Structure and Dynamics of the TIP3P, SPC, and SPC/E Water Models \nat 298 K. J. Phys. Chem. A 2001, 105 (43), 9954–9960. https://doi.org/10.1021/jp003020w. (41) King, G.; Warshel, A. A Surface Constrained All‐atom Solvent Model for Effective \nSi\nl ti\nf P l\nS l ti\nJ Ch\nPh\n1989 91 (6) 3647 3661 (41) King, G.; Warshel, A. A Surface Constrained All‐atom Solvent Model for Effective \nSimulations of Polar Solutions. J. Chem. Phys. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0 References: 1989, 91 (6), 3647–3661. https://doi.org/10.1063/1.456845. p\ng\n(42) Lee, F. S.; Warshel, A. A Local Reaction Field Method for Fast Evaluation of Long‐range \nElectrostatic Interactions in Molecular Simulations. J. Chem. Phys. 1992, 97 (5), 3100–\n3107. https://doi.org/10.1063/1.462997. (43) Warshel, A. Computer Modeling of Chemical Reactions in Enzymes and Solutions; Wiley: \nNew York, 1991. (44) Singh, N.; Warshel, A. Absolute Binding Free Energy Calculations: On the Accuracy of \nComputational Scoring of Protein–Ligand Interactions. Proteins Struct. Funct. Bioinforma. 2010, 78 (7), 1705–1723. https://doi.org/10.1002/prot.22687. (45) Nguyen, T. H.; Tam, N. M.; Van Tuan, M.; Zhan, P.; Vu, V. V.; Quang, D. T.; Ngo, S. T. Searching for Potential Inhibitors of SARS-COV-2 Main Protease Using Supervised \nLearning and Perturbation Calculations. Chem. Phys. 2023, 564, 111709. (46) Ramos-Guzmán, C. A.; Ruiz-Pernía, J. J.; Tuñón, I. Computational Simulations on the \nBinding and Reactivity of a Nitrile Inhibitor of the SARS-CoV-2 Main Protease. Chem. Commun. 2021, 57 (72), 9096–9099. https://doi.org/10.1039/D1CC03953A. https://doi.org/10.26434/chemrxiv-2024-c3vxj Content not peer-reviewed by ChemRxiv. License: CC BY 4.0"
|
https://openalex.org/W2511364491
|
https://europepmc.org/articles/pmc4995590?pdf=render
|
English
| null |
Comparison of different normalization strategies for the analysis of glomerular microRNAs in IgA nephropathy
|
Scientific reports
| 2,016
|
cc-by
| 11,336
|
Comparison of different
normalization strategies for the
analysis of glomerular microRNAs
in IgA nephropathy
Clemens L. Bockmeyer1,2, Karen Säuberlich3, Juliane Wittig3, Marc Eßer3,
Sebastian S. Roeder1, Udo Vester4, Peter F. Hoyer4, Putri A. Agustian5, Philip Zeuschner3,
Kerstin Amann1, Christoph Daniel1 & Jan U. Becker3 received: 28 April 2016
accepted: 01 August 2016
Published: 24 August 2016 Clemens L. Bockmeyer1,2, Karen Säuberlich3, Juliane Wittig3, Marc Eßer3,
Sebastian S. Roeder1, Udo Vester4, Peter F. Hoyer4, Putri A. Agustian5, Philip Zeuschner3,
Kerstin Amann1, Christoph Daniel1 & Jan U. Becker3 Small nucleolar RNAs (snoRNAs) have been used for normalization in glomerular microRNA (miRNA)
quantification without confirmation of validity. Our aim was to identify glomerular reference miRNAs in
IgA nephropathy. We compared miRNAs in human paraffin-embedded renal biopsies from patients with
cellular-crescentic IgA-GN (n = 5; crescentic IgA-GN) and non-crescentic IgA-GN (n = 5; IgA-GN) to mild
interstitial nephritis without glomerular abnormalities (controls, n = 5). Laser-microdissected glomeruli
were used for expression profiling of 762 miRNAs by low-density TaqMan arrays (cards A and B). The
comparison of different normalization methods (GeNormPlus, NormFinder, global mean and snoRNAs)
in crescentic IgA-GN, IgA-GN and controls yielded similar results. However, levels of significance and
the range of relative expression differed. In median, two normalization methods demonstrated similar
results. GeNormPlus and NormFinder gave different top ranked reference miRNAs. Stability ranking
for snoRNAs varied between cards A and B. In conclusion, we suggest the geometric mean of the most
stable reference miRNAs found in GeNormPlus (miR-26b-5p), NormFinder (miR-28-5p) and snoRNAs
(RNU44) as reference. It should be considered that significant differences could be missed using one
particular normalization method. As a starting point for glomerular miRNA studies in IgA nephropathy
we provide a library of miRNAs. IgA nephropathy is the most common glomerulonephritis worldwide1. Currently histopathological analysis of
renal biopsies is considered the gold standard for diagnosis and contributes to prognostication and therapeutic
decision making2. miRNAs have been suggested as new biomarkers for renal disease activity to improve tissue
diagnostics3. miRNAs act as post-transcriptional regulators of gene expression and recent studies have shown
that it is feasible to measure gene expression of miRNAs in FFPE tissue4,5. They have been investigated exten-
sively in renal diseases in general (reviewed in ref. 6) and in IgA nephropathy (reviewed in ref. 7) in particular. Whole tissue gene expression analysis demonstrated a higher intrarenal expression of miR-146a and miR-155-5p
in patients with IgA nephropathy compared to healthy controls8,9. miR-21-5p was found to be up-regulated in
laser-microdissected glomeruli of patients with IgA nephropathy and its inhibition prevented fibrogenic activa-
tion in podocytes10. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Group
IgA-staining
IgG-staining
IgM-staining
M
E
S
T
C
IgA
+++
negative
+
1
0
0
0
0
IgA
++
negative
++
1
0
0
0
0
IgA
+++
+
negative
1
0
0
0
0
IgA
++
++
+
1
1
0
0
0
IgA
+++
+
trace
1
0
0
0
0
Crescentic IgA
++
+
+
1
1
1
0
1
Crescentic IgA
+++
trace
trace
1
1
1
0
1
Crescentic IgA
+++
trace
trace
1
1
1
0
1
Crescentic IgA
++
trace
trace
1
1
1
0
1
Crescentic IgA
++
++
++
1
1
1
0
1
Control
negative
negative
trace
0
0
0
0
0
Control
negative
negative
trace
0
0
0
0
0
Control
negative
negative
trace
1
0
0
0
0
Control
negative
negative
negative
0
0
0
0
0
Control
negative
negative
negative
0
0
0
0
0
Table 1. All biopsies were examined with our standard diagnostic protocol for Immunohistological
features and scored according to the MEST criteria of the Oxford classification. The entire spectrum of
IgA-GN regarding concurrent IgM and IgG deposits with the IgA codominance defining IgA-GN was covered. Furthermore, the full spectrums of glomerular tuft findings according to the criteria of the Oxford classification
are presented in our cohort. M mesangial hypercellularity, E endocapillary hypercellularity, S segmental
glomerulosclerosis, T tubular atrophy/interstitial fibrosis, C only active, cellular crescent. Group
IgA-staining
IgG-staining
IgM-staining
M
E
S
T
C
IgA
+++
negative
+
1
0
0
0
0
IgA
++
negative
++
1
0
0
0
0
IgA
+++
+
negative
1
0
0
0
0
IgA
++
++
+
1
1
0
0
0
IgA
+++
+
trace
1
0
0
0
0
Crescentic IgA
++
+
+
1
1
1
0
1
Crescentic IgA
+++
trace
trace
1
1
1
0
1
Crescentic IgA
+++
trace
trace
1
1
1
0
1
Crescentic IgA
++
trace
trace
1
1
1
0
1
Crescentic IgA
++
++
++
1
1
1
0
1
Control
negative
negative
trace
0
0
0
0
0
Control
negative
negative
trace
0
0
0
0
0
Control
negative
negative
trace
1
0
0
0
0
Control
negative
negative
negative
0
0
0
0
0
Control
negative
negative
negative
0
0
0
0
0
Table 1. Materials and Methods Patients and biopsies. Biopsies from 15 different patients were selected from the archive of the Institute of
Pathology, Hannover Medical School: Five with IgA-GN without crescents, five with crescentic IgA-GN (only with
active, cellular crescents, >20% of glomeruli involved) and five mild intersititial nephritis without glomerular abnor-
malities as controls. The former two cohorts reflected the full spectrum of glomerular tuft findings in IgA-GN not
only according to the Oxford classification but also including crescentic forms and regarding IgG and IgM deposits
(see Table 1). Importantly, none of the patients received any medication at the time of biopsy. All biopsies were exam-
ined with our standard diagnostic protocol and scored according to the MEST criteria of the Oxford classification2. Detailed information for every biopsy is given in Table 1. Other forms of renal and systemic diseases were excluded. Clinical data and serology. Clinical data included blood pressure, proteinuria (none, non-nephrotic,
nephrotic), hematuria, hemoglobin, leukocyte count, thrombocyte count, serum-creatinine and eGFR (MDRD
formula; Schwartz formula, if age <18 years; see Table 2). We could not find any significant differences in serum
creatinine and eGFR between the cohorts in pairwise comparisons using Steel-Dwass tests. Thus, we should have
reasonably controlled any secondary effects of uremia on glomerular tuft miRNA expression. Glomerular microdissection and miRNA high throughput analysis. Between 150 to 500 glomer-
ular cross sections from paraffin-embedded biopsies (cut at a thickness of 3 μm) were deparaffinized for 30 sec. in xylole, stained for 2 sec. in haemalaun (Mayers Haemalaun, Merck, Germany) and washed in sterile aqua ad
injectabilia (Ampuwa, Plastipur, Fresenius, Germany). From dried sections only open capillary loops were micro-
dissected, carefully excluding the crescents, global and segmental sclerosed glomeruli (mmi® CellCut Plus® Laser
Microdissection System, Eching, Germany).il y
g
y
RNA was quantified as described previously13,14. Briefly, isolated RNA was dissolved in 10 μl DEPC water. Thereof 3.0 μl were reverse transcribed using the Multi-Scribe-based High Capacity Kit and Megaplex RT
stem-loop primer pool A and B, Version 2.0 (Applied Biosystems, Foster City, CA, USA), enabling RNA-specific
cDNA synthesis for 762 different small RNA species including snoRNAs (snRNU6 (U6, RNU6A), RNU48 and
RNU44) and several tRNA derived fragments15. For the sake of convenience all measured tRNA species are
termed as miRNAs according to the old nomenclature. Preamplification and quantification by TaqMan low den-
sity arrays (TLDA) were performed as described16. www.nature.com/scientificreports/ All biopsies were examined with our standard diagnostic protocol for Immunohistological
features and scored according to the MEST criteria of the Oxford classification. The entire spectrum of
IgA-GN regarding concurrent IgM and IgG deposits with the IgA codominance defining IgA-GN was covered. Furthermore, the full spectrums of glomerular tuft findings according to the criteria of the Oxford classification
are presented in our cohort. M mesangial hypercellularity, E endocapillary hypercellularity, S segmental
glomerulosclerosis, T tubular atrophy/interstitial fibrosis, C only active, cellular crescent. Table 1. All biopsies were examined with our standard diagnostic protocol for Immunohistological
features and scored according to the MEST criteria of the Oxford classification. The entire spectrum of
IgA-GN regarding concurrent IgM and IgG deposits with the IgA codominance defining IgA-GN was covered. Furthermore, the full spectrums of glomerular tuft findings according to the criteria of the Oxford classification
are presented in our cohort. M mesangial hypercellularity, E endocapillary hypercellularity, S segmental
glomerulosclerosis, T tubular atrophy/interstitial fibrosis, C only active, cellular crescent. Table 1. All biopsies were examined with our standard diagnostic protocol for Immunohistological
features and scored according to the MEST criteria of the Oxford classification. The entire spectrum of
IgA-GN regarding concurrent IgM and IgG deposits with the IgA codominance defining IgA-GN was covered. Furthermore, the full spectrums of glomerular tuft findings according to the criteria of the Oxford classification
are presented in our cohort. M mesangial hypercellularity, E endocapillary hypercellularity, S segmental
glomerulosclerosis, T tubular atrophy/interstitial fibrosis, C only active, cellular crescent. Table 1. All biopsies were examined with our standard diagnostic protocol for Immunohistological
features and scored according to the MEST criteria of the Oxford classification. The entire spectrum of
IgA-GN regarding concurrent IgM and IgG deposits with the IgA codominance defining IgA-GN was covered. Furthermore, the full spectrums of glomerular tuft findings according to the criteria of the Oxford classification
are presented in our cohort. M mesangial hypercellularity, E endocapillary hypercellularity, S segmental
glomerulosclerosis, T tubular atrophy/interstitial fibrosis, C only active, cellular crescent. use as reference miRNAs highly questionable. www.nature.com/scientificreports/ We are not aware of any studies about the stability of snoRNAs in
non-neoplastic renal diseases.h p
The aim of the study was (i) to provide a comprehensive data set of glomerular miRNAs expression in native
renal biopsies of IgA-GN on a cohort reflecting the full spectrum of glomerular tuft pathology (ii) to identify the
most stably expressed miRNAs as a reference by proper normalization strategies (iii) to compare different normali-
zation strategies for the identification of differentially expressed miRNAs in “active, cellular” crescentic IgA-GN vs. IgA-GN vs. controls. This provides basic information for further studies about the pathogenesis of IgA nephrop-
athy especially to identify novel molecular markers for disease activity in urinary, serum and tissue diagnostics. Comparison of different
normalization strategies for the
analysis of glomerular microRNAs
in IgA nephropathy
Clemens L. Bockmeyer1,2, Karen Säuberlich3, Juliane Wittig3, Marc Eßer3,
Sebastian S. Roeder1, Udo Vester4, Peter F. Hoyer4, Putri A. Agustian5, Philip Zeuschner3,
Kerstin Amann1, Christoph Daniel1 & Jan U. Becker3 The same group demonstrated a down-regulation of miR-223 in glomeruli with endocapillary
proliferation11, however endocapillary proliferation was not clearly defined in this study. p
p
y p
yi
y
Despite the recent surge of studies on miRNAs in kidney diseases, a profound assessment of reference miRNAs
for proper quantification of miRNA expression by RT-qPCR has not been provided yet. To the best of
our knowledge, no comprehensive study has identified suitable miRNA reference genes in whole tissue
or in laser-microdissected glomeruli from paraffin tissue. It has even been shown that expression levels of
small-nucleolar RNAs (snoRNAs) such as RNU48 and RNU44, which are suggested as references by manufacturers,
are regulated in neoplastic diseases like breast cancer and head and neck squamous cell carcinoma12 making their 1Department of Nephropathology, Friedrich Alexander University (FAU) Erlangen-Nuremberg, Erlangen, Germany. 2Institute of Pathology, Hannover Medical School, Hannover, Germany. 3Institute of Pathology, University Hospital
of Cologne, Cologne, Germany. 4Children’s Hospital, Pediatrics II, University of Duisburg-Essen, Essen, Germany. 5Department of Nephrology, Hannover Medical School, Hannover, Germany. Correspondence and requests for
materials should be addressed to C.L.B. (email: clemens.bockmeyer@uk-erlangen.de) Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 1 Materials and Methods Clinical data of patients with IgA nephropathy (non-crescentic IgA-GN (IgA-GN) and cellular
crescentic IgA-GN (crescentic IgA-GN)) and controls. If no unit is given data are presented as total coun
otherwise as median (25th/75th percentile). Although serum creatinine of controls was higher than those in
patients with IgA nephropathy, there were no significant differences. Furthermore, there were no significant
differences for eGFR (Steel-Dwass test). Table 2. Clinical data of patients with IgA nephropathy (non-crescentic IgA-GN (IgA-GN) and cellular-
crescentic IgA-GN (crescentic IgA-GN)) and controls. If no unit is given data are presented as total count,
otherwise as median (25th/75th percentile). Although serum creatinine of controls was higher than those in
patients with IgA nephropathy, there were no significant differences. Furthermore, there were no significant
differences for eGFR (Steel-Dwass test). Table 2. Clinical data of patients with IgA nephropathy (non-crescentic IgA-GN (IgA-GN) and cellular-
crescentic IgA-GN (crescentic IgA-GN)) and controls. If no unit is given data are presented as total count,
otherwise as median (25th/75th percentile). Although serum creatinine of controls was higher than those in
patients with IgA nephropathy, there were no significant differences. Furthermore, there were no significant
differences for eGFR (Steel-Dwass test). Evaluation of miRNA expression data. Amplification curves and Cq values (quantitation cycle) were
generated with the software RQ manager 1.2 (Applied Biosystems). Threshold values for all TLDA cards were set
at 0.25. Amplification curves for every reaction were inspected visually and underwent a stringent quality con-
trol. Cq values of amplification curves that could not be trusted were set as Cq = 45. Baseline values were adjusted
if necessary17. Based on a preamplification procedure following megaplex reverse transcription and TLDA we
defined Cq values of >32.0 as off-scale Cq values (reactions that are too high to be trusted)18. Out of 381 we
excluded 201/321 miRNAs in Pool A/B for further analysis, when a Cq value of >32.0 in more than 5 out of 15
examined samples was obtained. For the remaining 240 miRNAs we used the recommended pragmatic approach
to replace all missing Cq values (reactions that did not yield any Cq-value) and off-scale Cq values by Cq = 3317. Defining candidate reference genes. A typical normalization study using geNormPlus or NormFinder
uses only data for highly expressed candidate reference genes. Therefore we only used those miRNAs with not more
than one off-scale Cq-value or missing Cq-value. Materials and Methods Sequences and accession numbers of defined endogenous
reference genes as well as miRNAs with significantly different expression are given in Supplementary Table 1. Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 2 www.nature.com/scientificreports/ IgA-GN; n = 5
Crescentic-IgA-GN; n = 5
Controls; n = 5
Female
2
3
4
Age at biopsy
47.0 (37.0/51.0)
46.0 (17.0/65.0)
37.0 (24.0/55.0)
Crescents per total glomeruli count (%)
0 (0/0)
44.4 (36.6/46.2)
0 (0/0)
Global glomerulosclerosis per total glomeruli count (%)
5.9 (5.9/6.3)
9.8 (0/10)
0 (0/0)
Arterial hypertension WHO-Grade
0
3
2
3
1
1
2
1
2
1
0
0
3
0
1
0
n.d. 0
0
1
Proteinuria
normal
0
0
2
<3.5 g/day
5
3
3
>3.5 g/day
0
2
0
n.d. 0
0
0
Microhematuria
5
4
2
Macrohematuria
1
1
0
Haemoglobin (g/dl)
13.1 (11.1/15.4)
10.9 (10.8/12.7)
12.5 (9.1/14.1)
Leukocytes (103/μl)
6.8 (5.6/7.4)
8.1 (7.7/8.8)
8.8 (5.7/11.3)
Thrombocytes (103/μl)
237 (192/257)
360 (292/401)
245 (166/484)
Serum-Creatinine (μmol/l)
84 (68/232)
107 (79/450)
273 (129/465)
eGFR MDRD (ml/min) (Schwartz if age <18 years)
88.8 (42.2/96.0)
54.7 (22.1/95.5)
18.0 (15.8/40.8)
Table 2. Clinical data of patients with IgA nephropathy (non-crescentic IgA-GN (IgA-GN) and cellular-
crescentic IgA-GN (crescentic IgA-GN)) and controls. If no unit is given data are presented as total count,
otherwise as median (25th/75th percentile). Although serum creatinine of controls was higher than those in
patients with IgA nephropathy, there were no significant differences. Furthermore, there were no significant
differences for eGFR (Steel-Dwass test). IgA-GN; n = 5
Crescentic-IgA-GN; n = 5
Controls; n = 5
Female
2
3
4
Age at biopsy
47.0 (37.0/51.0)
46.0 (17.0/65.0)
37.0 (24.0/55.0)
Crescents per total glomeruli count (%)
0 (0/0)
44.4 (36.6/46.2)
0 (0/0)
Global glomerulosclerosis per total glomeruli count (%)
5.9 (5.9/6.3)
9.8 (0/10)
0 (0/0)
Arterial hypertension WHO-Grade
0
3
2
3
1
1
2
1
2
1
0
0
3
0
1
0
n.d. 0
0
1
Proteinuria
normal
0
0
2
<3.5 g/day
5
3
3
>3.5 g/day
0
2
0
n.d. 0
0
0
Microhematuria
5
4
2
Macrohematuria
1
1
0
Haemoglobin (g/dl)
13.1 (11.1/15.4)
10.9 (10.8/12.7)
12.5 (9.1/14.1)
Leukocytes (103/μl)
6.8 (5.6/7.4)
8.1 (7.7/8.8)
8.8 (5.7/11.3)
Thrombocytes (103/μl)
237 (192/257)
360 (292/401)
245 (166/484)
Serum-Creatinine (μmol/l)
84 (68/232)
107 (79/450)
273 (129/465)
eGFR MDRD (ml/min) (Schwartz if age <18 years)
88.8 (42.2/96.0)
54.7 (22.1/95.5)
18.0 (15.8/40.8)
Table 2. www.nature.com/scientificreports/ remaining candidates. In the end, the remaining candidate gene with the lowest M-value is identified as the best
reference gene20. For the identification of the optimal number of reference genes geNormPlus provides the follow-
ing algorithm: Differences in the ratio of the average pairwise variation of normalization factors (geometric mean
Cq value)20 of consecutive candidate reference genes starting with the two most stable genes (n) and the addition
of the next most stable gene (n + 1) until all genes have been added suggest the number of optimal reference
genes. As a general guideline, the benefit of using an extra reference gene is limited as soon as the difference in the
ratio (Vn/n + 1) drops below the 0.15 threshold22. p
The second normalization method we used was the NormFinder algorithm, which identifies reference
genes via a simple interface (an Excel add-in available as a free download under http://moma.dk/
normfinder-software)23,24, which analyses different subgroups (IgA-GN, crescentic IgA-GN and controls)
independently. Hereby intragroup and intergroup variations are considered independently. The stability value for
each gene is a measurement of the estimated systematic error when using this gene for normalization. The best 3
reference genes were chosen for calculating the normalization factor. For both algorithms the amplification effi-
ciency was assumed as 100%. Imported Cq values were automatically transformed into relative expression data by
the software25. Furthermore, we skipped those miRNAs belonging to the same miRNA-family (see miRNAVISA
web interface26) and used only the best miRNA per family. )
y
p
y
We also used the global mean normalization method. It calculates normalization factors based on the geometric
mean of Cq values of all analyzed genes of one patient sample18,27. This method is recommended for experiments
with more than 50 randomly distributed genes over all biological pathways. y
g
g
p
y
Moreover, snoRNAs (RNU44, RNU48 and U6 snRNA) were used as a reference as recommended by the
manufacturer. Relative expression was determined using the 2−ΔCq method. ΔCq was calculated as Cq(target) –
normalization factor. Statistical Analysis. For pairwise comparisons of continuous parameters between the cohorts we used
the Steel-Dwass on JMP 9.0.2 (SAS Institute, Cary, NC, USA). Nonparametric tests are recommended in case
of replaced missing or off-scale Cq values. P-values <0.05 were considered statistically significant in two-tailed
tests. Median values, 25/75 percentiles (boxes) as well as 10/90 percentiles (whiskers) are shown in Figures with
box plots. Results
R f Reference miRNAs in studies related to non-neoplastic kidney diseases. First we performed a lit-
erature search in PubMed for articles published between January 2008 and December 2014, with the search terms
“microRNA(s), micro-RNA(s) or miRNA(s)” and “kidney, renal, (IgA-) glomerulonephritis or (IgA-)nephropa-
thy”. We focused on manuscripts about human, rat or mouse non-neoplastic renal tissues. Papers about urinary
and serum analysis using spiked references as well as in vitro studies were excluded. y
g p
70 publications reported miRNA expression by RT-qPCR in renal tissue (18 times human, 39 times mouse,
13 times rat) and used small nuclear, nucleolar or ribosomal RNAs as well as mRNAs for normalization, namely
snRNU6 (32 times), RNU48 (6 times), RNU87 (5 times), snoRNA202 (5 times), 5srRNA (5 times), 18srRNA
(4 time), RNU6B (3 times) as well as others (GAPDH, RNU19, RNU44, RNU19, snoRNA 135, snoRNA 234)
without confirming their validity for normalization (see Supplementary Table 2, including literature). miR-193a
and miR-16 were the only two reference miRNAs, which were properly identified as stably expressed in polycys-
tic kidney disease and diabetic nephropathy, respectively28,29. Five publications used laser-microdissection for
glomerulus-specific analysis10,11,30–32. Inclusion of 240 microRNAs for further analysis. Two-hundred and fourty (180 from Pool A and 60
from Pool B) out of 762 measured miRNAs (32%) were included for further analysis according to our algorithm
described in the methods section. Cq values of these 240 miRNAs are provided in a supplementary excel file
(Supplementary Table 3). According to Stahlberg et al. a defined amount of off-scale Cq or missing Cq values
within these 240 miRNAs was accepted17. We decided to use this threshold for exclusion of miRNAs in order
not to miss any relevant data. As shown in Fig. 1 we found 53 (Pool A)/35 (Pool B) miRNAs with off-scale Cq or
missing Cq values in our final analysis. Among the 2685/900 further analyzed Cq values there were 39 (1.5%)/17
(1.9%) missing Cq values and 112 (4.2%)/78 (8.7%) off-scale Cq values in Pool A/B. miR-708-5p demonstrated
two off-scale Cq values in controls, consistent with a significantly lower glomerular expression of this miRNA in
controls. Beside this miRNA neither other significantly expressed target genes nor snoRNAs had any off-scale or
missing Cq value. Stability analysis of candidate reference genes. For the computational approach of geNormPlus and
NormFinder we used 35 miRNAs (Pool A) and 26 miRNAs (Pool B) as candidate reference genes (Fig. www.nature.com/scientificreports/ Median values as well as the quartiles are shown in Table 2. GraphPad Prism Version 5.0 (GraphPad
Software Inc., La Jolla, CA, USA) was used for plotting of values.hfi t
g
The Spearman’s rank correlation coefficients were applied to calculate the association of values yielded from
geNormPlus and NormFinder. Ethical Approval. All studies were carried out according to the latest revision of the Declaration of Helsinki
(http://www.wma.net/en/30publications/10policies/b3/index.html) and were approved by the Ethics Committee
of Hannover Medical School (number 2241-2014), hereby it is documented that informed consent was obtained
prospectively from all subjects. Materials and Methods Furthermore, following the algorithm of Wotschofsky et al.19
we included only miRNAs that met the criteria of non-regulated miRNAs. First all Cq values had to be converted
into relative quantities (RQ). We used the highest Cq value as calibrator (highest Cq value in one patient sample –
each Cq value of a specific miRNA in this patient sample). Then all values had to be standardised by calculating the
ratio of RQ divided by the arithmetic mean of RQ from all miRNAs in the same patient sample. In a second step
these transformed RQ values were used for another global normalization by calculating the ratio of transformed
RQ divided by the arithmetic mean of RQ from all patient samples of one miRNA. Next, we analyzed the standard
deviation of RQ for each miRNA in all patient samples, the expression differences as well as the mean fold change
differences between subgroups. Finally, those nonregulated miRNAs were selected as candidate reference genes for
geNormPlus/NormFinder, which passed 2 out of the following 3 criteria: (i) standard deviation <0.0003 (Pool A)
as well as <0.00003 (Pool B), (ii) p-value for expression differences >0,7 in non-parametric Steel-Dwass tests and
(iii) mean fold change between −0.00003 and 0.00003 (Pool A) as well as between −0.000015 and 0.000015 (Pool B). Standard deviation and mean fold changes were calculated with Microsoft Excel (Version 12.2.8). Defining normalization factors. Four different normalization factors were defined by calculating the
geometric mean of Cq values20 from each of the recommended reference miRNAs: Recommendation of (i)
geNormPlus, (ii) NormFinder, (iii) global mean normalization method, (iv) two most stable snoRNAs or (v) all
three snoRNAs provided by the manufacturer.h The commercially available geNormPlus algorithm in qBaseplus, version 3.0 (http://www.biogazelle.com/
qbaseplus Biogazelle, Zwijnaarde, Belgium) is based on calculating the average pairwise variations of each candi-
date reference genes compared to all candidate reference genes21. Step by step the gene with the highest variation
(highest M-Value) was excluded from the list of candidate genes and the variation analysis is repeated with the Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 3 www.nature.com/scientificreports/ Results
R f 2) defined by
the algorithm described in the method section. Out of these, miR-20b, miR-342-3p (Pool A) and miR-1275, miR-
145-3p, miR-151-5p, miR-27b-5p, miR-601 (Pool B) had a maximum of one off-scale/missing Cq value (Fig. 1). GeNormPlus and NormFinder analysis recommended different reference genes. GeNormPlus recommended
miR-26b-5p and miR-195-5p (Pool A) as well as miR-720, miR-1274a, miR-1260a and miR-30a-5p (Pool B) Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 4 www.nature.com/scientificreports/ as the best combinations (Fig. 2). miR-26a and miR-1274b were excluded, because they belong to th
miRNA-family/tRNA derived fragment and had a higher stability-value in the NormFinder analysis. The p
variation V2/3 calculated to indicate the optimal number of reference genes required for normalization
a value of 0.148 in Pool A, which was already below 0.15 (Fig. 3). Thus, based on geNormPlus, a combin
Figure 1. miRNAs with off-scale (grey) and missing (dark grey) Cq values are shown for quality cont
Percentages for 15 patient samples are shown for each miRNA. Grey boxes are for off-scale and dark grey
for missing Cq values. Out of these miRNAs seven were also defined as candidate reference miRNAs (miR
miR-342-3p, miR-1275, miR-145-3p, miR-151-5P, miR-27b-5p, miR-601). However, none of these were r
within the top 15 reference genes by geNormPlus or NormFinder. Figure 1. miRNAs with off-scale (grey) and missing (dark grey) Cq values are shown for quality control. Percentages for 15 patient samples are shown for each miRNA. Grey boxes are for off-scale and dark grey boxes
for missing Cq values. Out of these miRNAs seven were also defined as candidate reference miRNAs (miR-20b,
miR-342-3p, miR-1275, miR-145-3p, miR-151-5P, miR-27b-5p, miR-601). However, none of these were ranked
within the top 15 reference genes by geNormPlus or NormFinder. Figure 1. miRNAs with off-scale (grey) and missing (dark grey) Cq values are shown for quality control. Percentages for 15 patient samples are shown for each miRNA. Grey boxes are for off-scale and dark grey boxes
for missing Cq values. Out of these miRNAs seven were also defined as candidate reference miRNAs (miR-20b,
miR-342-3p, miR-1275, miR-145-3p, miR-151-5P, miR-27b-5p, miR-601). However, none of these were ranked
within the top 15 reference genes by geNormPlus or NormFinder. as the best combinations (Fig. 2). miR-26a and miR-1274b were excluded, because they belong to the same
miRNA-family/tRNA derived fragment and had a higher stability-value in the NormFinder analysis. Results
R f The pairwise
variation V2/3 calculated to indicate the optimal number of reference genes required for normalization yielded
a value of 0.148 in Pool A, which was already below 0.15 (Fig. 3). Thus, based on geNormPlus, a combination of
the best two reference genes is stable enough for Pool A and the addition of another miRNA would not improve
normalization accuracy. In Pool B V4/5 yielded a value of 0.146 (Fig. 3). Therefore the best four reference genes
are suggested as normalization factor.i gg
In contrast, NormFinder identified miR-28-5p, miR-127-3p and miR-181a-5p for Pool A as well as miR-
10b-3p, miR-181a-2-3p and miR-720 for Pool B as the most stable miRNAs (Fig. 2). There was a significant cor-
relation of stability-values comparing geNormPlus and NormFinder (Fig. 4). Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 5 www.nature.com/scientificreports/ Figure 2. Results of geNormPlus and NormFinder. geNormPlus
expression stability M-value of all candidate reference genes determ
highest M-value have the least stable expression, while the genes w
expression. The x-axis presents the ranking of reference genes in o
right. High stability is defined by an M-value of <0.5 as indicated b
are highlighted by black squares. By analogy NormFinder Stability
Small-nucleolar RNAs (snoRNAs such as RNU48, RNU44 and U6
snoRNAs are indicated by coloured arrows. Figure 2. Results of geNormPlus and NormFinder. geNormPlus analysis shows the calculation of the average
expression stability M-value of all candidate reference genes determined by RT-qPCR (A,C). Genes with the
highest M-value have the least stable expression, while the genes with the lowest M-value have the most stable
expression. The x-axis presents the ranking of reference genes in order of decreasing stability from left to the
right. High stability is defined by an M-value of <0.5 as indicated by the dotted line. Chosen reference miRNAs
are highlighted by black squares. By analogy NormFinder Stability-values are listed in an ascending order (B,D). Small-nucleolar RNAs (snoRNAs such as RNU48, RNU44 and U6snRNA) are indicated by coloured arrows. snoRNAs are indicated by coloured arrows. Figure 2. Results of geNormPlus and NormFinder. geNormPlus analysis shows the calculation of the average
expression stability M-value of all candidate reference genes determined by RT-qPCR (A,C). Genes with the
highest M-value have the least stable expression, while the genes with the lowest M-value have the most stable
expression. The x-axis presents the ranking of reference genes in order of decreasing stability from left to the
right. Results
R f High stability is defined by an M-value of <0.5 as indicated by the dotted line. Chosen reference miRNAs
are highlighted by black squares. By analogy NormFinder Stability-values are listed in an ascending order (B,D). Small-nucleolar RNAs (snoRNAs such as RNU48, RNU44 and U6snRNA) are indicated by coloured arrows. snoRNAs are indicated by coloured arrows. Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 6 www.nature.com/scientificreports/ Figure 3. Calculation of the optimal number of reference genes for normalization by geNormPlus. geNormPlus calculates the optimal number of reference genes taking into account the variable V as the average
pairwise variation between two sequential candidate reference miRNAs. The dotted line illustrates the cut-off
value 0.15. In our cohort the optimal number of reference genes was two (V2/3) for Pool A (white boxes) and
four (V4/5) for Pool B (grey boxes indicate a V-value above the cut-off). Figure 3. Calculation of the optimal number of reference genes for normalization by geNormPlus. geNormPlus calculates the optimal number of reference genes taking into account the variable V as the average
pairwise variation between two sequential candidate reference miRNAs. The dotted line illustrates the cut-off
value 0.15. In our cohort the optimal number of reference genes was two (V2/3) for Pool A (white boxes) and
four (V4/5) for Pool B (grey boxes indicate a V-value above the cut-off). snoRNAs as endogenous reference transcripts. Interestingly the order of stability-values for snoRNAs
differed between TLDA cards A and B (indicated by coloured arrows in Fig. 2). RNU44 was ranked 16th (Pool A)/21st
(Pool B) by geNormPlus, 8th (Pool A)/20th (Pool B) by NormFinder. RNU48 was ranked 19th (Pool A)/9th (Pool B)
by geNormPlus, 18th (Pool A)/11th (Pool B) by NormFinder. snRNU6 was ranked 32nd (Pool A)/10th (Pool B) by
geNormPlus, 34th (Pool A)/17th (Pool B) by NormFinder. The comparison of Cq values for snoRNAs revealed
a higher interquartile range of all analyzed snoRNAs on card B (Fig. 5). Due to this discrepancy we decided to
analyze our data with the best two snoRNAs as well as by all three snoRNAs as references. miRNAs with significantly different expression. In order to demonstrate the value of our reference
miRNAs, we examined our small cohort for differences between tufts from crescentic and non-crescentic IgA-GN. Active crescents have long been considered an important indicator of inflammatory activity and have been sug-
gested for inclusion in the Oxford classification33. Results
R f For the detection of differentially expressed microRNAs we
analyzed 240 target miRNAs with four different normalization methods: Recommendation of (i) geNormPlus
(geometric mean of miR-26b-5p and miR-195-5p (Pool A) as well as of miR-720, miR-1274a, miR-1260a and
miR-30a-5p (Pool B)), (ii) NormFinder (geometric mean of miR-28-5p, miR-127-3p and miR-181a-5p (Pool A)
as well as miR-10b-3p, miR-181a-2-3p and miR-720 (Pool B)), (iii) global mean normalization method, (iv) two
most stable snoRNAs (geometric mean of RNU44 and RNU48 (Pool A) as well as RNU48 and snRNU6 (Pool B))
or (v) geometric mean of all three snoRNAs provided by the manufacturer. We compared three subgroups:
IgA-GN, crescentic IgA-GN and controls. A total of 12 miRNAs (Pool A 10 miRNAs, Pool B 2 miRNAs) showed
differential expression. Of these miRNAs six are shown in Fig. 6 and another six in the Supplementary Fig. All
normalization methods yielded similar results for these 12 miRNAs, however with different levels of significance. In particular miR-132-3p, miR-30b-5p and miR-30c-5p were strongly expressed compared to reference miRNAs. The global mean method and the NormFinder method demonstrated the highest rates of concordance. Four
miRNAs (miR-132-3p, miR-146-5p, miR-184, miR-708-5p) demonstrated high persistence throughout different
normalization methods (at least 3 out of 5 normalization methods with similar significant results). Comparing all
12 significantly expressed miRNAs in median two normalization methods demonstrated similar significant results. The global mean method demonstrated the highest number of significant results when comparing crescentic
IgA-GN vs. IgA-GN. Specifically, miR-132-3p, miR-146-5p and miR-27a-5p were elevated in crescentic IgA-GN
vs. controls as well as miR-155-5p, miR-184 and miR-708-5p in IgA-GN vs. controls. In addition, miR-132-3p,
miR-125b-5p and miR-21-5p were significantly elevated in crescentic IgA-GN vs. IgA-GN, whereas miR-132-3p
and miR-184 demonstrated highest persistency throughout different normalization methods. On the other hand,
miR-708-5p and let7c were significantly elevated in IgA-GN vs. crescentic IgA-GN as well as miR-30c-5p, miR-30b-5p,
hsa-miR-505-5p in controls vs. crescentic IgA-GN. Discussion In this study we provide the first RT-qPCR-array-based identification of appropriate reference genes for miRNA
expression studies in laser-microdissected glomeruli of patients from a wide spectrum of IgA-GN. It is widely
accepted that there is no “one fits all” reference gene. Instead one has to determine which genes exhibit the
greatest stability for the experimental conditions under examination. Results from mRNA expression studies
based on non-validated reference genes can be misleading34,35. As an overview on reference miRNAs used in
non-neoplastic renal tissue expression studies we compiled data from different studies. This Pubmed search Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 7 www.nature.com/scientificreports/ M-values were higher
than expected (0.8–1.2) and they were even ranked differently on card A and card B. This might be due to inter-
card variability of snoRNAs as described by others37. In mRNA studies M-values should be less than 0.520. Thus,
other transcripts than these snoRNAs seem to be better suited as references for glomerular miRNA studies in IgA
nephropathy. or pulmonary diseases failed to show consensus reference snoRNAs36. Except for snRNU6 and RNU48, none of
these snoRNAs are provided on the TLDA card we used. Most importantly in our study snRNU6 and RNU48
were not among the most stably expressed by geNormPlus and NormFinder algorithms. M-values were higher
than expected (0.8–1.2) and they were even ranked differently on card A and card B. This might be due to inter-
card variability of snoRNAs as described by others37. In mRNA studies M-values should be less than 0.520. Thus,
other transcripts than these snoRNAs seem to be better suited as references for glomerular miRNA studies in IgA
nephropathy.i p
p
y
For identification of reference miRNAs in laser-microdissected glomeruli of patients with IgA nephropathy we
measured 762 miRNAs, analyzed 240 miRNAs and included 61 miRNAs as candidate reference genes. Compared
to all 2,500 (including all −5p and −3p sequences) human “high confidence” miRNAs reported in the miRBase
release from June 2014 (release 21)38 these were 30%, 9.6% and 2.4%, respectively. We compared the stability of
miRNAs between crescentic IgA-GN, IgA-GN in order to identify the best references for broad spectrum of IgA
nephropathy. p
p
y
In order to provide a set of reference miRNAs one could suggest the intersection of the best 15 reference
genes from both algorithms geNormPlus and NormFinder (miR-10b-3p, miR-1260a, miR-127-3p, miR-1274a,
miR-181a-5p, miR-181a-2-3p, miR-195-5p, miR-26b-5p, miR-28-5p, miR-30a-3p, miR-30a-5p, miR-30d-5p,
miR-361-5p, miR-720, miR-92a-3p). The ranking of the M-value (geNormPlus) compared to the stability-value
(NormFinder) of those 15 miRNAs was not identical. However, considering (i) the high correlation between both
algorithms, (ii) that each algorithm employs a different mathematical approach and (iii) that the confidence of the
respective results will vary depending on the innate variability of the dataset, we suggest a set of strong reference
miRNAs. Furthermore, these 15 reference miRNAs are associated with independent cellular processes, increasing
the confidence that any observed differences are accurate. Lastly, they were highly expressed and did not have any
off-scale or missing Cq values. www.nature.com/scientificreports/ www.nature.com/scientificreports/ om/scientificreports/
showed that snoRNAs such as snRNU6 RNU48 RNU87 sn
Figure 4. Direct correlation of geNormPlus and NormFin
indicate a high consistency between those two algorithms. Fo showed that snoRNAs such as snRNU6, RNU48, RNU87, snoRNA202 and
18srRNA are most frequently used as reference transcripts, however witho
for reference miRNAs in serum, plasma, blood monocytes and blood of ca
Figure 4. Direct correlation of geNormPlus and NormFinder. Spearman
indicate a high consistency between those two algorithms. For the sake of l Figure 4. Direct correlation of geNormPlus and NormFinder. Spearman’s rank correlation coefficients
indicate a high consistency between those two algorithms. For the sake of legibilty not all data points are labeled. Figure 4. Direct correlation of geNormPlus and NormFinder. Spearman’s rank correlation coefficients
indicate a high consistency between those two algorithms. For the sake of legibilty not all data points are labeled. showed that snoRNAs such as snRNU6, RNU48, RNU87, snoRNA202 and ribosomal RNA such as 5srRNA and
18srRNA are most frequently used as reference transcripts, however without any validation. A similar overview
for reference miRNAs in serum, plasma, blood monocytes and blood of cardiovascular, non-neoplastic hepatic showed that snoRNAs such as snRNU6, RNU48, RNU87, snoRNA202 and ribosomal RNA such as 5srRNA and
18srRNA are most frequently used as reference transcripts, however without any validation. A similar overview
for reference miRNAs in serum, plasma, blood monocytes and blood of cardiovascular, non-neoplastic hepatic showed that snoRNAs such as snRNU6, RNU48, RNU87, snoRNA202 and ribosomal RNA such as 5srRNA and
18srRNA are most frequently used as reference transcripts, however without any validation. A similar overview
for reference miRNAs in serum, plasma, blood monocytes and blood of cardiovascular, non-neoplastic hepatic Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 8 www.nature.com/scientificreports/ Figure 5. Variation in expression of snoRNAs on card A and B. Quantification cycle (Cq) values were plotted
for each sample. There was a higher variation for all snoRNAs on card B. Figure 5. Variation in expression of snoRNAs on card A and B. Quantification cycle (Cq) values were plotted
for each sample. There was a higher variation for all snoRNAs on card B. or pulmonary diseases failed to show consensus reference snoRNAs36. Except for snRNU6 and RNU48, none of
these snoRNAs are provided on the TLDA card we used. Most importantly in our study snRNU6 and RNU48
were not among the most stably expressed by geNormPlus and NormFinder algorithms. www.nature.com/scientificreports/ f
g
q
Several miRNAs like miR-181a-5p, miRNA-195-5p, miR-720, and miR-26b-5p have been described in other
studies. In situ hybridisation stained miR-181a-5p in tubular epithelial cells, especially close to the juxtaglomerular
apparatus. Whole tissue analysis of human nephrectomy specimens has shown that the tubular expression of
miR-181a-5p is associated with renin mRNA expression39,40. This is in accordance with the finding of an aberrant
renal miR-181a-5p expression in mouse41 and human40 hypertensive kidneys. In our small cohort without any
differences in arterial blood pressure miR-181a-5p was stably expressed in lasermicrodissected glomeruli with
IgA nephropathy, indicating that miR-181a-5p is not primarily affected by IgA-GN or neighboring crescents. Due to its stable glomerular expression, differences in whole tissue analysis of miR-181a-5p seem to be due to an
altererd tubulointerstitial or vascular expression. p
miRNA-195-5p and miR-720 seem to be relevant in diabetic glomerulopathy. Under in vitro high-glucose
conditions inhibition of miRNA-195-5p protected mesangial cells from apoptosis and induces mesangial cellular
proliferation42, in contrast, miR-195-5p mediated podocyte apoptosis43. Furthermore, miR-195-5p was identi-
fied as an inhibitor of sirtuin 1 (Sirt1) in diabetic nephropathy44. Histone deacetylase Sirt1 ameliorated diabetic
nephropathy via multiple mechanisms45–48. miR-720 was associated with microalbuminuria in human diabetic
nephropathy49. Moreover, miR-720 was up-regulated and miR-26b-5p down-regulated in isolated glomeruli of
murine diabetic nephropathy42. Therefore miRNA-195-5p, miR-26b-5p and miR-720 should be used with caution Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 9 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 6. Effects of different normalization approaches on the expression of miRNAs in IgA-GN
differences of six significantly different expressed miRNAs are shown in dependence from different n
factors. Relative expression levels were calculated using the following normalization methods: geNor
26b, miR-195-5p) NormFinder (miR-28-5p, miR-127-3p, miR-181a-5p), global Mean, best two snRN
RNU48) and all 3 snRNAs (RNU44, RNU48, snRNU6). Four miRNAs (miR-132-3p, miR-146-5p, m
708-5p) demonstrated high consistency throughout different normalization methods. Significant dif
illustrated by horizontal lines as P values < 0.05 of the nonparametric pairwise ranking test (Steel-Dw
multiple comparison analysis). Median values, 25/75 percentiles (grey dotted boxes, IgA-GN; white, c
IgA-GN; striped, controls) as well as 10/90 percentiles (whiskers) are shown. Figure 6. Effects of different normalization approaches on the expression of miRNAs in IgA-GN. Quantita Figure 6. Effects of different normalization approaches on the expression of miRNAs in IgA-GN. Quantitative
differences of six significantly different expressed miRNAs are shown in dependence from different normalization
factors. www.nature.com/scientificreports/ Summary of different normalization methods (i–v) compared to three different suggested
normalization approaches: (A) best two of geNormPlus (miR-195-5p, miR-26b-5p) and NormFinder
(miR-127-3p, miR-28-5p), (B) best one of geNormPlus (miR-26b-5p), NormFinder (miR-28-5p) and
snoRNA (RNU44) and (C) best one of geNormPlus (miR-26b-5p), best two of NormFinder (miR-127-3p,
miR-28-5p) and best one of snoRNA (RNU44). p values are given for each normalization strategy. miRNAs
with persistent detection of significance levels throughout different normalization methods (recommendation
of (i) geNormPlus, (ii) NormFinder, (iii) global mean normalization method, (iv) two most stable snoRNAs or
(v) all three snoRNAs) are bolt printed. The suggested approach B (italic letters) provides the best compromise
for detection and non detection of significant differences compared to the results of five different normalization
methods. n.s. non significant. Table 3. Summary of different normalization methods (i–v) compared to three different suggested
normalization approaches: (A) best two of geNormPlus (miR-195-5p, miR-26b-5p) and NormFinder
(miR-127-3p, miR-28-5p), (B) best one of geNormPlus (miR-26b-5p), NormFinder (miR-28-5p) and
snoRNA (RNU44) and (C) best one of geNormPlus (miR-26b-5p), best two of NormFinder (miR-127-3p,
miR-28-5p) and best one of snoRNA (RNU44). p values are given for each normalization strategy. miRNAs
with persistent detection of significance levels throughout different normalization methods (recommendation
of (i) geNormPlus, (ii) NormFinder, (iii) global mean normalization method, (iv) two most stable snoRNAs or
(v) all three snoRNAs) are bolt printed. The suggested approach B (italic letters) provides the best compromise
for detection and non detection of significant differences compared to the results of five different normalization
methods. n.s. non significant. or completely avoided as reference transcripts in diabetic subjects. In our cohorts, diabetes was excluded on
clinical and histological grounds. Another two miRNAs were analyzed in whole tissue analysis. miR-30a-3p was decreased in acute cellular
rejection50. miR-30d-5p was down-regulated in progressive kidney disease from diabetic and/or hypertensive
nephropathy51. TGF-ß treatment of podocytes in vitro resulted in a diminished expression of all miR-30 family
members52. Therefore one could speculate that miR-30 family members play a role in the complex network
of podocytopathia-associated up-regulation of TGF-ß53. For the other stably expressed miRNAs no studies in
non-neoplastic kidney tissue are available. www.nature.com/scientificreports/ In summary, we are not aware of any study arguing against the use of
those 15 glomerular reference miRNAs in IgA nephropathy.fi g
g
p
p
y
Using several different normalization strategies, we aimed to minimize the limitations of any specific method
while capitalising on the unique strengths of each approach. As a key result from our study all methods provided
similar results. On average about 2 out of 5 different normalization methods provided even similar levels of
significance, despite the small cohort sizes. Compared to the global mean method, which is often referred to as
the gold standard, the NormFinder method as well as the snoRNA method (two most stable snoRNAs) provided
very similar results. However, there are still two questions remaining: How many differences between cohorts
would remain undetected with an inappropriate normalization strategy? And how should we identify the most
appropriate normalization strategy? In order to answer these questions, we compared our favorite normaliza-
tion approaches: (A) best two of geNormPlus (miR-195-5p, miR-26b-5p) and NormFinder (miR-127-3p, miR-
28-5p), (B) best one of geNormPlus (miR-26b-5p), NormFinder (miR-28-5p) and snoRNA (RNU44) and (C) best
one of geNormPlus (miR-26b-5p), best two of NormFinder (miR-127-3p, miR-28-5p) and best one of snoRNA
(RNU44). As shown in the Table 3 (A, B, C) there were minor differences between those three normalization
approaches, however we suggest the normalization approach (B) due to persistent detection of significance levels
for miRNAs, when compared to different normalization methods.f pf
Some differentially expressed miRNAs in histological variants of IgA nephropathy have been shown to reg-
ulate distinct pathways in renal diseases. miR-21-5p was up-regulated in crescentic IgA-GN using the normal-
ization method of geNormPlus and NormFinder, however, in contrast to the study of Bao et al.10 we did not
detect any difference in glomeruli of IgA-GN vs. controls. Unfortunately Bao et al. did not comment on the
presence of crescents. They identified up-regulated glomerular miR-21-5p in 20 patients with IgA nephropathy
using snRNU610. Based on our findings, it appears questionable to use only the non-validated snRNU6 as a ref-
erence. The differences between the study of Bao et al. and this study could be due to the different normalization
strategies used, missing information about active crescents in their cohort and due to the small size of our cohort. Moreover, Bao et al. did not comment on segmental or global glomerulosclerosis in their study cohort. www.nature.com/scientificreports/ Relative expression levels were calculated using the following normalization methods: geNormPlus (miR-
26b, miR-195-5p) NormFinder (miR-28-5p, miR-127-3p, miR-181a-5p), global Mean, best two snRNAs (RNU44,
RNU48) and all 3 snRNAs (RNU44, RNU48, snRNU6). Four miRNAs (miR-132-3p, miR-146-5p, miR-184, miR-
708-5p) demonstrated high consistency throughout different normalization methods. Significant differences are
illustrated by horizontal lines as P values < 0.05 of the nonparametric pairwise ranking test (Steel-Dwass test for
multiple comparison analysis). Median values, 25/75 percentiles (grey dotted boxes, IgA-GN; white, crescentic
IgA-GN; striped, controls) as well as 10/90 percentiles (whiskers) are shown. Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 10 www.nature.com/scientificreports/ miRNA
Suggested normalization approaches
Different normalization methods
(A) Best two of geNormPlus
(miR-195-5p, miR-26b-5p)
and NormFinder (miR-127-3p,
miR-28-5p)
(B) Best one of geNormPlus
(miR-26b-5p), NormFinder
(miR-28-5p) and snoRNA
(RNU44)
(C) Best one of geNormPlus (miR-
26b-5p), best two of NormFinder
(miR-127-3p, miR-28-5p) and
best one of snoRNA (RNU44)
(i) geNorm
Plus
(ii) Norm
Finder
(iii) global
mean
(iv) best 2
snoRNAs
(v) best 3
snoRNAs
miR-132-3p
p < 0.05
p < 0.05
p < 0.05
n.s. p < 0.05
p < 0.05
p < 0.05
n.s. miR-146b-5p
n.s. p < 0.05
p < 0.05
n.s. p < 0.05
p < 0.05
p < 0.05
p < 0.05
miR-155-5p
n.s. p < 0.05
p < 0.05
n.s. n.s. p < 0.05
p < 0.05
n.s. miR-184
p < 0.05
p < 0.05
p < 0.05
p < 0.05
p < 0.05
p < 0.05
p < 0.05
p < 0.05
miR-21
p < 0.05
n.s. n.s. p < 0.05
p < 0.05
n.s. n.s. n.s. miR-708-5p
n.s. p < 0.05
p < 0.05
n.s. p < 0.05
p < 0.05
p < 0.05
p < 0.05
Let-7c
n.s. n.s. p < 0.05
n.s. p < 0.05
p < 0.05
n.s. n.s. Table 3. Summary of different normalization methods (i–v) compared to three different suggested
normalization approaches: (A) best two of geNormPlus (miR-195-5p, miR-26b-5p) and NormFinder
(miR-127-3p, miR-28-5p), (B) best one of geNormPlus (miR-26b-5p), NormFinder (miR-28-5p) and
snoRNA (RNU44) and (C) best one of geNormPlus (miR-26b-5p), best two of NormFinder (miR-127-3p,
miR-28-5p) and best one of snoRNA (RNU44). p values are given for each normalization strategy. miRNAs
with persistent detection of significance levels throughout different normalization methods (recommendation
of (i) geNormPlus, (ii) NormFinder, (iii) global mean normalization method, (iv) two most stable snoRNAs or
(v) all three snoRNAs) are bolt printed. Table 3. Summary of different normalization methods (i–v) compared to three different suggested
normalization approaches: (A) best two of geNormPlus (miR-195-5p, miR-26b-5p) and NormFinder
(miR-127-3p, miR-28-5p), (B) best one of geNormPlus (miR-26b-5p), NormFinder (miR-28-5p) and
snoRNA (RNU44) and (C) best one of geNormPlus (miR-26b-5p), best two of NormFinder (miR-127-3p,
miR-28-5p) and best one of snoRNA (RNU44). p values are given for each normalization strategy. miRNAs
with persistent detection of significance levels throughout different normalization methods (recommendation
of (i) geNormPlus, (ii) NormFinder, (iii) global mean normalization method, (iv) two most stable snoRNAs or
(v) all three snoRNAs) are bolt printed. The suggested approach B (italic letters) provides the best compromise
for detection and non detection of significant differences compared to the results of five different normalization
methods. n.s. non significant. www.nature.com/scientificreports/ The suggested approach B (italic letters) provides the best compromise
for detection and non detection of significant differences compared to the results of five different normalization
methods. n.s. non significant. miRNA
Suggested normalization approaches
Different normalization methods
(A) Best two of geNormPlus
(miR-195-5p, miR-26b-5p)
and NormFinder (miR-127-3p,
miR-28-5p)
(B) Best one of geNormPlus
(miR-26b-5p), NormFinder
(miR-28-5p) and snoRNA
(RNU44)
(C) Best one of geNormPlus (miR-
26b-5p), best two of NormFinder
(miR-127-3p, miR-28-5p) and
best one of snoRNA (RNU44)
(i) geNorm
Plus
(ii) Norm
Finder
(iii) global
mean
(iv) best 2
snoRNAs
(v) best 3
snoRNAs
miR-132-3p
p < 0.05
p < 0.05
p < 0.05
n.s. p < 0.05
p < 0.05
p < 0.05
n.s. miR-146b-5p
n.s. p < 0.05
p < 0.05
n.s. p < 0.05
p < 0.05
p < 0.05
p < 0.05
miR-155-5p
n.s. p < 0.05
p < 0.05
n.s. n.s. p < 0.05
p < 0.05
n.s. miR-184
p < 0.05
p < 0.05
p < 0.05
p < 0.05
p < 0.05
p < 0.05
p < 0.05
p < 0.05
miR-21
p < 0.05
n.s. n.s. p < 0.05
p < 0.05
n.s. n.s. n.s. miR-708-5p
n.s. p < 0.05
p < 0.05
n.s. p < 0.05
p < 0.05
p < 0.05
p < 0.05
Let-7c
n.s. n.s. p < 0.05
n.s. p < 0.05
p < 0.05
n.s. n.s. Table 3. Summary of different normalization methods (i–v) compared to three different suggested
normalization approaches: (A) best two of geNormPlus (miR-195-5p, miR-26b-5p) and NormFinder
(miR-127-3p, miR-28-5p), (B) best one of geNormPlus (miR-26b-5p), NormFinder (miR-28-5p) and
snoRNA (RNU44) and (C) best one of geNormPlus (miR-26b-5p), best two of NormFinder (miR-127-3p,
miR-28-5p) and best one of snoRNA (RNU44). p values are given for each normalization strategy. miRNAs
with persistent detection of significance levels throughout different normalization methods (recommendation
of (i) geNormPlus, (ii) NormFinder, (iii) global mean normalization method, (iv) two most stable snoRNAs or
(v) all three snoRNAs) are bolt printed. The suggested approach B (italic letters) provides the best compromise
for detection and non detection of significant differences compared to the results of five different normalization
methods. n.s. non significant. Table 3. Summary of different normalization methods (i–v) compared to three different suggested Table 3. www.nature.com/scientificreports/ This would
have been important, because in mice a loss of miR-21-5p is associated with accelerated glomerulosclerosis54. In our cohort of crescentic IgA-GN all cases demonstrated segmental glomerulosclerosis.h g
g
g
miR-132-3p was up-regulated 3-fold in crescentic IgA-GN compared to both controls and IgA-GN. This is in
line with miR-132-3p upregulation during transition between acute and fibrotic injury in a mouse model of folic
acid-induced kidney injury and fibrosis55. Furthermore, miR-132-3p was highly increased in rat kidneys with
hypertension and cardiac hypertrophy and seems to play a role in the Renin-Angiotensin-II-system56. In our
study cohort we excluded patients on any medication including angiotensin-receptor blockers. One interesting
target of miR-132-3p is Sirt1, which protected endothelial cells and enhances mesangial cell survival57. Sirt1 also
regulated PGC-1a activity, which plays an essential role for maintenance of podocyte mitochondrial function58. Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 11 www.nature.com/scientificreports/ Counterregulatory efforts upon injury in IgA nephropathy of one or even all-glomerular cell types (endothelium,
mesangial cells and podocytes) could explain the dramatic up-regulation of miR-132-3p. Counterregulatory efforts upon injury in IgA nephropathy of one or even all-glomerular cell types (endothelium,
mesangial cells and podocytes) could explain the dramatic up-regulation of miR-132-3p. g
p
y
)
p
p
g
p
Two miRNAs, miR-148b and let-7b, which seem to mediate the aberrant O-glycosylation process of IgA and
that can differentiate IgA nephropathy patients in serum tests59,60, were not significantly expressed in our cohort. In other diseases like in acute leukemia or gastric cancer it has been shown that serum levels of miRNA expres-
sion were not the same as in tissue samples61,62. This underscores the need to show the presence of a miRNA in the
affected tissue in order to establish this miRNA as a biomarker. To this end, our study provides broad spectrum
of miRNAs expressed in glomeruli of IgA nephropathy and controls. For future cost- and time-efficient analyses,
we suggest to focus on those 240 miRNAs with high glomerular expression given in Supplementary Table 3. They
could facilitate future large-scale studies looking into ancillary miRNA biomarkers in IgA nephropathy. We are
not aware of any biomarker studies combining glomerular, serum and urine miRNA quantification in correlation
with clinical and histological parameters. With the small number of patients in our study, which was aimed at
providing an indispensable methodological base for future studies, we cannot provide such details yet. Referencesh h
2. Barbour, S. J. et al. The MEST score provides earlier risk prediction in lgA nephropathy. Kidney Int 89, 167–175, doi: 10.1038
ki.2015.322 (2016). 3. Nassirpour, R., Raj, D., Townsend, R. & Argyropoulos, C. MicroRNA biomarkers in clinical renal disease: from diabetic nephropathy
renal transplantation and beyond. Food Chem Toxicol, doi: 10.1016/j.fct.2016.02.018 (2016). 3. Nassirpour, R., Raj, D., Townsend, R. & Argyropoulos, C. MicroRNA biomarkers in clinical renal disease: from diabetic nephropathy
renal transplantation and beyond. Food Chem Toxicol, doi: 10.1016/j.fct.2016.02.018 (2016). p
y
j
4. Siebolts, U. et al. Tissues from routine pathology archives are suitable for microRNA analyses by quantitative PCR. J Clin Pathol 62
84–88, doi: 10.1136/jcp.2008.058339 (2009). j p
(
)
5. Singh, U. et al. General principles and methods for routine automated microRNA in situ hybridization and double labeling with
immunohistochemistry. Biotech Histochem 89, 259–266, doi: 10.3109/10520295.2013.839825 (2014).i j p
5. Singh, U. et al. General principles and methods for routine automated microRNA in situ hybridization and double labeling with
immunohistochemistry. Biotech Histochem 89, 259–266, doi: 10.3109/10520295.2013.839825 (2014).i y
6. Trionfini, P., Benigni, A. & Remuzzi, G. MicroRNAs in kidney physiology and disease. Nat Rev Nephrol 11, 23–33, doi: 10. nrneph.2014.202 (2015). p
(
)
7. Szeto, C. C. & Li, P. K. MicroRNAs in IgA nephropathy. Nat Rev Nephrol 10, 249–256, doi: 10.1038/nrneph.2014.50 (2014). g
p
p
y
p
p
8. Wang, G. et al. Intrarenal expression of microRNAs in patients with IgA nephropathy. Lab Invest 90, 98–103, doi: 10.1038/
labinvest.2009.118 (2010). 9. Wang, G. et al. Elevated levels of miR-146a and miR-155 in kidney biopsy and urine from patients with IgA nephropathy. Di
Markers 30, 171–179, doi: 10.3233/dma-2011-0766 (2011).i 10. Bao, H. et al. Inhibition of miRNA-21 prevents fibrogenic activation in podocytes and tubular cells in IgA nephropathy. Biochem
Biophys Res Commun 444, 455–460, doi: 10.1016/j.bbrc.2014.01.065 (2014). y
j
11. Bao, H. et al. MiR-223 downregulation promotes glomerular endothelial cell activation by upregulating importin alpha4 and alpha5
in IgA nephropathy. Kidney Int 85, 624–635, doi: 10.1038/ki.2013.469 (2014).h g
p
p
y
y
2. Gee, H. E. et al. The small-nucleolar RNAs commonly used for microRNA normalisation correlate with tumour pathology and
prognosis. Br J Cancer 104, 1168–1177, doi: 10.1038/sj.bjc.6606076 (2011). p
g
j j
13. Agustian, P. A. et al. Glomerular mRNA expression of prothrombotic and antithrombotic factors in renal transplants with
thrombotic microangiopathy. Transplantation 95, 1242–1248, doi: 10.1097/TP.0b013e318291a298 (2013).hi 14. www.nature.com/scientificreports/ Moreover,
due to the exclusion of miRNAs with Cq values >32 in more than 5 out of 15 samples we might not have been
able to detect significant neo-expression or loss of miRNA expression in individual cohorts. It was necessary
to follow our stringent algorithm for excluding miRNAs with off-scale/missing Cq values in order to focus on
highly expressed miRNAs. For further analysis of quite small, but perhaps biologically relevant differences of less
expressed miRNAs and for the quality control of biomarker studies, we provide all Cq values from glomerular
miRNAs in the Supplementary Table 3. y
In summary we provide an in-depth ranking of reference miRNAs indispensable for accurate normalization
and quantification of glomerular miRNA expression studies in IgA-GN. Based on our analysis we suggest miR-
26b-5p (best according to geNormPlus) and miR-28-5p (best according to NormFinder) and one snoRNA
(RNU44) as suitable reference genes choice for human glomerular miRNA quantification in IgA nephropathy. Nevertheless, individual experimental conditions, especially different species (mouse, rat etc.) have to be consid-
ered and similar studies to ours might have to be conducted to identify better-suited references. Referencesh Theophile, K., Jonigk, D., Kreipe, H. & Bock, O. Amplification of mRNA from laser-microdissected single or clustered cells in
formalin-fixed and paraffin-embedded tissues for application in quantitative real-time PCR. Diagn Mol Pathol 17, 101–106, doi:
10.1097/PDM.0b013e318163f26e (2008). 15. Schopman, N. C., Heynen, S., Haasnoot, J. & Berkhout, B. A miRNA-tRNA mix-up: tRNA origin of proposed miRNA. RNA Biol 7,
573–576, doi: 10.4161/rna.7.4.13141 (2010).i 6. Bockmeyer, C. L., Jonigk, D., Kreipe, H. & Lehmann, U. MicroRNA profiling using RNA from microdissected immunostained
tissue. Methods Mol Biol 755, 85–94, doi: 10.1007/978-1-61779-163-5_7 (2011).l 7. Stahlberg, A., Rusnakova, V., Forootan, A., Anderova, M. & Kubista, M. RT-qPCR work-flow for single-cell data analysis. Methods
59, 80–88, doi: 10.1016/j.ymeth.2012.09.007 (2013).i j y
18. D’Haene, B., Mestdagh, P., Hellemans, J. & Vandesompele, J. miRNA expression profiling: from reference genes to global mean
normalization. Methods Mol Biol 822, 261–272, doi: 10.1007/978-1-61779-427-8_18 (2012).i 9. Wotschofsky, Z. et al. Reference genes for the relative quantification of microRNAs in renal cell carcinomas and their metastases
Anal Biochem 417, 233–241, doi: 10.1016/j.ab.2011.06.009 (2011). j
20. Vandesompele, J. et al. Accurate normalization of real-time quantitative RT-PCR data by geometric averaging of multiple internal
control genes. Genome Biol 3, RESEARCH0034 (2002).it g
21. Hellemans, J., Mortier, G., De Paepe, A., Speleman, F. & Vandesompele, J. qBase relative quantification framework and software for
management and automated analysis of real-time quantitative PCR data. Genome Biol 8, R19, doi: 10.1186/gb-2007-8-2-r19 (2007). 22 Ratert N et al miRNA profiling identifies candidate mirnas for bladder cancer diagnosis and clinical outcome J Mol Diagn 15 21. Hellemans, J., Mortier, G., De Paepe, A., Speleman, F. & Vandesompele, J. qBase relative quantification framework and software for
management and automated analysis of real-time quantitative PCR data. Genome Biol 8, R19, doi: 10.1186/gb-2007-8-2-r19 (2007). 22. Ratert, N. et al. miRNA profiling identifies candidate mirnas for bladder cancer diagnosis and clinical outcome. J Mol Diagn 15,
695–705, doi: 10.1016/j.jmoldx.2013.05.008 (2013).t 22. Ratert, N. et al. miRNA profiling identifies candidate mirnas for bladder cancer diagnosis and clinical outcome. J Mol Diag
695–705, doi: 10.1016/j.jmoldx.2013.05.008 (2013).t j j
23. Andersen, C. L., Jensen, J. L. & Orntoft, T. F. Normalization of real-time quantitative reverse transcription-PCR data: a model-based
variance estimation approach to identify genes suited for normalization, applied to bladder and colon cancer data sets. Cancer Res
64, 5245–5250, doi: 10.1158/0008-5472.can-04-0496 (2004). ,
,
(
)
24. Latham, G. J. 1. D’Amico, G. The commonest glomerulonephritis in the world: IgA nephropathy. Q J Med 64, 709–727 (1987).
2 B
b
S J
l Th MEST
id
li
i k
di i
i
l A
h
h
Kid
I
89 167 www.nature.com/scientificreports/ Resveratrol improves oxidative stress and protects against diabetic nephropathy
through normalization of Mn-SOD dysfunction in AMPK/SIRT1-independent pathway. Diabetes 60, 634–643, doi: 10.2337/db10
0386 (2011). 49. Argyropoulos, C. et al. Urinary MicroRNA Profiling Predicts the Development of Microalbuminuria in Patients with Type 1
Diabetes. J Clin Med 4, 1498–1517, doi: 10.3390/jcm4071498 (2015). j
50. Anglicheau, D. et al. MicroRNA expression profiles predictive of human renal allograft status. Proc Natl Acad Sci USA 106,
5330–5335, doi: 10.1073/pnas.0813121106 (2009).i p
1. Rudnicki, M. et al. Renal microRNA- and RNA-profiles in progressive chronic kidney disease. Eur J Clin Invest 46, 213–226, doi
10.1111/eci.12585 (2016). (
)
52. Liu, L., Lin, W., Zhang, Q., Cao, W. & Liu, Z. TGF-beta induces miR-30d down-regulation and podocyte injury through Smad2/3
and HDAC3-associated transcriptional repression. J Mol Med (Berl) 94, 291–300, doi: 10.1007/s00109-015-1340-9 (2016). p
p
53. Lee, H. S. Mechanisms and consequences of TGF-ss overexpression by podocytes in progressive podocyte disease. Cell Tissu
347, 129–140, doi: 10.1007/s00441-011-1169-7 (2012). 54. Lai, J. Y. et al. MicroRNA-21 in Glomerular Injury. J Am Soc Nephrol, doi: 10.1681/asn.2013121274 (2014). 54. Lai, J. Y. et al. MicroRNA-21 in Glomerular Injury. J Am j
y
p
55. Pellegrini, K. L. et al. Application of small RNA sequencing to identify microRNAs in acute kidney injury and fibrosis. Toxicol Appl
Pharmacol, doi: 10.1016/j.taap.2015.12.002 (2015). j
6. Eskildsen, T. V. et al. Angiotensin II regulates microRNA-132/-212 in hypertensive rats and humans. Int J Mol Sci 14, 11190–11207
doi: 10.3390/ijms140611190 (2013). j
57. Kume, S. et al. SIRT1 inhibits transforming growth factor beta-induced apoptosis in glomerular mesangial cells via Smad7
deacetylation. J Biol Chem 282, 151–158, doi: 10.1074/jbc.M605904200 (2007). 57. Kume, S. et al. SIRT1 inhibits transforming growth factor beta-induced apoptosi
deacetylation. J Biol Chem 282, 151–158, doi: 10.1074/jbc.M605904200 (2007). 58. Yuan, Y. et al. Activation of peroxisome proliferator-activated receptor-gamma coactivator 1alpha ameliorates mitochondrial
dysfunction and protects podocytes from aldosterone-induced injury. Kidney Int 82, 771–789, doi: 10.1038/ki.2012.188 (2012). l
l
d
l
b
d l
b
f
d
b
k
f
d 9. Serino, G. et al. In a retrospective international study, circulating miR-148b and let-7b were found to be serum markers for detecting
primary IgA nephropathy. Kidney Int, doi: 10.1038/ki.2015.333 (2015). 60. Serino, G. et al. Role of let-7b in the regulation of N-acetylgalactosaminyltransferase 2 in IgA nephropathy. Nephrol Dial Transplant
30, 1132–1139, doi: 10.1093/ndt/gfv032 (2015). 61. Tanaka, M. et al. www.nature.com/scientificreports/ Identification of suitable endogenous control genes for
icroRNA expression profiling of childhood medulloblastoma and human neural stem cells. BMC Res Notes 5, 507, doi:
0.1186/1756-0500-5-507 (2012). 38. Van Peer, G. et al. miRBase Tracker: keeping track of microRNA annotation changes. Database (Oxford) 2014, doi: 10.1093/
database/bau080 (2014). 9. Marques, F. Z. et al. Signatures of miR-181a on renal transcriptome and blood pressure. Mol Med, doi: 10.2119/molmed.2015.00096
(2015).i 40. Marques, F. Z. et al. Gene expression profiling reveals renin mRNA overexpression in human hypertensive kidneys and a role for
microRNAs. Hypertension 58, 1093–1098, doi: 10.1161/hypertensionaha.111.180729 (2011). 40. Marques, F. Z. et al. Gene expression profiling reveals renin mRNA overexpression in human hyp
microRNAs. Hypertension 58, 1093–1098, doi: 10.1161/hypertensionaha.111.180729 (2011). 1. Jackson, K. L. et al. A novel interaction between sympathetic overactivity and aberrant regulation of renin by miR-181a in BPH/2
genetically hypertensive mice. Hypertension 62, 775–781, doi: 10.1161/hypertensionaha.113.01701 (2013). 41. Jackson, K. L. et al. A novel interaction between sympathetic overactivity and aberrant regulation of renin by miR-181a in BPH/2J
genetically hypertensive mice. Hypertension 62, 775–781, doi: 10.1161/hypertensionaha.113.01701 (2013). 2. Chen, Y. Q. et al. Abated microRNA-195 expression protected mesangial cells from apoptosis in early diabetic renal injury in mice
J Nephrol 25, 566–576, doi: 10.5301/jn.5000034 (2012). p
j
3. Chen, Y. Q. et al. MicroRNA-195 promotes apoptosis in mouse podocytes via enhanced caspase activity driven by BCL2
insufficiency. Am J Nephrol 34, 549–559, doi: 10.1159/000333809 (2011). fi
y
4. Mortuza, R., Feng, B. & Chakrabarti, S. miR-195 regulates SIRT1-mediated changes in diabetic retinopathy. Diabetologia 57
1037–1046, doi: 10.1007/s00125-014-3197-9 (2014). 45. Bible, E. Diabetic nephropathy: Sirt1 attenuates diabetic albuminuria. Nat Rev Nephrol 9, 696, doi: 10.1038/nrneph.2013.228 (2 45. Bible, E. Diabetic nephropathy: Sirt1 attenuates diabetic albuminuria. Nat Rev Nephrol 9, 696, doi: 10.1038/nrneph.2013.228 (2013). 46. Huang, K. et al. Sirt1 resists advanced glycation end products-induced expressions of fibronectin and TGF-beta1 by activating the
Nrf2/ARE pathway in glomerular mesangial cells. Free Radic Biol Med 65, 528–540, doi: 10.1016/j.freeradbiomed.2013.07.029
(2013). 46. Huang, K. et al. Sirt1 resists advanced glycation end products-induced expressions of fibronectin and TGF-beta1 by activatin
Nrf2/ARE pathway in glomerular mesangial cells. Free Radic Biol Med 65, 528–540, doi: 10.1016/j.freeradbiomed.2013.0
(2013). (
)
47. Liu, R. et al. Role of transcription factor acetylation in diabetic kidney disease. Diabetes 63, 2440–2453, doi: 10.2337/db13-
(2014). (
)
8. Kitada, M., Kume, S., Imaizumi, N. & Koya, D. Referencesh Normalization of microRNA quantitative RT-PCR data in reduced scale experimental designs. Methods Mol Biol 667,
19–31, doi: 10.1007/978-1-60761-811-9_2 (2010). Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 12 www.nature.com/scientificreports/ www.nature.com/scientificreports/ 5. Cameron, R. C., Duncan, E. J. & Dearden, P. K. Stable reference genes for the measurement of transcript abundance during larva
caste development in the honeybee. Apidologie 44, 357–366 (2013). y
p
g
26. Kamanu, T. K., Radovanovic, A., Archer, J. A. & Bajic, V. B. Exploration of miRNA families for hypotheses generation. Sci R
2940, doi: 10.1038/srep02940 (2013). ,
/
p
(
)
27. Mestdagh, P. et al. A novel and universal method for microRNA RT-qPCR data normalization. Genome Biol 10, R64, doi: 10.1186/
gb-2009-10-6-r64 (2009).i g
28. Dweep, H., Sticht, C., Kharkar, A., Pandey, P. & Gretz, N. Parallel analysis of mRNA and microRNA microarray profiles to explore
functional regulatory patterns in polycystic kidney disease: using PKD/Mhm rat model. Plos One 8, e53780, doi: 10.1371/journal. pone.0053780 (2013).i p
(
)
9. Krupa, A. et al. Loss of MicroRNA-192 promotes fibrogenesis in diabetic nephropathy. J Am Soc Nephrol 21, 438–447, doi: 10.1681
asn.2009050530 (2010). (
)
30. Lu, J. et al. Glomerular and tubulointerstitial miR-638, miR-198 and miR-146a expression in lupus nephritis. Nephrology (Carlton)
17, 346–351, doi: 10.1111/j.1440-1797.2012.01573.x (2012).i j
1. Macconi, D. et al. MicroRNA-324-3p promotes renal fibrosis and is a target of ACE inhibition. J Am Soc Nephrol 23, 1496–1505, doi
10.1681/asn.2011121144 (2012). 2. Deshpande, S. D. et al. Transforming growth factor-beta-induced cross talk between p53 and a microRNA in the pathogenesis o
diabetic nephropathy. Diabetes 62, 3151–3162, doi: 10.2337/db13-0305 (2013).i 33. Nasri, H. & Mubarak, M. Extracapillary proliferation in IgA nephropathy; recent findings and new ideas. J Nephropathol 4, 1–5, doi:
10.12860/jnp.2015.01 (2015).i j
4. Haller, F. et al. Equivalence test in quantitative reverse transcription polymerase chain reaction: confirmation of reference gene
suitable for normalization. Anal Biochem 335, 1–9, doi: 10.1016/j.ab.2004.08.024 (2004). j
5. Schmid, H. et al. Validation of endogenous controls for gene expression analysis in microdissected human renal biopsies. Kidney In
64, 356–360, doi: 10.1046/j.1523-1755.2003.00074.x (2003). j
36. Haider, B. A. et al. A critical evaluation of microRNA biomarkers in non-neoplastic disease. Plos One 9, e89565, doi: 10.1371/
journal.pone.0089565 (2014).i j
37. Genovesi, L. A., Anderson, D., Carter, K. W., Giles, K. M. & Dallas, P. B. Identification of suitable endogenous control genes for
microRNA expression profiling of childhood medulloblastoma and human neural stem cells. BMC Res Notes 5, 507, doi:
10.1186/1756-0500-5-507 (2012). enovesi, L. A., Anderson, D., Carter, K. W., Giles, K. M. & Dallas, P. B. Acknowledgements g
The authors acknowledge the support of the German Jackstädt Stiftung to CLB. Furthermore, support by
Deutsche Forschungsgemeinschaft and Friedrich-Alexander-Universität Erlangen-Nürnberg (FAU) within the
funding programme Open Access Publishing is acknowledged. Author Contributions C.L.B.: Research design, laboratory work, data collection, data analysis, discussion of the results, writing of the
manuscript, new reagents and analytic tools. K.S.: Laboratory work, data collection, data analysis. J.W.: Discussion
of the results and laboratory work. M.E.: Discussion of the results. S.S.R.: Discussion of the results and writing of
the manuscript. U.V. and P.F.H.: Data collection. P.A.A.: Data collection and laboratory work. P.Z.: Data analysis
and discussion of the results. K.A.: Discussion of the results. C.D.: Discussion of the results. J.U.B.: Research
design, data collection, data analysis, discussion of the results, writing of the manuscript, new reagents and
analytic tools. www.nature.com/scientificreports/ Down-regulation of miR-92 in human plasma is a novel marker for acute leukemia patients. Plos One 4, e5532, doi:
10.1371/journal.pone.0005532 (2009).i 2. Liu, H. et al. Genome-wide microRNA profiles identify miR-378 as a serum biomarker for early detection of gastric cancer. Cance
Lett 316, 196–203, doi: 10.1016/j.canlet.20.10.034 (2012). Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 13 www.nature.com/scientificreports/ Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 Additional Information Supplementary information accompanies this paper at http://www.nature.com/srep Competing financial interests: The authors declare no competing financial interests. How to cite this article: Bockmeyer, C. L. et al. Comparison of different normalization strategies for the analysis
f glomerular microRNAs in IgA nephropathy. Sci. Rep. 6, 31992; doi: 10.1038/srep31992 (2016). 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/ Scientific Reports | 6:31992 | DOI: 10.1038/srep31992 14
|
https://openalex.org/W2095403143
|
https://europepmc.org/articles/pmc3131559?pdf=render
|
English
| null |
Absorption and Metabolism of Xanthophylls
|
Marine drugs
| 2,011
|
cc-by
| 6,352
|
Eiichi Kotake-Nara and Akihiko Nagao * National Food Research Institute, National Agriculture and Food Research Organization,
2-1-12 Kannondai, Tsukuba, Ibaraki 305-8642, Japan; E-Mail: ekotake@affrc.go.jp * Author to whom correspondence should be addressed; E-Mail: nagao@affrc.go.jp;
Tel.: +81-29-838-8039; Fax: +81-29-838-7996. Received: 1 April 2011; in revised form: 3 June 2011 / Accepted: 7 June 2011 /
Published: 10 June 2011 Received: 1 April 2011; in revised form: 3 June 2011 / Accepted: 7 June 2011 /
Published: 10 June 2011 Received: 1 April 2011; in revised form: 3 June 2011 / Accepted: 7 June 2011 /
Published: 10 June 2011 Abstract: Dietary carotenoids, especially xanthophylls, have attracted significant attention
because of their characteristic biological activities, including anti-allergic, anti-cancer, and
anti-obese actions. Although no less than forty carotenoids are ingested under usual dietary
habits, only six carotenoids and their metabolites have been found in human tissues,
suggesting selectivity in the intestinal absorption of carotenoids. Recently, facilitated
diffusion in addition to simple diffusion has been reported to mediate the intestinal
absorption of carotenoids in mammals. The selective absorption of carotenoids may be
caused by uptake to the intestinal epithelia by the facilitated diffusion and an unknown
excretion to intestinal lumen. It is well known that β-carotene can be metabolized to
vitamin A after intestinal absorption of carotenoids, but little is known about the metabolic
transformation of non provitamin A xanthophylls. The enzymatic oxidation of the
secondary hydroxyl group leading to keto-carotenoids would occur as a common pathway
of xanthophyll metabolism in mammals. This paper reviews the absorption and metabolism
of xanthophylls by introducing recent advances in this field. Keywords: absorption; bioavailability; carotenoid; metabolism; xanthophyll Mar. Drugs 2011, 9, 1024-1037; doi:10.3390/md9061024 Mar. Drugs 2011, 9, 1024-1037; doi:10.3390/md9061024 Marine Drugs
ISSN 1660-3397
www.mdpi.com/journal/marinedrugs
OPEN ACCESS 1. Introduction Carotenoids, which are synthesized de novo by microorganisms and plants, accumulate in various
biological tissues throughout the food chain. More than 700 carotenoids, including the metabolites in
animals, are present in nature. Most of the carotenoids contain oxygen functions in the molecules, and
these carotenoids are referred to as xanthophylls. In recent years, a great deal of attention has been 1025 Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 metabolites, and several acyclic carotenes such as phytoene, phytofluene, and δ-carotene have been
found in the plasma of human subjects under usual dietary habits [18,19]. For example, neoxanthin and
violaxanthin are ingested together with lutein from green leafy vegetables, but the accumulation of the
former two xanthophylls was not confirmed in human plasma [18]. Carotenoids are thought to be
selectively absorbed in the human intestine. Moreover, carotenoid accumulations in the biological
tissues are known to differ greatly among animal species [20]. However, the mechanisms underlying
these phenomena have not been determined. After intestinal absorption of dietary carotenoids, conversion from β-carotene to vitamin A is well
known in animals. In fishes and birds, oxidative and reductive metabolisms of the end group in
xanthophylls were also proposed by the identification of the metabolic products, but details as to the
mechanism of their metabolic transformation are yet to be elucidated. In mammals, several proposed
metabolites of xanthophylls have been detected in the tissues, but the metabolic pathway is still
uncertain. It is necessary to reveal the carotenoid metabolism after intestinal absorption in order to
elucidate not only the mechanism of the biological activities but also the exact bioavailability. Here,
we describe the absorption and metabolism of xanthophylls in mammals. 2. Bioaccessibility of Carotenoids Although xanthophylls have the potential to prevent various degenerative diseases as described
above, the bioavailability of carotenoids is lower than that of other fatty components such as
α-tocopherol and triacylglycerols [21–24]. The major cause of the low bioavailability is the poor
solubility of carotenoids in digestive fluid. Carotenoids must be solubilized in the digestive fluid via
several steps before uptake by intestinal epithelial cells can occur [25]. First, carotenoids are released
from the food matrix. In some types of food, the matrix interferes with the release of carotenoids. Carotenoids are hardly released from raw vegetables due to the solid structure of the cell walls, but
processing and heat treatment of foods accelerate the release of carotenoids by destroying the
structures [26]. The released carotenoids must be well dispersed in the gastrointestinal tract. However,
the carotenoid dispersion is greatly limited in digestive fluid due to the high hydrophobicity of C40
isoprenoid carbon skeletons. In this step, dietary lipids facilitate the carotenoid dispersion. Carotenoids
are dissolved into the dietary lipids and then dispersed as an emulsion in the digestive fluid. The
digestion of the dietary lipids in the emulsion progresses with the aid of lipolytic enzymes and bile
fluid, and finally the carotenoids are solubilized in the mixed micelle. The mixed micelle consisting of
bile acids, phospholipids, cholesterol, fatty acids, and monoacylglycerols has a disk-like shape, in
which the outside is surrounded by the bile acids [27]. Carotenoids solubilized in the mixed micelle are
thought to become accessible to uptake by the intestinal epithelial cells. Thereby, the bioaccessibility is
defined as the ratio of carotenoids solubilized in the mixed micelles to the total carotenoids ingested. The bioaccessibility, dependent on the food matrix, processing, cooking, and structures of carotenoids,
is an important factor for bioavailability. Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 focused on biological activities of dietary xanthophylls such as lutein, zeaxanthin, β-cryptoxanthin,
capsanthin, astaxanthin, and fucoxanthin. Lutein is one of the major xanthophylls present in green leafy vegetables. Lutein and zeaxanthin are
known to selectively accumulate in the macula of the human retina. They have been thought to work as
antioxidants [1,2] and as blue light filters [3] to protect the eyes from such oxidative stresses as
cigarette smoking and sunlight exposure, which can lead to age-related macular degeneration and
cataracts. β-Cryptoxanthin, a major xanthophyll in fruits such as papaya and mandarin orange, was
reported to decrease the gene expression of interleukin-1β in mouse macrophage RAW264 cells [4], to
promote osteoblastic differentiation of mouse MC3T3 cells [5], and to prevent the decrease of calcium
content in the bone of ovariectomized rat [6]. Capsanthin, a major xanthophyll in paprika, was reported
to increase high-density lipoprotein (HDL)-cholesterol in rat plasma [7]. Astaxanthin and fucoxanthin are abundant in green algae and brown algae, respectively. Numerous
studies have reported that astaxanthin has the potential to prevent cancers, diabetes, and inflammatory
and cardiovascular diseases [8,9]. Fucoxanthin has been shown to inhibit the growth of various cancer
cell lines [10–14] and chemically induced mouse carcinogenesis [15]. Furthermore, the anti-allergic
and anti-obese activities of fucoxanthin were recently shown in rodent mast cells [16] and in mice [17],
respectively. Neoxanthin, which has a structure similar to that of fucoxanthin, is present in green leafy
vegetables. These two xanthophylls have a 5,6-monoepoxide and an allenic bond as the common
characteristic functional groups (Figure 1). We found that fucoxanthin and neoxanthin showed the
highest inhibitory effect on the proliferation of human prostate cancer cells among the fifteen
carotenoids tested [13]. Figure 1. Chemical structures of various epoxy xanthophylls. The geometrical configuration
of neoxanthin in nature was recognized as 9′-cis. Thus, the characteristic biological activities of several xanthophylls have attracted a great deal of
attention. Although no less than forty carotenoids are ingested from common foods, only six major
carotenoids (β-carotene, α-carotene, lycopene, β-cryptoxanthin, lutein, and zeaxanthin), their proposed 1026 Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 intestinal epithelial cells and secreted into lymph as chylomicrons for circulating in blood stream. After
the chylomicrons are degraded by lipoprotein lipase, carotenoids in chylomicron remnants are taken up
by the liver. The carotenoids are stored in liver or resecreted as very-low-density lipoprotein into the
blood stream, and then delivered as low-density lipoprotein (LDL). Finally, carotenoids are taken up to
tissues through the LDL receptor. Highly hydrophobic carotenoids such as β-carotene and lycopene are
localized in the inner part of LDL, while less hydrophobic xanthophylls such as lutein and zeaxanthin
are equally distributed to LDL and HDL, and localized in the outer surface area of the lipoprotein
particles [28]. The intestinal absorption of carotenoids had been thought to be mediated by simple diffusion [29,30]. To characterize the human intestinal absorption of carotenoids, we compared the uptakes of various
carotenoids by human intestinal Caco-2 cells [31]. The carotenoids solubilized at the same concentration
in mixed micelles were incubated with the Caco-2 cells. The uptakes were correlated with their
lipophilicity, suggesting that simple diffusion mediated the intestinal uptake of the carotenoids. The
amounts of fucoxanthin and neoxanthin taken up by the cells were approximately 25% of that of lutein
and were the lowest among the eleven carotenoids tested. These results indicated that fucoxanthin and
neoxanthin were certainly absorbed in the Caco-2 cells, although the amounts were lower than that of lutein. In addition to the experiments using Caco-2 cells, we were able to confirm the absorption of these
two xanthophylls in mice [32–34]. The xanthophylls solubilized in mixed micelles were orally
administrated to male ICR mice. Fucoxanthinol and amarouciaxanthin A derived from fucoxanthin
were detected in plasma and the liver [32,33]. A similar result was also reported in rats fed with
fucoxanthin [35]. Neoxanthin and neochromes (formed from neoxanthin by intragastric acidity) were
detected in plasma and the liver [34]. The plasma concentrations in the mice 2 h after administration of
four purified carotenoids (40 nmol) in the independent experiments under almost the same condition
were as follows: 36 nM for β-carotene [36]; 10 nM for lutein [36]; 35 nM for neoxanthin (neoxanthin
and neochromes) [34] and 50 nM for fucoxanthin (fucoxanthinol and amarouciaxanthin A) [33]. Neoxanthin and fucoxanthin were confirmed to be absorbed at a similar level to those of β-carotene
and lutein, and no selectivity for carotenoids tested was found in mice. 3. Intestinal Absorption of Xanthophylls In addition to the bioaccessibility, carotenoid uptake by intestinal epithelial cells is also a critical
factor for the carotenoid bioavailability. Only one part of the accessible carotenoid is taken up by the 1027 Mar. Drugs 2011, 9 In addition to rodents, it has been reported that fucoxanthin is absorbed in other animals such as
tunicates [37,38], chicken [39], and aquatic insects [40]. However, fucoxanthin was not absorbed in
freshwater fish [40]. East Asian people ingest fucoxanthin from foodstuffs such as sea squirt, sea urchins,
mussel, and brown algae. However, no information on the absorption of fucoxanthin in humans has been
available. Although neoxanthin and violaxanthin are ingested from green leafy vegetables under usual
dietary habits, they were not found in human serum and milk by a detailed analysis of carotenoids [19]. Thus, it has been uncertain whether fucoxanthin and neoxanthin are absorbed in humans. We reported for the first time the bioavailability of fucoxanthin from edible brown algae (wakame)
and of neoxanthin and violaxanthin from spinach in humans [41]. After the daily intake of stir-fried
wakame containing 6.1 mg fucoxanthin for 1 week, the concentrations of fucoxanthin and its metabolites
in plasma were analyzed by HPLC. Fucoxanthin and amarouciaxanthin A were not detected. Fucoxanthinol was detected, but the plasma concentration was under the quantification limit (1.0 nM). Similar to the case of fucoxanthin, the plasma concentrations of neoxanthin and violaxanthin after the
intake of stir-fried spinach were under the quantification limit. On the other hand, both β-carotene and
lutein, which were present with these epoxy xanthophylls in the same food matrix of spinach, were Mar. Drugs 2011, 9 1028 Mar. Drugs 2011, 9 increased in the plasma [41], suggesting that little neoxanthin and violaxanthin in spinach were absorbed
in humans. In contrast to the case of mice, selective absorption of carotenoids may occur in humans. The low bioavailability of these epoxy xanthophylls may be caused by their low bioaccessibility
from spinach and wakame. However, the bioaccessibility of neoxanthin (neoxanthin and neochromes)
from spinach was comparable with that of lutein and was greater than that of β-carotene in in vitro
digestion study [34]. Similarly, the bioaccessibility of fucoxanthin from wakame was sufficiently
high [41]. These results suggested that the bioaccessibility was not a limiting factor of the bioavailability. The absence of these epoxy xanthophylls in human plasma may be due to the rapid metabolism. However, the concentrations of these epoxy xanthophylls and their metabolites in the plasma were
under the quantification limit even shortly after the intake of spinach and wakame [41], indicating that
the rapid disappearance might not occur. Mar. Drugs 2011, 9 It is possible that the level of these epoxy xanthophylls in plasma were estimated to be low due to
unknown metabolic transformation such as hydrolysis of epoxide or formation of conjugates by
detoxification enzymes after the intestinal uptake. For instance, fucoxanthinol 3′-sulphate found in the
egg yolk of hens fed with seaweed meal [39] might be formed from fucoxanthin in humans. The dietary water-soluble fibers, alginates in wakame may be associated with the low bioavailability
of fucoxanthin from wakame in humans, because dietary water-soluble fibers inhibited the β-carotene
and lutein uptake by Caco-2 cells [42]. Thus, it is necessary to reveal the bioavailability of isolated
carotenoid to avoid the influence of the food matrix. There are several reports on the bioavailability of epoxy xanthophylls in the purified preparations
and the oleoresins in human subjects. Oleoresin, which is extracted from plant materials, does not
contain dietary fibers and any other polar substances. Capsanthin 5,6-epoxide and violaxanthin were
not detected in chylomicron after ingestion of paprika oleoresin containing these epoxy xanthophylls [43]. However, 9-cis zeaxanthin, which was present at a lower amount than epoxy xanthophylls in paprika
oleoresin, was found in chylomicron [43]. This result suggested that little capsanthin 5,6-epoxide and
violaxanthin in paprika were absorbed in humans. Moreover, after a single oral dose of purified
violaxanthin or lutein 5,6-epoxide suspended in corn oil, the two epoxy xanthophylls were not detected
in the plasma [44]. In contrast, after an oral dose of purified β-carotene 5,6-epoxide (9.1 µmol)
suspended in corn oil, the plasma concentration reached 2.29 µM [45]. Considering these experimental
results with the oleoresin and purified xanthophylls, little epoxy xanthophylls that have higher polarity
than β-carotene 5,6-epoxide would be absorbed by humans, consistent with the results of our human study
using spinach and wakame. The chemical structures of these epoxy xanthophylls are shown in Figure 1. To summarize the intestinal absorption of carotenoids, little of highly polar epoxy xanthophylls such
as neoxanthin and violaxanthin were absorbed in humans independent of the food matrix. Fucoxanthin
was absorbed in mice and several other animals, but not in humans and freshwater fishes. A selective
absorption mechanism for carotenoids would be present in humans, but not in mice. Moreover, the
selectivity in the intestinal absorption of carotenoids appears to differ among animal species. 4. Mechanisms of the Intestinal Absorption The selective absorption for carotenoids in humans cannot be explained by the simple diffusion
mechanism alone. On the other hand, recent studies have suggested that the carotenoid uptake is partly 1029 Mar. Drugs 2011, 9 for a substrate of MDR1 expressed in certain cancer cells. Neoxanthin and violaxanthin, compared
with other carotenoids tested, showed higher affinity for transfected-human MDR1 in mouse
lymphoma L1210 cells [60], but similar results were not found in several human breast and colon
cancer cell lines [61,62]. Further study is required to confirm the involvement of MDR1 in the
excretion of carotenoids in intestinal cells. Thus, the selectivity in the intestinal absorption of
carotenoids in humans is likely to be caused by these proteins that mediate uptake and excretion
(Figure 2). The specificity of these proteins would cause the differences in the intestinal absorption of
carotenoids among animal species. Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 mediated by facilitated diffusion [46–53]. For example, the ratio of the uptake mediated by scavenger
receptor class B type 1 (SR-B1) to the total uptake of carotenoids in Caco-2 cells was as follows:
50% for β-carotene; 20% for β-cryptoxanthin and 7% for lutein/zeaxanthin [53]. The efficiency of
β-carotene absorption was remarkably reduced in SR-B1 knockout mice [54]. The physiological
relevance of SR-B1 as an mediator of intestinal uptake for provitamin A carotenoids was indicated
by the report that retinoic acid and the intestinal transcription factor ISX regulated expressions of
both SR-B1 and β-carotene-15,15′-oxygenase (BCO1), an enzyme responsible for vitamin A
production [55]. The facilitated diffusion may cause the selective absorption of carotenoids in humans. However, even if SR-B1 does not mediate intestinal uptake of the highly polar epoxy xanthophylls,
they can pass across membranes via the simple diffusion pathway. Thus, these absorption mechanisms
could not account for the strict selectivity that was observed in humans. The strict selective absorption
might occur if most parts of the highly polar epoxy xanthophylls taken up by intestinal epithelial cells
were excreted back into intestinal lumen. The ATP-binding cassette (ABC) transporters such as ABCG5 and ABCG8 are well known to
mediate the excretion of dietary phytosterols [56,57]. Although phytosterols such as β-sitosterol and
campesterol are ingested from vegetables, grains, and cooking oils, the serum concentrations of the
phytosterols are much lower than that of cholesterol in mammals [56,57]. Interestingly, ABCG5
polymorphism was suggested to be associated with the lutein bioavailability from egg in human
subjects [58]. ABCG5 may excrete lutein and highly polar epoxy xanthophylls to intestinal lumen. Figure 2. Proposed mechanisms of selectivity in the intestinal absorption of the dietary posed mechanisms of selectivity in the intestinal absorption of the dietary carotenoids. g
p
y
p
y
Multi-drug resistance 1 (MDR1, ABCB1) is well known as a major efflux pump for lipid-soluble
compounds. As the affinity of substrates for MDR1 has been suggested to be related to their
polarity [59], the highly polar xanthophylls may be excreted by MDR1. Carotenoids were evaluated Multi-drug resistance 1 (MDR1, ABCB1) is well known as a major efflux pump for lipid-soluble
compounds. As the affinity of substrates for MDR1 has been suggested to be related to their
polarity [59], the highly polar xanthophylls may be excreted by MDR1. Carotenoids were evaluated 1030 Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 Several proposed metabolites of lutein, as shown in Figure 4, were previously known to be present
in such human tissues as plasma, milk, liver, and retina [18,63–66]. Moreover, we found a remarkable
accumulation of metabolites in mice fed with lutein [67]. 3′-Hydroxy-ε,ε-caroten-3-one and lutein
were the predominant carotenoids in the plasma, liver, kidney, and adipose, accompanied by
ε,ε-carotene-3,3′-dione, indicating that mice actively convert lutein to keto-carotenoids by oxidizing
the secondary hydroxyl group. However, 3-hydroxy-β,ε-caroten-3′-one (3′-oxolutein), the major
metabolite of lutein in human plasma [67] and the retina [64], was not detected in the tissues of the mice. Figure 4. Chemical structures of lutein and its metabolites. Figure 4. Chemical structures of lutein and its metabolites. These metabolites would be formed by the same enzyme that mediated the conversion of
fucoxanthinol to amarouciaxanthin A. The combined level of the lutein metabolites in the liver of the
mice was 72.4% of the total (intact lutein and the metabolites) [67]. This indicates that quantification
of the metabolites is necessary to estimate the lutein bioavailability. Moreover, intact lutein and the
metabolites may differ in their biological activities. Differences among lutein and its metabolites as
antioxidants and blue light filters deserved further study. Similar to the case of lutein in mice, the oxidative metabolism of the other xanthophylls was
reported to occur in human subjects. After the ingestion of paprika juice containing capsanthin as a
major xanthophyll, capsanthon in addition to capsanthin was found in the plasma [68]. Capsanthon
may be formed from capsanthin by the oxidation of the 3′-hydroxyl group to the 3′-keto group. After
an oral dose of 4,4′-dimethoxy-β-carotene in peanut oil, both 4-keto-β-carotene and canthaxanthin
were found in the plasma [69]. These studies certainly indicate that humans have potential metabolic
activity for the oxidation of secondary hydroxyl groups in various xanthophylls. In human tissues, other metabolites of lutein were detected. 3′-Epilutein might be formed by a back
reduction of 3′-oxolutein that was produced from lutein [64]. meso-Zeaxanthin, which is detected in
the retina only, might be formed by double bond migration from lutein [64]. The dehydration products
of lutein, 3-hydroxy-3′,4′-didehydro-β,γ-carotene and 3-hydroxy-2′,3′-didehydro-β,ε-carotene [19] were
thought to be formed non-enzymatically under acidic conditions of stomach [70,71]. Recent studies have indicated the cleavage reaction of xanthophylls occurred in mammals. 5. Metabolism of Xanthophylls in Mammals It is necessary to explore the metabolism of carotenoids after intestinal absorption in order to
elucidate the mechanism of their biological activities, and to achieve safe and effective applications to
human subjects. Although β-carotene is known to be metabolized to vitamin A through action of BCO1,
little is known about the metabolic transformation of non provitamin A xanthophylls in mammals. Recently, we obtained evidence that the oxidative transformation of fucoxanthin and lutein to
keto-carotenoids occurred in mammals. Fucoxanthinol and amarouciaxanthin A were found in the
plasma and liver of mice fed with fucoxanthin, whereas fucoxanthin itself was not detected [32,33]. Fucoxanthinol was hydrolyzed from fucoxanthin in the intestinal tract, circulated in the body, and
then oxidatively converted into amarouciaxanthin A (Figure 3). The conversion of fucoxanthinol into
amarouciaxanthin A was also found to occur in human hepatoma HepG2 cells. Moreover, we found for
the first time that the oxidative conversion was mediated in mouse liver microsomal fractions and
required NAD+ as a cofactor, demonstrating the metabolic conversion of the 3-hydroxyl end group in
xanthophylls at the level of enzyme reaction in animals [33]. Figure 3. Proposed metabolic transformation of fucoxanthin. Figure 3. Proposed metabolic transformation of fucoxanthin. 1031 Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 knockout mice fed with lutein remarkably accumulated lutein metabolites, compared with the
wild-type mice [76]. BCO2 might reduce the accumulation of xanthophylls by converting to smaller
molecules, although the cleavage products and their further metabolites have not been detected in
animal tissues yet. Thus, in addition to oxidation of secondary hydroxyl group in xanthophylls, the
cleavage reaction of carbon skeleton by BCO2 would be also a major metabolic transformation of
xanthophylls in mammals. 6. Conclusions Various carotenoids, in particular, xanthophylls are ingested under usual dietary habits. However,
carotenoids accumulated in human tissues are limited, suggesting selectivity in the intestinal
absorption and different metabolic fates of carotenoids. The responses to the feeding of highly polar
xanthophylls indicated that, for humans, intestinal absorption would be strictly selective in comparison
with mice. The selectivity and its differences among animal species cannot be explained by simple
diffusion mechanism alone. Instead, facilitated diffusion via SR-B1 and an unknown excretion to
luminal side might cause the selectivity. After intestinal absorption of xanthophylls, the enzymatic
oxidation of the secondary hydroxyl group leading to keto-carotenoids would occur as a common
pathway of xanthophyll metabolism in mammals. We have no knowledge about the relation of these
metabolites to the biological activities of parental xanthophylls. The potential biological activities of
xanthophyll metabolites and their further metabolic fates warrant future studies with respect to the
beneficial effects of xanthophylls on human health. Mar. Drugs 2011, 9 BCO1
catalyzes the central cleavage of provitamin A carotenoids, while β-carotene 9′,10′-oxygenase (BCO2)
expressed in vitro can cleave a double bond at C-9′ and C-10′ of β-carotene, lycopene and
xanthopylls [72–74]. Nonsense mutation of BCO2 was found to be associated with a yellow fat
phenotype in sheep, in which xanthophylls were accumulated in adipose tissues [75]. The BCO2 1032 Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 1033 9. Yuan, J.P.; Peng, J.; Yin, K.; Wang, J.H. Potential health-promoting effects of astaxanthin:
A high-value carotenoid mostly from microalgae. Mol. Nutr. Food Res. 2011, 55, 150–165. 10. Okuzumi, J.; Nishino, H.; Murakoshi, M.; Iwashima, A.; Tanaka, Y.; Yamane, T.; Fujita, Y.;
Takahashi, T. Inhibitory effects of fucoxanthin, a natural carotenoid, on n-myc expression and cell
cycle progression in human malignant tumor cells. Cancer Lett. 1990, 55, 75–81. 11. Hosokawa, M.; Wanezaki, S.; Miyauchi, K.; Kurihara, H.; Kohno, H.; Kawabata, J.; Odashima, S.;
Takahashi, K. Apoptosis-inducing effect of fucoxanthin on human leukemia cell line HL-60. Food Sci. Technol. Res. 1999, 5, 243–246. 12. Kotake-Nara, E.; Terasaki, M.; Nagao, A. Characterization of apoptosis induced by fucoxanthin in
human promyelocytic leukemia cells. Biosci. Biotechnol. Biochem. 2005, 69, 224–227. 13. Kotake-Nara, E.; Kushiro, M.; Zhang, H.; Sugawara, T.; Miyashita, K.; Nagao, A. Carotenoids
affect proliferation of human prostate cancer cells. J. Nutr. 2001, 131, 3303–3306. 14. Kotake-Nara, E.; Sugawara, T.; Nagao, A. Antiproliferative effect of neoxanthin and fucoxanthin
on cultured cells. Fish. Sci. 2005, 71, 459–461. 15. Okuzumi, J.; Takahashi, T.; Yamane, T.; Kitao, Y.; Inagake, M.; Ohya, K.; Nishino, H.; Tanaka, Y. Inhibitory effects of fucoxanthin, a natural carotenoid, on N-ethyl-N′-nitro-N-nitrosoguanidine-
induced mouse duodenal carcinogenesis. Cancer Lett. 1993, 68, 159–168. 16. Sakai, S.; Sugawara, T.; Matsubara, K.; Hirata, T. Inhibitory effect of carotenoids on the
degranulation of mast cells via suppression of antigen-induced aggregation of high affinity IgE
receptors. J. Biol. Chem. 2009, 284, 28172–28179. 17. Maeda, H.; Hosokawa, M.; Sashima, T.; Miyashita, K. Dietary combination of fucoxanthin and
fish oil attenuates the weight gain of white adipose tissue and decreases blood glucose in
obese/diabetic KK-Ay mice. J. Agric. Food Chem. 2007, 55, 7701–7706. 18. Khachik, F.; Beecher, G.R.; Goli, M.B.; Lusby, W.R. Separation, identification, and
quantification of carotenoids in fruits, vegetables and human plasma by high performance liquid
chromatography. Pure Appl. Chem. 1991, 63, 71–90. 19. Khachik, F.; Spangler, C.J.; Smith, J.C., Jr.; Canfield, L.M.; Steck, A.; Pfander, H. Identification,
quantification, and relative concentrations of carotenoids and their metabolites in human milk and
serum. Anal. Chem. 1997, 69, 1873–1881. 20. Slifka, K.A.; Bowen, P.E.; Stacewicz-Sapuntzakis, M.; Crissey, S.D. A survey of serum and
dietary carotenoids in captive wild animals. J. Nutr. 1999, 129, 380–390. 21. References 1. Miller, N.J.; Sampson, J.; Candeias, L.P.; Bramley, P.M.; Rice-Evans, C.A. Antioxidant activities
of carotenes and xanthophylls. FEBS Lett. 1996, 384, 240–242. 2. Di Mascio, P.; Kaiser, S.; Sies, H. Lycopene as the most efficient biological carotenoid singlet
oxygen quencher. Arch. Biochem. Biophys. 1989, 274, 532–538. 2. Di Mascio, P.; Kaiser, S.; Sies, H. Lycopene as the most efficient biological carotenoid singlet
oxygen quencher. Arch. Biochem. Biophys. 1989, 274, 532–538. 3. Junghans, A.; Sies, H.; Stahl, W. Macular pigments lutein and zeaxanthin as blue light filters
studied in liposomes. Arch. Biochem. Biophys. 2001, 391, 160–164. 3. Junghans, A.; Sies, H.; Stahl, W. Macular pigments lutein and zeaxanthin as blue light filters
studied in liposomes. Arch. Biochem. Biophys. 2001, 391, 160–164. 4. Katsuura, S.; Imamura, T.; Bando, N.; Yamanishi, R. Beta-carotene and beta-cryptoxanthin but
not lutein evoke redox and immune changes in RAW264 murine macrophages. Mol. Nutr. Food
Res. 2009, 53, 1396–1405. 4. Katsuura, S.; Imamura, T.; Bando, N.; Yamanishi, R. Beta-carotene and beta-cryptoxanthin but
not lutein evoke redox and immune changes in RAW264 murine macrophages. Mol. Nutr. Food
Res. 2009, 53, 1396–1405. 5. Yamaguchi, M.; Weitzmann, M.N. The bone anabolic carotenoid beta-cryptoxanthin enhances
transforming growth factor-beta1-induced SMAD activation in MC3T3 preosteoblasts. Int. J. Mol. Med. 2009, 24, 671–675. 6. Uchiyama, S.; Yamaguchi, M. Oral administration of beta-cryptoxanthin prevents bone loss in
ovariectomized rats. Int. J. Mol. Med. 2006, 17, 15–20. 7. Aizawa, K.; Inakuma, T. Dietary capsanthin, the main carotenoid in paprika (Capsicum annuum),
alters plasma high-density lipoprotein-cholesterol levels and hepatic gene expression in rats. Br. J. Nutr. 2009, 102, 1760–1766. 8. Hussein, G.; Sankawa, U.; Goto, H.; Matsumoto, K.; Watanabe, H. Astaxanthin, a carotenoid with
potential in human health and nutrition. J. Nat. Prod. 2006, 69, 443–449. Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 1034 24. Zaripheh, S.; Erdman, J.W., Jr. Factors that influence the bioavailablity of xanthophylls. J. Nutr. 2002, 132, 531S–534S. 25. Yonekura, L.; Nagao, A. Intestinal absorption of dietary carotenoids. Mol. Nutr. Food Res. 2007,
51, 107–115. 26. Rock, C.L.; Lovalvo, J.L.; Emenhiser, C.; Ruffin, M.T.; Flatt, S.W.; Schwartz, S.J. Bioavailability
of beta-carotene is lower in raw than in processed carrots and spinach in women. J. Nutr. 1998,
128, 913–916. 27. Small, D.M.; Penkett, S.A.; Chapman, D. Studies on simple and mixed bile salt micelles by
nuclear magnetic resonance spectroscopy. Biochim. Biophys. Acta. 1969, 176, 178–189. 28. Yeum, K.J.; Russell, R.M. Carotenoid bioavailability and bioconversion. Annu. Rev. Nutr. 2002,
22, 483–504. 29. Hollander, D.; Ruble, P.E., Jr. Beta-carotene intestinal absorption: Bile, fatty acid, pH, and flow
rate effects on transport. Am. J. Physiol. Endocrinol. Metab. 1978, 235, E686–E691. 30. Scita, G.; Aponte, G.W.; Wolf, G. Uptake and cleavage of β-carotene by cultures of rat small
intestinal cells and human lung fibroblasts. J. Nutr. Biochem. 1992, 3, 118–123. 31. Sugawara, T.; Kushiro, M.; Zhang, H.; Nara, E.; Ono, H.; Nagao, A. Lysophosphatidylcholine
enhances carotenoid uptake from mixed micelles by Caco-2 human intestinal cells. J. Nutr. 2001,
131, 2921–2927. 32. Sugawara, T.; Baskaran, V.; Tsuzuki, W.; Nagao, A. Brown algae fucoxanthin is hydrolyzed to
fucoxanthinol during absorption by Caco-2 human intestinal cells and mice. J. Nutr. 2002, 132,
946–951. 33. Asai, A.; Sugawara, T.; Ono, H.; Nagao, A. Biotransformation of fucoxanthinol into
amarouciaxanthin A in mice and HepG2 cells. Drug Metab. Dispos. 2004, 32, 205–211. 34. Asai, A.; Terasaki, M.; Nagao, A. An epoxide–furanoid rearrangement of spinach neoxanthin
occurs in the gastrointestinal tract of mice and in vitro: Formation and cytostatic activity of
neochrome stereoisomers. J. Nutr. 2004, 134, 2237–2243. 35. Sangeetha, R.K.; Bhaskar, N.; Divakar, S.; Baskaran, V. Bioavailability and metabolism of
fucoxanthin in rats: structural characterization of metabolites by LC-MS (APCI). Mol. Cell. Biochem. 2010, 333, 299–310. 36. Baskaran, V.; Sugawara, T.; Nagao, A. Phospholipids affect the intestinal absorption of
carotenoids in mice. Lipids 2003, 38, 705–711. 37. Matsuno, T.; Ookubo, M. A new carotenoid, halocynthiaxanthin from the sea squirt, Halocynthia
Roretzi. Tetrahedron Lett. 1981, 22, 4659–4660. 38. Matsuno, T.; Ookubo, M.; Komori, T. Carotenoids of tunicates, III. The structural elucidation of
two new marine carotenoids, amarouciaxanthin A and B. J. Nat. Prod. 1985, 48, 606–613. 39. Strand, A.; Herstad, O.; Liaaen-Jensen, S. Mar. Drugs 2011, 9 Richelle, M.; Enslen, M.; Hager, C.; Groux, M.; Tavazzi, I.; Godin, J.P.; Berger, A.; Métairon, S.;
Quaile, S.; Piguet-Welsch, C.; et al. Both free and esterified plant sterols reduce cholesterol
absorption and the bioavailability of beta-carotene and alpha-tocopherol in normocholesterolemic
humans. Am. J. Clin. Nutr. 2004, 80, 171–177. 22. Maiani, G.; Castón, M.J.; Catasta, G.; Toti, E.; Cambrodón, I.G.; Bysted, A.; Granado-Lorencio, F.;
Olmedilla-Alonso, B.; Knuthsen, P.; Valoti, M.; et al. Carotenoids: actual knowledge on food
sources, intakes, stability and bioavailability and their protective role in humans. Mol. Nutr. Food
Res. 2009, 53 (Suppl. 2), S194–S218. 23. Holst, B.; Williamson, G. Nutrients and phytochemicals: from bioavailability to bioefficacy
beyond antioxidants. Curr. Opin. Biotechnol. 2008, 19, 73–82. Mar. Drugs 2011, 9 Fucoxanthin metabolites in egg yolks of laying hens. Comp. Biochem. Physiol. A Mol. Integr. Physiol. 1998, 119, 963–974. 40. Matsuno, T.; Ohkubo, M.; Toriiminami, Y.; Tsushima, M.; Sakaguchi, S.; Minami, T.; Maoka, T. Carotenoids in food chain between freshwater fish and aquatic insects. Comp. Biochem. Physiol. A Mol. Integr. Physiol. 1999, 124, 341–345. 41. Asai, A.; Yonekura, L.; Nagao, A. Low bioavailability of dietary epoxyxanthophylls in humans. Br. J. Nutr. 2008, 100, 273–277. Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 1035 42. Yonekura, L.; Nagao, A. Soluble fibers inhibit carotenoid micellization in vitro and uptake by
Caco-2 cells. Biosci. Biotechnol. Biochem. 2009, 73, 196–199. 43. Pérez-Gálvez, A.; Martin, H.D.; Sies, H.; Stahl, W. Incorporation of carotenoids from paprika
oleoresin into human chylomicrons. Br. J. Nutr. 2003, 89, 787–793. 44. Barua, A.B.; Olson, J.A. Xanthophyll epoxides, unlike beta-carotene monoepoxides, are not
detectibly absorbed by humans. J. Nutr. 2001, 131, 3212–3215. 45. Barua, A.B. Intestinal absorption of epoxy-beta-carotenes by humans. Biochem. J. 1999, 339 (Pt. 2),
359–362. 46. Reboul, E.; Abou, L.; Mikail, C.; Ghiringhelli, O.; André, M.; Portugal, H.; Jourdheuil-Rahmani, D.;
Amiot, M.J.; Lairon, D.; Borel, P. Lutein transport by Caco-2 TC-7 cells occurs partly by a
facilitated process involving the scavenger receptor class B type I (SR-BI). Biochem. J. 2005,
387 (Pt. 2), 455–461. 47. Kiefer, C.; Sumser, E.; Wernet, M.F.; Von Lintig, J. A Class B scavenger receptor mediates the
cellular uptake of carotenoids in Drosophila. Proc. Natl. Acad. Sci. USA 2002, 99, 10581–10586. 48. Borel, P.; Moussa, M.; Reboul, E.; Lyan, B.; Defoort, C.; Vincent-Baudry, S.; Maillot, M.;
Gastaldi, M.; Darmon, M.; Portugal, H.; et al. Human plasma levels of vitamin E and carotenoids
are associated with genetic polymorphisms in genes involved in lipid metabolism. J. Nutr. 2007,
137, 2653–2659. 49. Moussa, M.; Landrier, J.F.; Reboul, E.; Ghiringhelli, O.; Coméra, C.; Collet, X.; Fröhlich, K.;
Böhm, V.; Borel, P. Lycopene absorption in human intestinal cells and in mice involves scavenger
receptor class B type I but not Niemann-Pick C1-Like 1. J. Nutr. 2008, 138, 1432–1436. 50. O’Sullivan, L.; Aisling, S.A.; O’Brien, N.M. Investigation of beta-carotene and lutein transport in
Caco-2 cells: carotenoid-carotenoid interactions and transport inhibition by ezetimibe. Int. J. Vitam. Nutr. Res. 2009, 79, 337–347. 51. During, A.; Hussain, M.M.; Morel, D.W.; Harrison, E.H. Carotenoid uptake and secretion by
CaCo-2 cells: Beta-carotene isomer selectivity and carotenoid interactions. J. Lipid Res. 2002, 43,
1086–1095. 52. Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 1036 57. Yu, L.; von Bergmann, K.; Lutjohann, D.; Hobbs, H.H.; Cohen, J.C. Selective sterol accumulation
in ABCG5/ABCG8-deficient mice. J. Lipid Res. 2004, 45, 301–307. 58. Herron, K.L.; McGrane, M.M.; Waters, D.; Lofgren, I.E.; Clark, R.M.; Ordovas, J.M.;
Fernandez, M.L. The ABCG5 polymorphism contributes to individual responses to dietary
cholesterol and carotenoids in Eggs. J. Nutr. 2006, 136, 1161–1165. 59. Shen, J.; Cross, S.T.; Tang-Liu, D.D.; Welty, D.F. Evaluation of an immortalized retinal
endothelial cell line as an in vitro model for drug transport studies across the blood-retinal barrier. Pharm. Res. 2003, 20, 1357–1363. 60. Gyémánt, N.; Tanaka, M.; Molnár, P.; Deli, J.; Mándoky, L.; Molnár, J. Reversal of multidrug
resistance of cancer cells in vitro: modification of drug resistance by selected carotenoids. Anticancer Res. 2006, 26, 367–374. 61. Molnár, J.; Gyémánt, N.; Mucsi, I.; Molnár, A.; Szabó, M.; Körtvélyesi, T.; Varga, A.; Molnár, P.;
Tóth, G. Modulation of multidrug resistance and apoptosis of cancer cells by selected carotenoids. In Vivo 2004, 18, 237–244. 62. Ugocsai, K.; Varga, A.; Molnár, P.; Antus, S.; Molnár, J. Effects of selected flavonoids and
carotenoids on drug accumulation and apoptosis induction in multidrug-resistant colon cancer
cells expressing MDR1/LRP. In Vivo 2005, 19, 433–438. 63. Khachik, F.; Bernstein, P.S.; Garland, D.L. Identification of lutein and zeaxanthin oxidation
products in human and monkey retinas. Invest. Ophthalmol. Vis. Sci. 1997, 38, 1802–1811. 64. Khachik, F.; de Moura, F.F.; Zhao, D.Y.; Aebischer, C.P.; Bernstein, P.S. Transformations of
selected carotenoids in plasma, liver, and ocular tissues of humans and in nonprimate animal
models. Invest. Ophthalmol. Vis. Sci. 2002, 43, 3383–3392. 65. Bhosale, P.; Bernstein, P.S. Quantitative measurement of 3′-oxolutein from human retina by
normal-phase high-performance liquid chromatography coupled to atmospheric pressure chemical
ionization mass spectrometry. Anal. Biochem. 2005, 345, 296–301. 66. Bhosale, P.; Zhao, D.Y.; Serban, B.; Bernstein, P.S. Identification of 3-methoxyzeaxanthin as a
novel age-related carotenoid metabolite in the human macula. Invest. Ophthalmol. Vis. Sci. 2007,
48, 1435–1440. 67. Yonekura, L.; Kobayashi, M.; Terasaki, M.; Nagao, A. Keto-carotenoids are the major
metabolites of dietary lutein and fucoxanthin in mouse tissues, J. Nutr. 2010, 140, 1824–1831. 68. Etoh, H.; Utsunomiya, Y.; Komori, A.; Murakami, Y.; Oshima, S.; Inakuma, T. Carotenoids in
human blood plasma after ingesting paprika juice. Biosci. Biotechnol. Biochem. 2000, 64,
1096–1098. 69. Zeng, S.; Furr, H.C.; Olson, J.A. Metabolism of carotenoid analogs in humans. Am. J. Clin. Nutr. 1992, 56, 433–439. 70. Mar. Drugs 2011, 9 During, A.; Harrison, E.H. Mechanisms of provitamin A (carotenoid) and vitamin A (retinol)
transport into and out of intestinal Caco-2 cells. J. Lipid Res. 2007, 48, 2283–2294. 53. During, A.; Dawson, H.D.; Harrison, E.H. Carotenoid transport is decreased and expression of the
lipid transporters SR-BI, NPC1L1, and ABCA1 is downregulated in Caco-2 cells treated with
ezetimibe. J. Nutr. 2005, 135, 2305–2312. 54. van Bennekum, A.; Werder, M.; Thuahnai, S.T.; Han, C.H.; Duong, P.; Williams, D.L.; Wettstein, P.;
Schulthess, G.; Phillips, M.C.; Hauser, H. Class B scavenger receptor-mediated intestinal
absorption of dietary beta-carotene and cholesterol. Biochemistry 2005, 44, 4517–4525. 55. Lobo, G.P.; Hessel, S.; Eichinger, A.; Noy, N.; Moise, A.R.; Wyss, A.; Palczewski, K.;
von Lintig, J. ISX is a retinoic acid-sensitive gatekeeper that controls intestinal beta, beta-carotene
absorption and vitamin A production. FASEB J. 2010, 24, 1656–1666. 56. Fransen, H.P.; de Jong, N.; Wolfs, M.; Verhagen, H.; Verschuren, W.M.; Lütjohann, D.;
von Bergmann, K.; Plat, J.; Mensink, R.P. Customary use of plant sterol and plant stanol enriched
margarine is associated with changes in serum plant sterol and stanol concentrations in humans. J. Nutr. 2007, 137, 1301–1306. Mar. Drugs 2011, 9 Mar. Drugs 2011, 9 1037 72. Kiefer, C.; Hessel, S.; Lampert, J.M.; Vogt, K.; Lederer, M.O.; Breithaupt, D.E.; von Lintig, J. Identification and characterization of a mammalian enzyme catalyzing the asymmetric oxidative
cleavage of provitamin A. J. Biol. Chem. 2001, 276, 14110–14116. 72. Kiefer, C.; Hessel, S.; Lampert, J.M.; Vogt, K.; Lederer, M.O.; Breithaupt, D.E.; von Lintig, J. Identification and characterization of a mammalian enzyme catalyzing the asymmetric oxidative
cleavage of provitamin A. J. Biol. Chem. 2001, 276, 14110–14116. 73. Hu, K.Q.; Liu, C.; Ernst, H.; Krinsky, N.I.; Russell, R.M.; Wang, X.D. The biochemical
characterization of ferret carotene-9′,10′-monooxygenase catalyzing cleavage of carotenoids in vitro
and in vivo. J. Biol. Chem. 2006, 281, 19327–19338. 74. Mein, J.R.; Dolnikowski, G.G.; Ernst, H.; Russell, R.M.; Wang, X.D. Enzymatic formation of
apo-carotenoids from the xanthophyll carotenoids lutein, zeaxanthin and β-cryptoxanthin by ferret
carotene-9′,10′-monooxygenase. Arch. Biochem. Biophys. 2011, 506, 109–121. 75. Våge, D.I.; Boman, I.A. A nonsense mutation in the beta-carotene oxygenase 2 (BCO2) gene is
tightly associated with accumulation of carotenoids in adipose tissue in sheep (Ovis aries). BMC
Genet. 2010, 11, 10. 76. Amengual, J.; Lobo, G.P.; Golczak, M.; Li, H.N.; Klimova, T.; Hoppel, C.L.; Wyss, A.;
Palczewski, K.; von Lintig, J. A mitochondrial enzyme degrades carotenoids and protects against
oxidative stress. FASEB J. 2011, 25, 948–959. Mar. Drugs 2011, 9 Khachik, F. An efficient conversion of (3R,3′R,6′R)-lutein to (3R,3′S,6′R)-lutein (3′-epilutein) and
(3R,3′R)-zeaxanthin. J. Nat. Prod. 2003, 66, 67–72. 71. Khachik, F.; Englert, G.; Beecher, G.R.; Smith, J.C., Jr. Isolation, structural elucidation, and
partial synthesis of lutein dehydration products in extracts from human plasma. J. Chromatogr. B
Biomed. Appl. 1995, 670, 219–233. Samples Availability: Available from the authors. © 2011 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/).
|
https://openalex.org/W4392801773
|
https://periodicos.uninove.br/eccos/article/download/25407/10794
|
Portuguese
| null |
ritual como princípio de ensino em Angola
|
Eccos Revista Científica
| 2,024
|
cc-by
| 6,704
|
https://doi.org/10.5585/eccos.n68.25407
e-ISSN: 1983-9278
Recebido em: 22 out. 2023 - Aprovado em: 15 fev. 2024
Editoras: Profa. Dra. Ana Maria Haddad Baptista e Profa. Dra. Marcia Fusaro Palavras-chave: Angola; arte; educação; ensino; ritual. O RITUAL COMO PRINCÍPIO DE ENSINO EM ANGOLA Mbandu Luvumbu Nsingui
Mestre em Artes Cênicas
Instituto Superior Politécnico Crescente do Zango
Luanda – Angola
mbanduluvumbonsingui@gmail.com Karyne Dias Coutinho
Doutora em Educação, Pós-Doutorado em Artes
Universidade Federal do Rio Grande do Norte – UFRN
Natal, RN – Brasil
kdiascoutinho@gmail.com Karyne Dias Coutinho
Doutora em Educação, Pós-Doutorado em Artes
Universidade Federal do Rio Grande do Norte – UFRN
Natal, RN – Brasil
kdiascoutinho@gmail.com Resumo: Este texto apresenta um recorte de uma pesquisa de Mestrado desenvolvida em
Luanda (Angola), junto ao Programa de Pós-Graduação em Artes Cênicas da Universidade
Federal do Rio Grande do Norte (Brasil), que investiga aspectos etnoteatrológicos de
manifestações culturais angolanas. Trata-se aqui especificamente de discutir a relevância e as
possibilidades de se entender certos elementos de rituais angolanos como princípios de ensino
a serem considerados em escolas de educação básica, sobretudo por meio do trabalho com
linguagens artísticas que voltem sua atenção para a riqueza cultural das diferentes línguas e
corporeidades maternas de Angola. A prática pedagógica com elementos ritualísticos de
manifestações culturais angolanas é aqui abordada como forma de ampliarem-se as
oportunidades de — por meio do trabalho com linguagens artísticas (dança, teatro, música, etc.)
que manifestem performances típicas dos rituais — compreender, situar e reatualizar a
produção dos saberes e conhecimentos locais. Para citar - (ABNT NBR 6023:2018) NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino
em Angola. Eccos - Revista Científica, São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024. Disponível em: https://doi.org/10.5585/eccos.n68.25407 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino
em Angola. Eccos - Revista Científica, São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024. Disponível em: https://doi.org/10.5585/eccos.n68.25407 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola RITUAL AS A TEACHING PRINCIPLE IN ANGOLA Abstract: This text presents an excerpt from a Master's degree research developed in Luanda
(Angola), by the Postgraduate Program in Performing Arts at the Federal University of Rio
Grande do Norte (Brazil), which investigates ethnotheatrological aspects of Angolan cultural
manifestations. This is specifically about discussing the relevance and possibilities of
understanding certain elements of Angolan rituals as teaching principles to be considered in
basic education schools, especially through working with artistic languages that turn their
attention to the cultural richness of different mother tongues and corporeities of Angola. The
pedagogical practice with ritualistic elements of Angolan cultural manifestations is approached
here as a way of expanding opportunities — through working with artistic languages (dance,
theater, music, etc.) that manifest typical ritual performances — to understand, situate and re-
update the production of local knowledge. Keywords: Angola; art; education; teaching; ritual. EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 Palabras clave: Angola; arte; educación; enseñanza; ritual. EL RITUAL COMO PRINCIPIO DE ENSEÑANZA EN ANGOLA Resumen: Este texto presenta un extracto de una investigación de maestría que se desarrolla en
Luanda (Angola), por el Programa de Postgrado en Artes Escénicas de la Universidad Federal
de Rio Grande do Norte (Brasil), que investiga aspectos etnoteatrológicos de las
manifestaciones culturales angoleñas. Se trata específicamente de discutir la relevancia y las
posibilidades de comprender ciertos elementos de los rituales angoleños como principios de
enseñanza a considerar en las escuelas de educación básica, especialmente a través del trabajo
con lenguajes artísticos que vuelquen su atención a la riqueza cultural de las diferentes lenguas
y corporalidades madres de Angola. La práctica pedagógica con elementos rituales de las
manifestaciones culturales angoleñas se aborda aquí como una forma de ampliar las
oportunidades — a través del trabajo con lenguajes artísticos (danza, teatro, música, etc.) que
manifiestan representaciones rituales típicas — para comprender, situar y re-actualizar la
producción de conocimiento y saberes locales. Palabras clave: Angola; arte; educación; enseñanza; ritual. 2 de 12 2 de 12 2 de 12 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Ango A discussão que fazemos neste texto sobre o ritual como princípio de ensino é um
recorte de uma pesquisa de Mestrado desenvolvida em Luanda, Angola, junto ao Programa de
Pós-Graduação em Artes Cênicas da Universidade Federal do Rio Grande do Norte
(PPGARC/UFRN), Natal-RN, Brasil, com o título “Elementos etnoteatrológicos de
manifestações culturais em Angola: efeitos artísticos e educativos do ritual de óbito Bakongo1”. Baseada no princípio de valorização das manifestações culturais locais, a pesquisa parte
de dois pressupostos gerais: 1) o corpo é construído também pelos rituais dos quais participa;
2) os rituais podem fornecer material para a arte local, incluindo o seu ensino. Com base nisso,
o referido estudo objetiva investigar os elementos etnoteatrológicos do ritual de óbito do povo
Bakongo, ritual entendido como uma importante manifestação cultural de Angola, cuja
valorização no campo das artes poderá questionar a imposição do teatro europeu, em busca de
uma arte angolana que se produz com saberes ritualísticos. 3 d 12
2 Para elaborarmos essa questão, inspiramo-nos na fase do trabalho de Jerzy Grotowski conhecida como parateatro, caracterizada pela oposição à concepção de
teatro ocidental mais convencional e por tentativas de “abolir a clássica separação entre Arte e Vida, bem como eliminar a divisão (espacial e funcional) atores-
espectadores/palco-plateia. Nesse sentido, o teatro passa a ser almejado como uma experiência ‘real’ de comunhão, integração entre seres humanos, um
‘acontecimento coletivo’, no qual se valorizava especialmente a improvisação e a espontaneidade de seus participantes – atores/atrizes e público” (Olinto,
Lampert, 2020, p. 316). Para uma discussão sobre o parateatro de Grotowski, pode-se consultar, entre outros, Sabino (2016) e Olinto, Lampert (2020).
3 Mpovi é o porta-voz do ritual, a figura responsável por comunicar aos participantes o que sucedeu em relação ao óbito e por conduzir a cerimônia fúnebre.
Makonzo é um gesto que consiste em bater palmas três vezes, pedindo a permissão para falar, como um sinal de respeito. Esses elementos do ritual, junto com
os outros elementos identificados na pesquisa, estão devidamente descritos no texto da referida Dissertação de Mestrado (Nsingui, 2023). 1 Os Bakongos estão localizados ao norte de Angola, ocupando as províncias de Cabinda, Uíge e Zaire. Em África, estão espalhados em países como Gabão,
República Democrática do Congo, Congo Brazzaville. Têm o Kikongo como sua principal língua e também as suas variantes Fiote ou Ibinda.
2 g
g
,
p
p
,
g
,
p
p
,
República Democrática do Congo, Congo Brazzaville. Têm o Kikongo como sua principal língua e também as suas variantes Fiote ou Ibinda. kongos estão localizados ao norte de Angola, ocupando as províncias de Cabinda, Uíge e Zaire. Em África, estão espalhados em países como Gab
li
D
á i
d C
C
B
ill
Tê
Kik
i
i
l lí
bé
i
Fi
Ibi d p
p
p
p
j
p
g ç
‘acontecimento coletivo’, no qual se valorizava especialmente a improvisação e a espontaneidade de seus participantes – atores/atrizes e público” (Olinto,
Lampert, 2020, p. 316). Para uma discussão sobre o parateatro de Grotowski, pode-se consultar, entre outros, Sabino (2016) e Olinto, Lampert (2020).
3 Mpovi é o porta-voz do ritual, a figura responsável por comunicar aos participantes o que sucedeu em relação ao óbito e por conduzir a cerimônia fúnebre.
Makonzo é um gesto que consiste em bater palmas três vezes, pedindo a permissão para falar, como um sinal de respeito. Esses elementos do ritual, junto com
os outros elementos identificados na pesquisa, estão devidamente descritos no texto da referida Dissertação de Mestrado (Nsingui, 2023). EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 g
g
,
p
p
República Democrática do Congo, Congo Brazzaville. Têm o Kikongo com EL RITUAL COMO PRINCIPIO DE ENSEÑANZA EN ANGOLA Apostando na possibilidade de se fazer uma leitura artística das manifestações culturais
de um povo, a pesquisa encontrou companhia em algumas perguntas relativas ao ritual de óbito
Bakongo: Como se caracterizam as danças, as canções, as vestimentas, os hábitos e os costumes
envolvidos nessa manifestação cultural? Que elementos etnoteatrológicos podem ser
identificados nesse ritual? Como as narrativas e os movimentos desse ritual podem ser lidos
desde uma perspectiva artística? É possível que as cerimônias desse ritual estejam na fonte de
elementos parateatrais2 que caracterizariam um teatro tipicamente angolano? Que
conhecimentos podem ser produzidos no campo das artes cênicas a partir do que se passa na
base desse ritual africano? Por meio do método experimental de inspiração etnográfica, o estudo chegou a seis
elementos parateatrais identificados no ritual fúnebre Bakongo e que podem ser apontados
como seus elementos etnoteatrológicos, a saber: mpovi e makonzo3, ramos de palmeira, choro,
canções, danças e representações. A verificação desses elementos indica a possibilidade de eles
funcionarem como fonte de resgates e recriações que podem nutrir e enriquecer o ator e a atriz
angolano/a. Para tanto, não bastaria tais elementos estarem apenas na montagem de uma obra
teatral, mas serem também associados a uma pedagogia das artes cênicas. É por isso que, no
desenvolver da pesquisa, a identificação dos elementos etnoteatrológicos do ritual levou o 3 de 12 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola estudo a apontar quais os efeitos desses elementos tanto no campo educativo, entendendo-se o
ritual como princípio de ensino, quanto no campo artístico, especialmente a partir do trabalho
realizado pelo Núcleo de Pesquisa em Artes da Cena Bimphadi4, sediado em Luanda, Angola. O texto que ora apresentamos aborda um pequeno recorte dessa pesquisa, relativo
especificamente à ideia de ritual como um princípio de ensino a ser considerado em práticas
pedagógicas escolares, sobretudo por meio do trabalho com linguagens artísticas que voltem
sua atenção para a riqueza cultural das diferentes línguas e corporeidades maternas de Angola. Antes de passarmos diretamente à questão, vamos situar a seguir o cenário em que ela se
desdobra. 4 d 12
4 O Núcleo de Pesquisa em Artes da Cena Bimphadi foi fundado por quatro professores-artistas angolanos — Mbandu Luvumbo Nsingui, Nelson Máquina, Manuel
da Costa e Paulino Tchiloia Bimba Lunono — que concluíram juntos a Licenciatura em Teatro, na especialidade de Atuação, no então Instituto Superior de Artes
(ISART), hoje Faculdade de Artes da Universidade de Luanda, com instalações na cidade do Kilamba, Luanda, Angola. Atualmente, o Bimphadi é composto
por doze artistas-pesquisadores e professores de arte, que investigam possibilidades artísticas e pedagógicas baseadas em rituais africanos. da Costa e Paulino Tchiloia Bimba Lunono — que concluíram juntos a Licenciatura em Teatro, na especialidade de Atuação, no então Instituto Superior de Artes
(ISART), hoje Faculdade de Artes da Universidade de Luanda, com instalações na cidade do Kilamba, Luanda, Angola. Atualmente, o Bimphadi é composto
por doze artistas-pesquisadores e professores de arte, que investigam possibilidades artísticas e pedagógicas baseadas em rituais africanos. 4 de 12
EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 da Costa e Paulino Tchiloia Bimba Lunono
que concluíram juntos a Licenciatura em Teatro, na especialidade de Atuação, no então Instituto Supe
(ISART), hoje Faculdade de Artes da Universidade de Luanda, com instalações na cidade do Kilamba, Luanda, Angola. Atualmente, o Bimphad
por doze artistas-pesquisadores e professores de arte, que investigam possibilidades artísticas e pedagógicas baseadas em rituais africanos. 4 O Núcleo de Pesquisa em Artes da Cena Bimphadi foi fundado por quatro professores-artistas angolanos — Mbandu Luvumbo Nsingui, Nelson Máq
d C
P
li
T hil i Bi b L
l í
j
Li
i
T
i lid d d A
I
i
S 4 O Núcleo de Pesquisa em Artes da Cena Bimphadi foi fundado por quatro professores-artistas angolanos — Mbandu Luvumbo Nsingui, Nelson Máq
da Costa e Paulino Tchiloia Bimba Lunono — que concluíram juntos a Licenciatura em Teatro, na especialidade de Atuação, no então Instituto Supe
(ISART), hoje Faculdade de Artes da Universidade de Luanda, com instalações na cidade do Kilamba, Luanda, Angola. Atualmente, o Bimphad Sistema de educação angolano e a língua oficial da escola No que se refere ao ensino formal, o sistema de educação angolano é regularizado pelo
estado, e as práticas são guiadas pelos órgãos que dirigem cada instituição. Há a rede estatal e
a rede particular de ensino, sendo que a maior ênfase de investimentos nesse âmbito recai para
o setor privado. Das muitas questões a serem abordadas na educação formalizada em Angola, queremos
chamar a atenção aqui especificamente para a questão das línguas. O 1º Artigo da Lei de Bases
do Sistema de Educação de Angola (2001) dispõe que: a educação constitui um processo que visa preparar o indivíduo para as exigências da
vida política, económica e social do país, e que se desenvolve na convivência humana,
no círculo familiar, nas relações do trabalho, nas instituições de ensino e de
investigação científicas e técnicas, no órgão de comunicação social, nas organizações
comunitárias, nas organizações filantrópicas e religiosas e através das manifestações
culturais e gimnodesportivas. [grifo nosso] Quanto às manifestações culturais referidas nesse trecho da legislação, lembramos que
em Angola elas são organicamente desenvolvidas nas línguas maternas de cada povo. Em
relação a isso, no seu Artigo 16º, a mesma Lei dispõe sobre a inserção das línguas maternas:
“podem ser utilizadas as demais línguas angolanas nos diferentes subsistemas de ensino, nos
termos a regulamentar no diploma próprio”. No entanto, embora o sistema educativo regulado pelo estado preveja que a educação se
dê também através das manifestações culturais, e permita a utilização das línguas angolanas
nos subsistemas de ensino, na prática não é isso que se faz sentir. O campo pedagógico que 4 de 12 4 de 12 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola delimita as práticas escolares em Angola é construído e efetivado a partir de uma visão
universalizante da educação ocidental moderna, organizando-se os espaços e os tempos do
ensinar e aprender de modos homogêneos, incluindo-se a adoção do português como única
língua e desconsiderando-se, assim, as realidades culturais locais. A questão específica que se coloca em Angola quanto a isso é que a divisão entre as
zonas urbanas e as zonas rurais é bastante acentuada, o que implica necessariamente a exclusão
de muitas pessoas dos processos formais de educação, já que os povos das zonas rurais falam
as suas próprias línguas. Como ensinar em português uma criança que não sabe falar português? EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 Sistema de educação angolano e a língua oficial da escola O problema não está em ensinar português às crianças, mas em organizar, propor e desenvolver
as práticas educativas supondo-se que essa seja a única língua oficial da escola. Ao proceder
assim, o sistema de ensino definido pelo estado impõe a língua como um fator de nova
colonização, e isso tem efeitos duradouros não apenas sobre os corpos infantis, como também
sobre toda sua comunidade. Sabendo-se do quanto as linguagens tem papel central nos processos de educação,
reconhecer a importância da valorização das culturas locais passa necessariamente por
considerar, nas práticas pedagógicas, as várias línguas existentes. À medida que a pessoa vai
tendo contato com as outras culturas (o que também é muito importante), pelo menos a cultura
local estaria presente na sua base. E se aqui fazemos referência a linguagens (no plural) é porque, intrínseco à língua
falada, está o corpo que fala. Quanto a isso, vale referir a elaboração que Lunono (2023) faz (a
partir de uma expressão de Le Breton) da ideia de corporeidade materna: “do mesmo modo que
existe uma língua materna, há um corpo materno, aquele com o qual o sujeito está mais
acostumado a viver a sua relação com o mundo” (Le Breton apud Lunono, 2023, p. 66). O processo de incorporação da língua não é uma realidade isolada no corpo, há outras
instâncias concomitantes como a gestualidade e o movimento dançado. Estas
instâncias também possuem a sua primeiridade. O conjunto desses níveis forma parte
da nossa corporeidade materna. [...] Não é que o indivíduo não deva aprender as
danças, canções, línguas, etc. de outras culturas, mas que as aprenda sem estar vetado
o direito de ser a partir de si mesmo e, sobretudo, para si mesmo. Na escola (e não só)
ser professor(a) e ser estudante deveria realmente significar tornarmo-nos aprendizes
de nós mesmos. O contrário é um exercício colonizador. (Lunono, 2023, p. 68-69) A partir da ideia de corporeidade materna, pode-se perceber que as questões que
focalizamos aqui (sobre a língua oficial da escola) envolvem o cruzamento das dificuldades 5 de 12 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. Sistema de educação angolano e a língua oficial da escola O ritual como princípio de ensino em Angola entre quem fala português e quem fala kikongo, mas também entre quem dança o bemba-bemba5
e quem dança o ballet clássico... Em olumbundu existe o verbo okutengula que designa as debilidades que alguém que
aprendeu uma língua tem na fala, uma falta de precisão na musicalidade da língua e
na combinação desta com o tempo e o ritmo do gesto que assinala o estrangeirismo
do indivíduo falante. Não é propriamente sotaque. Quem aprende uma determinada
língua de adolescente ou adulto(a) não deixa de okutengula. Intuo que o mesmo ocorra
com o(s) movimento(s) numa dança, pois toda dança é localizada e se serve de uma
materialidade específica. (Lunono, 2023, p. 67) Reivindicar práticas pedagógicas escolares que considerem as línguas e corporeidades
maternas não significa negar as culturas híbridas nas quais estamos envolvidos; esse, para nós,
não é necessariamente o problema: a questão está no modo de atuar das escolas, que (em nome
da “educação de todos”) insiste no silenciamento e no apagamento das raízes culturais. Como exemplo, podemos dizer que as músicas atualmente cantadas nas creches de
Luanda são geralmente as que vem de outros povos. Apesar da riqueza cultural das
comunidades angolanas, que se expressam também por meio de suas canções, há uma séria
carência de músicas infantis angolanas nos estabelecimentos e planos de ensino, já que grande
parte do que é consumido em termos de referências musicais vem de fora. De modo geral, isso
se deve ao fato de que a única língua em que se pode ensinar e aprender na escola é o português. Não se trata de desconsiderarmos a língua portuguesa também como um importante meio de
comunicação no ensino e na aprendizagem, mas reiteramos a necessidade de as línguas
angolanas serem consideradas, inseridas e trabalhadas na escola, sob pena de serem
inteiramente extintas, levando com elas parte das manifestações culturais que identificam e
caracterizam determinados povos. Apenas a título de exemplo, em outros países que fazem
fronteira com Angola, afortunadamente ainda se pode observar a produção de músicas infantis
cantadas em línguas locais. No entanto, quando tivemos contato com professores de algumas
províncias do país, relataram-nos que nas disciplinas de música e de educação plástica
encontravam muitas dificuldades para ensinar, dizendo não terem habilidades para tal, porque
as músicas que estão plantadas nos livros didáticos oficiais têm como referência as cidades e
não as zonas rurais. EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 5 Bemba-bemba é uma dança e um ritmo típicos do povo Bakongo, de Angola. As características do bemba-bemba estão descritas mais adiante neste 6 de 12
EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 6 de 12
EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 Sistema de educação angolano e a língua oficial da escola É mais fácil pensar na concretude da
corporeidade materna a partir da língua materna — ela não é estanque, porém, serve
como canal para a aprendizagem de novas línguas e novas formas de perceber e fazer
com o corpo e, ao mesmo tempo, ela é reestruturada pela segunda, terceira... língua
ou, no geral, pelas novas vivências. (Lunono, 2023, p. 67-68) A corporeidade materna é construída no processo de incorporação das primeiras
experiências do sujeito com/no mundo. É mais fácil pensar na concretude da
corporeidade materna a partir da língua materna — ela não é estanque, porém, serve
como canal para a aprendizagem de novas línguas e novas formas de perceber e fazer
com o corpo e, ao mesmo tempo, ela é reestruturada pela segunda, terceira... língua
ou, no geral, pelas novas vivências. (Lunono, 2023, p. 67-68) Acreditamos que quem fala várias línguas pode ampliar seus modos de ver, sentir,
perceber, entender e atribuir sentidos ao mundo. As possibilidades de ampliação e abertura
desses horizontes já estão postas de algum modo pelas diferentes línguas nacionais de Angola,
mas há quem insista numa escola que reduza a comunicação das crianças apenas à língua
portuguesa ou a outras línguas estrangeiras, que carregam consigo corporeidades igualmente
estrangeiras. É na esteira disso que fazemos ecoar a importância de o sistema educativo considerar
os rituais dos povos de Angola como férteis em elementos que também podem compor os
processos de ensinar e aprender nas escolas angolanas, no duplo sentido de cuidar, ao mesmo
tempo, das línguas e das corporeidades maternas. Sistema de educação angolano e a língua oficial da escola Como exemplo, podemos dizer que as músicas atualmente cantadas nas creches de
Luanda são geralmente as que vem de outros povos. Apesar da riqueza cultural das
comunidades angolanas, que se expressam também por meio de suas canções, há uma séria
carência de músicas infantis angolanas nos estabelecimentos e planos de ensino, já que grande
parte do que é consumido em termos de referências musicais vem de fora. De modo geral, isso
se deve ao fato de que a única língua em que se pode ensinar e aprender na escola é o português. se deve ao fato de que a única língua em que se pode ensinar e aprender na escola é o português. Não se trata de desconsiderarmos a língua portuguesa também como um importante meio de
comunicação no ensino e na aprendizagem, mas reiteramos a necessidade de as línguas
angolanas serem consideradas, inseridas e trabalhadas na escola, sob pena de serem
inteiramente extintas, levando com elas parte das manifestações culturais que identificam e
caracterizam determinados povos. Apenas a título de exemplo, em outros países que fazem
fronteira com Angola, afortunadamente ainda se pode observar a produção de músicas infantis
cantadas em línguas locais. No entanto, quando tivemos contato com professores de algumas
províncias do país, relataram-nos que nas disciplinas de música e de educação plástica
encontravam muitas dificuldades para ensinar, dizendo não terem habilidades para tal, porque
as músicas que estão plantadas nos livros didáticos oficiais têm como referência as cidades e
não as zonas rurais. Associado ao caso das músicas, há — no que se refere sobretudo às zonas urbanas —
uma significativa timidez em criar coreografias com as danças, pinturas improvisadas e
movimentos advindos das culturas tipicamente angolanas, já que, ao se inibir a língua materna,
acaba-se por inibir também a corporeidade materna: EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola A corporeidade materna é construída no processo de incorporação das primeiras
experiências do sujeito com/no mundo. EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 Rituais angolanos e a preservação das linguagens maternas Considerando-se a centralidade dos rituais nas culturas angolanas, e considerando-se
que os rituais são realizados nas línguas e nas corporeidades maternas, a preservação dessas
culturas passa por uma via de mão dupla: é por meio da língua que se mantém os rituais vivos
e são os rituais que ajudam a manter viva a língua de um povo. Em relação à língua portuguesa, por exemplo, tornada a língua oficial da escola e que é
falada sobretudo nas zonas urbanas, ela não dá conta do que se passa na experiência dos rituais
angolanos. Quando se tenta resolver todas as questões do ritual em português, verificam-se
muitas lacunas. No caso do ritual de óbito Bakongo, por exemplo, a língua materna se torna um
instrumento fundamental sob o ponto de vista da organização das famílias, pois é através da
língua materna que se pode identificar o tipo de família a que se pertence, bem como comunicar
melhor as causas da morte, por meio da atuação do mpovi, com provérbios e códigos em
kikongo, cuja tradução para o português nem sempre é possível sem que se perca muita
informação importante. Nessa mesma direção, não há tradução possível na língua portuguesa que consiga dar
conta das canções cantadas nas diferentes línguas angolanas. No contexto de um ritual, quando
cantamos exprimimos sentimentos e sensações que estão profundamente enraizados na
experiência ritualística: a língua materna de um ritual traz consigo as suas características que 7 de 12 7 de 12 7 de 12 7 de 12 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angol mais lhe identificam, contando (por meio das canções e danças de cada ritual) as histórias de
um povo, suas lendas, as referências aos seus Reis e às suas Rainhas, aos seus ídolos, aos seus
heróis. No caso do ritual fúnebre, por exemplo, sua simbologia secular é acentuada de fato
apenas nos termos da língua kikongo. Rituais angolanos e a preservação das linguagens maternas Assim, ao se insistir na língua portuguesa como a única língua oficial da escola (seja na
capital seja nas aldeias), afastam-se as pessoas das culturas de seus povos, fazendo-se proliferar
uma dupla exclusão causada pelas práticas educacionais institucionalizadas: elas ajudam a
excluir os rituais das zonas urbanas; e ao mesmo tempo ajudam a excluir as pessoas rurais do
sistema educativo. Associadas às canções cantadas nas línguas maternas, há as danças. De modo geral, os
povos angolanos dançam e cantam para a colheita, dançam e cantam para festejar, dançam e
cantam para vender, dançam e cantam para trabalhar e também dançam e cantam para chorar. São movimentos do corpo produzidos no interior das celebrações, de forma ritualística, que tem
o efeito de recriar os povos, em meio à manifestação e experimentação cultural de seus corpos. Pode-se perceber que é também por meio dos rituais típicos que se aprende muito sobre
suas origens e sobre as linguagens de várias formas, desde o ponto de vista visual até o da
verbalização, passando sobretudo pelos movimentos do corpo. Nesse sentido, é importante
assinalar que, para o povo Bakongo, o nitu (corpo) é feito de rituais, entendendo-se haver, nos
rituais, uma conexão entre nitu e mente: trata-se do casamento entre corpo e mente, com o qual
alguém consegue se firmar no mundo e dar visibilidade às histórias de vida que o seu corpo e a
sua mente criam. Daí a expressão nitu ye kinkulo kiama, que poderia ser traduzida do kikongo
para o português como: “meu corpo, meu ritual”. Isso significa que o nitu (corpo) seria feito de
rituais enraizados em grupos étnicos cujas culturas compõem as sociedades. Se o corpo é feito dos rituais dos quais ele participa, perguntamos: que lugar ocupa o
corpo dentro de uma escola que desconsidera os rituais típicos dos povos angolanos e as
linguagens maternas em que são realizados? 8 de 12
Sem a pretensão de tentar responder essa pergunta tão ampla, limitamo-nos aqui a
referir, apenas como um breve exemplo, uma situação pontual: num trabalho que fizemos com
crianças em creches de Luanda, percebemos que quando se propunha uma apresentação cênica
cujas atividades de preparação estavam desligadas dos modos de se mover e falar das crianças,
isso acabava gerando uma espécie de bloqueio das formas de expressão do corpo: entravam em
cena corpos que expressavam timidez e que pareciam desatentos, envergonhados, perdidos no
espaço que ocupavam... Rituais angolanos e a preservação das linguagens maternas Mas quando as dinâmicas expressivas eram aproximadas de contextos
que permitem liberar o corpo da funcionalidade instaurada desde cedo pela escola, deixavam- 8 de 12
EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Ango se emergir as potências criativas do corpo infantil na experimentação que faz de si mesmo: nitu
ye kinkulo kiama (“meu corpo, meu ritual”). EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 Rituais na escola e a força das linguagens artísticas A breve discussão que vimos desenhando aqui nos permite perceber a importância de
se manterem vivas as diferentes línguas e corporeidades maternas nas práticas escolares, para
o enfrentamento dos riscos de extinção de partes das culturas dos povos. Tal enfrentamento
pode ser feito também considerando-se possibilidades de inserção pedagógica dos diferentes
rituais angolanos na escola: dentre tais possibilidades está o trabalho com as linguagens
artísticas (dança, teatro, música, etc.) que manifestam performances típicas dos rituais. Há
várias situações cotidianas e manifestações artísticas nos grupos étnicos de Angola que
constroem a beleza e a riqueza cultural do país, e que podem compor os espaços e tempos das
práticas pedagógicas em escolas regidas pela Lei n. 13/01 (Angola, 2001) que, conforme
salientamos no início deste texto, prevê que a educação se dê também através das manifestações
culturais. No caso dos Bakongos, por exemplo, destacam-se as danças dos rituais, formadas de
modos bastante criativos e improvisacionais por cada participante, que se envolve de forma
espontânea na composição das coreografias. Mesmo que haja variações nas danças a depender
da manifestação cultural à qual estão vinculadas, ainda assim há regularidades que permanecem
sobretudo no que se refere aos movimentos que constituem a estrutura orgânica dos rituais. Apenas como exemplo, podem-se citar as danças bemba-bemba e masikilo, ambas
acompanhadas também de canções. Bemba-bemba é uma dança feita com a percussão que dá o ritmo e permite criar os
movimentos, para os quais são necessários três instrumentos (chamados de batuques): a base,
o ritmo e o solo. Os movimentos partem da cintura: amarrando um pano na cintura, vão
baixando de formas a dar a entender que estão no cultivo ou na colheita. Nesta dança, as
mulheres são as bailarinas e os homens os percussionistas. Normalmente há mais mulheres a
dançar, os homens vão criando figuras engraçadas, caracterizadas de forma a imitar um animal
ou alguém. O nível de criatividade e envolvimento é tão forte que podemos encontrar pessoas
a brincar com o fogo enquanto dançam. As canções se associam à dança, consistindo em retratos
do dia-a-dia: os percussionistas são os solistas e as bailarinas formam o coro, com as palmas
das mãos ritmadas ao som do batuque, e o coro vai preenchendo um cenário melódico durante 9 de 12 9 de 12 9 de 12
EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 EccoS – Rev. Cient., São Paulo, n. 68, p. Rituais na escola e a força das linguagens artísticas 1-12, e25407, jan./mar. 2024 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angol a apresentação. Os movimentos peculiares que envolvem os membros do grupo permitem que
esta dança seja feita em vários eventos de caráter festivo ou até mesmo na sentada6. Masikilo é uma dança igualmente feita com percussão, mas o tipo de batuque é diferente
do bemba-bemba; assim, o ritmo e a dança masikilo caracterizam-se principalmente pelo tipo
de instrumento que lhes é próprio: o batuque pequeno em forma de uma caixa, com a pele com
ndimbo (sinal de alcatrão no meio), que permite uma vibração muito mais forte. Esta dança é
normalmente usada em rituais de óbito. De modo geral, o movimento depende da percussão e
o guia do bailarino é o som do solista. Além das danças e canções, destacam-se também os rituais da oralidade (fuku e kissafu). Em volta da fogueira, onde geralmente ocorre o cenário dos rituais de oralidade, os mais velhos
de forma espontânea vão contando histórias, por meio de fábulas, contos, lendas, provérbios e
adivinhas. (Apesar de a tradição focalizar os mais velhos como contadores de histórias, isso não
impede os mais jovens voluntariamente de contarem também). De acordo com as pessoas
entrevistadas para a pesquisa (Nsingui, 2023), existem muitas histórias, fábulas, provérbios,
contos, lendas, jogos e também personagens que marcam o povo Bakongo7. E para além dos
rituais que são feitos por um acontecimento pontual (seja ele trágico ou de alegria, como aqueles
derivados de uma união), é importante salientar que os povos também se divertem e criam as
suas próprias ações no interior dos rituais da oralidade, independente de algum fato específico. Tais criações, das quais também se pode fazer uma leitura artística, se dão sobretudo em volta
da fogueira. Em relação à fogueira, sabe-se da sua centralidade e do seu protagonismo nos rituais da
oralidade, não apenas porque em torno dela se contam histórias e se escutam os mais velhos,
mas também porque ela ilumina o espaço como sinal para quem vem de outra aldeia ao encontro
do ritual na noite, demonstrando a importância que se atribui ao cuidado com o outro e
configurando o caráter coletivo dessas manifestações culturais. 6 Sentada é um termo angolano que designa uma prática familiar, um turno em que as pessoas de uma mesma família se reúnem para estarem juntas, num momento
dedicado propriamente ao cuidado das relações familiares, onde, juntas, as pessoas conversam, preparam a refeição, assistem a um programa de televisão,
resolvem questões familiares pendentes, ouvem músicas (há inclusive músicas angolanas dedicadas especialmente a esse momento). Geralmente acontece na
casa de um membro mais velho da família, por sinal de respeito.
7 O
d
l
i
i
f i
d
i
i
d
lh
i
i
d
í l
d
Di
d M
d
d 10 d 12
p
p
7 Os marcadores culturais aos quais nos referimos estão descritos com maior detalhamento no primeiro e no segundo capítulos da Dissertação de Mestrado de
Mbandu Luvumbu Nsingui (2023). EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 dedicado propriamente ao cuidado das relações familiares, onde, juntas, as pessoas conversam, preparam a refeição, assistem a um programa
resolvem questões familiares pendentes, ouvem músicas (há inclusive músicas angolanas dedicadas especialmente a esse momento). Geralmente
casa de um membro mais velho da família, por sinal de respeito. EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 6 Sentada é um termo angolano que designa uma prática familiar, um turno em que as pessoas de uma mesma família se reúnem para estarem juntas, n 10 de 12
EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 Rituais na escola e a força das linguagens artísticas Quando realizados nas cidades,
em função do uso da luz elétrica, os rituais da oralidade dispensam a fogueira e agregam outros
elementos que passam a lhe constituir. Independente disso, apesar de certas modificações
tecnológicas na realização das práticas ritualísticas, o importante é que cada povo constrói suas
histórias também por meio desses rituais, que, por sua vez, criam suas estruturas pedagógicas
na medida em que elaboram e atualizam os seus modos próprios de habitar o mundo. 10 de 12 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Ango A questão que se coloca aqui é: quando se vivenciam no campo artístico essas
manifestações ritualísticas, o que importa não é só conhecer o que o mundo impõe aos povos
como tradição, mas construir habilidades para entender o mundo que se habita e também
transformá-lo. E é justamente neste ponto em que se podem localizar as relações entre ritual,
educação e arte. É possível, assim, fazer valerem, na escola, as culturas próprias de um povo,
conhecendo, entendendo e assumindo como legítimos os hábitos e os costumes, comunicando-
se com as línguas e as corporeidades maternas, para ampliarem-se as oportunidades de, desde
dentro das práticas educativas, por meio do trabalho com as linguagens artísticas, compreender,
situar e reatualizar a produção dos saberes e conhecimentos locais. Sabemos que um ritual em si não é necessariamente sinônimo de arte, mas percebemos
que podem ser encontrados vários elementos artísticos num ritual. Assim, acreditamos que o
trabalho com as artes na escola abrem caminhos interessantes para considerar um vasto
conjunto de elementos e marcadores culturais advindos dos rituais: teatro, danças, canções,
declamações, jograis, adivinhas, brincadeiras e jogos de todo tipo (de imitação, de atenção, de
improvisação, de presença) e outras atividades que podem enriquecer os programas escolares,
trabalhando-se as linguagens artísticas como um modo de habitar o mundo e de dar sentidos a
ele, e entendendo-se esse repertório artístico-cultural como diferentes linguagens com as quais
convidamos as crianças a experimentarem a si mesmas (seus corpos em seus limites e
potencialidades), por meio dos elementos ritualísticos que constituem as manifestações
culturais de seus povos. Se estamos dispostos a tais experimentações, podemos recolocar uma
e outra vez a pergunta: que outras potencialidades podem emergir dos encontros entre rituais e
artes na escola? EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 Referências ANGOLA. Lei de Bases do Sistema de Educação. Lei n. 13/01. República de Angola,
Assembleia Nacional. Luanda, Angola, 2001. LUNONO, Paulino Tchiloia Bimba. Corporeidade materna: um conto da trajetória pessoal e
reflexões sobre o corpo em arte. Dissertação (Mestrado em Artes Cênicas) – Departamento de
Artes, Centro de Ciências Humanas, Letras e Artes, Universidade Federal do Rio Grande do
Norte, Natal, 2023. NSINGUI, Mbandu Luvumbu. Elementos etnoteatrológicos de manifestações culturais em
Angola: efeitos artísticos e educativos do ritual de óbito Bakongo. Dissertação (Mestrado em
Artes Cênicas) – Departamento de Artes, Centro de Ciências Humanas, Letras e Artes,
Universidade Federal do Rio Grande do Norte, Natal, 2023. NSINGUI, Mbandu Luvumbu. Elementos etnoteatrológicos de manifestações culturais em
Angola: efeitos artísticos e educativos do ritual de óbito Bakongo. Dissertação (Mestrado em
Artes Cênicas) – Departamento de Artes, Centro de Ciências Humanas, Letras e Artes,
Universidade Federal do Rio Grande do Norte, Natal, 2023. 11 de 12 11 de 12 11 de 12 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024 NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola NSINGUI, Mbandu Luvumbu; COUTINHO, Karyne Dias. O ritual como princípio de ensino em Angola OLINTO, Lidia; LAMPERT, Cristian. Grotowski e o parateatro: contracultura, ascese e gnose. Moringa: Artes do Espetáculo. João Pessoa, v. 11, n. 1, jna./jun. 2020. SABINO, Thiago Miguel Lopes Ribeiro Cunha. O teatro para além do teatro: espiritualidade
e ritual em encenações de Jerzy Grotowski. Dissertação (Mestrado em Artes) – Instituto de
Artes, Universidade Estadual Paulista Júlio de Mesquita (Unesp), São Paulo, 2016. 12 de 12 12 de 12 12 de 12 EccoS – Rev. Cient., São Paulo, n. 68, p. 1-12, e25407, jan./mar. 2024
|
https://openalex.org/W2944800660
|
https://pubblicazioni.unicam.it/bitstream/11581/441360/1/FRONT%20IMMUNOL.pdf
|
English
| null |
Genetic Polymorphisms Affecting IDO1 or IDO2 Activity Differently Associate With Aspergillosis in Humans
|
Frontiers in immunology
| 2,019
|
cc-by
| 10,683
|
ORIGINAL RESEARCH
published: 07 May 2019
doi: 10.3389/fimmu.2019.00890 Edited by:
Julio Aliberti,
National Institute of Allergy and
Infectious Diseases (NIAID),
United States Reviewed by:
George C. Prendergast,
Lankenau Institute for Medical
Research, United States
Janeusa Souto,
Fundação Universidade Federal do
Rio Grande, Brazil 1 Department of Neurology and Neurological Sciences, School of Medicine, Stanford University Stanford, CA, United States,
2 Department of Experimental Medicine, University of Perugia, Perugia, Italy, 3 Unit of Endocrinology and Diabetes, Bambino
Gesù Children’s Hospital, Rome, Italy, 4 Fondazione IRCCS Ca’ Granda, Ospedale Maggiore Policlinico, University of Milan,
Milan, Italy, 5 Bambino Gesù Children’s Hospital IRCCS, Rome, Italy, 6 Division of Hygiene and Medical Microbiology,
Innsbruck Medical University, Innsbruck, Austria, 7 Institute of Hematology-Centro di Ricerche Emato-Oncologiche, University
of Perugia, Perugia, Italy, 8 CF Centre, Medical University Innsbruck, Innsbruck, Austria, 9 Division of Hematology, Azienda
Ospedaliero-Universitaria di Parma, Parma, Italy, 10 Department of Veterinary Medicine, University of Perugia, Perugia, Italy *Correspondence:
Valerio Napolioni
napvale@gmail.com
Luigina Romani
luigina.romani@unipg.it Aspergillus is the causative agent of human diseases ranging from asthma to invasive
infection. Genetic and environmental factors are crucial in regulating the interaction
between the host and Aspergillus. The role played by the enzyme indoleamine
2,3-dioxygenase 1 (IDO1), which catalyzes the first and rate-limiting step of tryptophan
catabolism along the kynurenine pathway, is increasingly being recognized, but whether
and how genetic variation of IDO1 influences the risk of aspergillosis in susceptible
patients is incompletely understood. In addition, whether the closely related protein IDO2
plays a similar role remains unexplored. In the present study, we performed genetic
association studies in two different cohorts of susceptible patients [cystic fibrosis (CF)
patients and recipients of hematopoietic stem cell transplantation (HSCT)], and identified
IDO1 polymorphisms that associate with the risk of infection in both cohorts. By using
human bronchial epithelial cells and PBMC from CF and HSCT patients, respectively, we
could show that the IDO1 polymorphisms appeared to down-modulate IDO1 expression
and function in response to IFNγ or Aspergillus conidia, and to associate with an
increased inflammatory response. In contrast, IDO2 polymorphisms, including variants
known to profoundly affect protein expression and function, were differently associated
with the risk of aspergillosis in the two cohorts of patients as no association was found
in CF patients as opposed to recipients of HSCT. Genetic Polymorphisms Affecting
IDO1 or IDO2 Activity Differently
Associate With Aspergillosis in
Humans Valerio Napolioni 1*, Marilena Pariano 2, Monica Borghi 2, Vasilis Oikonomou 2,
Claudia Galosi 2, Antonella De Luca 2, Claudia Stincardini 2, Carmine Vacca 2,
Giorgia Renga 2, Vincenzina Lucidi 3, Carla Colombo 4, Ersilia Fiscarelli 5,
Cornelia Lass-Flörl 6, Alessandra Carotti 7, Lucia D’Amico 7, Fabio Majo 3,
Maria Chiara Russo 4, Helmut Ellemunter 8, Angelica Spolzino 9, Paolo Mosci 10,
Stefano Brancorsini 2, Franco Aversa 9, Andrea Velardi 7, Luigina Romani 2* and
Claudio Costantini 2 By resorting to a murine model of bone
marrow transplantation, we could show that the absence of IDO2 more severely affected
fungal burden and lung pathology upon infection with Aspergillus as compared to IDO1, Aspergillus is the causative agent of human diseases ranging from asthma to invasive
infection. Genetic and environmental factors are crucial in regulating the interaction
between the host and Aspergillus. The role played by the enzyme indoleamine
2,3-dioxygenase 1 (IDO1), which catalyzes the first and rate-limiting step of tryptophan
catabolism along the kynurenine pathway, is increasingly being recognized, but whether
and how genetic variation of IDO1 influences the risk of aspergillosis in susceptible
patients is incompletely understood. In addition, whether the closely related protein IDO2
plays a similar role remains unexplored. In the present study, we performed genetic
association studies in two different cohorts of susceptible patients [cystic fibrosis (CF)
patients and recipients of hematopoietic stem cell transplantation (HSCT)], and identified
IDO1 polymorphisms that associate with the risk of infection in both cohorts. By using
human bronchial epithelial cells and PBMC from CF and HSCT patients, respectively, we
could show that the IDO1 polymorphisms appeared to down-modulate IDO1 expression
and function in response to IFNγ or Aspergillus conidia, and to associate with an
increased inflammatory response. In contrast, IDO2 polymorphisms, including variants
known to profoundly affect protein expression and function, were differently associated
with the risk of aspergillosis in the two cohorts of patients as no association was found
in CF patients as opposed to recipients of HSCT. By resorting to a murine model of bone
marrow transplantation, we could show that the absence of IDO2 more severely affected
fungal burden and lung pathology upon infection with Aspergillus as compared to IDO1, Specialty section:
This article was submitted to
Microbial Immunology,
a section of the journal
Frontiers in Immunology Received: 15 February 2019
Accepted: 08 April 2019
Published: 07 May 2019 Ethics Statement Murine experiments were carried out according to Italian
Approved Animal Welfare Authorization 360/2015-PR and
Legislative Decree 26/2014 regarding the animal license obtained
by the Italian Ministry of Health lasting for 5 years (2015–2020). The human study approval was provided by the University
of Perugia ethics committee (Prot. 2012-043) and institutional
review boards at each site. Written informed consent was
obtained from all the participants, or, in case of minors, from
parents or guardian. Murine experiments were carried out according to Italian
Approved Animal Welfare Authorization 360/2015-PR and
Legislative Decree 26/2014 regarding the animal license obtained
by the Italian Ministry of Health lasting for 5 years (2015–2020). The human study approval was provided by the University
of Perugia ethics committee (Prot. 2012-043) and institutional
review boards at each site. Written informed consent was
obtained from all the participants, or, in case of minors, from
parents or guardian. INTRODUCTION In spite of the structural homology and the
similar enzymatic activity, although with lower affinity, the
function of IDO2 is still disputed, as well as how it coordinates
with IDO1 activity (16). Based on these premises, we have analyzed IDO1/IDO2
polymorphisms in two different cohorts of patients, i.e., CF
patients and recipients of hematopoietic stem cell transplantation
(HSCT). We found that polymorphisms affecting the expression
and/or function of IDO1 associate with increased risk of
aspergillosis in the two cohorts of patients. In contrast, IDO2
appears to be dispensable in CF but required for optimal
antifungal effector phagocytic activity in HSCT. The host immune response to Aspergillus has been extensively
investigated and different cell types and signaling pathways have
been brought into play (5). A central role at the Aspergillus/host
interface is thought to be played by the enzyme indoleamine 2,3-
dioxygenase 1 (IDO1) that, along with IDO2 and tryptophan
2,3-dioxygenase (TDO), catalyzes the first and rate-limiting
step of tryptophan catabolism along the kynurenine pathway
(6). IDO1 is expressed by several immune and non-immune
cells and is recognized as a suppressor of inflammation and
regulator of immune homeostasis, and failure to balance
IDO1-mediated tolerance with the inflammatory response has
been implicated in a wide range of diseases (7). Indeed, our
group has recently shown that IDO1 enzyme was defective
in murine CF and the decreased tryptophan/kynurenine
metabolism was causally linked to Aspergillus infection via an
unbalanced type 17 helper T cell/regulatory T cell response
(8). Similarly, IDO1 has gained attention for its ability
to control inflammation, pathogen immunity and tolerance
in transplant recipients eventually leading to prevention of
graft-vs-host reaction and reduction of aspergillosis incidence
rates (9). INTRODUCTION An additional level of complexity in the relationship
between Aspergillus and the host is represented by the
individual genetic background. Indeed, the presence of single-
nucleotide polymorphisms (SNPs) that alter the expression
and/or function of the molecules engaged in the cross-talk with
Aspergillus may skew the balance between inflammation and
tolerance and impact on the individual response to infection
(9). Polymorphisms in the genes encoding for the enzymes
involved in the kynurenine pathway, including IDO1, have
been associated with several diseases (10). In the setting of
fungal infection, our group has shown that IDO1 rs3808606 T/T
genotype correlated with a decreased susceptibility to recurrent
vulvovaginal candidiasis and was associated with high levels
of IL-22 and decreased levels of IL-17A and TNFα, enhanced
IDO1 expression in vaginal cells and increased kynurenine-to-
tryptophan ratio (11). Aspergillus species are environmental fungi to which humans
are constantly exposed and the inability to properly control
the invasion results in a wide spectrum of diseases, ranging
from asthma to the more severe and life-threatening invasive
aspergillosis (IA) (1). The host immune response as well as the
degree of exposure are critical determinants for the development
of infection and gauge the clinical manifestations of aspergillosis. Indeed, specific diseases and/or clinical conditions unbalance the
immune response to Aspergillus and favor the development of
characteristic fungal infections. One such example is represented
by cystic fibrosis (CF, OMIM#219700), an autosomal recessive
disorder caused by mutations in the gene encoding for the
Cystic Fibrosis transmembrane conductance regulator (CFTR,
on chr. 7q31.2), a chloride/bicarbonate channel that regulates
the electrolyte content of luminal fluid. CFTR mutations result
in viscid secretion and defective airway mucociliary clearance
providing a suitable environment for persistent microbial
colonization (2). CF patients typically develop an extreme form of
asthma, named allergic bronchopulmonary aspergillosis (ABPA),
characterized by an exaggerated hypersensitivity reaction and
associated with progressive lung function decline. More severe
manifestations of Aspergillus-related diseases, such as IA, are
rare in CF patients (3). In contrast, severe IA occur in severely
immunocompromised patients such as those diagnosed with
acute leukemia and chronic lymphoproliferative disorders, or
recipients of allogeneic hematopoietic stem cell and solid-organ
transplants (4). IDO biology has been recently enriched by the identification
of a closely related protein, named IDO2 (12–14). IDO1 and
IDO2 genes are adjacent to each other on chromosome 8p11.21
and likely arose by gene duplication before the divergence of
vertebrates (15). Citation: Citation:
Napolioni V, Pariano M, Borghi M,
Oikonomou V, Galosi C, De Luca A,
Stincardini C, Vacca C, Renga G,
Lucidi V, Colombo C, Fiscarelli E,
Lass-Flörl C, Carotti A, D’Amico L,
Majo F, Russo MC, Ellemunter H,
Spolzino A, Mosci P, Brancorsini S,
Aversa F, Velardi A, Romani L and
Costantini C (2019) Genetic
Polymorphisms Affecting IDO1 or
IDO2 Activity Differently Associate
With Aspergillosis in Humans. Front. Immunol. 10:890. doi: 10.3389/fimmu.2019.00890 Napolioni V, Pariano M, Borghi M,
Oikonomou V, Galosi C, De Luca A,
Stincardini C, Vacca C, Renga G,
Lucidi V, Colombo C, Fiscarelli E,
Lass-Flörl C, Carotti A, D’Amico L,
Majo F, Russo MC, Ellemunter H,
Spolzino A, Mosci P, Brancorsini S,
Aversa F, Velardi A, Romani L and
Costantini C (2019) Genetic
Polymorphisms Affecting IDO1 or
IDO2 Activity Differently Associate
With Aspergillosis in Humans. Front. Immunol. 10:890. doi: 10.3389/fimmu.2019.00890 May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 1 Napolioni et al. IDOs Polymorphisms in Human Aspergillosis and this effect appeared to be linked to a deficit in the antifungal effector phagocytic
activity. Thus, our study confirms and extends the role of IDO1 in the response to
Aspergillus, and shed light on the possible involvement of IDO2 in specific clinical settings. and this effect appeared to be linked to a deficit in the antifungal effector phagocytic
activity. Thus, our study confirms and extends the role of IDO1 in the response to
Aspergillus, and shed light on the possible involvement of IDO2 in specific clinical settings. Keywords: IDO1, IDO2, aspergillosis, cystic fibrosis, hematopoietic stem cell transplantation Genetic Association Testing The CF and HSCT datasets have been designed as case-control
and longitudinal study, respectively, and the analysis of their
genetic data has been performed using different approaches. FEV1, forced expiratory volume in the first second; FVC, forced vital capacity; BMI, body
mass index; CFTR, cystic fibrosis transmembrane conductance regulator. Continuous
variables are expressed as mean ± SD. For the CF dataset, haplotype and single-SNP analyses
have been performed using PLINK (21), using logistic or
linear
regression,
adjusting
for
sex
and
age-at-sampling. The association testing in the HSCT cohort was performed
by
determining
the
cumulative
incidence
of
IA
at
24
months
after
transplantation
applying
competing
risk
logistic regression models, adjusting for HLA matching and
underlying disease, considering transplant related mortality and
relapse as competing risks. Competing risk logistic regression
models were tested according to donor/recipient status using
R software (22). patient were reviewed and clinical data including age, gender,
lung function testing, measures of nutrition, microbiological
findings, and vital status were recorded (Table 1). A. fumigatus
positivity was defined as the presence of persistent positive
Aspergillus cultures, but negative galactomannan and no
immunological responses or bacterial positivity as persistent, for
at least 6 months. Study approval was obtained from institutional
review boards at each site and written informed consent was
obtained from the participants, or, in case of minors, from
parents or guardian. Statistical significance was set up according to the different
hypotheses tested throughout the work. For the primary aim
of the study, that is testing the impact of IDO1/IDO2 loci
on Aspergillus infection in CF patients, we set up a P <
0.025 (0.05/2) for haplotype and P < 0.006 (0.05/8) for single-
SNP analysis according to Bonferroni’s correction [2 Linkage
Disequilibrium (LD) blocks for haplotype omnibus test and 8
independent SNPs]. LD blocks were defined using Haploview
(19) according to the solid spine algorithm. For the association
testing in the HSCT cohort we considered a nominal P <
0.01 (0.05/5) as statistical significance threshold given the
number of SNPs tested (N = 5). All the single-SNP analyses
have been performed according to three genetic models of
association (additive, dominant and recessive). No Bonferroni’s
correction has been applied according to the three genetic
models of association since they do not represent a mode of
independent testing. SNPs Selection and Genotyping yp
g
Four IDO1 SNPs (Supplementary Table 1) were selected based
on their ability to tag surrounding variants (r2 > 0.8, MAF
> 0.05) in the HapMap-CEU population of the International
HapMap project, phase III (18), using Haploview (19). Since
IDO2 gene was not annotated in the International HapMap
project, phase III, we selected four tagSNPs based on literature Cohort of CF Patients Two hundred seventy-two Caucasian patients who had a proven
diagnosis of CF (CFTR genotyping, sweat testing, and clinical
phenotype) were enrolled in the study. Clinical records from each Frontiers in Immunology | www.frontiersin.org May 2019 | Volume 10 | Article 890 2 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. TABLE 1 | Demographic and clinical characteristics of CF patients. N
Mean ± S.D. Range
Age in years:
272
15.5 ± 11.4
0.1 - 56
Age at diagnosis in months:
255
31.8 ± 70.6
0 - 408
FEV1, % predicted:
204
84.8 ± 26.7
22 - 134
FVC, % predicted:
204
91.1 ± 21.7
29 - 131
Height, cm:
213
151.1 ± 24.6
71 - 192
Weight, kg:
213
48.7 ± 19.0
8 - 103
BMI:
211
20.2 ± 3.8
13 - 42
N
Percent
Sex:
Male
131
48.2%
Female
141
51.8%
CFTR mutation:
1F508
homozygous
72
26.8%
1F508
heterozygous
125
46.4%
Other
72
26.8%
Microbiological status
Status
N
Percent
Aspergillus
Yes
76
27.9%
No
196
72.1%
FEV1, forced expiratory volume in the first second; FVC, forced vital capacity; BMI, body
mass index; CFTR, cystic fibrosis transmembrane conductance regulator. Continuous
variables are expressed as mean ± SD. TABLE 1 | Demographic and clinical characteristics of CF patients. review (20) and their location across IDO2 coding region
(Supplementary Table 1). Patients provided a blood specimen
for DNA isolation performed using the QIAamp DNA Mini
(Qiagen, Milan, Italy) following the manufacturer’s instructions
and stored at −20◦C. SNP genotyping was performed using
KASPar assays (LGC Genomics) according to manufacturer’s
instructions in an Applied Biosystems 7500 Fast qPCR system
(Life Technologies). Genotyping sets comprised randomly
selected replicates of previously typed samples and two negative
controls (water). Concordant genotyping was obtained for ≥99%. Hardy-Weinberg Equilibrium (HWE), Minor Allele Frequency
(MAF) and genotyping rate were determined using Haploview
(19). SNPs with a genotyping rate <90% were not included in the
genetic association testing. No HWE cut-offwas applied since
both cohorts were composed by affected subjects, and in this
situation a deviation from HWE may be indicative of causative
effect at the considered loci. Cohort of Hematological Patients
Undergone HSCT Three hundred fifty-two adult patients with hematologic
disorders undergoing allogeneic HSCT at the transplantation
center in Perugia (Italy) and their respective donors were
enrolled in the study. Clinical records from each patient
were reviewed and clinical data including age, gender, disease,
transplantation type, GvHD and microbiological findings were
recorded (Table 2). Seventy-eight cases of invasive aspergillosis
were classified as “probable” or “proven,” according to the revised
standard criteria from the European Organization for Research
and Treatment of Cancer–Mycoses Study Group (17). Histological Analysis Lungs were removed and immediately fixed in 10% neutral
buffered formalin (Bio-optica, Milan) for 24 h, embedded in
paraffin, sectioned into 3–4 µm and stained with Periodic
Acid-Schiffreagent. Histology images were acquired using a
microscope (BX51 Olympus) with a 40× objective equipped with
a high-resolution DP71 camera (Olympus). Aspergillus fumigatus Strain and Infection (23). BM cells from Ido2−/−mice were kindly provided by G.C. Prendergast (Lankenau Institute for Medical Research (LIMR),
USA). Mice were monitored for 4 days for fungal growth which
was expressed as log10 CFU per organ, mean±SD. Aspergillus fumigatus Strain and Infection
Viable conidia (95%) of A. fumigatus (Af293) were obtained
by
growth
on
Sabouraud
dextrose
agar
(Sigma-Aldrich)
supplemented with chloramphenicol for 5 days at room
temperature. The fungus was collected with a cell scraper after
addition of PBS, transferred in a tube, pelleted and resuspended
in PBS. After counting, the resuspension was further diluted
in PBS to reach the desidered final concentration. For in vivo
experiments, mice were anesthetized by intraperitoneal injection
of 2.5% avertin (Sigma Chemical Co, St. Louis, MO) before
intranasal instillation of a suspension of 2 × 107 resting conidia
/20 µl saline. For in vitro experiments, cells were treated at a 1:20
cell/conidia ratio. Mice Female, 8- to 10-weeks-old C57BL6 and Balb/c mice were
obtained
from
Charles
River
Laboratories
(Calco,
Italy). B6129indo (Ido1−/−) mice were bred under specific pathogen-
free conditions in the animal facility at the University of Perugia. May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 3 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. TABLE 2 | Characteristics of HSCT recipients. Clinical variable
IA
(N = 50)
Non-IA
(N = 302)
RR
P
Age at transplantation–Mean ± S.D. 37.3 (13.1)
40.3 (15.0)
0.988
0.130
Females–n (%)
26 (52.0)
151 (50.0)
1.080
0.780
HLA matching, no. (%)
Transplant from haploidentical- related
donor
35 (70.0%)
146 (48.3%)
2.440
0.003
Transplant from half-matched related
donor
4 (8.0%)
79 (26.2%)
0.261
0.009
Transplant from haploidentical unrelated
donor
6 (12.0%)
51 (16.9%)
0.669
0.350
Transplant from half-matched unrelated
donor
5 (10.0%)
26 (8.6%)
1.100
0.830
Underlying disease, no. (%)
Acute leukemia (AML, ALL)
32 (64.0%)
231 (76.5%)
0.592
0.078
Lymphoma/myeloma (MM, HL, NHL-B)
13 (26.0%)
56 (18.5%)
1.440
0.248
Chronic leukemia (CML, CLL)
3 (6.0%)
14 (4.6%)
1.310
0.660
Other (SM, MDS, AA)
2 (4.0%)
1 (0.3%)
6.020
0.003
Advanced disease stage, no. (%)
29 (58.0%)
169 (56.0%)
1.100
0.720
Myeloablative conditioning regimen, no. (%)
Total-body irradiation
42 (84.0%)
229 (75.8%)
1.620
0.213
No total-body irradiation
8 (16.0%)
73 (24.1%)
0.617
CMV serology of donor and recipient, no. (%)
CMV−/CMV−
5 (10.0%)
25 (8.3%)
1.056
0.900
CMV–/CMV+, CMV+/CMV– or
CMV+/CMV+
45 (90.0%)
277 (91.7%)
0.947
GVHD, grade II to IV, no. (%)
6 (12.0%)
21 (7.0%)
1.700
0.220
P-values were calculated using competing risk logistic regression models. Statistically significant results are marked in bold. IA, invasive aspergillosis; HLA, human leukocyte antigen;
TBI, total body irradiation; CMV, cytomegalovirus; GVHD, graft-vs-host-disease. P-values were calculated using competing risk logistic regression models. Statistically significant results are marked in bold. IA, invasive aspergillosis; HLA, human leukocyte antigen;
TBI, total body irradiation; CMV, cytomegalovirus; GVHD, graft-vs-host-disease. Bone Marrow (BM) Transplantation Model
and Infection Adherent spleen cells were isolated after treating the whole organ
with the injection of 2 mL of Collagenase D (Sigma) at 2 mg/mL. The spleen tissue was cut into small pieces and incubated for
20 min at 37◦C in the enzyme solution. The cell suspension and
remaining tissue fragments were suspended in culture medium
and gently passed using a syringe plug through a 100 µm cell
strainer to obtain a single cell suspension. Cells were cultured
in a 75 cm2 flasks and were allowed to adhere for 4 h at
37◦C and the non-adherent cells were removed after washing BM cells from donor mice were prepared by differential
agglutination with soybean agglutinin. T cell-depleted cells (1 ×
107 containing 1% of contaminating T cells on FACS analysis)
were injected intravenously into recipient Balb/c mice exposed
to a lethal radiation dose of 9 Gy. 95% of the mice survived,
showing a stable, donor type haematopoietic chimaerism, as
revealed by donor type major histocompatibility (MHC) class I
antigen expression on cells from spleens, as previously described May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 4 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. the monolayers with pre-warmed PBS. Five hundred thousand
adherent cells (macrophages) were then incubated at 37◦C with
resting Aspergillus conidia (fungi/cell ratio 1:3) for 120 min
in 96-well flat-bottom microtiter plates and the percentage of
CFU inhibition (mean), referred to as conidiocidal activity, was
determined as follows: 100–(CFU in experimental group/CFU in
control cultures) × 100. using the ChemiDocTM XRS+Imaging system (Bio-Rad), and
quantification was obtained by densitometry image analysis using
Image Lab 6.0 software (Bio-Rad). Real-Time PCR
Real-time PCR was performed using the iCycler iQ detection
system
(Bio-Rad)
and
iTaqTM
Universal
SYBR R⃝
Green
Supermix (Biorad). Total RNA was extracted using RNeasy
Mini Kit (QIAGEN, Milan, Italy) and reverse transcribed
with Sensiscript Reverse Transcriptase (QIAGEN) according
to the manufacturer’s directions. Amplification efficiencies
were validated and normalized against β-actin. The thermal
profile for SYBR Green real-time PCR was at 95◦C for 3 min,
followed by 40 cycles of denaturation for 30 s at 95◦C and an
annealing/extension step of 30 s at 60◦C. Each data point was
examined for integrity by analysis of the amplification plot. ELISA Human IL-6, IL-8, and IL-17A cytokine concentration was
determined in HBE supernatants or in BAL from HSCT
patients by using specific ELISA kits according to manufacturers’
instructions (eBioscience Inc., R&D System and Biolegend). Bone Marrow (BM) Transplantation Model
and Infection The
following primers were used: human IDO1: forward TCACAG
ACCACAAGTCACAG, reverse GCAAGACCTTACGGACAT
CT; human ACTB: forward CACTCTTCCAGCCTTCCTTCC,
reverse ACAGCACTGTGTTGGCGTAC; mouse Tnf : forward C
GAGTGACAAGCCTGTAGCC, reverse AAGAGAACCTGGG
AGTAGACAAG; mouse Actb: forward AGCCATGTACGTAG
CCATCC, reverse CTCTCAGCTGTGGTGGTGAA. Kynurenine and Tryptophan Assay y
yp
p
y
IDO functional activity was measured in vitro in terms of
the ability to metabolize tryptophan to kynurenine whose
concentrations were measured by high-performance liquid
chromatography (25). Statistical Analysis y
One-way ANOVA with Bonferroni post-hoc test was used to
determine the statistical significance. Significance was defined as
p < 0.05. Data are pooled results (mean ± SD) or representative
images from three experiments. GraphPad Prism software 6.01
(GraphPad Software) was used for analysis. Human Bronchial Epithelial Cells and
Human PBMC Culture and Treatment Human bronchial epithelial (HBE) cells were obtained from
lung transplants (CF patients homozygous for the CFTR 1F508
mutation) or lung resections (non-CF patients) and cultured
as described (24). PBMC fractions were obtained by density
centrifugation of diluted blood (one part blood to one part
pyrogen-free saline) over Ficoll-Paque (Pharmacia Biotech;
Uppsala). PBMCs were washed twice in saline and suspended in
culture medium supplemented with gentamicin 1%, L-glutamine
1%, and pyruvate 1%. The cells were counted in a Bürker
counting chamber, and their number was adjusted to 5 × 106
cells/ml. Five hundred thousand PBMCs in a volume of 200 µl
per well were incubated at 37◦C in round-bottom 96-well, in the
presence of 10% human pooled serum, with stimuli or culture
medium alone. Cells were treated for 24 h with either IFNγ (200
U/ml) or A. fumigatus conidia (1:20 cell/conidia ratio). In the
latter condition, amphotericin B was added after 6 h to prevent
hyphal formation. Immunofluorescence Staining Monocytes from healthy donors were exposed to live A. fumigatus conidia. After washout, cells were fixed in 2%
formaldehyde for 40 min at room temperature and permeabilized
in a blocking buffer containing 5% FBS, 3% BSA, and 0.5%
Triton X-100 in PBS. The cells were then incubated overnight
at 4◦C with primary antibody against IDO1 protein (IDO
antibody LS-C153780) in a buffer containing 3% BSA and
0.1% Triton X-100 in PBS. After extensive washing with PBS,
the cells were incubated at room temperature for 60 min
with 1:400 secondary anti-mouse IgG–TRITC antibody (Sigma-
Aldrich). Alexa Fluor R⃝488 phalloidin was used for selective
labeling of F-actin and nuclei were counterstained with DAPI. Images were acquired using a fluorescence microscope (BX51,
Olympus) with a 100× objective and analySIS image processing
software (Olympus). Frontiers in Immunology | www.frontiersin.org Genetic Variability at IDO1 Locus
Associates With Aspergillus Infection in
CF Patients Consistent with IDO2 rs7846217 being a whole-blood eQTL
for IDO1, HBE cells showed impaired IDO1 expression upon
stimulation with IFNγ when bearing the C/C, but not the T/T,
genotype (Figure 2D). Similarly, human monocytes stimulated
with Aspergillus conidia showed reduced expression of IDO1
when bearing the C/C, but not the T/T, genotype (Figure 2E). FIGURE 1 | Linkage disequilibrium among selected IDO1/IDO2 tagSNPs in
the cohort of CF patients. Haplotype blocks are defined according to the solid
spine of LD algorithm. Linkage disequilibrium is expressed in r2. Interestingly,
the
two
non-synonymous
IDO2
SNPs,
rs10109853
(NP_919270.2:p.Arg248Trp),
and
rs4503083
(NP_919270.2:p.Tyr359Ter), which profoundly impair IDO2
activity, were not associated with A. fumigatus infection in CF
patients (Table 4). the 4th intron of IDO1 locus, and the second one ranging from
the last intron of IDO1 to the first intron of IDO2 (Figure 1). Haplotype
analysis
of
the
two
LD
blocks
showed
a
significant association of the first LD block with Aspergillus
infection (omnibus-P = 0.001), while the testing of the
second LD block did not turn significant (omnibus-P =
0.137). In particular, haplotype 3 (H3) and 4 (H4) at
the first LD block displayed significant association with
reduced (H3, OR = 0.278, P
= 0.001) and increased
(H4, OR = 2.710, P = 0.008) risk of Aspergillus infection
(Table 3). Overall, the genetic association study in the cohort of CF
patients would suggest, and confirm, the key role played by IDO1
in response to the fungus, as two distinct SNPs, located within
and downstream the IDO1 gene, that impair IDO1 function
along with an increased inflammatory response, are risk factors
for aspergillosis in these patients. At variance, IDO2 appears
dispensable as SNPs that profoundly affect its expression or
function do not associate with an increased risk. Single SNP analysis of the eight tagSNPs across the two loci
reported the nominal association of IDO1 rs3808606 (additive
OR = 1.513, P = 0.044; recessive OR = 2.283, P = 0.017),
IDO1 rs9657182 (recessive OR = 2.236, P = 0.024) and IDO2
rs7846217 (dominant OR = 1.989, P = 0.037) with increased risk
of Aspergillus infection (Table 4). IDO1 rs7820268 and IDO2 rs10109853 and
rs4503083 Associate With Aspergillus
Infection in HSCT Patients Based on the results obtained in the CF cohort, we extended our
analyses of IDO1/IDO2 polymorphisms to the cohort of HSCT
patients. Five of the eight tagSNPs encompassing IDO1/IDO2
loci have been successfully genotyped in the HSCT cohort with
genotyping rate above 90% (Supplementary Table 1). The MAF
at the five tagSNPs is comparable to the ones reported for
the European population of the 1,000 Genomes Consortium
(26) (Supplementary Table 1). No significant differences in MAF
were detected between CF and HSCT patients, and no linkage
disequilibrium was detected among the 5 tagSNPs analyzed. However, both IDO2 rs10109853 and rs4503083 showed
significant deviation from HWE (Supplementary Table 1). In
particular, the genotype distribution of rs4503083 deviates from
HWE only in recipients (P = 0.0007), suggesting a possible Genetic Variability at IDO1 Locus
Associates With Aspergillus Infection in
CF Patients Cells were lysed in 2x Laemmli buffer (Sigma-Aldrich). Blots
of cell lysates were incubated with an antibody against
IDO1 (clone 10.1, Millipore) followed by IgG–HRP-conjugated
secondary antibody (Sigma–Aldrich) after separation in 10 or
12% Tris/glycine SDS gel and transferred to a nitrocellulose
membrane. A cell lysate of IFNγ-stimulated HeLa cells was used
as positive control in selected experiments for correct assignment
of IDO1 band. Normalization was performed probing the
membrane with mouse-anti-β-tubulin antibody (Sigma–Aldrich,
clone T9026). Chemiluminescence detection was performed with
LiteAblotPlus chemiluminescence substrate (Euroclone S.p.A), The eight tagSNPs encompassing IDO1/IDO2 loci have been
successfully genotyped in the CF cohort with genotyping rate
above 90%, not showing significant deviation from HWE
and having MAFs comparable to the ones reported for the
European population of the 1,000 Genomes Consortium (26)
(Supplementary Table 1). Linkage disequilibrium (LD) analysis
of the tagSNPs revealed the existence of two LD blocks of 11 and
7 kb, respectively, with the first one spanning from the 5′-end to May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 5 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. functional assays according to IDO1 rs3808606 and IDO2
rs7846217 SNPs. FIGURE 1 | Linkage disequilibrium among selected IDO1/IDO2 tagSNPs in
the cohort of CF patients. Haplotype blocks are defined according to the solid
spine of LD algorithm. Linkage disequilibrium is expressed in r2. We first evaluated the expression and function of IDO1
in HBE cells from CF patients according to their rs3808606
genotype. IDO1 mRNA levels were lower in T/T carriers as
compared to the C/C genotype (Figure 2A). The stimulation
with Aspergillus conidia or IFNγ induced IDO1 mRNA in HBE
cells carrying the C/C genotype, and in lower amount, in HBE
cells carrying the T/T genotype (Figure 2A). Quantification of
the kynurenine/tryptophan ratio demonstrated that resting HBE
cells bearing the T/T genotype produced levels of kynurenines
that were below the threshold of detection and remained low even
in the presence of Aspergillus conidia or IFNγ (Figure 2B). These
results demonstrate that HBE cells from CF patients bearing the
T/T genotype at rs3808606 display defective mRNA expression
and enzymatic activity of IDO1, both in resting conditions and
upon stimulation with conidia. Further confirming the impaired
IDO1 activity, the levels of IL-6 were higher in HBE cells bearing
the T/T genotype as compared to those bearing the C/C genotype
(Figure 2C). IDO1 rs3808606 and IDO2 rs7846217
Influence Immune Responses to A.
fumigatus in vitro IDO1 rs3808606, located on the first LD block, showed the
most consistent association signal in the single-SNP analysis
and it is a whole-blood eQTL for IDO1 according to Haploreg
v4.1 (27). IDO2 rs7846217, despite being located in the first
intron of IDO2 and in the second LD block in our analysis,
is in LD with putative regulatory sites located toward the 3′-
end of IDO1 (Intron 9-Exon10-3′UTR) and a whole-blood eQTL
for IDO1 according to Haploreg v4.1 (27). Therefore, to gain
mechanistic insights for the association of genetic variability
at the IDO1 locus with Aspergillus infection, we performed May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org Frontiers in Immunology | www.frontiersin.org 6 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. TABLE 3 | Haplotype association test in the cohort of CF patients. LD block
Haplotype
rs9657182
rs3808606
rs7820268
Freq cases
Freq controls
OR
P
1
1
C
T
C
49.7%
41.1%
1.410
0.089
2
T
C
T
34.1%
37.1%
0.859
0.487
3
C
C
C
5.5%
17.8%
0.278
0.001
4
T
C
C
9.8%
3.3%
2.710
0.008
LD block
Haplotype
rs3739319
rs16888361
rs7846217
Freq cases
Freq controls
OR
P
2
1
G
G
T
34.5%
45.0%
0.640
0.041
2
A
A
T
24.1%
21.9%
1.190
0.460
3
A
G
T
20.7%
18.8%
0.970
0.906
4
G
G
C
18.4%
12.9%
1.550
0.112
5
G
A
T
2.2%
1.4%
3.120
0.164
LD blocks were defined using Haploview (19) according to the solid spine algorithm. Haplotype association tests were performed using PLINK (21), adjusting for age-at-sampling and
sex. Significant results are highlighted in bold. TABLE 3 | Haplotype association test in the cohort of CF patients. LD blocks were defined using Haploview (19) according to the solid spine algorithm. Haplotype association tests were performed using PLINK (21), adjusting for age-at-sampling and
sex. Significant results are highlighted in bold. TABLE 4 | Single-SNP association test in the cohort of CF patients. IDO1 rs3808606 and IDO2 rs7846217
Influence Immune Responses to A.
fumigatus in vitro The analysis
of clinical/demographical characteristics in transplant recipients
showed that both HLA matching and underlying disease
status significantly affected the risk of Aspergillus infection
(Table 2). Thus, we considered these two variables as covariates
in the logistic regression models testing the association of
IDO1/IDO2 SNPs with Aspergillus infection. Genetic association
results are reported in Table 5. IDO1 rs7820268 showed a
significant association in transplant recipients, with minor allele
T increasing additively the risk of Aspergillus infection (RR =
1.685, P = 0.009). Moreover, the two IDO2 SNPs affecting protein
coding sequence, rs10109853 and rs4503083, double the risk of
A. fumigatus infection when present in the HSCT donors in a
genetic recessive model (rs10109853, RR = 2.214, P = 0.012;
rs4503083, RR = 2.841, P = 0.015, Table 5). Consistent with the notion that inflammatory responses
are increased in conditions of impaired IDO1 function (9),
the levels of cytokines in the bronchoalveolar lavage (BAL)
fluids of patients with Aspergillus showed significant differences
according to IDO1 rs7820268 genotype, being Th17 (IL-8 and
IL-17A) higher in C/T+T/T carriers compared to C/C patients
(Figure 3C). Together, these results suggest that impaired IDO1
function along with increased inflammatory response are risk
factors for aspergillosis in HSCT patients similarly to what
observed in CF patients. IDO1 rs3808606 and IDO2 rs7846217
Influence Immune Responses to A.
fumigatus in vitro SNP
ALLELE
N
MODEL
OR
P
MODEL
OR
P
MODEL
OR
P
rs9657182
T
270
ADD
1.186
0.408
DOM
0.825
0.529
REC
2.236
0.024
rs3808606
T
264
ADD
1.513
0.045
DOM
1.388
0.310
REC
2.283
0.017
rs7820268
T
271
ADD
0.857
0.479
DOM
0.743
0.311
REC
1.032
0.944
rs3739319
A
267
ADD
1.108
0.612
DOM
0.955
0.882
REC
1.462
0.279
rs16888361
A
263
ADD
1.307
0.253
DOM
1.319
0.349
REC
1.744
0.324
rs7846217
C
251
ADD
1.590
0.093
DOM
1.989
0.037
REC
0.901
0.899
rs10109853
T
248
ADD
0.995
0.982
DOM
0.890
0.730
REC
1.137
0.731
rs4503083
A
250
ADD
1.060
0.798
DOM
0.997
0.992
REC
1.368
0.541
Genotype association tests were performed by logistic regression using PLINK (21), adjusting for age-at-sampling and sex. Nominally significant results are highlighted in bold. ADD,
Additive; DOM, Dominant; REC, Recessive. TABLE 4 | Single-SNP association test in the cohort of CF patients. IFNγ-stimulated PBMC bearing the T/T genotype (Figure 3A). We also measured the kynurenine/tryptophan (Kyn/Trp) ratio in
the supernatants of PBMC left untreated or stimulated with IFNγ
and found decreased levels among carriers of T/T compared
with C/C genotypes, indicating a reduced enzymatic activity
(Figure 3B). These results are in agreement with published
data (28). predisposing effect to the underlying pathology. Conversely,
when separating recipients from donors according to rs10109853,
no significant deviation from HWE was detected. The analysis
of clinical/demographical characteristics in transplant recipients
showed that both HLA matching and underlying disease
status significantly affected the risk of Aspergillus infection
(Table 2). Thus, we considered these two variables as covariates
in the logistic regression models testing the association of
IDO1/IDO2 SNPs with Aspergillus infection. Genetic association
results are reported in Table 5. IDO1 rs7820268 showed a
significant association in transplant recipients, with minor allele
T increasing additively the risk of Aspergillus infection (RR =
1.685, P = 0.009). Moreover, the two IDO2 SNPs affecting protein
coding sequence, rs10109853 and rs4503083, double the risk of
A. fumigatus infection when present in the HSCT donors in a
genetic recessive model (rs10109853, RR = 2.214, P = 0.012;
rs4503083, RR = 2.841, P = 0.015, Table 5). predisposing effect to the underlying pathology. Conversely,
when separating recipients from donors according to rs10109853,
no significant deviation from HWE was detected. IDO1 rs7820268 SNP Influences
IDO1 Function Monocytes from healthy donors carrying the two homozygous variants at rs7846217 (T/T, major allele; C/C, minor allele) were treated with A. fumigatus conidia (in the
inset) and evaluated by immunofluorescence for the expression of IDO1 (red). Phalloidin was used to stain actin filaments (green) (E). Shown is a representative
experiment from three independent experiments. transplantation. To this purpose, we resorted to Balb/c mice
transplanted with bone marrow derived cells from Ido1−/−
or Ido2−/−(kindly donated by G.C. Prendergast (Lankenau
Institute for Medical Research (LIMR), USA) mice, before
challenge with A. fumigatus. Mice were assessed for fungal
burden in the lung, parameters of inflammatory pathology and
antifungal effector activity. We found an increased local fungal
burden in Ido1−/−or Ido2−/−reconstituted mice (Figure 4A)
that was associated with a more severe immunopathology,
particularly in Ido2−/−-reconstituted mice (Figure 4B), and an
increased Tnf expression (Figure 4C). Of interest, a significant
reduction of conidiocidal activity in splenic macrophages
was also observed in Ido2−/−-reconstituted mice (Figure 4D). Collectively, these results suggest that IDO2 may play an
unanticipated role in A. fumigatus infection by sustaining the
phagocytic antifungal effector activity. balancing immunity and tolerance to the fungus in the two
clinical settings. It is known that IDO1 is defective in CF patients
(8) and that it plays a role in aspergillosis in HSCT (9). Therefore,
it is not surprising that SNPs reducing the expression and
function of IDO1 are associated with aspergillosis in CF and
HSCT patients, although further studies are required to establish
how the single SNPs, alone or in combination, modulate IDO1
expression and function in the two cohorts of patients. p
p
With regard to IDO2, our study showed that the two IDO2
SNPs, leading to truncated or catalytically impaired IDO2
protein, do not associate with an increased risk for aspergillosis in
CF patients. However, the same two IDO2 SNPs associated with
aspergillosis in HSCT recipients. Since IDO2 was cloned by three
independent groups (12–14), deciphering the function of IDO2
has remained enigmatic until the generation of IDO2 knock-out
mice (29), when evidence of specific roles has begun to emerge. A substantial body of evidence has prompted the concept that
IDO2 might act as a pro-inflammatory mediator in autoimmune
diseases, specifically autoimmune arthritis (30–32), systemic
lupus erythematosus (33) and in contact hypersensitivity (29). In
these pathological settings, the role of IDO2 is B cell-intrinsic
and likely affects the cross-talk between B and T cells (33). IDO1 rs7820268 SNP Influences
IDO1 Function To investigate whether the IDO1 rs7820268 polymorphism
was associated with impaired enzyme expression and activity,
we first measured IDO1 protein levels in PBMC from healthy
controls and found a reduced expression in both resting and The finding that the IDO2 SNPs displayed nominal associations
with A. fumigatus infection when present in the HSCT donors
prompted us to study the potential role of IDO2 in hematopoietic May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 7 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. FIGURE 2 | IDO1 rs3808606 and IDO2 rs7846217 impair IDO1 induction in vitro. HBE cells from CF patients carrying the two homozygous variants at rs3808606
(C/C, light gray bars; T/T, dark gray bars) (A–C) or rs7846217 (T/T, major allele; C/C, minor allele) (D,E) were treated with A. fumigatus conidia (A–C,E) or IFNγ
(A,B,D). Cell lysates were evaluated for IDO1 mRNA expression by RT-PCR (A) or protein levels by Western blot (D). mRNA levels are expressed as relative levels of
unstimulated (none) HBE cells from the CF patient carrying the major allele. Protein values are expressed as relative levels of unstimulated (none) HBE cells from the
non-CF patient. Supernatants were analyzed for kynurenines and tryptophan levels by high-performance liquid chromatography (B) and for IL-6 levels by ELISA (C). Monocytes from healthy donors carrying the two homozygous variants at rs7846217 (T/T, major allele; C/C, minor allele) were treated with A. fumigatus conidia (in the
inset) and evaluated by immunofluorescence for the expression of IDO1 (red). Phalloidin was used to stain actin filaments (green) (E). Shown is a representative
experiment from three independent experiments. FIGURE 2 | IDO1 rs3808606 and IDO2 rs7846217 impair IDO1 induction in vitro. HBE cells from CF patients carrying the two homozygous variants at rs3808606
(C/C, light gray bars; T/T, dark gray bars) (A–C) or rs7846217 (T/T, major allele; C/C, minor allele) (D,E) were treated with A. fumigatus conidia (A–C,E) or IFNγ
(A,B,D). Cell lysates were evaluated for IDO1 mRNA expression by RT-PCR (A) or protein levels by Western blot (D). mRNA levels are expressed as relative levels of
unstimulated (none) HBE cells from the CF patient carrying the major allele. Protein values are expressed as relative levels of unstimulated (none) HBE cells from the
non-CF patient. Supernatants were analyzed for kynurenines and tryptophan levels by high-performance liquid chromatography (B) and for IL-6 levels by ELISA (C). IDO1 rs7820268 SNP Influences
IDO1 Function Interestingly, the clinical manifestation of aspergillosis in CF Frontiers in Immunology | www.frontiersin.org TABLE 5 | Genetic association testing in the BMT cohort. (A,B) PBMC from donors carrying the two homozygous variants at
rs7820268 (C/C, light gray bars; T/T, dark gray bars) were treated with IFNγ. Cell lysates were evaluated for IDO1 protein expression by Western blot (A). Protein
values are expressed as relative levels of unstimulated (none) cells from donors carrying the major allele. Supernatants were analyzed for kynurenines and tryptophan
levels by high-performance liquid chromatography (B). Shown is a representative experiment from three independent experiments. (C) BAL from HSCT patients with
suspected infection carrying the homozygous or heterozygous variants at rs7820268 (C/C, light gray bars; C/T + T/T, dark gray bars) were evaluated for IL-8 and
IL-17A levels by ELISA (n = 7). Data are expressed as mean ± SD. *p < 0.05. was associated with an improved immune signature, further
supporting the hypothesis that IDO2 may promote inflammatory
responses, and this was associated with an improved survival in
response to adjuvant radiotherapy (35). is in the form of allergic bronchopulmonary aspergillosis (3). Although type I (IgE-mediated) hypersensitivity is common,
type III (IgG-mediated immune complex) and type IV (cell-
mediated) reactions have also been observed (34). Based on this
evidence, it is tempting to speculate that IDO2 might have a pro-
inflammatory role also in ABPA. On this regard, a preliminary
analysis testing the association between the eight tagSNPs with
IgE levels in CF patients yielded a significant association of
IDO2 rs16888361, with minor allele A carriers having higher IgE
levels compared to G/G carriers (β = 0.548, P = 0.005) (VN-
personal communication). The precise effect of rs16888361 on
IDO2 expression is currently under investigation. Interestingly,
a pro-inflammatory role of IDO2 has been recently suggested in
a study evaluating the influence of IDO2 gene status in tumor
progression and radiotherapy response in pancreatic ductal
adenocarcinoma (PDAC) (35). In particular, an IDO2 deficient
status, while being significantly absent in females with PDAC, If overreacting immune responses occur in CF patients
in
response
to
Aspergillus,
HSCT
patients
are
severely
immunocompromised and fail to properly counteract Aspergillus
infectivity. The kinetics and characteristics of the reconstitution
of the immune system after HSCT provides useful hints to
understand the susceptibility to infection (36). For instance,
while the absolute number of neutrophils was normalized after
30 days, ROS production was critically impaired in patients
with IA, and PMN-mediated killing of A. fumigatus remained
significantly reduced over 1 year in all HSCT recipients (36). TABLE 5 | Genetic association testing in the BMT cohort. TABLE 5 | Genetic association testing in the BMT cohort. TABLE 5 | Genetic association testing in the BMT cohort. Additive
Dominant
Recessive
SNP
Allele
N
RR
P
RR
P
RR
P
RECIPIENTS
rs7820268
T
293
1.685
0.009
2.350
0.016
1.535
0.360
rs16888361
A
300
1.416
0.140
1.590
0.150
1.462
0.460
rs7846217
C
303
0.921
0.790
0.845
0.650
1.176
0.820
rs10109853
T
293
1.109
0.620
1.342
0.430
0.982
0.960
rs4503083
A
304
1.004
0.990
0.979
0.950
1.095
0.890
DONORS
rs7820268
T
325
0.777
0.210
0.986
0.960
0.152
0.066
rs16888361
A
328
0.932
0.770
0.923
0.780
0.900
0.860
rs7846217
C
320
0.984
0.960
0.957
0.900
1.250
0.840
rs10109853
T
314
1.217
0.400
0.789
0.430
2.214
0.012
rs4503083
A
322
0.996
0.990
0.730
0.320
2.841
0.015
P-values and relative risk (RR) were calculated using competing risk logistic regression models, adjusting for HLA matching and underlying disease, considering transplant related
mortality and relapse as competing risks. Statistically significant results are marked in bold. Nominally-significant results are highlighted in Italics. P-values and relative risk (RR) were calculated using competing risk logistic regression models, adjusting for HLA matching and underlyin
mortality and relapse as competing risks. Statistically significant results are marked in bold. Nominally-significant results are highlighted in Itali P-values and relative risk (RR) were calculated using competing risk logistic regression models, adjusting for HLA matching and underlying disease, considering transplant related
mortality and relapse as competing risks. Statistically significant results are marked in bold. Nominally-significant results are highlighted in Italics. FIGURE 3 | IDO1 rs7820268 associates with defective IDO1 expression and enzymatic activity. (A,B) PBMC from donors carrying the two homozygous variants at
rs7820268 (C/C, light gray bars; T/T, dark gray bars) were treated with IFNγ. Cell lysates were evaluated for IDO1 protein expression by Western blot (A). Protein
values are expressed as relative levels of unstimulated (none) cells from donors carrying the major allele. Supernatants were analyzed for kynurenines and tryptophan
levels by high-performance liquid chromatography (B). Shown is a representative experiment from three independent experiments. (C) BAL from HSCT patients with
suspected infection carrying the homozygous or heterozygous variants at rs7820268 (C/C, light gray bars; C/T + T/T, dark gray bars) were evaluated for IL-8 and
IL-17A levels by ELISA (n = 7). Data are expressed as mean ± SD. *p < 0.05. FIGURE 3 | IDO1 rs7820268 associates with defective IDO1 expression and enzymatic activity. Frontiers in Immunology | www.frontiersin.org DISCUSSION The results presented in this work extend our current knowledge
on the role of IDOs in the host response to Aspergillus. By
performing genetic association studies in CF patients and in
recipients of HSCT, we confirmed the pivotal role of IDO1 in May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 8 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. TABLE 5 | Genetic association testing in the BMT cohort. By using a murine model of HSCT, reconstitution of wild-type
mice with IDO2-deficient hematopoietic stem cells resulted in
a reduced conidiocidal activity of phagocytes, an event that May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 9 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. FIGURE 4 | Mice transplanted with bone marrow-derived cells from Ido2−/−mice have a more severe pathology upon challenge with A. fumigatus. Balb/c mice were
transplanted with bone marrow derived cells from wild-type, Ido1−/−or Ido2−/−mice and challenged with A. fumigatus for 4 days. Mice were assessed for fungal
burden in the lung (log10 CFUs) (A), histology (PAS; the scale bar represents 500 or 100 µm) (B), Tnf expression (RT-PCR) (C), and antifungal effector activity by
splenic macrophages (% killing) (D). Data represent pooled results (n = 3, mean ± SD) or representative images from three experiments. *p < 0.05; ns, not significant. FIGURE 4 | Mice transplanted with bone marrow-derived cells from Ido2−/−mice have a more severe pathology upon challenge with A. fumigatus. Balb/c mice were
transplanted with bone marrow derived cells from wild-type, Ido1−/−or Ido2−/−mice and challenged with A. fumigatus for 4 days. Mice were assessed for fungal
burden in the lung (log10 CFUs) (A), histology (PAS; the scale bar represents 500 or 100 µm) (B), Tnf expression (RT-PCR) (C), and antifungal effector activity by
splenic macrophages (% killing) (D). Data represent pooled results (n = 3, mean ± SD) or representative images from three experiments. *p < 0.05; ns, not significant. patterns of IDO2 SNPs with aspergillosis in the two cohorts
of patients. could favor Aspergillus dissemination. While IDO2 expression
and function have been consistently reported in B cells (29),
in DCs (37) and also in macrophages (29), to the best of our
knowledge it is unclear whether neutrophils express IDO2 and,
more importantly, how it correlates to their conidiocidal activity. Studies are ongoing to address this issue. Besides the specific role of IDO2, the interplay between
IDO1 and IDO2 is also an active field of investigation. While
the initial characterization of IDO2 was suggestive of a low
capacity to produce kynurenine, the recent optimization of
the requirements for proper evaluation of IDO2 enzymatic
activity has demonstrated a clear ability to catabolize Trp
(38). Therefore, IDO1 and IDO2 work in the same Trp-
catabolic pathway and competition for the same substrate might
occur. Frontiers in Immunology | www.frontiersin.org ACKNOWLEDGMENTS We thank G. C. Prendergast (Lankenau Institute for Medical
Research
(LIMR),
USA)
for
providing
BM
cells
from
Ido2−/−mice. We thank G. C. Prendergast (Lankenau Institute for Medical
Research
(LIMR),
USA)
for
providing
BM
cells
from
Ido2−/−mice. FUNDING This study was supported by the Specific Targeted Research
Project FunMeta (ERC-2011-AdG-293714 to LR), MicroTher
(ERC-2018-PoC-813099 to LR) and the Italian Cystic Fibrosis
Research Foundation (Research Project number FFC#24/2018
to LR). This study was supported by the Specific Targeted Research
Project FunMeta (ERC-2011-AdG-293714 to LR), MicroTher
(ERC-2018-PoC-813099 to LR) and the Italian Cystic Fibrosis
Research Foundation (Research Project number FFC#24/2018
to LR). DATA AVAILABILITY The Supplementary Material for this article can be found
online at: https://www.frontiersin.org/articles/10.3389/fimmu. 2019.00890/full#supplementary-material All datasets generated for this study are included in the
manuscript and/or the Supplementary Files. TABLE 5 | Genetic association testing in the BMT cohort. In addition, it has been suggested that IDO2 might
negatively regulate IDO1 by means of its heme-binding site
(39). Another possible interplay between IDO1 and IDO2,
besides the enzymatic activity, might be the regulation of their
reciprocal expression. For instance, it has been observed that Based on these observations, our results showing that IDO2
plays a context-dependent effect could be reconciled by taking
into account the different environment in which the cross-talk
between Aspergillus and the host takes place. Specifically, the
hypersensitivity response in the dysregulated immune system
in CF patients, in which IDO2 has a pro-inflammatory role,
and the inadequate phagocytic response in patients undergone
HSCT, in which IDO2 appears to be required for optimal
conidiocidal activity, might account for the distinct association May 2019 | Volume 10 | Article 890 10 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. ETHICS STATEMENT both IDO1 and IDO2 are expressed in the epididymis and that
the expression of IDO2 is strongly upregulated in conditions
of IDO1 deficiency, although the increased expression was not
sufficient to compensate for the reduced levels of kynurenines
(40). A recent characterization of Ido1 knockout mice has
shown a defective IDO2 splicing and function, resulting in a
mosaic knock-out for IDO2, thus suggesting the existence of
an IDO1-IDO2 genetic interaction (29). Other studies have
reported a down-regulation of the Ido2 transcript in Ido1 knock-
out mice, which could be linked to loss of Ido2 regulatory
elements within the Ido1 gene (41). For instance, Ido2 mRNA
was decreased in naïve as well as diseased inguinal lymph
nodes from Ido1 knock-out mice in a model of collagen-induced
arthritis (42), and a 2-fold decrease was also reported in the
liver, but not spleen (30). How and whether IDO1 and IDO2
cross-regulate in the overall response to the fungus remain to
be investigated. both IDO1 and IDO2 are expressed in the epididymis and that
the expression of IDO2 is strongly upregulated in conditions
of IDO1 deficiency, although the increased expression was not
sufficient to compensate for the reduced levels of kynurenines
(40). A recent characterization of Ido1 knockout mice has
shown a defective IDO2 splicing and function, resulting in a
mosaic knock-out for IDO2, thus suggesting the existence of
an IDO1-IDO2 genetic interaction (29). Other studies have
reported a down-regulation of the Ido2 transcript in Ido1 knock-
out mice, which could be linked to loss of Ido2 regulatory
elements within the Ido1 gene (41). For instance, Ido2 mRNA
was decreased in naïve as well as diseased inguinal lymph
nodes from Ido1 knock-out mice in a model of collagen-induced
arthritis (42), and a 2-fold decrease was also reported in the
liver, but not spleen (30). How and whether IDO1 and IDO2
cross-regulate in the overall response to the fungus remain to
be investigated. All subjects gave written informed consent in accordance with
the Declaration of Helsinki. The protocol was approved by the
Institutional Review Board at each site. This study was carried out according to Italian Approved
Animal Welfare Authorization 360/2015-PR and Legislative
Decree 26/2014 regarding the animal license obtained by the
Italian Ministry of Health lasting for 5 years. AUTHOR CONTRIBUTIONS MP, MB, VO, CG, ADL, CS, CV, and GR designed and performed
the experiments. VL, CaC, EF, CL-F, AC, LDA, FM, MCR, HE, AS, FA, and AV enrolled patients and collected clinical data and
samples. VN, PM, SB, LR, and ClC analyzed the data and wrote
the paper. AS, FA, and AV enrolled patients and collected clinical data and
samples. VN, PM, SB, LR, and ClC analyzed the data and wrote
the paper. g
In conclusion, our results confirm and extend the role of
IDO1 in the response to Aspergillus, and identifies IDO2 as an
additional player. The development of selective IDO2 inhibitors,
such as tenatoprazole (43), chloroquine (44) or indoximod (45),
might help to differentiate between the distinct contributions
of IDO1 and IDO2 without the confounding effects of cross-
regulation at the genetic level. Alternative approaches may
include the use of SNP knock-in mice to recapitulate the
functional alterations observed in humans, a strategy already
employed in different contexts to mimic human phenotypes
(46–48). Whatever the approach, these results are expected
to pave the way for the pharmacological targeting of IDO2
in aspergillosis in high-risk patients, as recently explored in
autoimmune arthritis with the development of an IDO2-targeted
therapeutic antibody (32). REFERENCES 7. Munn
DH,
Mellor
AL. Indoleamine
2,3
dioxygenase
and
metabolic
control
of
immune
responses. Trends
Immunol. (2013)
34:137–43. doi: 10.1016/j.it.2012.10.001 1. Barnes
PD,
Marr
KA. Aspergillosis:
spectrum
of
disease,
diagnosis,
and
treatment. Infect
Dis
Clin
North
Am. (2006)
20:545–61. doi: 10.1016/j.idc.2006.06.001 8. Iannitti RG, Carvalho A, Cunha C, De Luca A, Giovannini G, Casagrande
A, et al. Th17/Treg imbalance in murine cystic fibrosis is linked to
indoleamine 2,3-dioxygenase deficiency but corrected by kynurenines. Am
J Respir Crit Care Med. (2013) 187:609–20. doi: 10.1164/rccm.201207-
1346OC 2. Elborn
JS. Cystic
fibrosis. Lancet. (2016)
388:2519–
31. doi: 10.1016/S0140-6736(16)00576-6 3. Felton
IC,
Simmonds
NJ. Aspergillus
and
cystic
fibrosis:
old
disease
-
new
classifications. Curr
Opin
Pulm
Med. (2014)
20:632–8. doi: 10.1097/MCP.0000000000000106 9. Carvalho A, Cunha C, Bozza S, Moretti S, Massi-Benedetti C, Bistoni F, et al. Immunity and tolerance to fungi in hematopoietic transplantation: principles
and perspectives. Front Immunol. (2012) 3:156. doi: 10.3389/fimmu.2012. 00156 4. Gregg KS, Kauffman CA. Invasive aspergillosis: epidemiology, clinical
aspects, and treatment. Semin Respir Crit Care Med. (2015) 36:662–
72. doi: 10.1055/s-0035-1562893 10. Boros FA, Bohar Z, Vecsei L. Genetic alterations affecting the genes
encoding the enzymes of the kynurenine pathway and their association with
human diseases. Mutat Res. (2018) 776:32–45. doi: 10.1016/j.mrrev.2018. 03.001 5. van de Veerdonk FL, Gresnigt MS, Romani L, Netea MG, Latge JP. Aspergillus
fumigatus morphology and dynamic host interactions. Nat Rev Microbiol. (2017) 15:661–74. doi: 10.1038/nrmicro.2017.90 6. Romani
L,
Zelante
T,
De
Luca
A,
Bozza
S,
Bonifazi
P,
Moretti
S,
et
al. Indoleamine
2,3-dioxygenase
(IDO)
in
inflammation
and
allergy
to
Aspergillus. Med
Mycol. (2009)
47(Suppl. 1):S154–
61. doi: 10.1080/13693780802139867 11. De Luca A, Carvalho A, Cunha C, Iannitti RG, Pitzurra L, Giovannini G, et al. IL-22 and IDO1 affect immunity and tolerance to murine and human vaginal
candidiasis. PLoS Pathog. (2013) 9:e1003486. doi: 10.1371/journal.ppat.10
03486 May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 11 IDOs Polymorphisms in Human Aspergillosis Napolioni et al. 12. Ball HJ, Sanchez-Perez A, Weiser S, Austin CJ, Astelbauer F, Miu J, et al. Characterization of an indoleamine 2,3-dioxygenase-like protein found in
humans and mice. Gene. (2007) 396:203–13. doi: 10.1016/j.gene.2007.04.010 30. Merlo LMF, Pigott E, DuHadaway JB, Grabler S, Metz R, Prendergast GC, et al. IDO2 is a critical mediator of autoantibody production and inflammatory
pathogenesis in a mouse model of autoimmune arthritis. J Immunol. (2014)
192:2082–90. doi: 10.4049/jimmunol.1303012 j g
13. REFERENCES Metz R, Duhadaway JB, Kamasani U, Laury-Kleintop L, Muller AJ,
Prendergast
GC. Novel
tryptophan
catabolic
enzyme
IDO2
is
the
preferred biochemical target of the antitumor indoleamine 2,3-dioxygenase
inhibitory
compound
D-1-methyl-tryptophan. Cancer
Res. (2007)
67:7082–7. doi: 10.1158/0008-5472.CAN-07-1872 31. Merlo LM, DuHadaway JB, Grabler S, Prendergast GC, Muller AJ,
Mandik-Nayak L. IDO2 modulates T cell-dependent autoimmune responses
through a B cell-intrinsic mechanism. J Immunol. (2016) 196:4487–
97. doi: 10.4049/jimmunol.1600141 14. Yuasa HJ, Takubo M, Takahashi A, Hasegawa T, Noma H, Suzuki T. Evolution
of vertebrate indoleamine 2,3-dioxygenases. J Mol Evol. (2007) 65:705–
14. doi: 10.1007/s00239-007-9049-1 32. Merlo LMF, Grabler S, DuHadaway JB, Pigott E, Manley K, Prendergast
GC, et al. Therapeutic antibody targeting of indoleamine-2,3-dioxygenase
(IDO2) inhibits autoimmune arthritis. Clin Immunol. (2017) 179:8–
16. doi: 10.1016/j.clim.2017.01.016 15. Yuasa HJ, Mizuno K, Ball HJ. Low efficiency IDO2 enzymes are conserved in
lower vertebrates, whereas higher efficiency IDO1 enzymes are dispensable. FEBS J. (2015) 282:2735–45. doi: 10.1111/febs.13316 33. Merlo
LM,
Mandik-Nayak
L. IDO2:
a
pathogenic
mediator
of
inflammatory autoimmunity. Clin Med Insights Pathol. (2016) 9(Suppl. 1):21–8. doi: 10.4137/CPath.S39930 16. Prendergast
GC,
Mondal
A,
Dey
S,
Laury-Kleintop
LD,
Muller
AJ. Inflammatory
reprogramming
with
IDO1
inhibitors:
turning
immunologically unresponsive ‘cold’ tumors ‘hot.’ Trends Cancer. (2018)
4:38–58. doi: 10.1016/j.trecan.2017.11.005 34. Shah A, Panjabi C. Allergic aspergillosis of the respiratory tract. Eur Respir
Rev. (2014) 23:8–29. doi: 10.1183/09059180.00007413 35. Nevler A, Muller AJ, Sutanto-Ward E, DuHadaway JB, Nagatomo K, Londin
E, et al. Host IDO2 gene status influences tumor progression and radiotherapy
response in KRAS-driven sporadic pancreatic cancers. Clin Cancer Res. (2019)
25:724–34. doi: 10.1158/1078-0432.CCR-18-0814 j
17. De Pauw B, Walsh TJ, Donnelly JP, Stevens DA, Edwards JE, Calandra T, et al. Revised definitions of invasive fungal disease from the European Organization
for Research and Treatment of Cancer/Invasive Fungal Infections Cooperative
Group and the National Institute of Allergy and Infectious Diseases Mycoses
Study Group (EORTC/MSG) Consensus Group. Clin Infect Dis. (2008)
46:1813–21. doi: 10.1086/588660 36. Stuehler C, Kuenzli E, Jaeger VK, Baettig V, Ferracin F, Rajacic Z,
et
al. Immune
reconstitution
after
allogeneic
hematopoietic
stem
cell transplantation and association with occurrence and outcome of
invasive aspergillosis. J Infect Dis. (2015) 212:959–67. doi: 10.1093/infdis/
jiv143 18. International HapMap C. The International HapMap Project. Nature. (2003)
426:789–96. doi: 10.1038/nature02168 37. Trabanelli S, Ocadlikova D, Ciciarello M, Salvestrini V, Lecciso M,
Jandus C, et al. REFERENCES The SOCS3-independent expression of IDO2 supports
the homeostatic generation of T regulatory cells by human dendritic
cells. J
Immunol. (2014)
192:1231–40. doi:
10.4049/jimmunol.13
00720 19. Barrett
JC,
Fry
B,
Maller
J,
Daly
MJ. Haploview:
analysis
and
visualization
of
LD
and
haplotype
maps. Bioinformatics. (2005)
21:263–5. doi: 10.1093/bioinformatics/bth457 20. Agliardi C, Guerini FR, Zanzottera M, Rovaris M, Caputo D, Clerici
M. Indoleamine-2,3-dioxygenase(IDO)2
polymorphisms
are
not
associated
with
multiple
sclerosis
in
Italians. J
Neurol
Sci. (2017)
377:31–4. doi: 10.1016/j.jns.2017.03.048 38. Prendergast GC, Malachowski WJ, Mondal A, Scherle P, Muller AJ. Indoleamine 2,3-dioxygenase and its therapeutic inhibition in cancer. Int Rev Cell Mol Biol. (2018) 336:175–203. doi: 10.1016/bs.ircmb.2017. 07.004 21. Purcell S, Neale B, Todd-Brown K, Thomas L, Ferreira MA, Bender D, et al. PLINK: a tool set for whole-genome association and population-based linkage
analyses. Am J Hum Genet. (2007) 81:559–75. doi: 10.1086/519795 39. Lee YK, Lee HB, Shin DM, Kang MJ, Yi EC, Noh S, et al. Heme-
binding-mediated negative regulation of the tryptophan metabolic enzyme
indoleamine 2,3-dioxygenase 1 (IDO1) by IDO2. Exp Mol Med. (2014)
46:e121. doi: 10.1038/emm.2014.69 22. Scrucca L, Santucci A, Aversa F. Regression modeling of competing risk
using R: an in depth guide for clinicians. Bone Marrow Transplant. (2010)
45:1388–95. doi: 10.1038/bmt.2009.359 40. Fukunaga M, Yamamoto Y, Kawasoe M, Arioka Y, Murakami Y, Hoshi M, et al. Studies on tissue and cellular distribution of indoleamine 2,3-dioxygenase
2: the absence of IDO1 upregulates IDO2 expression in the epididymis. J
Histochem
Cytochem. (2012)
60:854–60. doi:
10.1369/0022155412
458926 23. Bozza
S,
Perruccio
K,
Montagnoli
C,
Gaziano
R,
Bellocchio
S,
Burchielli
E,
et
al. A
dendritic
cell
vaccine
against
invasive
aspergillosis in allogeneic hematopoietic transplantation. Blood. (2003)
102:3807–14. doi: 10.1182/blood-2003-03-0748 24. Galietta LJ, Folli C, Marchetti C, Romano L, Carpani D, Conese M, et al. Modification of transepithelial ion transport in human cultured bronchial
epithelial cells by interferon-gamma. Am J Physiol Lung Cell Mol Physiol. (2000) 278:L1186–94. doi: 10.1152/ajplung.2000.278.6.L1186 41. Fatokun AA, Hunt NH, Ball HJ. Indoleamine 2,3-dioxygenase 2 (IDO2)
and the kynurenine pathway: characteristics and potential roles in health
and disease. Amino Acids. (2013) 45:1319–29. doi: 10.1007/s00726-013-1
602-1 25. Bessede A, Gargaro M, Pallotta MT, Matino D, Servillo G, Brunacci
C, et al. Aryl hydrocarbon receptor control of a disease tolerance
defence
pathway. Nature. (2014)
511:184–90. doi:
10.1038/nature
13323 42. Kolodziej L. Investigation of the kynurenine pathway in Indoleamine
2,
3
dioxygenase
deficient
mice
with
inflammatory
arthritis. Transgenic
Res. (2013)
22:1049–54. Frontiers in Immunology | www.frontiersin.org REFERENCES doi:
10.1007/s11248-013-
9696-5 26. Genomes
Project
C,
Auton
A,
Brooks
LD,
Durbin
RM,
Garrison
EP,
Kang
HM,
et
al. A
global
reference
for
human
genetic
variation. Nature. (2015)
526:68–74. doi:
10.1038/nature
15393 43. Bakmiwewa SM, Fatokun AA, Tran A, Payne RJ, Hunt NH, Ball
HJ. Identification of selective inhibitors of indoleamine 2,3-dioxygenase
2. Bioorg Med Chem Lett. (2012) 22:7641–6. doi: 10.1016/j.bmcl.2012. 10.010 27. Ward LD, Kellis M. HaploReg v4: systematic mining of putative causal
variants, cell types, regulators and target genes for human complex traits
and disease. Nucleic Acids Res. (2016) 44:D877–81. doi: 10.1093/nar/
gkv1340 44. Eldredge
HB,
Denittis
A,
Duhadaway
JB,
Chernick
M,
Metz
R,
Prendergast
GC. Concurrent
whole
brain
radiotherapy
and
short-course
chloroquine
in
patients
with
brain
metastases:
a
pilot
trial. J
Radiat
Oncol. (2013)
2:3. doi:
10.1007/s13566-013-0
111-x 28. Orabona C, Mondanelli G, Pallotta MT, Carvalho A, Albini E, Fallarino
F, et al. Deficiency of immunoregulatory indoleamine 2,3-dioxygenase
1in juvenile diabetes. JCI Insight. (2018) 3:96244. doi: 10.1172/jci.insight. 96244 45. Fox E, Oliver T, Rowe M, Thomas S, Zakharia Y, Gilman PB, et al. Indoximod:
an
immunometabolic
adjuvant
that
empowers
T
cell
activity in cancer. Front Oncol. (2018) 8:370. doi: 10.3389/fonc.2018. 00370 29. Metz
R,
Smith
C,
DuHadaway
JB,
Chandler
P,
Baban
B,
Merlo
LM,
et
al. IDO2
is
critical
for
IDO1-mediated
T-
cell
regulation
and
exerts
a
non-redundant
function
in
inflammation. Int
Immunol. (2014)
26:357–67. doi:
10.1093/intimm/
dxt073 46. Cunningham AM, Santos TL, Gutzeit VA, Hamilton H, Hen R, Donaldson
ZR. Functional
interrogation
of
a
depression-related
serotonergic
single nucleotide polymorphism,
rs6295, using a humanized mouse May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 12 Napolioni et al. IDOs Polymorphisms in Human Aspergillosis model. ACS
Chem
Neurosci. (2019)
doi:
10.1021/acschemneuro.8
b00638 model. ACS
Chem
Neurosci. (2019)
doi:
10.1021/acschemneuro.8
b00638 Conflict of Interest Statement: The authors declare that the research was
conducted in the absence of any commercial or financial relationships that could
be construed as a potential conflict of interest. 47. Gunaratna
RT,
Santos
A,
Luo
L,
Nagi
C,
Lambertz
I,
Spier
M,
et
al. Dynamic
role
of
the
codon
72
p53
single-
nucleotide
polymorphism
in
mammary
tumorigenesis
in
a
humanized
mouse
model. Oncogene. (2019)
doi:
10.1038/s41388-01
8-0630-4 47. Gunaratna
RT,
Santos
A,
Luo
L,
Nagi
C,
Lambertz
I,
Spier
M,
et
al. Dynamic
role
of
the
codon
72
p53
single-
nucleotide
polymorphism
in
mammary
tumorigenesis
in
a
humanized
mouse
model. Oncogene. REFERENCES (2019)
doi:
10.1038/s41388-01
8-0630-4 Copyright © 2019 Napolioni, Pariano, Borghi, Oikonomou, Galosi, De Luca,
Stincardini, Vacca, Renga, Lucidi, Colombo, Fiscarelli, Lass-Flörl, Carotti, D’Amico,
Majo, Russo, Ellemunter, Spolzino, Mosci, Brancorsini, Aversa, Velardi, Romani and
Costantini. 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. 48. Hartney
JM,
Stidham
T,
Goldstrohm
DA,
Oberley-Deegan
RE,
Weaver MR, Valnickova-Hansen Z, et al. A common polymorphism
in
extracellular
superoxide
dismutase
affects
cardiopulmonary
disease
risk
by
altering
protein
distribution. Circ
Cardiovasc
Genet. (2014)
7:659–66. doi:
10.1161/CIRCGENETICS.113.0
00504 May 2019 | Volume 10 | Article 890 Frontiers in Immunology | www.frontiersin.org 13
|
https://openalex.org/W4290983277
|
https://zenodo.org/records/3732279/files/review.pdf
|
English
| null |
A review on a peer review
|
Zenodo (CERN European Organization for Nuclear Research)
| 2,016
|
cc-by
| 2,584
|
A. Poleev. A review on a peer review. Enzymes, 2016. A. Poleev. A review on a peer review. Enzymes, 2016. Kritik des peer review. Kritik des peer review. Es ist offensichtlich, daß kein Wissenschaftler daran Interesse hat, sich zu
kompromittieren und als Romancier, d.h. als Verfasser von science fictions in
die Geschichte einzugehen. Allerdings sind die Motive wissenschaftlicher
Tätigkeit und Berichterstattung im bestehenden System, in dem
kommerzielle Interessen der Verlage und die Bestrebung persönlicher
Bereicherung der Fördermittelempfänger prävalieren, ihrem eigentlichen
Zweck entfremdet sind, so daß die Wissenserzeugung zum Industriezweig
geworden ist, in dem die Überproduktion gefördert wird, die sich als
unangemessen und schädlich für die Wissenschaft erweist (Walter et al.,
2003; Bohannon, 2013; Brembs et al. 2013; Casadevall and Fang, 2014;
Bartholomew, 2014; Thomson Reuters, 2014; Teixeira da Silva, 2015;
Tennant et al., 2016). Die Werkzeuge dieses irrtümlichen System wie z.B. peer review, d.h. die
Begutachtung der Fördermittelanträge und Manuskripte dienen partikularen,
d.h. keineswegs allgemeinnützigen Interessen und keinesfalls der
Qualitätssicherung, wie zahlreiche Anhänger dieses System einstimmig
propagieren, weil sie von dessen Ausschließlichkeit direkt profitieren und
unerwünschte Konkurrenz mit der Beschwörungsformel „peer review“
wegzaubern. Der Kampf um peer review ist ein Klassen- sowie Generationskampf
zwischen etablierten Eliten und dem Nachwuchs, und somit als Abkömmling 1 1 des Ödipuskomplexes zu verstehen (DePellegrin and Johnston, 2015). Die
Lösung dieses Konflikts besteht in der Aufhebung der Publikationsverbote
und in der Verschiebung der Prioritäten auf Manuskripte und deren
Verfasser, die in den Mittelpunkt wissenschaftliches Publizierens gestellt
werden. Folglich muß die Bewertung der Wissenschaftlichkeit und
Bedeutung individueller Beiträge von bestehenden Schemen, wie z.B. science citation index (Garfield, 1955), impact factor, H-index (Hirsch, 2005)
abweichen, und den Gegebenheiten entsprechen. Fachspezifische Manuskripte müssen in einer Datenbank erfasst werden,
innerhalb deren sie als begutachtet oder nicht begutachtet markiert werden. Auf diese Weise kann gesichertes Wissen vom ungesicherten Wissen
getrennt werden, gleichzeitig der Bewertungsprozess deeskaliert und von
seiner gegenwärtigen Zweckentfremdung befreit werden. Darüber hinaus
besteht der Sinn und der Zweck solcher Maßnahmen in der Stärkung
selbstverantwortliches Publizierens, was eine Alternative zum gegenwärtigen
Mißstand, der sich durch gegenseitigen Mißgunst und ungerechtfertigte
Entmündigung der Autoren auszeichnet (Ferguson et al., 2014), darstellt. Infolge der Verschmelzung verschiedener Disziplinen und Vereinheitlichung
ihres begrifflichen sowie methodischen Apparats erscheint die Aufgabe,
verschiedene, derzeit noch völlig voneinander isolierte Datenbanken
miteinander zu verknüpfen, sinnvoll, um bestehende Widersprüche und
Wissenslücken aufzudecken und sie zu beheben. Entsprechend dieser
Notwendigkeit müssen derzeitige Formen der Quantifizierung und Bewertung 2 des Wissens erneuert werden, um dessen effektive Verwertung, d.h. Nutzung zu ermöglichen (Garfield, 1953). A. Poleev. A review on a peer review. Enzymes, 2016. Diese Änderungen müssen sowohl
die Beschreibung als auch die Archivierung betreffen, und aktuelle Methoden
der Nennung, Klassifizierung und Bewertung umfassen. Denkbar ist die Trennung wissenschaftlicher Expertise von sprachlicher
Normierung, womit traditionell die Verlage beschäftigt sind (Walker and
Rocha da Silva, 2015; Cantor and Gero, 2015). Während selbst–
verantwortliches Publizieren nur außerhalb wissenschaftlicher Literatur
betrieben werden kann, weil der Ausfall jeglicher Restriktionen im Sinne der
Wissenschaftlichkeit unvorstellbar ist, kann sie für qualifizierte Personen
legitimiert werden, sobald entsprechende Nachweise vorliegen. Für
angesprochene Legitimation und Nachweisbarkeit der Qualifikation fehlen
noch einheitliche Instrumente, was sich in der Vermehrung der
Identifikationssystemen äußert, die entweder mangelhaft oder zweck–
entfremdet sind (ORCID, RID, IraLISID, VIAF, URN, DOI u. a.). In diesem
Zusammenhang verweise ich auf Texte, in denen zukunftsweisende bzw. zukunftsfähige Formen der Strukturierung des Wissens beschrieben werden
(Poleev, 2011a, 2011b, 2012; Kriegeskorte, 2012). Die Fähigkeit, das ständig wachsende Wissen zu überblicken, und die
Aufgabe, es von den Irrtümer sowie Fälschungen zu bewahren, sind zwei
Herausforderungen jedes einzelnen Wissenschaftlers, weswegen die
Antworten auf die Fragestellungen, die der Organisation der Wissenschaft
betreffen, innerhalb wissenschaftlicher Gemeinschaft nicht verschieden 3 ausfallen dürfen. In diesem Sinne wünsche ich die Überwindung
bestehender Streitigkeiten und die Findung eines Konsens. Verzeichnis zitierter Quellen. Bartholomew RE. Science for sale: the rise of predatory journals. J R Soc
Med 1 October 2014: 384-385. https://predatoryjournals.com/journals/
http://www.ipindexing.com/
http://www.medtextpublications.com
Bohannon J. Who's afraid of peer review? Science. 2013 Oct
4;342(6154):60-5. http://science.sciencemag.org/content/342/6154/60.full
Brembs B, Button K, Munafò M. Deep impact: unintended consequences of
journal rank. Front Hum Neurosci. 2013 Jun 24;7:291. Cantor M, Gero S. The missing metric: quantifying contributions of
reviewers. R Soc Open Sci. 2015 Feb 11;2(2):140540. Casadevall A, Fang FC. Causes for the persistence of impact factor mania. MBio. 2014 Mar 18;5(2):e00064-14. Verzeichnis zitierter Quellen. https://predatoryjournals.com/journals/
http://www.ipindexing.com/
http://www.medtextpublications.com
Bohannon J. Who's afraid of peer review? Science. 2013 Oct
4;342(6154):60-5. http://science.sciencemag.org/content/342/6154/60.full
Brembs B, Button K, Munafò M. Deep impact: unintended consequences of
journal rank Front Hum Neurosci 2013 Jun 24;7:291 Brembs B, Button K, Munafò M. Deep impact: unintended consequences of
journal rank. Front Hum Neurosci. 2013 Jun 24;7:291. Cantor M, Gero S. The missing metric: quantifying contributions of
reviewers. R Soc Open Sci. 2015 Feb 11;2(2):140540. Casadevall A, Fang FC. Causes for the persistence of impact factor mania. MBio. 2014 Mar 18;5(2):e00064-14. 4 DePellegrin TA, Johnston M. An Arbitrary Line in the Sand: Rising Scientists
Confront the Impact Factor. Genetics. 2015 Nov;201(3):811-3. Eugene Garfield, who in 1955 created the idea leading to the official impact
factor a decade later, seems to realize his invention has gone rogue.15
OK, so we can’t blame the overuse, misuse, misinterpretation, and worship
of the JIF on a lack of data, opinions, and analyses of the impact factor and
its discontents. Then what’s keeping the JIF alive? DePellegrin TA, Johnston M. An Arbitrary Line in the Sand: Rising Scientists
Confront the Impact Factor. Genetics. 2015 Nov;201(3):811-3. DePellegrin TA, Johnston M. An Arbitrary Line in the Sand: Rising Scientists
Confront the Impact Factor. Genetics. 2015 Nov;201(3):811-3. Confront the Impact Factor. Genetics. 2015 Nov;201(3):811 3. Eugene Garfield, who in 1955 created the idea leading to the official impact
factor a decade later, seems to realize his invention has gone rogue.15
OK, so we can’t blame the overuse, misuse, misinterpretation, and worship
of the JIF on a lack of data, opinions, and analyses of the impact factor and
its discontents. Then what’s keeping the JIF alive? Ferguson C, Marcus A, Oransky I. The peer-review scam. Nature,
2014;515(7128):480–482. Ferguson C, Marcus A, Oransky I. The peer-review scam. Nature,
2014;515(7128):480–482. http://www.nature.com/news/publishing-the-peer-review-scam-1.16400 http://www.nature.com/news/publishing-the-peer-review-scam-1.16400 Garfield, E. Reading for Maximum Profit. The New York Times, December
1953, No. 12, p. 22. Garfield, E. Citation Indexes for Science: A New Dimension in Documentation
through Association of Ideas. Science, July 1955, 122 (3159), p.108-11. Hirsch JE. An index to quantify an individual's scientific research output. Proc
Natl Acad Sci U S A. 2005 Nov 15; 102(46):16569-72. Hirsch JE. An index to quantify an individual's scientific research output. Proc
Natl Acad Sci U S A. 2005 Nov 15; 102(46):16569-72. Kriegeskorte N. Open evaluation: a vision for entirely transparent post-
publication peer review and rating for science. Front Comput Neurosci. Verzeichnis zitierter Quellen. 2012
Oct 17;6:79. 5 5 Poleev, A. Transition. Enzymes, 2011a. http://www.enzymes.at/download/transition.pdf Poleev, A. Universal Metadata Standard. Scientific and Technical Information
Processing, 2011b, Vol. 38, No. 2, pp. 119–122. http://www.springerlink.com/content/p7567mq32v4h0713/ (English)
http://arxiv.org/abs/1103.4218 (Russian) Poleev, A. Universal Metadata Standard. Scientific and Technical Information
Processing, 2011b, Vol. 38, No. 2, pp. 119–122. Poleev, A. Userization. Enzymes, 2012. Poleev, A. Userization. Enzymes, 2012. Poleev, A. Userization. Enzymes, 2012. http://www.enzymes.at/download/userrization.pdf (Russian) http://www.enzymes.at/download/userrization.pdf (Russian) Tennant JP, Waldner F, Jacques DC, Masuzzo P, Collister LB, Hartgerink CH. The academic, economic and societal impacts of Open Access: an evidence-
based review. F1000Res. 2016 Apr 11;5:632. Data provided by Outsell, a consultant in Burlingame, California, suggest
that the science publishing industry generated $9.4 billion in revenue in
2011 and published around 1.8 million English-language articles. This
equates to an approximate average revenue per article of $5,000. A white
paper produced by the Max Planck Society estimated costs at €3,800–€5,000
per paper through subscription spending, based on a total global spending
of €7.6 billion across 1.5-2 million articles per year in total ( Schimmer et al.,
2015). Other estimates suggest that the total spending on publishing,
distribution and access to research is around £25 billion per year, with an
additional £34 billion spent on reading those outputs, a sum which equates 6 to around one third of the total annual global spending on research (£175
billion; Research Information Network, 2008). Teixeira da Silva JA. What's Not Being Discussed, or Considered, in Science
Publishing? J Microbiol Biol Educ. 2015 Dec 1;16(2):130-2. Thus, a science publishing system that uses the IF as its central axis to
evaluate quality and performance, and subsequently reward scientists, is
fundamentally flawed. ... If the “system” is built around players whose
objectives are being influenced by non-academic factors like the IF, even an
endless amount of interaction between these players will never resolve the
issue, simply because the potentially wrong incentive is in place. It is
precisely for these reasons that DORA (http://am.ascb.org/dora/), the San
Francisco Declaration on Research Assessment, continues to call for the
removal of the IF to assess the productivity of science and scientists. Thomson Reuters: 50th Anniversary Science Citation Index. http://wokinfo.com/sci-anniversary.html Thomson Reuters: 50th Anniversary Science Citation Index.
http://wokinfo.com/sci-anniversary.html Walker R, Rocha da Silva P. Emerging trends in peer review-a survey. Front
Neurosci. 2015 May 27;9:169. Walter G, Bloch S, Hunt G, Fisher K. Counting on citations: a flawed way to
measure quality. Med J Aust. 2003 Mar 17;178(6):280-1. 7 7 Wikipedia:Fiktion https://de.wikipedia.org/wiki/Fiktion
Als faktual bezeichnet man eine Darstellung, die die reale Welt in ihrer
unmittelbar gegebenen Beschaffenheit beschreibt. Unter den Darstellungen
sind vor allem Erzählungen hervorzuheben (beispielsweise Zeitungsberichte). Eine faktuale Darstellung kann offenbar richtig oder falsch sein. Die
Unterscheidung zwischen Faktualität und Fiktionalität hat also nichts mit der
Richtigkeit oder Wahrheit einer Bestimmung zu tun. Falsche faktuale
Berichte können Lügen, Irrtümer etc. sein; und auch eine fiktionale
Erzählung kann falsch oder zumindest irreführend sein: Hier spricht man von
unzuverlässigem Erzählen. ORCID (Open Researcher and Contributor ID) https://orcid.org/
IraLISID http://www.iralis.org/
RID (ResearcherId) http://www.researcherid.com/
VIAF http://viaf.org/ ORCID (Open Researcher and Contributor ID) https://orcid.org/
IraLISID http://www.iralis.org/
RID (ResearcherId) http://www.researcherid.com/
VIAF http://viaf.org/ DOI: Registration Agencies. http://www.doi.org/registration_agencies.html
mEDRA: Terms and Conditions. http://www.medra.org/en/terms.htm
Crossref: Annual Fees. http://www.crossref.org/02publishers/
20pub_fees.html 8 Anhang. Oct 23 at 8:08 PM
To: lipman@ncbi.nlm.nih.gov Dear Dr. Lipman, Please include this citation into NCBI/PubMed/NLM database: Please include this citation into NCBI/PubMed/NLM database:
Poleev A. Metaanalysis of psychoanalysis. Journal Enzymes ISSN 1867-3317,
2016 October 20. pdf: http://www.enzymes.at/download/psychoanalysis.pdf
html: http://www.enzymes.at/download/psychoanalysis.html 9 Oct 27 at 9:48 AM To: nlmcustserv@mail.nlm.nih.gov Francis.Collins@nih.hhs.gov
execsec1@od.nih.gov francis.collins@nih.gov nihnmb@mail.nih.gov and 66
more... NIH Director Dr. Francis Collins
NLM Director Dr. Patricia Flatley Brennan
NCBI Director David J. Lipman Dear Mr. Lipman, Dear Mr. Lipman, Dear Mr. Lipman, I don‘t care about bureaucratic cretinism that you call a submission
procedure, that anyway doesn‘t work in concerned case, so I can not use
the submission wizard or other tool for submitting my recent manuscript. That was the reason why you have been requested to assist me in this
matter. If you or your staff are not able to perform such simple task as for example
to create manually a single entry in your database, you should immediately
resign from your current position as NCBI Director. Dr. Andrej Poleev 10 10 To: andrejpoleev@yahoo.com' Dear Dr. Poleev, Your MEDLINE application for Enzymes ISSN 1867-3317 was received. The
next Literature Selection Technical Review Committee (LSTRC) meeting is
February 23-24, 2017. Sometime in late March 2017, you will receive further
information as to the status of your journal. 11 Nov 8 at 4:08 PM Nov 8 at 4:08 PM To: andrejpoleev@yahoo.com' To: andrejpoleev@yahoo.com' Regards, Rebecca Stanger
Journal Publisher Liaison 12 From: LSTRCinfo <LSTRCinfo@mail.nlm.nih.gov>
Mar 9 at 5:39 PM Dear Dr. Andrej Poleev, Dear Dr. Andrej Poleev, Dear Dr. Andrej Poleev, Dear Dr. Andrej Poleev, Thank you for your interest in MEDLINE and the application for Enzymes to
be considered for review by the NLM Literature Selection Technical Review
Committee (LSTRC). The NLM Technical Services Division and the Literature
Selection Technical Review Committee have examined your journal and have
concluded that the journal is not suitable for the NLM collection. Journals eligible for MEDLINE indexing must first be suitable for the NLM
collection, based on the criteria in the NLM Collection Development Manual. Journals that are selected for the NLM collection must have sufficient subject
matter within the scope of biomedicine and health-related life sciences and
should demonstrate quality of editorial work, including features that
contribute to the objectivity, credibility, and quality of its content. Thank you for your interest in MEDLINE and the application for Enzymes to
be considered for review by the NLM Literature Selection Technical Review
Committee (LSTRC). The NLM Technical Services Division and the Literature
Selection Technical Review Committee have examined your journal and have
concluded that the journal is not suitable for the NLM collection. Journals eligible for MEDLINE indexing must first be suitable for the NLM
collection, based on the criteria in the NLM Collection Development Manual. Journals that are selected for the NLM collection must have sufficient subject
matter within the scope of biomedicine and health-related life sciences and
should demonstrate quality of editorial work, including features that
contribute to the objectivity, credibility, and quality of its content. 13 When reviewing an application, NLM looks for conformance with guidelines
and best practices published by professional organizations, including
Recommendations for the Conduct, Reporting, Editing, and Publication of
Scholarly Work in Medical Journals from ICMJE, Code of Conduct and Best
Practices Guidelines from COPE and Principles of Transparency and Best
Practice in Scholarly Publishing (joint statement by COPE, DOAJ, WAME, and
OASPA). When reviewing an application, NLM looks for conformance with guidelines
and best practices published by professional organizations, including
Recommendations for the Conduct, Reporting, Editing, and Publication of
Scholarly Work in Medical Journals from ICMJE, Code of Conduct and Best
Practices Guidelines from COPE and Principles of Transparency and Best
Practice in Scholarly Publishing (joint statement by COPE, DOAJ, WAME, and
OASPA). You must wait at least two years to submit a new MEDLINE application. Dear Dr. Andrej Poleev, Sincerely, y,
Rebecca Stanger
Journal Publisher Liaison
National Library of Medicine
National Institutes of Health
US Department of Health and Human Services
Bethesda, Maryland 20894
www.nlm.nih.gov
LSTRCinfo@mail.nlm.nih.gov
**************************************************************
Dr. Francis S. Collins
National Institutes of Health
9000 Rockville Pike
Bethesda, Maryland 20892
USA
14 Dr. Francis S. Collins
National Institutes of Health
9000 Rockville Pike
Bethesda, Maryland 20892
USA 14 14 Dear Dr. Collins, Dear Dr. Collins, You are old enough to end now your scientific and administrative career. I
recognize your scientific contribution and thank you for the leadership, as a
consequence of it there are enough commendable scientists who can inherit
your position and to assume corresponding responsibilities. Before you pass the chair, I want to remind you of your obligations. The
NLM Technical Services Division and the Literature Selection Technical
Review Committee have examined my journal and have concluded that the
journal is not suitable for the NLM collection. My journal is not suitable for
the NLM collection, but a lot of pseudoscientific journals like parasitic
medical journals as well as medical absurdity published in these journals are
suitable for the NLM collection1-2. Such lack of selectivity by the evaluation of journals, suitable for the NLM
collection, as well as serious mental deficits, demonstrated by the members
of the NLM Technical Services Division and the Literature Selection Technical
Review Committee, should have corresponding consequences: 1. All last
named persons shall be suspended from their positions. 2. The review
process shall be revised, as stated before3. Dr. Andrej Poleev 15 1 McCartney, Margaret. Medical journals and their parasitical profit. BMJ 27
May 2015: h2832. 1 McCartney, Margaret. Medical journals and their parasitical profit. BMJ 27
May 2015: h2832. 2 A. Poleev. Scrapping of a pseudoscience. Enzymes, 2014. http://www.enzymes.at/download/scrapping.pdf 3 A.Poleev. A review on a peer review. Enzymes, 2016. http://www.enzymes.at/download/review.pdf 16
|
https://openalex.org/W3095362711
|
https://lacris.ulapland.fi/ws/files/6739008/Emotional_communication_between_remote_couples.pdf
|
English
| null |
Emotional Communication between Remote Couples: Exploring the Design of Wearable Ambient Displays
| null | 2,020
|
cc-by-sa
| 5,082
|
University of Lapland
This is a self-archived version of an original article. This version usually differs
somewhat from the publisher’s final version, if the self-archived version is the
accepted author manuscript. University of Lapland
This is a self-archived version of an original article. This version usually differs
somewhat from the publisher’s final version, if the self-archived version is the
accepted author manuscript. Download date: 24. Oct. 2024 University of Lapland University of Lapland This is a self-archived version of an original article. This version usually differs
somewhat from the publisher’s final version, if the self-archived version is the
accepted author manuscript. This is a self-archived version of an original article. This version usually differs
somewhat from the publisher’s final version, if the self-archived version is the
accepted author manuscript. Emotional Communication between Remote Couples
Li, Hong; Jarusriboonchai, Pradthana; Müller, Heiko; Harjuniemi, Emmi; Häkkilä, Jonna Emotional Communication between Remote Couples
Li, Hong; Jarusriboonchai, Pradthana; Müller, Heiko; Harjuniemi, Emmi; Häkkilä, Jonna Published in:
Proceedings of the 11th Nordic Conference on Human-Computer Interaction DOI:
10.1145/3419249.3420139 Published: 01.10.2020 1
INTRODUCTION We explore the potential of limited vocabulary wearable ambient
displays and their preferred characteristics in communicating inti-
macy between couples at a distance. The research comprises two
studies: a co-design workshop and a field study of the design con-
cepts generated from the co-design workshops using low-fidelity
prototypes. Our findings reveal that wearable ambient displays
could potentially help to increase awareness and emotional connec-
tions between couples. A limited vocabulary display is considered
as a complementary channel to a smartphone, supporting the com-
munication of subtle and lightweight messages that the sender does
not necessarily expect a response to. From the user studies, we
identify the preferred characteristics, as well as the potential and
challenges of low vocabulary wearable ambient displays. Technology assisted means for communication have greatly in-
creased during recent decades. However, mainstream communica-
tion means, e.g., voice, text messaging and video chat [14], mainly
focus on functionality supporting the exchange of information,
but show deficits in mediating affection and emotions [10, 14]. In-
terestingly, subtle and minimal communication has been found to
promote intimacy between couples [11]. In this paper, we further ex-
plore this minimal communication in the form of wearable ambient
displays to support emotional communication, i.e., communicating
emotions, feelings and awareness, between couples. Wearable dis-
plays are an interesting communication channel for such purposes,
as they provide means for unobtrusive, easily glanceable messages,
but, meanwhile, are publicly visible. Nonetheless, they are less in-
vestigated in the context of mediating emotional communication
for couples. We aimed to reveal social, public and private aspects
related to wearable ambient displays for intimate and unobtrusive
communication between remote couples. Emotional Communication between Remote Couples: Exploring
the Design of Wearable Ambient Displays Hong Li
hong.li@ulapland.fi
University of Lapland
Rovaniemi, Finland Heiko Müller∗
heiko.mueller@uni-oldenburg.de
University of Oldenburg
Oldenburg, Germany Heiko Müller∗
heiko.mueller@uni-oldenburg.de
University of Oldenburg
Oldenburg, Germany Emmi Harjuniemi
emmi.harjuniemi@ulapland.fi
University of Lapland Jonna Häkkilä
jonna.hakkila@ulapland.fi
University of Lapland Jonna Häkkilä
jonna.hakkila@ulapland.fi
University of Lapland Emmi Harjuniemi
emmi.harjuniemi@ulapland.fi
University of Lapland 2
RELATED WORKi ambient displays, wearables, emotional communication, remote
couples, intimacy, co-design Researchers in the field of human-computer interaction (HCI) have
shown that ambient displays can be used to communicate affection,
emotions, and one’s affective state, from the early works presenting
the LumiTouch picture frame [4], followed by solutions such as the
BioCrystal display [21] and EEG hearth pendant [1]. In line with
Pousman and Stasko, we believe that the emotion communicated
is “information that is important but not critical” [18] to the part-
ner and can thus be displayed through a wearable ambient display. Harrison et al. [9] provide guidelines for the placement of such
ambient displays on the body, advising e.g., to take into account
the obscuring objects in everyday life, such as furniture. Wearable
displays offer new design opportunities for functionalities, interac-
tion design, and aesthetics. Dierk et al. [6] demonstrated different
application domains for wearable displays, from notification to
personal expression and social engagement. Information can be
presented in a concrete way using texts, numbers, or icons, e.g.,
[22], as well as through symbolic and abstract visualisation. e.g.,
[8]. Pearson et al. [17] highlighted that a wearable display, even
intentionally designed for individual use, such as a smartwatch, is
noticeable by others in the surroundings. Hence, it is important to
note that wearable displays are not entirely private [7]. In this pa-
per, we further investigate how couples would use publicly visible CCS CONCEPTS • Human-centered computing →Human computer interac-
tion (HCI); HCI design and evaluation methods; User studies. Permission to make digital or hard copies of all or part of this work for personal or
classroom use is granted without fee provided that copies are not made or distributed
for profit or commercial advantage and that copies bear this notice and the full citation
on the first page. Copyrights for components of this work owned by others than the
author(s) must be honored. Abstracting with credit is permitted. To copy otherwise, or
republish, to post on servers or to redistribute to lists, requires prior specific permission
and/or a fee. Request permissions from permissions@acm.org.
NordiCHI ’20, October 25–29, 2020, Tallinn, Estonia
© 2020 Copyright held by the owner/author(s). Publication rights licensed to ACM.
ACM ISBN 978-1-4503-7579-5/20/10...$15.00
https://doi.org/10.1145/3419249.3420139 Published: 01.10.2020 Document Version
Publisher's PDF, also known as Version of record Document Version
Publisher's PDF, also known as Version of record Citation for pulished version (APA):
Li, H., Jarusriboonchai, P., Müller, H., Harjuniemi, E., & Häkkilä, J. (2020). Emotional Communication between
Remote Couples: Exploring the Design of Wearable Ambient Displays. In Proceedings of the 11th Nordic
Conference on Human-Computer Interaction: Shaping Experiences, Shaping Society (pp. 1-5). Article 34 ACM . https://doi.org/10.1145/3419249.3420139 Citation for pulished version (APA):
Li, H., Jarusriboonchai, P., Müller, H., Harjuniemi, E., & Häkkilä, J. (2020). Emotional Communication between
Remote Couples: Exploring the Design of Wearable Ambient Displays. In Proceedings of the 11th Nordic
Conference on Human-Computer Interaction: Shaping Experiences, Shaping Society (pp. 1-5). Article 34 ACM . https://doi.org/10.1145/3419249.3420139 Document License
CC BY-SA Download date: 24. Oct. 2024 ACM Reference Format: Hong Li, Pradthana Jarusriboonchai, Heiko Müller, Emmi Harjuniemi,
and Jonna Häkkilä. 2020. Emotional Communication between Remote Cou-
ples: Exploring the Design of Wearable Ambient Displays. In Proceedings of
the 11th Nordic Conference on Human-Computer Interaction: Shaping Experi-
ences, Shaping Society (NordiCHI ’20), October 25–29, 2020, Tallinn, Estonia. ACM, New York, NY, USA, Article 111, 5 pages. https://doi.org/10.1145/
3419249.3420139 ∗Completed whilst at the University of Lapland. Li et al. Li et al. NordiCHI ’20, October 25–29, 2020, Tallinn, Estonia wearable displays as an intimate communication channel between
themselves, as well as exploring how they perceive such contrast. and audio recordings during the study. Personal data collected in
the research were encoded and strictly processed for scientific re-
search purposes. As this study was both qualitative and exploratory,
we adopted the thematic analysis method [3] to carry out the data
analysis which was conducted by two of the authors to ensure
accurate interpretation of the data. We started with data cleaning,
where the video and audio recordings were transcribed in verbatim. Following this, multiple coding collections were created and then
grouped based on perceived commonality, in order to identify a
number of themes and patterns, which are presented in section 4. The nature of wearable form factors provides a potential commu-
nication channel for intimate and affective communication. They
can be worn directly on the body, may employ visual or multimodal
designs beyond conventional mobile communication means, and
can take the form of jewellery integrating the gift-giving tradi-
tions between couples. A growing body of research has emerged to
explore a variety of wearable form factors for connecting remote
couples. One line of research focuses on facilitating haptics via
wearable form factors to mediate physical intimacy. For instance,
Flex-N-Feel [23] is a glove which can imitate a feeling of touch
by capturing the flex actions of fingers and transmit them to the
other partner as vibro-tactile sensations. Another line of research
explores the use of displays via wearable form factors to mediate
emotional communication and enhance connectedness. For exam-
ple, Ring U [19] is a system that consists of a wearable ring-shaped
device and a smartphone. When a user squeezes the ring, their
partner’s ring will produce vibrotactile stimulation and display an
accompanying colour lighting. More recently, the emergence of
virtual reality has opened up a vibrant design space for creating a
sense of remote presence. ACM Reference Format: My eyes [16] provides a first person view,
enabling remote partners to exchange each other’s view on their
displays. 3.2
Concept Evaluation In-the-Wild To evaluate the four concepts in the wild, we had an industrial de-
signer create and 3D printed polished low-fidelity prototypes based
on the concepts the participants came up with. As the prototypes
were non-functional, it made sense to have the same participants
who had created the concepts to (imaginarily) use their own design,
as they had the best knowledge of how the concepts should work. Hence, we asked eight participants from the earlier workshop, i.e.,
one male and one female from each group who participated in
designing the concepts, to use and interact with the prototypes
as if they were functional for two days. The experience sampling
method (ESM) [5] was used to capture the participants’ experi-
ences, by sending ESM triggers to ask them to provide systematic
self-reports on their thoughts, feelings and behaviours when (imag-
inarily) using the prototypes at random occasions during the study. This resulted in a dataset of text descriptions and 96 photos from
the participants (for an example, see Figure 1-3). At the end of each
day, the participants were asked to complete an online survey to
share their overall experience with the prototype. The questions
were designed in order to investigate three main aspects: 1) positive
and negative experiences with the prototypes; 2) contexts when
using the prototypes; and 3) improvements for the prototypes. Fi-
nally, we conducted 15-20 minutes one-to-one semi-structured exit
interviews with the participants after the study, in order to seek
clarification on the answers they had given in the online surveys. 3.1
The Co-design Workshop The co-design workshop (N=16, mean age 27) consisted of two
identical, two-hour sessions which were arranged based on the par-
ticipants availability. Each session had eight participants (4 F, 4 M)
who were equally divided into two groups. Each group was tasked
to create a design concept using basic craft supplies. There was at
least one participant who had a design background in each group. After creating the low-fidelity prototypes, all groups were engaged
in a role-playing activity, where they demonstrated the use cases of
the concepts. Altogether, the workshop resulted in four concepts. All participants were currently involved in a romantic relationship,
with eleven participants being in a long-distance relationship. They
all had experience in using wearable devices, e.g., smart watch. Although the potential of wearable form factors has been recog-
nised, a systematic literature review on emotional communication
systems for remote couples [12], has reported that research around
the area of wearable form factors focusing on the target group of
remote couples is scarce. Moreover, the work [12] revealed that
user participation was lacking in most of the reviewed systems. On the other hand, there are some exceptions. Vetere et al. [25]
employed ethnographic techniques on couples to understand how
technologies can be designed to support intimate acts. Based on
the empirical work, they produced a series of related ideas that
were generated within the research team, e.g., Secret Touch [24],
as well as engaging HCI experts and users in two workshops to
create design sketches [25]. Although Vetere et al. [25] thoroughly
investigated the users to understand how technologies are used
within intimate relationships with an ethnographic study, the users
were only involved in the early phase of the design process. To
bridge this gap, we take a co-design approach by engaging potential
users in designing wearable ambient displays to support emotional
communication between remote couples. We engaged participants
throughout the design process as co-designers, not only in the
ideation phase, but also in evaluating the concepts in-the-wild. 3
RESEARCH PROCEDURE This research employed a research through design approach [28],
which consisted of two parts: a co-design workshop with low-
resolution prototyping, and a concept evaluation in-the-wild. In
the co-design workshop, we explored how wearable ambient dis-
plays could be used for remote couples to communicate intimacy
and co-designed four concepts with the participants. After this,
we created polished low-fidelity prototypes of the concepts, and
evaluated them in real-world contexts. All participants gave in-
formed consent for participation and were compensated with one
movie ticket, worth about ten euros. Data were collected through
open-ended questionnaires, online surveys, photographs, videos 4.1
The Concepts The four concepts created in the co-design workshop were: a bracelet,
a ring, a multi-wear pin and a necklace. The bracelet shows four
different visual symbols that convey intimate and personal sen-
timents accompanied with haptic feedback to simulate the touch Emotional Communication between Remote Couples: Exploring the Design of Wearable Ambient Displays NordiCHI ’20, October 25–29, 2020, Tallinn, Estonia Figure 1: 1a-1d are the low-fidelity prototypes made by the participants in the workshop. 2a-2d are the corresponding polished
prototypes made by an industrial designer. 3a-3d show the prototypes worn by the participants in different real-world contexts. Figure 1: 1a-1d are the low-fidelity prototypes made by the participants in the workshop. 2a-2d are the corresponding polished
prototypes made by an industrial designer. 3a-3d show the prototypes worn by the participants in different real-world contexts. sensation from their partner (Figure 1-1a). The ring has an ambient
display which shows a symbol visualising their partner’s emotion. The emotion status can be shared by pressing the ring. This trig-
gers colour changes on the partner’s ring display (Figure 1-1b). The multi-wear pin consists of a display which shows abstract
patterns as a representation of the partner’s emotional state, a flex-
ible cord which supports the user to wear the display at different
body locations according to their preference, and a dial for sending
messages. The user needs to find a deliberately quiet moment to
be able to send a message, in order to create a thoughtful form of
communication, cherishing the effort needed (Figure 1-1c). The
necklace has a pendant with a display for the couple to convey
intimate and personal sentiments, where the changing colour and
pattern create a subtle vibration (Figure 1-1d).l allowing them to receive messages from their partners, particularly
in the contexts when using mainstream communication tools, such
as calling and texting, might not be possible or appropriate. For
instance, Participant 5 (P5) used the prototype when she was at-
tending a church service. Additionally, the advantage of multi-wear
form factors was noted for being able to fit multiple contexts, not
just for style and aesthetic purposes, but also for practicality. For
example, P10 wore the multi-wear pin on his wrist during exercise,
so as to make it easier to notice the incoming message (see Figure
1-3c). The prototypes were believed to be useful as an alternative com-
munication channel to communicate intimacy. 4.1
The Concepts P6 would use the
prototype to send a good night message to his partner, because
he found using the phone distracting before going to sleep, “I’m
going to sleep now, I’m in bed and ready to tuck in. I could just send
her a good night by pressing the heart symbol. I don’t want to use
the phone because the light from the screen could distract me from
sleep. I’d be bothered by notifications popping up.” (P6, Bracelet, see
Figure 1-1c). Messages that the participants envisioned sending to
their partner varied from thinking about their loved one, report-
ing a daily routine, to expressing their feelings. The participants
reported that they would assign different meanings to the visual
content shown on the display, so as to convey non-verbal messages
that are symbolic and private. For example, P14 would customise
different patterns and colours to express his daily routine, e.g., “I’m
playing with Tuli [the dog’s name]” (P14, Necklace, see Figure 1-4c). The two main reasons that influenced on the participants’ design
choices for their wearable devices were the practicality and the sym-
bolic meaning of certain form factors. Visibility was also discussed. While the participants would like their design to be always visible
to them, they preferred the devices to be discreet and not to be too
easily noticeable by others. 4.2
Overall Experience with the Concept
Prototypes Overall, the participants appreciated the abstract form of communi-
cation that the prototypes would provide, albeit at low-resolution. Apart from the two participants who had the rings which were
found less discreet due to their size, the rest of the participants
were comfortable wearing the prototypes in different contexts,
from being at home, to being at a public place, e.g., at the gym or
on a bus. This was mainly because their prototypes looked like a
discreet item of jewellery which would not be obviously perceiv-
able by others in the vicinity. The prototypes were appreciated for 5
DISCUSSION AND CONCLUSION their partner. In contrast to smartphones that are used to communi-
cate with everyone and are equipped with numerous functions, the
prototypes made the communication and connection feel special
as it was dedicated only to their partner. Furthermore, the limited
vocabulary of the prototypes would restrict the communication
to be mostly non-verbal. The participants reported that this could
make their communication feel special and different from the main-
stream communication channels, “I just imagined, okay now I could
send just a little emotion thing like ’thinking about you’. It wasn’t
with words but just with colours and patterns, and that made it feel a
bit different [...] So if you can get this special little thing, you don’t
want to make it too complicated, because then it’s just another mini
smartphone on the chest.”, (P14, Necklace). 5
DISCUSSION AND CONCLUSION We acknowledge that our work is limited by the fact that the du-
ration of the evaluation of the concepts in the wild was relatively
short, and we did not have functional prototypes in the study. Our
field study focused on investigating how the concepts created in
the workshop concepts would actually work in different contexts
in real life. Given using the prototypes would be imaginary, we
asked the same participants who had created the concepts to evalu-
ate their own design, as they had the best knowledge of how the
concepts should work, although there might be a chance of being
(positively) biased. The methodology sought to take the advantages
of in-the-wild studies [20], while avoiding the common weaknesses,
e.g., unreliability of prototype functionality and bulkiness of the
implementation. We also note the use of imaginary device function-
ality as a method in prior field study based research [2, 26]. Our
method provided early feedback and first-hand speculative experi-
ence of using such unconventional concepts in complex, real-world
contexts.i The participants envisioned that with their prototypes, commu-
nication with their partner would be easy and convenient, “It felt
great being able to do normal daily things and still be able to com-
municate feeling and moment with a loved one [...] ” (P16, Necklace). 5
DISCUSSION AND CONCLUSION The participants considered the prototypes would offer a commu-
nication channel that would enable a feeling of always connected
between the two, but meanwhile would be less distracting, “ I could
reach my partner at any time without disturbing her or without need-
ing an answer back from her. It’s a way of communicating without
being intrusive.” (P6, Bracelet). Furthermore, the participants con-
sidered their prototypes would offer a lightweight communication. That is, getting messages through the prototypes would reduce the
obligation to react instantly, thus would be less stressful, unlike
communications through instant messaging applications, “ I didn’t
feel under pressure to respond immediately which I would have felt
in instant messaging.” (P2, Ring). Our findings show that the messages wished to be conveyed
through wearable ambient displays were implicit, subtle and with a
high level of personal meaning. Positive feedback was given to its
simplicity and focus. The limited vocabulary of the communication
channel could lead to abstract and poetic kind of communication
between a couple, which our participants considered to be special. Wearable ambient displays have the potential to serve as a poetic
communication channel for couples to communicate intimacy in
a subtle way. Even though the display itself is publicly visible, the
personal meanings “embedded” and “encoded” in it would colour
the experience when using the device. This can be reflected against
the technology experience argued by McCarthy and Wright [13]. We suggest that wearable ambient displays should be designed to
be as discreet as possible in order to serve the purpose of everyday
wear. The form factors our participants chosen were jewelries that
can be commonly seen in life. Customisation was frequently high-
lighted by the participants. We suggest that users should be given
the freedom to customise some small details, e.g., symbols, colours
and patterns. Similar to how couples have reportedly repurposed
the “intended” use of emoji in highly personalised and purposefully
secretive ways [27], by providing users with the opportunity to
customise the visual contents into “secret codes”, it would then
be socially comfortable to wear the ambient display as a decora-
tive piece in different contexts since the meaning would not be
understandable to bystanders. 5
DISCUSSION AND CONCLUSION To avoid being an extra burden of
technology for the world, the design of wearable ambient displays
should be ambitiously different from a conventional communication
device which is often used for information exchange and explicit
communication, in order to emphasise the use on the sharing of
emotions and affection. Compared to a smartphone, glancing at
a wearable ambient display does not initiate the reported phone
checking behaviour, which easily leads to the habit of extensive
phone use and interrupts the social context [15]. 4.4
Challenges and Suggestions As a challenge, it was commented that sending a message by touch-
ing the ring might be not be ideal, as a message might be sent
unintentionally while they were fiddling with the ring. Given the
visual change on the display would be subtle, adding additional
output modalities to notify an arriving message was also suggested. With the bracelet, it was suggested that the device could offer re-
placeable displays, which would allow users to choose different
visual content and could also better enrich the intimate communi-
cation. Intriguingly, the participants showed a point of divergence
on effortless and effortful communication. P10 found using the
multi-wear pin to send a message in the context of hiking could
be challenging, as he would have to find a quiet spot and turn the
dial whilst on the move. Although being effortful, the participants
who designed the multi-wear pin still appreciated the act of putting
effort into communicating intimacy with a loved one, which was
viewed as a means of showing deliberateness and a more expres-
sive way of communication, compared to simply pushing a button. Nonetheless, touch was still favoured in the design concepts as a
relatively effortless input modality. One of the reasons might be
that touch is widely used a common interaction modality in cur-
rent communication devices. The input modality of the necklace
was firstly designed as turning a switch in the workshop, however,
during the in-the-wild study, P16 started to question whether it
would be easier to activate the device by pressing buttons, e.g.,
when wearing gloves. 4.3
Simplicity and Devotion - Connected but
Not Distracted The participants highlighted the potential of their prototypes to be
simple and having only one function, that is, to communicate with Li et al. NordiCHI ’20, October 25–29, 2020, Tallinn, Estonia REFERENCES [6] Christine Dierk, Molly Jane Pearce Nicholas, and Eric Paulos. 2018. AlterWear:
Battery-Free Wearable Displays for Opportunistic Interactions. In Proceedings of
the 2018 CHI Conference on Human Factors in Computing Systems - CHI ’18. ACM
Press, New York, New York, USA, 1–11. https://doi.org/10.1145/3173574.3173794 [21] Asta Roseway, Yuliya Lutchyn, Paul Johns, Elizabeth Mynatt, and Mary Czer-
winski. 2015. BioCrystal: An Ambient tool for emotion and communication. International Journal of Mobile Human Computer Interaction (IJMHCI) 7, 3 (2015),
20–41. [7] Jutta Fortmann, Benjamin Poppinga, Wilko Heuten, and Susanne Boll. 2015. Real-life Experiences with an Adaptive Light Bracelet. In Proceedings of the 2015
British HCI Conference (Lincoln, Lincolnshire, United Kingdom) (British HCI ’15). ACM, New York, NY, USA, 138–146. https://doi.org/10.1145/2783446.2783572 [22] Stefan Schneegass, Sophie Ogando, and Florian Alt. 2016. Using on-body displays
for extending the output of wearable devices. In Proceedings of the 5th ACM
International Symposium on Pervasive Displays. ACM, 67–74. [8] Emmi Harjuniemi, Ashley Colley, Piia Rytilahti, Hong Li, Jesse Forest, and Jonna
Häkkilä. 2018. Idle stripes shirt: ambient wearable display for activity tracking. In Proceedings of the 2018 ACM International Symposium on Wearable Computers -
ISWC ’18. ACM Press, New York, New York, USA, 254–259. https://doi.org/10. 1145/3267242.3267303 [23] Samarth Singhal, Carman Neustaedter, Yee Loong Ooi, Alissa N Antle, and Bren-
dan Matkin. 2017. Flex-N-Feel: The Design and Evaluation of Emotive Gloves
for Couples to Support Touch Over Distance. In Proceedings of the 2017 ACM
Conference on Computer Supported Cooperative Work and Social Computing. ACM,
98–110. [9] Chris Harrison, Brian Y Lim, Aubrey Shick, and Scott E Hudson. 2009. Where to
locate wearable displays?: reaction time performance of visual alerts from tip
to toe. In Proceedings of the SIGCHI Conference on Human Factors in Computing
Systems. ACM, 941–944. [24] Leon Sterling and Kuldar Taveter. 2009. The art of agent-oriented modeling. MIT
press. [10] Marc Hassenzahl, Stephanie Heidecker, Kai Eckoldt, Sarah Diefenbach, and Uwe
Hillmann. 2012. All you need is love: Current strategies of mediating intimate rela-
tionships through technology. ACM Transactions on Computer-Human Interaction
(TOCHI) 19, 4 (2012), 30.i [25] Frank Vetere, Martin R Gibbs, Jesper Kjeldskov, Steve Howard, Florian’Floyd’
Mueller, Sonja Pedell, Karen Mecoles, and Marcus Bunyan. 2005. Mediating inti-
macy: designing technologies to support strong-tie relationships. In Proceedings
of the SIGCHI conference on Human factors in computing systems. 471–480. [11] Joseph’Jofish’ Kaye. 2006. I just clicked to say I love you: rich evaluations
of minimal communication. (Grant Agreement no. 760973), as well as the China Scholarship
Council fellowship (201606150085). Factors in Computing Systems. ACM, 753–762. [15] Antti Oulasvirta, Tye Rattenbury, Lingyi Ma, and Eeva Raita. 2012. Habits make
smartphone use more pervasive. Personal and Ubiquitous Computing 16, 1 (2012),
105–114. REFERENCES [16] Rui Pan, Samarth Singhal, Bernhard E Riecke, Emily Cramer, and Carman
Neustaedter. 2017. MyEyes: The design and evaluation of first person view
video streaming for long-distance couples. In Proceedings of the 2017 Conference
on Designing Interactive Systems. ACM, 135–146. [1] Rain Ashford. 2019. An Exploration of Responsive and Emotive Wearables
through Research Prototyping. In Extended Abstracts of the 2019 CHI Conference
on Human Factors in Computing Systems. ACM, INT026. [1] Rain Ashford. 2019. An Exploration of Responsive and Emotive Wearables
through Research Prototyping. In Extended Abstracts of the 2019 CHI Conference
on Human Factors in Computing Systems. ACM, INT026. g
g
y
[17] Jennifer Pearson, Simon Robinson, and Matt Jones. 2015. It’s About Time: Smart-
watches as public displays. In Proceedings of the 33rd Annual ACM Conference on
Human Factors in Computing Systems. ACM, 1257–1266. [2] Louise Barkhuus and Anind Dey. 2003. Is context-aware computing taking control
away from the user? Three levels of interactivity examined. In International
Conference on Ubiquitous Computing. Springer, 149–156. p
p y
g
f
Human Factors in Computing Systems. ACM, 1257–1266. p
g y
[18] Zachary Pousman and John Stasko. 2006. A taxonomy of ambient information
systems: four patterns of design. In Proceedings of the working conference on
Advanced visual interfaces. ACM, 67–74. f
q
p
g
p
g
[3] Virginia Braun and Victoria Clarke. 2006. Using thematic analysis in psychology. Qualitative research in psychology 3, 2 (2006), 77–101. [3] Virginia Braun and Victoria Clarke. 2006. Using thema [4] Angela Chang, Ben Resner, Brad Koerner, XingChen Wang, and Hiroshi Ishii. 2001. LumiTouch: an emotional communication device. In CHI’01 extended abstracts on
Human factors in computing systems. ACM, 313–314. f
[19] Gilang Andi Pradana, Adrian David Cheok, Masahiko Inami, Jordan Tewell, and
Yongsoon Choi. 2014. Emotional priming of mobile text messages with ring-
shaped wearable device using color lighting and tactile expressions. In Proceedings
of the 5th Augmented Human International Conference. ACM, 14. f
p
g y
[5] Sunny Consolvo and Miriam Walker. 2003. Using the experience sampling method
to evaluate ubicomp applications. IEEE pervasive computing 2, 2 (2003), 24–31. g
g
g
of the 5th Augmented Human International Conference. ACM, 14. [20] Yvonne Rogers, Kay Connelly, Lenore Tedesco, William Hazlewood, Andrew
Kurtz, Robert E Hall, Josh Hursey, and Tammy Toscos. 2007. Why it’s worth the
hassle: The value of in-situ studies when designing ubicomp. In International
Conference on Ubiquitous Computing. Springer, 336–353. ACKNOWLEDGMENTS This research has been supported by the Academy of Finland as
part of the ’TechFashion - Design of Future Wearable Computing’
project, the European Union’s Horizon 2020 DecoChrom project NordiCHI ’20, October 25–29, 2020, Tallinn, Estonia NordiCHI ’20, October 25–29, 2020, Tallinn, Estonia Emotional Communication between Remote Couples: Exploring the Design of Wearable Ambient Displays otional Communication between Remote Couples: Exploring the Desig (Grant Agreement no. 760973), as well as the China Scholarship
Council fellowship (201606150085). REFERENCES In CHI’06 extended abstracts on human factors in
computing systems. 363–368. [26] Max L Wilson, Dan Craggs, Simon Robinson, Matt Jones, and Kristian Brimble. 2012. Pico-ing into the future of mobile projection and contexts. Personal and
Ubiquitous Computing 16, 1 (2012), 39–52. [12] Hong Li, Jonna Häkkilä, and Kaisa Väänänen. 2018. Review of unconventional
user interfaces for emotional communication between long-distance partners. In
Proceedings of the 20th International Conference on Human-Computer Interaction
with Mobile Devices and Services. ACM, 18. [27] Sarah Wiseman and Sandy J. J. Gould. 2018. Repurposing Emoji for Per-
sonalised Communication: Why Means “I Love You”. In Proceedings of the
2018 CHI Conference on Human Factors in Computing Systems (Montreal QC,
Canada) (CHI ’18). ACM, New York, NY, USA, Article 152, 10 pages. https:
//doi.org/10.1145/3173574.3173726 [13] John McCarthy and Peter Wright. 2004. Technology as experience. interactions
11, 5 (2004), 42–43. [28] John Zimmerman, Jodi Forlizzi, and Shelley Evenson. 2007. Research through
design as a method for interaction design research in HCI. In Proceedings of the
SIGCHI conference on Human factors in computing systems. ACM, 493–502. [14] Carman Neustaedter and Saul Greenberg. 2012. Intimacy in long-distance re-
lationships over video chat. In Proceedings of the SIGCHI Conference on Human
|
https://openalex.org/W3193833354
|
https://jurnal.ciptamediaharmoni.id/index.php/ptk/article/download/30/24
|
Indonesian
| null |
Peningkatan Pemahaman Mahasiswa pada Mata Kuliah Pengantar Ilmu Hukum Program Studi Hukum Ekonomi Syariah melalui Metode Resitasi
|
PTK
| 2,021
|
cc-by-sa
| 3,348
|
Peningkatan Pemahaman Mahasiswa pada Mata
Kuliah Pengantar Ilmu Hukum Program Studi
Hukum Ekonomi Syariah melalui Metode Resitasi Hutrin Kamil
Hukum Ekonomi Syariah, Institut Agama Islam Negeri Kediri
Kediri, Indonesia
E-mail: hutrinkamil@iainkediri.ac.id Diterima:
22 April 2021
Revisi:
24 April 2021
Terbit:
1 Mei 2021 Abstrak— Dalam mewujudkan tujuan Program Studi Hukum Ekonomi Syariah Fakultas Syariah
IAIN Kediri yakni untuk mencetak ahli hukum khususnya hukum ekonomi syariah harus ditopang dengan
sebaran mata kuliah yang relevan. Salah satu mata kuliah yang dimaksud dan juga merupakan mata
kuliah dasar dimana mahasiswa diharapkan memiliki tingkat pemahaman yang adalah adalah Pengantar
Ilmu Hukum. Namun, upaya untuk meningkatkan pemahaman belum ditunjang dengan kehadiran metode
dan referensi yang tepat. Keadaan demikian mengakibatkan kurangnya pemahaman mahasiswa pada mata
kuliah Pengantar Ilmu Hukum. Model penyelesaian penelitian yang digunakan adalah pertama tahap
perencanaan, selanjutnya memilih ruang lingkup mahasiswa yang akan diteliti, kemudian pelaksanan
kegiatan, dilanjutkan observasi pembelajaran dan terakhir analisis hasil terhadap metode yang digunakan. Metode yang ditempuh terbukti dapat meningkatkan kurangnya pemahaman mahasiswa Dalam pre-test,
persentase tingkat pemahaman mahasiswa rata-rata 71,5 poin. Setelah diadakan kegiatan meningkat
menjadi 81,6 poin, terjadi peningkatan sebesar 10,18 poin. Dalam pelaksanaan metode role play, jumlah
tingkat kepahaman mahasiswa yaitu 25 orang kriteria tinggi, 10 orang kriteria cukup, 5 orang kriteria
rendah dan 4 orang kriteria kurang. Kata Kunci— Peningkatan Pemahaman Mahasiswa, Pengantar Ilmu Hukum, Metod
Resitasi Kata Kunci— Peningkatan Pemahaman Mahasiswa, Pengantar Ilmu Hukum, Metode
Resitasi Abstract— In realizing the objectives of the Sharia Economic Law Study Program, Faculty of
Sharia, IAIN Kediri, namely to produce legal experts, especially sharia economic law, must be supported
by the distribution of relevant courses. One of the courses in question which is also a basic course in
which students are expected to have an adequate level of understanding is Introduction to Law. However,
efforts to increase understanding have not been supported by the presence of appropriate methods and
references. This situation graduation in a lack of understanding of students in the Introduction to Law
Science course. The research model used is starting with the planning stage, then selecting the scope of
the students to be studied, then implementing activities, followed by learning observations, and finally
analyzing the results of the methods used. The method used is proven to improve student understanding
as indicated by the results of the pre-test, the percentage of the student's understanding level averaged
71.5 points. After the activity was held, it increased to 81.6 points, an increase of 10.18 points. PTK, Vol.1 No.2 Mei 2021
ISSN: 2747-1977 (Print) / 2747-1969 (Online)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ PTK, Vol.1 No.2 Mei 2021
ISSN: 2747-1977 (Print) / 2747-1969 (Online)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ PTK, Vol.1 No.2 Mei 2021
ISSN: 2747-1977 (Print) / 2747-1969 (Online)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Peningkatan Pemahaman Mahasiswa pada Mata
Kuliah Pengantar Ilmu Hukum Program Studi
Hukum Ekonomi Syariah melalui Metode Resitasi In the
implementation of the role play method, the number of students who have a level of understanding on the
high criteria is 25 people, 10 people are on the sufficient criteria, 5 people are on the low criteria, and 4
people are on the poor criteria. 104 p
p
p
Keywords— Improved Student Understanding, Introduction to Law Science, Recitation
Method PTK, Vol.1 No.2 Mei 2021
ISSN: 2747-1977 (Print) / 2747-1969 (Online)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ PTK, Vol.1 No.2 Mei 2021
ISSN: 2747-1977 (Print) / 2747-1969 (Online)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ PTK, Vol.1 No.2 Mei 2021 PTK: Jurnal Tindakan Kelas | Hal:104-113 PTK: Jurnal Tindakan Kelas| Hal:104-113 PTK: Jurnal Tindakan Kelas| Hal:104-113 I. PENDAHULUAN Kehadiran Program Studi Hukum Ekonomi Syariah pada Fakultas Syariah Institut Agama
Islam Negeri (IAIN) Kediri dimaksudkan untuk mencetak ahli hukum khususnya hukum
ekonomi syariah, baik sebagai akademisi maupun praktisi, yang tangguh serta mempunyai
komitmen menegakkan kebenaran, keadilan, dan ketaqwaan. Hal itu berdasarkan Keputusan
Menteri Agama Nomor 33 Tahun 2016 sebagaimana diubah dengan Keputusan Menteri Agama
Nomor 38 Tahun 2017, lulusan Program Studi Hukum Ekonomi Syariah berhak menyandang
gelar Sarjana Hukum (S.H.) (IAIN Kediri 2019). Dalam mewujudkan tujuan Program Studi
Hukum Ekonomi Syariah Fakultas Syariah IAIN Kediri sebagaimana tersebut di atas, idealnya
harus ditopang dengan sebaran mata kuliah yang relevan. Salah satu mata kuliah yang dimaksud
dan juga merupakan mata kuliah dasar adalah adalah Pengantar Ilmu Hukum. Mata kuliah Pengantar Ilmu Hukum memiliki tujuan kompetensi: Pertama, mahasiswa
memiliki kemampuan pengetahuan teori dan konsep dasar ilmu hukum. Kedua, mahasiswa
mempunyai kemampuan untuk mengapresiasi teori dan komsep ilmu huku. Ketiga, mahasiswa
memiliki kemampuan menjadikan ilmu hukum sebagai dasar pemikiran dalam menghadapi
permasalahan dengan menitikberatkan pada azas keadilan (Jurusan Syariah IAIN Kediri 2015). Lebih lanjut, bukan hanya terkait dengan relevansi, mahasiswa juga diharapkan memiliki
tingkat pemahaman yang baik terhadap mata kuliah Pengantar Ilmu Hukum. Pasalnya,
keseluruhan aktivitas akademisi dan praktisi hukum yang ingin dicetak oleh Program Studi
Hukum Ekonomi Syariah Fakultas Syariah IAIN Kediri pada nantinya tidak akan pernah
terlepas dan pasti berkaitan erat dengan ilmu hukum. Pada perkembangannya kini, salah satu
metode yang aktual yang dapat digunakan untuk mendapatkan pemahaman yang utuh mengenai
konsep-konsep dalam ilmu hukum adalah resitasi. Dalam metode tersebut, konsep-konsep dasar
dalam pengertian-pengertian hukum, asas, teori, peraturan perundang-undangan, doktrin, dan
putusan pengadilan yang aktual digunakan secara sistematik untuk memahami konsep-konsep
ilmu hukum di Indonesia. Meskipun demikian, upaya untuk meningkatkan pemahaman mahasiswa pada Program Studi
Hukum Ekonomi Syariah Fakultas Syariah IAIN Kediri belum ditunjang dengan kehadiran
metode dan referensi yang tepat. Penulis menemukan belum banyak referensi dalam ilmu
hukum yang menggunakan metode aktual untuk meningkatkan pemahaman mahasiswa. Keadaan demikian mengakibatkan kurangnya pemahaman mahasiswa pada Program Studi
Hukum Ekonomi Syariah Fakultas Syariah IAIN Kediri dalam mata kuliah Pengantar Ilmu
Hukum dilihat dari beberapa kegiatan evaluasi pemahaman seperti pertanyaan-pertanyaan 105 PTK, Vol.1 No.2 Mei 2021 ,
ISSN: 2747-1977 (Print) / 2747-1969 (Onlin Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ kepada masing-masing mahasiswa dalam bentuk review untuk materi perkuliahan sebelumnya
atau dalam bentuk kuis. kepada masing-masing mahasiswa dalam bentuk review untuk materi perkuliahan sebelumnya
atau dalam bentuk kuis. I. PENDAHULUAN Berdasarkan hal-hal sebagaimana tersebut di atas, mengingat penulis adalah dosen pada
Fakultas Syariah IAIN Kediri yang ditempatkan (homebase) di Program Studi Hukum Ekonomi
Syariah, menyimpulkan bahwa kurangnya pemahaman mahasiswa pada Program Studi Hukum
Ekonomi Syariah Fakultas Syariah IAIN Kediri dalam mata Kuliah Pengantar Ilmu Hukum
sebagai isu topik yang menarik untuk diselesaikan dan dicarikan alternatif solusi penyelesaian
masalah dalam hal ini dengan menggunakan metode tertentu. Oleh karenanya, penulis
mengangkat Penelitian Tindakan Kelas (PTK) dengan judul “Peningkatan Pemahaman
Mahasiswa pada Mata Kuliah Pengantar Ilmu Hukum Program Studi Hukum Ekonomi Syariah
Melalui Metode Resitasi”. PTK: Jurnal Tindakan Kelas| Hal:104-113 II. METODE Model yang digunakan dalam rancangan PTK ini, adalah sebagai berikut : Model yang digunakan dalam rancangan PTK ini, adalah sebagai berikut : 1. Perencanaan: a) Menyusun Rencana Pembelajaran Semester (RPS) mata kuliah Pengantar Ilmu Hukum. b) Mengukur tingkat pemahaman awal mahasiswa tentang materi mata kuliah Pengantar
Ilmu Hukum. c) Menyusun bahan ajar yang memuat konsep-konsep pokok dalam Pengantar Ilmu Hukum. d) Mengadakan kuliah umum tentang ilmu hukum dengan menghadirkan narasumber dari
kalangan akademisi atau praktisi. e) Melakukan evaluasi tentang perkembangan peningkatan pemahaman mahasiswa mata
kuliah Pengantar Ilmu Hukum. 2. Ruang lingkup
Penelitian Tindakan Kelas ini dilakukan kepada 44 mahasiswa Program Studi Hukum
Ekonomi Syariah angkatan 2019 dalam mata kuliah Pengantar Ilmu Hukum di Fakultas
Syariah Institut Agama Islam Negeri (IAIN) Kediri. 3. Pelaksanaan
Diawali dengan kegiatan pembelajaran mata kuliah pengantar ilmu hukum. Penelitian
tindakan mengacu pada Rencana Pembelajaran Semester (RPS) yang telah dibuat, dengan
menerapkan model pembelajaran yang digunakan kemudian menggunakan metode resitasi
(berbasis Pre Test-Post Test dan Role Play). 3. Pelaksanaan
Diawali dengan kegiatan pembelajaran mata kuliah pengantar ilmu hukum. Penelitian
tindakan mengacu pada Rencana Pembelajaran Semester (RPS) yang telah dibuat, dengan
menerapkan model pembelajaran yang digunakan kemudian menggunakan metode resitasi
(berbasis Pre Test-Post Test dan Role Play). PTK: Jurnal Tindakan Kelas| Hal:104-113 b. Role Play Metode Role Play yang dilakukan dalam penelitian ini adalah dengan cara yaitu
mahasiswa dipersilahkan untuk berperan dalam hal penempatan sumber hukum yang ada
dan penyusunan hierarki peraturan perundang-undangan di Indonesia kedalam potongan-
potongan kertas yang telah disediakan yang bertujuan untuk melihat tingkat kepahaman
mahasiswa tentang materi sumber hukum dan hierarki peraturan perundang-undangan di
Indonesia. 4. Observasi
Pada tahapan ini, dilaksanakan pengamatan selama pembelajaran dari awal kegiatan sampai
akhir kegiatan. Peneliti juga mengamati lembar observasi hasil belajar untuk menentukan
kelemahan dan kekurangan pada kegiatan pembelajaran (Sofiyah 2020). 5. Analisis hasil Tahap ini peneliti melaksanakan analisis hasil yang telah dicapai dalam kegiatan
observasi untuk menentukan apakah metode yang dilakukan dapat meningkatkan hasil
pemahaman mahasiswa. Dimana prosesnya dimulai dengan mengukur dan menganalisis
tingkat pemahaman awal mahasiswa dengan mengadakan Pre Test, kemudian dari hasil
tersebut ditentukan solusi seperti yang akan dilakukan untuk meningkatkan pemahaman
mahasiswa. Setelah rangkaian kegiatan dilaksanakan selanjutnya dilakukan Post Test untuk
melihat tingkat perkembangan pemahaman mahasiswa, kemudian hasilnya dianalisis apakah
metode yang dilakukan bisa cukup efektif untuk meningkatkan pemahaman mahasiswa pada
mata kuliah Pengantar Ilmu Hukum Program Studi Hukum Ekonomi Syariah IAIN Kediri. a. Pre Test-Post Test a. Pre Test-Post Test
Mahasiswa diberikan pertanyaan-pertanyaan umum seputar ilmu hukum yang
diberikan oleh peneliti. Selanjutnya mahasiswa diperintahkan untuk menjawab
pertanyaan-pertanyaan tersebut yang bisa mereka dapatkan dari pelajaran dan materi yang
telah diberikan sebelumnya. Dari kegiatan ini kemudian ditarik kesimpulan bagaimana
tingkat pemahaman awal dan akhir mahasiswa tentang materi mata kuliah Pengantar Ilmu
Hukum. PTK: Jurnal Tindakan Kelas| Hal:104-113 106 PTK, Vol.1 No.2 Mei 2021 PTK, Vol.1 No.2 Mei 2021 ,
ISSN: 2747-1977 (Print) / 2747-1969 (Online) III. HASIL DAN PEMBAHASAN Pengantar Ilmu Hukum (PIH) kerap kali oleh dunia studi hukum dinamakan “Ensiklopedia
Hukum”, yaitu bidang studi yang merupakan pengantar (introduction atau inleiding) untuk ilmu
pengetahuan hukum. Ilmu pengetahuan ini berusaha menjelaskan tentang keadaan, inti dan
maksud tujuan dari bagian-bagian penting dari hukum, serta pertalian antara berbagai bagian
tersebut dengan ilmu pengetahuan hukum (Dirdjosisworo 2016). PTK: Jurnal Tindakan Kelas | Hal:104-113 3. Upaya Peningkatan dan Metode Role Play Setelah melaksanakan Pre Test guna mendapatkan hasil pemahaman awal mahasiswa
tentang mata kuliah Pengantar Ilmu Hukum, selnajutnya dilakukan upaya untuk peningkatan
pemahaman tersebut. Dimulai dengan menggunakan bahan ajar yang telah disusun yang
didalamnya memuat konsep-konsep pokok dalam Pengantar Ilmu Hukum untuk memudahkan PTK: Jurnal Tindakan Kelas| Hal:104-113 PTK: Jurnal Tindakan Kelas | Hal:104-113 107 PTK, Vol.1 No.2 Mei 2021
ISSN: 2747-1977 (Print) / 2747-1969 (Online)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ PTK, Vol.1 No.2 Mei 2021
ISSN: 2747-1977 (Print) / 2747-1969 (Online)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ PTK, Vol.1 No.2 Mei 2021 ,
ISSN: 2747-1977 (Print) / 2747-1969 (Onlin ,
ISSN: 2747-1977 (Print) / 2747-1969 (Online) (
)
(
)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Sebagai suatu ilmu, ilmu hukum masuk ke dalam bilangan ilmu yang bersifat preskriptif,
artinya ilmu yang membawa atau sarat nilai. Ilmu hukum bersifat menganjurkan bukan hanya
mengemukakan apa adanya. Oleh karena itu, ilmu hukum bukan termasuk ke dalam bilangan
ilmu empiris. Kebenaran yang hendak diperoleh adalah kebenaran koherensi bukan kebenaran
korespondensi (Marzuki 2018). Metode resitasi menurut Jasmanidar yang dikutip oleh Murniasih dan Fayeldi (2017)
mengatakan bahwa merupakan salah satu metode mengajar seorang guru untuk memberikan
tugas atau pekerjaan yang akan dikerjakan siswa dan kemudian hasil pengerjaan tersebut akan
dilaporkan kepada guru. Senada dengan yang dikemukakan oleh Sinar (2018) bahwa melalui
metode pemberian tugas, siswa dilatih untuk mencari sumber belajar sendiri, merangsang anak
untuk giat dan rajin belajar, pengetahuan siswa akan semakin luas, seta meningkatkan kreatifitas
dalam memecahkan suatu masalah. Metode resitasi juga sebenarnya dapat ditempuh dengan
banyak cara atau jenis yang kemudian oleh penulis mengambil resitasi yang berbasis Pre Test-
Post Test dan Role Play. Hasil yang didapat dari upaya meningkatkan pemahaman mahasiswa pada mata kuliah
Pengantar Ilmu Hukum sebagai berikut : 1. Pelaksanaan 2. Pre Test Tahap Pre Test dilakukan didalam proses pembelajaran ketika mata kuliah berlangsung. Hasil
penilaian/pengukuran Pre Test, dapat dilihat pada tabel 1. Tahap Pre Test dilakukan didalam proses pembelajaran ketika mata kuliah berlangsung. Hasil
penilaian/pengukuran Pre Test, dapat dilihat pada tabel 1. 3. Upaya Peningkatan dan Metode Role Play 1. Pelaksanaan Pada tahap ini, kegiatan penelitian yang telah direncanakan oleh peneliti, yang semuanya
berhasil dilaksanakan dimulai dengan menyusun Rencana Pembelajaran Semester (RPS),
mengukur seperti apa tingkat pemahaman awal mahasiswa tentang materi mata kuliah
Pengantar Ilmu Hukum, menyusun bahan ajar dalam melaksanakan mata kuliah Pengantar Ilmu
Hukum, mengadakan kuliah umum tentang ilmu hukum dengan menghadirkan narasumber guna
meningkatkan pemahaman mahasiswa yang diakhiri dengan pelaksanaan metode Role Play,
terakhir dengan melakukan evaluasi tentang perkembangan peningkatan pemahaman mahasiswa
pada mata kuliah Pengantar Ilmu Hukum yang dilakukan kepada 44 mahasiswa Program Studi
Hukum Ekonomi Syariah angkatan 2019 Fakultas Syariah Institut Agama Islam Negeri (IAIN)
Kediri. PTK: Jurnal Tindakan Kelas | Hal:104-113 ,
ISSN: 2747-1977 (Print) / 2747-1969 (Online) ISSN: 2747-1977 (Print) / 2747-1969 (Online) PTK: Jurnal Tindakan Kelas| Hal:104-113 108 PTK, Vol.1 No.2 Mei 2021 PTK, Vol.1 No.2 Mei 2021 PTK, Vol.1 No.2 Mei 2021 PTK: Jurnal Tindakan Kelas| Hal:104-113 (
)
(
)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Diagram Hasil Pemahaman Mahasiswa melalui Metode Role Play (
)
(
)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ dalam proses pembelajaran mata kuliah. Selanjutnya mengadakan kuliah umun tentang ilmu
hukum guna meningkatkan pemahaman mahasiswa dengan menghadirkan narasumber yang
berlatar belakang seorang praktisi dan akademisi yaitu Moch. Choirul Rizal, M.H., yang
membawakan materi tentang “Sumber Hukum dalam Sistem Hukum di Indonesia”. dalam proses pembelajaran mata kuliah. Selanjutnya mengadakan kuliah umun tentang ilmu
hukum guna meningkatkan pemahaman mahasiswa dengan menghadirkan narasumber yang
berlatar belakang seorang praktisi dan akademisi yaitu Moch. Choirul Rizal, M.H., yang
membawakan materi tentang “Sumber Hukum dalam Sistem Hukum di Indonesia”. Tabel 1. Hasil Pengukuran Pre Test terkait Pemahaman Mahasiswa Tabel 1. Hasil Pengukuran Pre Test terkait Pemahaman Mahasiswa NO. INISIAL NAMA
NILAI PRE TEST
1
F.S.A. 65
2
I.N.A. 66
3
D.W. 72
4
N.A.I
81
5
P.M.A. 67
6
N.W. 75
7
D.A. 73
8
E.P. 65
9
F.I. 66
10
V.W. 72
11
A.E.A. 71
12
M.B.H. 75
13
K.W. 77
14
D.V. 83
15
K.Q. 74
16
B.N. 81
17
V.W.L. 74
18
V.K.I. 64
19
W. 66
20
S.P. 73
21
L.A. 72
22
A.S. 65
23
S.A.B. 71
24
H.V. 82
25
D.T.S. 65
26
M.F.A. 72
27
T.K.T. 77
28
A.S.P. 73
29
I.P.N. 63
30
D.A.P. 78
31
S.F.Z. 72
32
S.N. 68
33
D.A.K. 72
34
F.N.M. 81
35
E.F.C. 72
36
N.R. 65
37
F.A.S. 73
38
C.W. 63
39
Y.M. 73
40
H.M. 65
41
D.R.P. 67
42
M.R.W. 70
43
H.M. 75
44
W.N.F. 72
JUMLAH
3146
RATA-RATA
71,5 PTK: Jurnal Tindakan Kelas | Hal:104-113 109 PTK, Vol.1 No.2 Mei 2021 ,
ISSN: 2747-1977 (Print) / 2747-1969 (Online) ISSN: 2747-1977 (Print) / 2747-1969 (Online) Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Gambar 1. Kegiatan kuliah umum dengan menghadirkan narasumber Gambar 1. Kegiatan kuliah umum dengan menghadirkan narasumber Kemudian, diakhir kegiatan kuliah umum diadakan kegiatan Role Play yang juga bertujuan
untuk melihat tingkat kepahaman mahasiswa tentang materi sumber hukum dan hierarki
peraturan perundang-undangan di Indonesia. Gambar 2. Kegiatan Role Play. Gambar 2. Kegiatan Role Play. Gambar 2. Kegiatan Role Play. 110 PTK: Jurnal Tindakan Kelas| Hal:104-113 PTK, Vol.1 No.2 Mei 2021 PTK, Vol.1 No.2 Mei 2021 ISSN: 2747-1977 (Print) / 2747-1969 (Online) (
)
(
)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ Hasil penilaian pemahaman mahasiswa melalui metode Role Play, dapat dilihat pada diagram
lingkaran data di bawah ini : Gambar 3. Diagram Hasil Pemahaman Mahasiswa melalui Metode Role Play Gambar 3. PTK: Jurnal Tindakan Kelas | Hal:104-113 4. Pemberian Tugas dan Post Test Terakhir, langkah yang dilakukan untuk melihat perkembangan pemahaman mahasiswa
terhadap mata kuliah Pengantar Ilmu Hukum adalah dengan memberikan tugas dan
melaksanakan Post Test. Hasil penilaian pada post test, dapat dilihat pada tabel 2. Dari rangkaian proses yang dilakukan menggunakan metode resitasi yang berbasis Pre Test-
Post Test dan Role Play maka dapat dilihat bahwa metode ini dapat meningkatkan kepahaman
mahasiswa. Hal ini selaras dengan hasil penelitian “Penerapan Metode Resitasi Untuk
Meningkatkan Keterlibatan Aktif Siswa Dalam Pencapaian Tujuan Pembelajaran Sejarah Kelas
X-IPS” oleh Halawa dan Chrismastianto (2021), bahwa Penerapan metode resitasi atau
penugasan yang dinilai berhasil dalam mendorong keterlibatan aktif dari siswa, serta mampu
meningkatkan kemampuan kognitif siswa dalam memahami dan mengolah informasi atau
materi yang telah disampaikan, sehingga dari keberhasilan dan keefektifan penerapan metode
ini, siswa mampu mencapai tujuan pembelajaran yang telah dirumuskan. Begitupun juga sesuai
dengan penelitian yang dilakukan oleh Julianto, Amsia dan Syaiful (2015) bahwa hasil kognitif
dan keterlibatan peserta didik meningkat setelah penerapan metode resitasi dari pada metode
konvensional yaitu untuk kelas eksperimen (metode resitasi) mencapai rata-rata nilai 74,61,
sedangkan 66,72 untuk kelas kontrol (metode konvensional). Oleh karena itu, dari hasil
penerapan metode ini, bisa dinyatakan bahwa penggunana metode resitasi yang khususnya
berbasis Pre Test-Post Test dan Role Play akan merangsang keterlibatan mahasiswa dan juga
pemahaman dapat menjadi meningkat dari sebelumnya, sehingga dapat mengarahkan
mahasiswa dalam pencapaian tujuan pembelajaran. PTK: Jurnal Tindakan Kelas | Hal:104-113 111 ,
SSN: 2747-1977 (Print) / 2747-1969 (Online) Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ s://jurnal.ciptamediaharmoni.id/index.php/ptk/ Tabel 2. Hasil Pengukuran Post Test terkait Pemahaman Mahasiswa
NO. INISIAL NAMA
ASPEK PENILAIAN
NILAI TUGAS
NILAI POST TEST
1
F.S.A. 85
86
2
I.N.A. 85
85
3
D.W. 80
85
4
N.A.I
75
80
5
P.M.A. 80
73
6
N.W. 90
85
7
D.A. 75
65
8
E.P. 90
70
9
F.I. 85
80
10
V.W. 80
83
11
A.E.A. 80
85
12
M.B.H. 85
85
13
K.W. 80
75
14
D.V. 80
87
15
K.Q. 85
80
16
B.N. 95
88
17
V.W.L. 80
75
18
V.K.I. 85
75
19
W. 85
85
20
S.P. 90
89
21
L.A. 90
88
22
A.S. 85
82
23
S.A.B. 80
78
24
H.V. 85
86
25
D.T.S. 75
70
26
M.F.A. 85
90
27
T.K.T. 85
85
28
A.S.P. 90
84
29
I.P.N. 65
73
30
D.A.P. 70
75
31
S.F.Z. 80
78
32
S.N. 80
77
33
D.A.K. 85
65
34
F.N.M. 80
70
35
E.F.C. 85
86
36
N.R. PTK: Jurnal Tindakan Kelas| Hal:104-113 IV. KESIMPULAN Kegiatan-kegiatan yang telah dilaksanakan berdasarkan metode yang ditempuh terbukti
dapat meningkatkan pemahaman mahasiswa pada Program Studi Hukum Ekonomi Syariah
Fakultas Syariah IAIN Kediri dalam mata kuliah Pengantar Ilmu Hukum. Dalam mengukur
tingkat pemahaman awal mahasiswa dalam hal ini berupa Pre Test, persentase tingkat
pemahaman mahasiswa hanya rata-rata 71,5 poin. Setelah diadakan kegiatan berupa
pembelajaran rutin, mengadakan kuliah umum, kemudian pemberian tugas, dan pelaksanaan
Post Test, maka persentase tingkat pemahaman mahasiswa menjadi 81,6 poin. Artinya, terjadi
peningkatan sebesar 10,18 poin. Begitu juga dalam pelaksanaan metode Role Play jumlah
tingkat kepahaman mahasiswa yaitu 25 orang kriteria tinggi, 10 orang kriteria cukup, 5 orang
kriteria rendah dan 4 orang kriteria kurang. Jadi dalam hal ini dapat ditarik kesimpulan bahwa
mayoritas mahasiswa telah mengalami peningkatan kepahaman dalam mata kuliah Pengantar
Ilmu Hukum. PTK, Vol.1 No.2 Mei 2021
ISSN: 2747-1977 (Print) / 2747-1969 (Online)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ PTK, Vol.1 No.2 Mei 2021 (
)
(
)
Website: https://jurnal.ciptamediaharmoni.id/index.php/ptk/ 4. Pemberian Tugas dan Post Test 90
85
37
F.A.S. 80
80
38
C.W. 80
60
39
Y.M. 75
65
40
H.M. 90
88
41
D.R.P. 85
90
42
M.R.W. 95
87
43
H.M. 90
85
44
W.N.F. 85
85
JUMLAH
3660
3528
RATA-RATA
83,18
80,18
Akumulasi Nilai Tugas dan Post Test
7188
Akumulasi Nilai Rata-Rata Tugas dan Post Test
81,68 Tabel 2. Hasil Pengukuran Post Test terkait Pemahaman Mahasiswa 112 DAFTAR PUSTAKA Dirdjosisworo, Soedjono. 2016. Pengantar Ilmu Hukum. RajaGrafindo Persada. Jakarta Halawa, E., & Chrismastianto, I. A. W. (2021). Penerapan Metode Resitasi Untuk
Meningkatkan Keterlibatan Aktif Siswa Dalam Pencapaian Tujuan Pembelajaran
Sejarah Kelas X-IPS | Halawa | Kumpulan Artikel Ilmiah Rumpun Ekonomi dan
Ilmu Sosial. KAIROS: Kumpulan Artikel Ilmiah Rumpun Ekonomi Dan Ilmu
Sosial, 1(1), 54–78. https://ojs.uph.edu/index.php/KAIROS/article/view/3163. Institut Agama Islam Negeri (IAIN) Kediri. 2019. Buku Pedoman Akademik Program
Strata I Tahun Akademik 2018/2019. Kediri. Julianto, J., Amsia, T., & M, S. (2015). Pengaruh Metode Belajar Resitasi terhadap
Hasil Belajar Sejarah Siswa. In PESAGI (Jurnal Pendidikan dan Penelitian
Sejarah) (Vol. 3, Issue 2). http://jurnal.fkip.unila.ac.id/index.php/PES/article/
view/8844. Jurusan Syariah Sekolah Tinggi Agama Islam Negeri (STAIN) Kediri. 2015. Pedoma
Jurusan Syariah Tahun Akademik 2015/2016. Kediri. Marzuki, P.M. 2018. Pengantar Ilmu Hukum. Prenadamedia Group. Jakarta. Murniasih, T., & Fayeldi, T. (2017). Metode Resitasi Untuk Meningkatkan Pemahaman
Konsep Pada Mata Kuliah Dasar-Dasar Pemrograman Komputer. Jurnal Edukasi,
4(1), 8-12. doi:10.19184/jukasi.v4i1.5083 Sinar. 2018 . Metode Active Learning: Upaya Peningkatan Keaktifan dan Hasil Belajar
Siswa. Deepublish. Yogyakarta. Sofiyah, N. (2020). Peningkatkan Hasil Belajar dan Aktivitas Siswa melalui Model
Pembelajaran Discovery Learning pada Siswa Kelas X TPT 1 SMK Negeri 1
Gempol. Kontribusi: Jurnal Penelitian Dan Pengabdian Kepada Masyarakat, 1(1),
1-13. Retrieved from https://jurnal.ciptamediaharmoni.id/index.php/kontribusi/
article/view/6. PTK: Jurnal Tindakan Kelas | Hal:104-113 113
|
https://openalex.org/W2759577001
|
https://hal.inria.fr/hal-01820921/file/978-3-319-68121-4_24_Chapter.pdf
|
English
| null |
Application and Implementation of Batch File Transfer in Redis Storage
|
IFIP advances in information and communication technology
| 2,017
|
cc-by
| 2,841
|
To cite this version: Hu Meng, Yongsheng Pan, Lang Sun. Application and Implementation of Batch File Transfer in
Redis Storage. 2nd International Conference on Intelligence Science (ICIS), Oct 2017, Shanghai,
China. pp.228-233, 10.1007/978-3-319-68121-4_24. hal-01820921 Distributed under a Creative Commons Attribution 4.0 International License Application and Implementation of Batch File Transfer
in Redis Storage Hu Meng1*, Yongsheng Pan1 and Lang Sun1 1 HEFEI City Cloud Data Center Co., Ltd. Hefei, China 230601
menghu@citycloud.org.cn Abstract. In the face of massive information, batch processing of files is an im-
portant way of information transmission and storage, and the application is
quite common. With the increasing demand for batch files processing reliability
and speed, and the problem of low storage efficiency for current batch file pro-
cessing, the paper proposes a storage method that combine distributed storage
system HDFS file storage advantage and Redis cache technology to form a rap-
id batch merge files. The files that meet the conditions are merged into the Se-
quence File and stored in the HDFS. The multiple linear regression analysis
method is used to determine the load factor, so that the load balancing is adjust-
ed and the Redis cache hash data is used to ensure the efficiency. Through ex-
periments on the corresponding file platform for file upload, query, delete and
memory usage, we analysis batch processing method and non-batch method
comparatively. It can be concluded that compared with the non-batch direct up-
load file to HDFS way, improved batch file processing method can process files
more faster and ensure the stability and reliability of the file at the same time. Keywords: Redis, HDFS, Batch Processing, Distributed File System. Keywords: Redis, HDFS, Batch Processing, Distributed File System. HAL Id: hal-01820921
https://inria.hal.science/hal-01820921v1
Submitted on 22 Jun 2018 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
recherche français ou étrangers, des laboratoires
publics ou privés. HAL is a multi-disciplinary open access
archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License 1
Introduce File system is an important way to transmit and store information. The use of the
scale continues to expand, such as the office system, mail, message system through
which information can be shared and distributed quickly. Users in such applications,
not only requires high-speed processing speed, but also requires the reliability of stor-
age. Therefore, massive files in cloud storage research has important practical value. Massive file storage is generally based on HDFS. HDFS is a distributed file sys-
tem, through the cheap multi-machine support large-scale data sets of large file stor-
age, with strong scalability, and solve the storage problem of space constraints. Mean-
time, HDFS can provide high-throughput data access. It is ideal solution for large-
scale data set applications, and even in the case of error can guarantee the reliability
of data storage. It assumes that the calculation elements and storage would fail, so it
maintains multiple copies of the work data to ensure that they can be redistributed
against the failed nodes. It works in parallel to ensure efficient processing. But the
storage efficiency of small files in HDFS is not high. It uses NameNode to maintain
the mapping of file path to the data block and the mapping of the data block to 2 DataNode, and also monitor DataNode heartbeat and maintain the number of data
block copies. When a large number of small files stored in HDFS then the NameNode
will run out of most of the memory, resulting in low storage efficiency, limiting the
file access speed. Taking into account the above-mentioned problems, we use a separate server with
large memory to cache the data to be merged. It would improve the performance of
the management node, and avoid the main server bottlenecks. The cache server uses
Redis to store data. Redis is a memory-based high-performance Key / Value database. It writes updated data to disk or writes modified operation to additional log files peri-
odically to ensure data persistence. And the Master-Slave synchronization provides a
high availability and reliable platform to users. The first upload files cache in Redis,
writing to disk operation only need to execute one time after merging the files which
would reduce the times of disk I / O. And file uploading processes in memory which
can provide a significant reduction of response time of file uploading. 2
Algorithm Summary of batch processing The file storage scheme designed in this paper is to build an intermediate platform
between users and HDFS system to handle the upload, query and delete operations of
received files. As large files can be stored directly and efficiently in HDFS, the plat-
form only process small files. Processing of files that larger than 32M would return a
processing-received tag directly. Consolidated storage scheme as shown in Figure 1. Users interact with the platform through socket. Redis is used to cache user files. Caching files merge and store in the Sequence File of HDFS through the HDFS inter-
face. The metadata records cache in Redis. User
Fig. 1. Files consolidated storage solution
Redis
System
HDFS System Redis Fig. 1. Files consolidated storage solution 2.1
Storage structure The Sequence File uses the sequential
storage structure so that we can quickly locate the contents of the small files through
the file location Store Position recorded in metadata corresponding to File Name. And, Sequence File uses Block compression to reduce disk usage and increase trans-
mission speed. Block compression is a series of records, that is, the small files here,
organized together, unified compressed into a Block. Block information mainly store:
the number of records contained in the block, the set of the length of each record Val-
ue, and the set of the value of each record Value. 2.2
Storage platform implementation According to the above design proposal, based on the load cost model, the file plat-
form is divided into two parts: basic processing and background processing. Users
process basic file operation such as upload, modify and delete through the platform
interacted with Redis and Sequence File; The timer combined with the basic operation
triggers the event to invoke background processing to ensure the reliability and speed
of the system. When uploading a file, the received file is stored in the file cache RCF in Redis and
the RCF Length of the file (RCFL) stored in the RCF is updated. Then, to determine
the RCFL, if the length achieved the size for merge, a "merge file" message MF is
send to the background processing module. When reading a file, the file will be re-
turned directly if it exists in the upload buffer of Redis. Otherwise, the contents of the
file will be read by the cache processing module and returned to the client. When
deleting a file, first determine whether it exists in RCF. If true then delete it. Other-
wise, the metadata of delete flag will be set to 0 and mark the file would be deleted. 2.1
Storage structure Redis as a file cache database, save the cache file content and metadata records. The
cache structure design is as follows: Table 1. Redis cache data storage structure
Name
Type
Description
RCF
Hash
Cache the data of the file, including the contents of 3 the file. Key is the file name, Value is the contents
of the file
RCFL
Long
The length of the file in the cache, that is, the total
length of the file data stored in the RCF
MH:DID
Hash
File information that update to metadata record
after serialization. For example, MH: 12 store all
the metadata structure of the folder identified as
12. Key for the file name, Value for the metadata
SDIR:DID
Hash
Folder structure, Key for the folder, Value for the
folder name
DID
Long
Automatic growth of the folder identification
The storage structure of HDFS platform is the Sequence File stored and combined
under basic directory, named after timestamp. The Sequence File uses the sequential
storage structure so that we can quickly locate the contents of the small files through
the file location Store Position recorded in metadata corresponding to File Name. And, Sequence File uses Block compression to reduce disk usage and increase trans-
mission speed. Block compression is a series of records, that is, the small files here,
organized together, unified compressed into a Block. Block information mainly store:
the number of records contained in the block, the set of the length of each record Val-
ue, and the set of the value of each record Value. the file. Key is the file name, Value is the contents
of the file
RCFL
Long
The length of the file in the cache, that is, the total
length of the file data stored in the RCF
MH:DID
Hash
File information that update to metadata record
after serialization. For example, MH: 12 store all
the metadata structure of the folder identified as
12. Key for the file name, Value for the metadata
SDIR:DID
Hash
Folder structure, Key for the folder, Value for the
folder name
DID
Long
Automatic growth of the folder identification
h
f
S
l f
i
h
S
il
d
d
bi
d The storage structure of HDFS platform is the Sequence File stored and combined
under basic directory, named after timestamp. 2.3
Load Cost Model As a complete system, not only to improve the efficiency of file storage, but also take
into account the system load conditions. The load cost of existing server resources
generally evaluated by the usage of independent CPU or memory. This statistics is not
comprehensive. For example, high CPU usage will not affect the operation which
only occupy high memory and disk I / O usage, and in actual use, the various types of 4 resources requirements of the thread operation cannot be comprehensively evaluated
either. In order to make up for the shortage of resource statistics, this paper puts forward a
load cost model which use the user's response time as an estimate criteria, based on
the experimental analysis of statistical data to determine the cost of the formula, so to
evaluate the effects of variety factors more reasonable. The process is: while the sys-
tem is running normally, gather statistics and analysis the various types of resources,
such as CPU, memory, disk I / O and other in real-time, record the response time of
task processing threads and main customer service thread, to determine various fac-
tors. In this way, to avoid the lack of timeliness of traditional statistical estimates, the
use of real-time computing can ensure reliable and comprehensive analysis with all
kinds of environmental resources. This paper combines the features of Sequence access and based on the GD-SIZE
algorithm, calculate the cost H with the formula (1), and archive the small file cache
replacement strategy. Hi = N / S
(1) (1) Hi = N / S The general GD-SIZE algorithm is: Each document in the buffer has a corresponding
cost. When the document is brought into the buffer, the H value of the document is
the reciprocal of the document size. When the replacement occurs, document which
has the smallest H value Hmin is swapped out, and the H value of the remaining docu-
ment becomes the H value before the replacement minus Hmin. According to the char-
acteristics of Sequence File, reading the file in a single block may need to traverse
many times. The value of H that GZ-SIZE algorithm used cannot actually reflect the
cost of the document. The cost of the document has positive correlation with the trav-
ersed files number N for visiting the file. 2.3
Load Cost Model We can multiply the reciprocal of the file
size S by N as the initial value of the GZ-SIZE algorithm, to achieve cache replace-
ment. 3
Experiment To establish the load cost model and determine the load cost formula, the influence of
various factors on the response time of the main thread needs to be quantified. The
coefficient of influence of the factor is obtained by the method of multiple linear re-
gression analysis. In this system, CPU usage (C), memory usage (M), and disk I/O
(D) have a major impact on performance, so they are used as dependent variables and
uploading response time (T) as response variable, the multiple regression equation is
expressed as: T = k1C + k2M + k3D
(2) (2) The specific operation is as follows: In the running nodes of the platform, execute
multiple processes that have great impact to C, M and D to get different resource
occupancy results, and gather the file upload time statistics. The results are as follows: 5 Table 2. Response time of the user request T/ms
C/%
M/%
D/(Blk_wrtn/s)
49
13
33
17.03
59
15
31
184.00
92
63
21
188.00
55
23
22
0.00
57
12
21
0.00
73
36
32
116.00
51
45
43
8.00
68
89
21
32.00 T/ms
C/%
M/%
D/(Blk_wrtn/s)
49
13
33
17.03
59
15
31
184.00
92
63
21
188.00
55
23
22
0.00
57
12
21
0.00
73
36
32
116.00
51
45
43
8.00
68
89
21
32.00 Regression analysis of the results can calculate that k1 = 0.257, k2 = 0.332, k3 =
0.103. In order to enable the user get responding within 100ms, the response time T
calculated with C, M, and D should be less than 100ms as the expected threshold of
the load. In the experimental environment, the value of k1, k2, k3 is input to the run-
ning configuration. When the background message MF is received, the load threshold
is calculated by the formula. y
In order to eliminate the impact of unstable factors (such as speed), randomly se-
lected 10 small files in the standard HDFS and the use of optimization modules in the
file system to upload, and ultimately get the cost time shown below: Fig. 2. File upload time
It can be seen that the time for file uploading is significantly reduced by batch merg-
ing of files, which is reduced from an average of 453.1 ms with traditional way to an
average of 52.3 ms by 88.45%. 4
Conclusion In this paper, we consider the storage method of small files in HDFS, design and im-
plement the small files storage optimization based on reliable HDFS file system. Combining the Redis cache mechanism effectively reduces the memory usage of the
NameNode node, the disk I / O is reduced compared to the traditional HDFS files
merge method, speeding up the file uploading and acquiring speed in a large number
of frequent file reads. It can be seen from the results of the experiment that the Redis-
based HDFS file batch merge storage optimization method can improve memory uti-
lization and speed up the file retrieval speed, and not affect the speed of file updating
and querying, ensure the fast and reliable file operation and preservation. 3
Experiment In the file uploading in a batch file, the implementa-
tion changes from receiving files through original HDFS memory and writing the disk Fig. 2. File upload time Fig. 2. File upload time It can be seen that the time for file uploading is significantly reduced by batch merg-
ing of files, which is reduced from an average of 453.1 ms with traditional way to an
average of 52.3 ms by 88.45%. In the file uploading in a batch file, the implementa-
tion changes from receiving files through original HDFS memory and writing the disk 6 later to receiving files by Redis memory directly, no longer need to wait for the slow
disk I / O operation of writing. The upload speed is significantly improved. 5. PESTER M. Multidisciplinary conceptual aircraft design using CEASIOM [D]. Ham-
burg: Hochschule für Angewandte Wissenschaften Hamburg,2010. 4. Kubiatowicz J, Bindel D, Chen Y, et al. OceanStore: An architecture for global-scale per-
sistent storage[C]// Proceedings of the Ninth international Conference on Architectural
Support for Programming Languages and Operating Systems (2000). Boston, MA:
ASPLOS, 2000:190-201. References 1. Codd E F. A relational model of data for large shared data banks [J]. Communications of
the ACM, 1970, 13(6): 377-387. 2. Michael Stonebraker. SQL databases v. NoSQL databases [J]. Communications of the
ACM, 2010, 53(4): 10-11. 3. Karger D,Lehman E,Leighton T,et al.Consistent hashing and random trees: distributed
caching protocols for relieving hot spots on the World Wide Web[C]//ACM Symposium
on Theory of Computing. New York, NY, USA: ACM, 1997:654-663. 4. Kubiatowicz J, Bindel D, Chen Y, et al. OceanStore: An architecture for global-scale per-
sistent storage[C]// Proceedings of the Ninth international Conference on Architectural
Support for Programming Languages and Operating Systems (2000). Boston, MA:
ASPLOS, 2000:190-201. 6. Heath C, Gray J. OpenMDAO: Framework for Flexible Multidisciplinary Design, Analysis
and Optimization Methods[C]// Aiaa/asme/asce/ahs/asc Structures, Structural Dynamics
and Materials Conference, Aiaa/asme/ahs Adaptive Structures Conference, Aiaa. 2012.
|
W3154829542.txt
|
https://www.medrxiv.org/content/medrxiv/early/2021/04/19/2021.04.14.21255104.full.pdf
|
en
|
Mortality reduction in ICU-admitted COVID-19 patients in Suriname after treatment with convalescent plasma acquired via gravity filtration
|
medRxiv (Cold Spring Harbor Laboratory)
| 2,021
|
cc-by
| 8,972
|
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Mortality reduction in ICU-admitted COVID19 patients in Suriname after treatment with
convalescent plasma acquired via gravity
filtration
Authors
R. Bihariesingh – Sanchit1,2, R. Bansie3, J. Fröberg5,6 , N. Ramdhani1, R. Mangroo3, D.
Bustamente1, E. Diaz2, I. Thakoer4, S. Vreden3, Z. Choudhry7 ,W. Jansen Klomp8 , D.A.
Diavatopoulos5,6, A. Nierich9
Affiliations
1. Department of Anesthesiology , Academic Hospital Paramaribo Suriname
2. Department of Intensive Care, Academic Hospital Paramaribo Suriname
3. Department of Internal Medicine, Academic Hospital Paramaribo, Suriname
4. Department of Radiology, Academic Hospital Paramaribo, Suriname
5. Radboud university medical center, Radboud Institute for Molecular Life Sciences,
Laboratory of Medical Immunology, Section Paediatric Infectious Diseases,
Nijmegen, The Netherlands
6. Radboud Center for Infectious Diseases, Radboudumc, Nijmegen, The Netherlands
7. Department of Nephrology and Therapeutic Apheresis, Horacia Oduber Hospital
Aruba.
8. Department of Cardiology. Deventer Hospital, Deventer, The Netherlands
9. Department of Anesthesiology and Intensive Care, Isala, Zwolle, The Netherlands
NOTE: This preprint reports new research that has not been certified by peer review and should not be used to guide clinical practice.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Corresponding author
Rosita Bihariesingh-Sanchit
Department of Anesthesiology , 1-3 Flustraat, Paramaribo, Suriname Tel.: +442222 (ext 601)
E-mail: r-bihariesingh@hotmail.com
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Abstract
Background
Although convalescent plasma (CP) treatment is a potential therapeutic option for patients
with COVID-19, there is a paucity of data from studies in low-resource settings. The efficacy
and safety of CP therapy in intensive care unit (ICU) patients with COVID-19 in Suriname
was evaluated. A novel gravity-based filtration method was used to obtain CP. The design
was an open-label, multi-centre, non-randomized prospective clinical trial performed in two
hospitals in Suriname, from June 2020, to December 2020. A pre-planned interim analysis is
reported in 78 PCR-confirmed COVID-19 patients admitted to the ICU with severe or lifethreatening symptoms. CP in combination with standard treatment (n = 28) was compared to
standard treatment alone (control) (n = 50), stratified by disease severity. The primary
endpoint was 28-day ICU mortality. Secondary (exploratory) endpoints were changes two
days after treatment initiation in pulmonary oxygen exchange capacity (PF ratio) and chest xray (CXR) score.
Findings
The median age of patients was 52 years with 43 [55.1%] being male. Twenty-eight day
mortality occurred in 18% (5/28) of the CP group vs 36% (18/50) of the control group.
Survival probability was significantly higher in the CP group compared to the control group
with standard care (P=0.027). When stratifying into disease severity, the survival probability
was the lowest for the control group with life-threatening disease (P=0.0051). CP treatment of
severe COVID-19 resulted in a higher probability of survival, with a hazard ratio (HR) of
0.22 (95% CI, 0.074-0.067), correcting for age, the presence of diabetes and COVID-19
severity. Age significantly increased the mortality risk (HR, 1.08 [95%CI, 1.022-1.14]; P =
0.006). In the severe group, CP resulted in an improved CXR score (P =0.0013) and increase
in PF ratio (P = 0.011) as compared to standard therapy. The gravity-based plasmapheresis
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
method used for CP production was well-tolerated and no adverse events were observed in the
donors.
Interpretation
Among patients with severe or life-threatening COVID-19, CP therapy in combination with
standard treatment resulted in 78% reduction of 28-day ICU mortality (HR = 0.22) compared
to standard treatment alone. Both CXR-score and PF ratio changes represent indicators of
treatment effect of CP after two days and can easily be implemented in low-resource settings.
The novel CP production method was effective and represents a practical solution for lowand middle income countries (LMICs) to produce CP locally. Although interpretation is
limited by the non-randomized design of the trial, these results offer a potential route for
broader implementation of CP treatment in LMICs.
Funding
This study was funded by the Academic Hospital Paramaribo, without additional third-party
funding.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Introduction
The current COVID-19 pandemic has caused a global socio-economical and health care crisis
with more than 116,000,000 cases worldwide and over 2,600,000 recorded deaths since the
discovery of the Severe Acute Respiratory Syndrome Coronavirus 2 (SARS-CoV-2) in
December 2019. The clinical deterioration resulting in tachypnea and dyspnea in
approximately 20% of patients is the major complication experienced by patients and
physicians today. Treatment of COVID-19 still primarily relies on adequate supportive care,
with dexamethasone and remdesivir included in current treatment protocols 1–3.
The use of convalescent plasma (CP) from patients recovered from COVID-19 as a means of
passive antibody therapy has been explored in several clinical trials and has received
emergency use authorization in the USA. Although further clinical trials remain necessary to
further assess the possible benefit of CP, the FDA has allowed use of this treatment outside of
clinical research (FDA August 2020), representing the only investigational product thus far
with such a status. Already early during the pandemic, a small number of studies reported
promising results on the efficacy of CP treatment in patients with COVID-19 in different
clinical settings4,5. Despite multiple studies, including retrospective cohort studies, reporting
on significant benefits of CP treatment, two randomized controlled trials at the beginning of
2020 showed no overall clinical benefit 6,7, with both studies being terminated prematurely.
With a population just over 500,000 inhabitants and neighboring Brazil where high COVID19 disease incidence was reported, Suriname was confronted with a second COVID-19 wave
at the end of May 2020. Given the limited treatment options, we initiated a clinical trial to
evaluate clinical efficacy of CP treatment in patients with severe or life-threatening
COVID-19 in Suriname (SuriCovid trial).
Prior to initiating such a study in the low-resource setting of Suriname, significant logistical
challenges had to be to overcome, including the lack of conventional plasmapheresis
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
machines and lack of a local immune assay to quantify virus-specific and virus-neutralizing
antibodies (Abs). Furthermore, the optimal volume of CP for infusion as well as safety of
blooddonation for a CP donor were unknown. In this study, we made use of a gravity-driven
blood filter for CP production, called the HemoClear device8. To be able to identify shortterm treatment effects in the absence of extensive laboratory diagnostic capacity, changes in
oxygen balance and chest x-ray score (CXR) were assessed 2 days after CP therapy.
Here, we present the pre-planned interim analysis on Intensive Care Unit (ICU) outcome in
COVID-19 patients in Suriname after CP treatment.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Methods
This work is reported in adherence to the preferred STrengthening the Reporting of
OBservational studies in Epidemiology (STROBE) guidelines. This open-label, nonrandomized prospective clinical trial was performed at the Intensive Care Unit of Academic
Hospital Paramaribo and the Wanica Regional Hospital, Suriname, from June 2020 to
December 2020. Ethical approval was granted by the Suriname Ministry of Health’s Ethics
Review Board (registration number:IGAP02-482020; ISRCTN18304314) and was performed in
accordance with the declaration of Helsinki. Seventy-eight patients were included.
Study flow chart
After referral to the ICU, the patients were treated by supported therapy such as additional
respiratory and circulatory support. After being found elegible for additional CP treatment,
a selection to either standard treatment including dexamethasone or standard treatment
added with CP was started. The study flow chart in Figure 1 illustrates the study enrolment
and design.
Patients
Adult patients (>18 years) with severe or life-threatening COVID-19 were enrolled in the
trial. The eligibility criteria included written informed consent given by the patient or next-ofkin, a PCR confirmed diagnosis of COVID-19, and admittance to the ICU due to progressive
respiratory failure ranging between severe and life threatening ARDS based on the Berlin
classification9. For the interventional CP group , all patients admitted at the ICU who met the
inclusion criteria were approached and 28 patients who consented to CP infusion and standard
therapy were recruited to this arm. For the control group with standard therapy, patients were
included who did not consent to CP infusion or where there was no CP available. To account
for major confounding factors, the following variables were used: age, gender, comorbidities
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
including history of diabetes mellitus (DM) , hypertension (HTN), drugs, symptoms and
signs. In addition, both the controls and treatment groups received the same standard
concurrent treatment, which included administration of oral or intravenous dexamethasone at
a dose of 6 mg once daily, for up to 10 days. Eligible patients with severe and life threatening
COVID-19 were infused with two units of 220 ml CP once with the donated CP. For plasma
selection, ABO compatibility was considered, regardless of Rhesus factor status. CP
recipients were monitored for serious adverse effects (SAEs) of CP transfusion, including
anaphylaxis.
Data Collection
Data collection forms were developed to collect the data of all participants and included the
clinical, radiological and laboratory information that was retrieved from the hospital
electronic/paper records system. The data were cross-checked to ensure the minimization of
data entry errors by two investigators.
Chest X-rays were obtained at admission on the ICU and after two days of treatment. Chest
X-rays were evaluated using the CXR scoring system, which was specifically designed for
semi-quantitative assessment of lung involvement in COVID-1910,11. In the CXR scoring
system, six different lung zones are scored. Each lung zone was scored between 0 and 3,
leading to an overall “CXR-SCORE”, ranging from 0 to 18:
● Score 0 no lung abnormalities
● Score 1 interstitial infiltrates
● Score 2 interstitial and alveolar infiltrates (interstitial predominance)
● Score 3 interstitial and alveolar infiltrates (alveolar predominance).
Chest x-rays were examined immediately prior to (day 0) and two days after (day 2) CP
administration, or on day 0 and day 2 following inclusion in de the control group by two
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
independent radiologists blinded to group assignment. CXR scoring was based on radiological
improvement observed after treatment with convalescent plasma4,10.
Ventilation parameters, including pH, pCO2, pO2, FiO2, PaO2 / FiO2, were assessed on day
0 and day 2 for both groups, were used to measure oxygen balance changes as the calculated
PaO2/FiO2 (PF) ratio. This is the ratio of arterial oxygen partial pressure (PaO2 in mmHg) to
fractional inspired oxygen and is related to severity of disease and outcome by calculation the
Acute Respiratory Distress Syndrome scale9,12.
Convalescent plasma donor recruitment
CP donors were recruited from hospitalized adult (≥18y) patients who had recovered from a
PCR-confirmed SARS-CoV2 infection at the time of plasma donation. Eligibility criteria for
donating CP were a positive response measured as optical densitometry (OD) levels of the
anti-SARS-CoV-2 total IgG antibody Wantai test13, being at least 14 days asymptomatic
following resolution of COVID-19 and having two negative PCR-tests from nasopharyngeal
swabs. Prior to CP collection by the critical care team, written informed consent was obtained
from all donors. Following CP donation, all CP samples were screened using the standard
clinical and laboratory protocol used by the National Blood Bank of the Suriname Red Cross.
This includes screening for antibodies against potential transfusion transmitted infectious
diseases, i.e. HIV1/2, HBsAg, Hepatitis C virus, syphilis RPR, HTLV1/2 and Trypanosomi
cruzi. Upon donation, 500ml of CP was obtained from each donor.
Plasma Preparation Procedure and Quality Control
Convalescent plasma was obtained via plasmapheresis using HemoClear blood filters
(HemoClear BV, Zwolle, The Netherlands)14. In this method, whole blood is separated via
gravity-based sterile filtering through a multi-layered cross-flow
membrane module15. This offers a high yield of CP without loss of RBCs and was the only
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
available plasmapheresis method. The steps for plasma preparation are illustrated in Figure 2
(and Video S1).
By design the filtration process is maintained as a closed-loop system to prevent potential
contamination. The diluted blood was passed through the filter during two consecutive
filtration rounds. Plasma was collected one meter below the device level in the satellite
plasma bag. The blood cell components, diluted with saline 0.9%, were re-infused in the
donor. This procedure of blood donation and CP acquisition can then be repeated within the
same donor either immediately or on another day. There was no pooled storage after donation.
After harvesting, convalescent plasma was sent to the National Blood Bank of the Suriname
Red Cross for processing and storage. Plasma was stored at -25C according to the guidelines
for plasma storage16.
Statistical Analysis
Unless stated otherwise, all analyses are performed on the complete dataset. General
descriptive characteristics were assessed using SPSS for Windows (version 16.0; SPSS).
Differences between the two treatment groups were analysed with chi-square or the Fisher
exact test where suitable for categorical variables, and t-tests for continuous variables. The
differences in outcome measures, the survival analyses and the time to ICU dismissal were
performed in R-studio (RStudio Desktop 1.4.1106 open source, Boston, USA). CXR score
and PF ratio were summarized by presenting the median and spread in a boxplot. Differences
within the therapy group were analysed with a paired t-test, differences between the two
groups were analysed with an unpaired t-test. The mortality risk was assessed with the Kaplan
Meier method, and hazard ratios were calculated with a Cox proportional hazards model. A P
value of 0.05 was considered to represent significant difference. Statistical parameters are
reported directly in the figures and figure legends.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Results
Patients
A total of 78 patients were enrolled in the trial of which 28 (35.9%) received CP The mean
age of the patients was 53.0±14.3 years and 43 patients (55%) were male. There were no
significant differences in baseline characteristics between the CP intervention group and the
control group. The demographic, clinical factors and laboratory measurements between the
intervention (convalescent plasma) group and the control (dexamethasone) group are
described in table 1 and 2. Treatment allocation to the intervention group was biased due to
limited availability of donors; only part of ICU doctors were organising donations and
informed consents of the donors and patients were sceptic about this treatment option based
also on religious prohibitive rules. However there was a tendency towards more lifethreatening patients allocated to the intervention group than in the standard treatment group
(CP 42.9% vs 34%). After initial ICU admission, all patients started with standard treatment.
Convalescent plasma donors
All donors who were selected and screened according to the guidelines for CP donation tested
positive on qualitative testing for Abs. The mean OD(± sd) was 2.66 (± 0.23). Based on
studies available at the beginning of the trial, describing the relation between OD levels of the
CP in relation to its virus neutralizing efficacy together with the rather early harvesting after
illness of the donor, it was assumed to be effective CP 13,17.
Primary outcome: 28-Day Mortality
Survival probability was significantly higher in the CP group compared to the control group
with standard care (P=0.027) (Figure 3a). At day 28 on the ICU, mortality had occurred in
five out of 28 (18%) of the intervention group versus eighteen out of fifty (36%) in the control
group. When stratifying the therapy groups into disease severity as determined at baseline, the
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
survival probability in the control group with life-threatening disease was significantly lower
compared to the other three conditions, with a log-rank p-value of 0.0051 (Figure 3b). These
results suggest a protective effect of CP therapy, which is most pronounced in the lifethreatening group. Although there seems to be some effect of baseline disease severity on
mortality probability, this was not statistically significant and CP therapy remained positively
associated with reduction of mortality even when correcting for this. Univariate hazard ratios
and 95% CI and log-rank p-value revealed that age, the presence of diabetes, and the severity
of COVID-19 at baseline and treatment with CP had a significant impact on mortality (Table
S1). When corrected for these four significantly influencing covariates, a higher survival
probability was still found for the convalescent plasma intervention group, with a hazard ratio
(HR) of 0.22 (95%CI, 0.074-0.067) (Figure 3c). Age was the only other covariate that
increased the risk of mortality significantly (HR, 1.08 [95%CI, 1.022-1.14]; P = 0.006). The
severe COVID-19 group had a non-significant trend towards reduced mortality compared to
the life-threatening group with a HR of 2.39 [95% CI, 0.82-6.97]; P =0.11.
Secondary outcome: CRX score and PF ratio
Chest radiographic findings
To identify early changes in clinical response, the CXR score was determined for each patient
upon ICU admission (Day 0) and 48 hours after the treatment initiation (Day 2). For the
control group, no changes were observed in CXR score between day 0 and 2 in the severe
disease category (Day 0: 7.5 [4.8-11], Day 2: 8 [6-12], median change: 1 [-1 – 2], p=0.19), or
in the life-threatening category (Day 0: 11 [3-12], Day 2: 8 [4-13], median change: 0 [-3 – 2],
p=0.92 ) (Figure 4a). In the CP group, a downward trend was observed in both the severe
(Day 0: 9 [6.3-10]; Day 2: 7 [4.8-8.3], median change: -3 [-4 – -1.5], P=0.07) and lifethreatening (Day 0: 6 [5-6.8]; Day 2: 2.5 [2-3.8], median change: -3 [-4.8 – -1], P=0.07)
categories. The effect size was determined for both groups by calculating the difference in
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
CXR score between day 0 and day 2 (delta CXR) (Figure 4b). In the severe disease category,
the delta CXR after CP treatment, i.e. median -3 points, was significantly greater than in the
control group (median 1 point, P=0.0013). In the life-threatening disease group, no significant
improvement in CXR score was found between the CP (median -3 points) and control group
(median 0 points , P=0.48).
PF ratio
Besides changes in CXR score, we also evaluated the impact of CP on pulmonary oxygen
exchange capacity (PF ratio). Significant improvement of PF ratio (PFR) after 48 hours was
observed both in the control group (Day 0: 94.4 [75.4-126.5]; Day 2: 151.4 [100.3-231.8],
median change: 35.3 [14.6-83.3], P<0.001) as well as the CP group (Day 0: 150.8 [93.1300.5]; Day 2: 286.7 [201.7 – 390], median change: 100.25 [29.2-168], P=0.03) (Figure 5a).
In the life-threatening category, no improvement was observed in the control group (Day 0:
99.5 [81.3-132]; Day 2: 99.4 [74.8 – 183.8], median change: 18.5 [-19.9 – 48.6], P=0.26). An
upward trend was observed in the CP group (Day 0: 166.7 [97.0 – 236.1]; Day 2: 249 [189.2397.5], median change:110.5 [-3.5 – 231], P=0.08), but this just failed to reach statistical
significance.
A comparison of the PFR improvement after the standard (median 35.3) or CP treatment
(median 151.6) revealed a significantly greater improvement in severe CP group (P=0.011)
(Figure 5b). In the life-threatening group, no significant difference in PFR improvement was
found between the control (median 18.5) and convalescent plasma group (median 166.7,
P=0.63).
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Discussion
The COVID pandemic has had a major health and socio-economic impact on LMICs,
including Suriname. Many potential treatment options being developed in high-income
countries, including the use of CP, are not available in low-resource settings. Here, we report
the interim results of a non-randomized intervention trial in Suriname using COVID-19
convalescent plasma obtained via gravity-filtration. The primary outcome showed a
significantly higher ICU survival probability in the CP group compared to the control group,
with a hazard ratio of 0.22. Significant improvement was also observed for the secondary
endpoints, i.e. changes in PF ratio and CXR scores 48 hours after treatment over baseline, as
markers for early clinical treatment effects.
Based on 32 earlier studies on outbreaks of SARS coronavirus infection and severe influenza,
consistent evidence was found for beneficial effects of CP therapy on survival 18. The
mortality reduction that we observed is in line with other reports on CP treatment in severe
COVID-19 ICU patients. A review of nine studies showed that CP treatment significantly
reduced mortality of ICU patients with COVID-19, which was more pronounced in severely
ill patients than in critically ill patients. CP treatment in severe COVID-19 cases was
concluded to result in clinical improvement with limited adverse events19. In a propensity
score–matched control study of Mount Sinai, survival also improved in CP recipients,
including improvement of oxygenation20. However, in a prospective open label randomized
trial by Li performed in the Wuhan region in China, 28-day mortality was not significantly
reduced (15.7% vs 24.0%; OR, 0.65 ; 95% CI, 0.29-1.46; P =.30)21. In that study, clinical
improvement within 28 days was observed in the severe convalescent plasma
group compared to the control group, but not in the subgroup with life-threatening disease
(HR, 0.88; 95% CI, 0.30–2.63; P = 0.83). Since the interaction by disease severity failed to
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
reach statistical significance; Li concluded that there was no benefit overall of CP treatment6.
A recent randomized trial by Simonovich, no significant benefit of CP at 30 days with
regards to clinical outcome, with 11% mortality observed both in the CP group and in the
placebo group22. This is in contrast with our findings, where we observed a strong significant
overall effect of CP, which remained significant in the life-threatening group although with an
almost two fold increased risk on mortality when compared to the severe group.
Due to differences in healthcare, patient demographics, co-morbidities, circulating SARSCoV-2 variants and many other factors it is difficult to directly compare results from other
trials with our study. There may be several explanations for why we observed a strong
treatment effect. A key factor might be the composition of CP that was used 23,24. The
composition CP likely varies according to the method used to separate plasma from blood, i.e.
by mechanical centrifugation or by filtration25–27. During centrifugation, plasma factors may
be damaged or inactivated by shear forces generated by centrifugal or pressure forces 28. In
contrast, the gravity-based filtration method we used to produce CP is based on low pressure
and low shear forces. Moreover, the membrane pores are 3 to 10 times larger than those of
conventional plasmapheresis membranes, which may affect large molecules differently 26.
During the acute phase of SARS-CoV-2 infection, patients start producing antibodies
including IgA, IgM and IgG against viral epitopes. Whereas IgM antibodies wane rapidly
from circulation, IgG becomes the dominant antibody isotype in blood ≥6 weeks after initial
onset of disease 21. Additionally, blood from convalescent patients who were admitted to ICU
because of severe or life-threatening COVID-19 contained almost 4-8 fold higher antibody
concentrations than mild or moderate COVID-19 patients23. Since we isolated plasma from
convalescent ICU patients with a median of 3 weeks after recovery by gravity-filtration, it is
likely that CP from these donors contains higher concentrations of virus-neutralizing
antibodies, including IgM, than CP from patients who recovered from less severe COVID-19
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
disease isolated at a later stage after recovery. It has previously been reported that patients
that are severely affected with respiratory failure produce less IgM 29,30. At present not much
is known about the effective dose of CP and whether repetitive doses are required or not.
Mostly, CP dose is based on the practical supply of CP by blood banks as 220ml bags. In the
current trial, two doses of 220ml were infused on one day, which is higher than the study by
Li et al. where most patients received a single infusion of 200 ml of CP 31. The average age
of patients in the CP and control group in our study was 53 and 54 years, respectively, which
is much lower than in other studies where the mean age has been reported above 60 or even
70 years of age 32,33. Since increasing age was associated with reduced survival probability in
our study, age should be taken account when interpreting study results of CP therapy. The
effects of age may extend beyond CP treatment, since the cardiac surgery DECS trial
indicated that dexamethasone may only be beneficial in treating respiratory failure when
given to patients below 75 years of age34–36. A significant decrease in mortality was seen with
the use of dexamethasone for up to 10 days in patients requiring respiratory support as
described in the RECOVERY study1. The effect of prolonged immunomodulation could thus
be an asset in the recovery from severe or life threatening COVID-19 disease. This effect was
not observed in our control group, probably due to the already very high severity of COVID19 upon admission to the ICU. The increase of other clinical parameters such as PF ratio and
decrease of CXR score by resolving pulmonary oedema may represent first step in alleviating
the severity of respiratory failure, thereby increasing survival probability.
CP effects on mortality reduction were most obvious in the life-threatening group, which was
associated with early improvement in delta PF ratio and CXR score 48h after treatment
initiation. Although it remains unclear which plasma factor or combination thereof may drive
clinical improvement, it may be a direct effect of virus-neutralizing antibodies 37.
Alternatively, but not mutually exclusive, the rapid clinical improvement may also be due to
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
direct immunomodulatory effects of anti-inflammatory plasma factors such as C1-esterase38.
Restoring endothelial barrier function and improvement of alveolar-capillary oxygen
transmission and oxygen diffusion capacity are possible treatment effects of CP 39.
Studies on novel therapeutics interventions in LMICs, including the use of CP, are generally
faced with many practical barriers, both with regards to clinical and laboratory equipment.
For instance, centrifugation-based plasmapheresis requires sophisticated and difficult-totransport equipment. In the absence of such equipment, harvesting of CP in our study was
made possible by a novel filtration device, i.e. the HemoClear device. Although initially
indicated for blood salvage, the portable device proved an accessible method for plasma
collection in low-resource settings as there is no need for electricity and the device can be
used at the bedside. Both CXR and PF scoring may facilitate evaluation of efficacy of
treatments such as CP and clinical decision making in a LMIC setting. Although we have not
yet validated the use of chest x-ray as a surrogate method to evaluate the efficacy of CP,
results from our study are in line with the recent validation study by Borghesi, et al, which
showed that the CXR score was significantly higher in patients who died than those
discharged from the hospital. This suggests that CXR scoring may represent a useful and
practical tool to objectively score clinical improvement and identify early signs of
improvement40.
This study is limited by the non-randomised design, which may have resulted in differences
between the CP and the control group. As CP was not always readily available during the
second epidemic, selection bias could be present. Furthermore, CP therapy was initiated three
days after ICU admittance. As such, treatment bias may therefore exist since the CP group
consisted of more life-threatening patients than the control group. However, it should be
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
noted that this bias would be expected to decrease any beneficial effect of CP treatment. Since
we observed an opposite effect, one could argue that that CP was highly efficacious.
Another limitation is the relative small number of patients. Based on the results of this trial,
new patients are being enrolled which may provide further evidence on the potential
beneficial effects of CP. Further characterization of the CP used in this study is needed to
fully ascertain its efficacy and correlate variation in plasma factors to clinical outcome in CP
recipients.
In summary, COVID‐19 remains a global health threat and reliable treatment is crucial
for reducing mortality and the burden on global health care. Access to CP therapy in a lowresource setting was enabled by the novel filtration device Hemoclear, which was easy to
implement in an ICU setting and was used without adverse effects on both the donor as the
CP recipients 41,42. Equitable access to such methods allows readiness in case of viral
mutations or new pandemics. The use of simple and available methods such as chest x-ray
and calculated PF ratios allowed early assessment of treatment effects. SARS‐CoV‐2‐specific
therapies, including CP from recovered patients, could be highly effective options to treat
COVID‐19 in the absence of widespread vaccination. As such, CP therapy may help bridge
the gap until sufficient vaccination coverage has been reached.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Acknowledgements
We would like to thank Dion Osemwengie for her support in training on use of the blood
filter and contributions to the plasma acquisition protocol.
Data availability
The data used to support the findings of this study are available from the corresponding
author upon request.
Conflict of Interest
Arno P. Nierich is the inventor of the HemoClear filter and holds stock ownership in
HemoClear BV, Dr. Stolteweg 70, 8025 AZ Zwolle, Netherlands.
Funding Statement
This study was funded by the Academic Hospital Paramaribo, without additional third-party
funding.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
References
1.
Horby P, Lim WS, Emberson JR, et al. Dexamethasone in Hospitalized Patients with
Covid-19. The New England journal of medicine. 2021;384(8):693-704.
doi:10.1056/NEJMoa2021436
2.
van Paassen J, Vos JS, Hoekstra EM, Neumann KMI, Boot PC, Arbous SM.
Corticosteroid use in COVID-19 patients: a systematic review and meta-analysis on
clinical outcomes. Critical Care. 2020;24(1):696. doi:10.1186/s13054-020-03400-9
3.
Wang Y, Zhang D, Du G, et al. Remdesivir in adults with severe COVID-19: a
randomised, double-blind, placebo-controlled, multicentre trial. The Lancet. Published
online 2020. doi:10.1016/S0140-6736(20)31022-9
4.
Duan K, Liu B, Li C, et al. Effectiveness of convalescent plasma therapy in severe
COVID-19 patients. Proceedings of the National Academy of Sciences.
2020;117(17):9490-9496. doi:10.1073/pnas.2004168117
5.
Shen C, Wang Z, Zhao F, et al. Treatment of 5 Critically Ill Patients With COVID-19
With Convalescent Plasma. JAMA. Published online March 27, 2020.
doi:10.1001/jama.2020.4783
6.
Li L, Zhang W, Hu Y, et al. Effect of Convalescent Plasma Therapy on Time to
Clinical Improvement in Patients With Severe and Life-threatening COVID-19. JAMA.
2020;324(5):460. doi:10.1001/jama.2020.10044
7.
Gharbharan A. Convalescent Plasma for COVID-19. A randomized clinical trial.
medRxiv. Published online 2020.
8.
Hoetink A, Scherphof SF, Mooi FJ, et al. An in Vitro Pilot Study Comparing the
Novel HemoClear Gravity-Driven Microfiltration Cell Salvage System with the
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Conventional Centrifugal XTRATM Autotransfusion Device. Anesthesiology Research
and Practice. Published online 2020. doi:10.1155/2020/9584186
9.
ARDS Definition Task Force, Ranieri VM, Rubenfeld GD, et al. Acute respiratory
distress syndrome: the Berlin Definition. JAMA. 2012;307(23):2526-2533.
doi:10.1001/jama.2012.5669
10.
Borghesi A, Maroldi R. COVID-19 outbreak in Italy: experimental chest X-ray
scoring system for quantifying and monitoring disease progression. La radiologia
medica. 2020;125(5):509-513. doi:10.1007/s11547-020-01200-3
11.
Al Helali AA, Saeed GA, Elholiby TI, Kukkady MA, Mazrouei SS Al. Radiological
and clinical improvement in a patient with COVID-19 pneumonia postconvalescent
plasma transfusion: A case report. Radiology Case Reports. 2020;15(11):2171-2174.
doi:10.1016/j.radcr.2020.07.031
12.
Ferguson ND, Fan E, Camporota L, et al. The Berlin definition of ARDS: an
expanded rationale, justification, and supplementary material. Intensive Care Medicine.
2012;38(10):1573-1582. doi:10.1007/s00134-012-2682-1
13.
GeurtsvanKessel CH, Okba NMA, Igloi Z, et al. An evaluation of COVID-19
serological assays informs future diagnostics and exposure assessment. Nature
Communications. 2020;11(1):3436. doi:10.1038/s41467-020-17317-y
14.
Osemwengie D, Nierich A. Novel blood separation device enables production of
platelet-rich red blood cells and convalescent plasma. Anesthesia & Analgesia.
2020;September(SABM 2020 Annual Meeting Abstracts):13.
15.
Hoetink A, Scherphof SF, Mooi FJ, et al. An In Vitro Pilot Study Comparing the
Novel HemoClear Gravity-Driven Microfiltration Cell Salvage System with the
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Conventional Centrifugal XTRATM Autotransfusion Device. Anesthesiology Research
and Practice. 2020;2020:1-10. doi:10.1155/2020/9584186
16.
Storch EK, Custer BS, Jacobs MR, Menitove JE, Mintz PD. Review of current
transfusion therapy and blood banking practices 1. Published online 2019.
doi:10.1016/j.blre.2019.100593
17.
Salazar E, Christensen PA, Graviss EA, et al. Significantly Decreased Mortality in a
Large Cohort of Coronavirus Disease 2019 (COVID-19) Patients Transfused Early
with Convalescent Plasma Containing High-Titer Anti–Severe Acute Respiratory
Syndrome Coronavirus 2 (SARS-CoV-2) Spike Protein IgG. The American Journal of
Pathology. Published online November 2020:1-18. doi:10.1016/j.ajpath.2020.10.008
18.
Mair-Jenkins J, Saavedra-Campos M, Baillie JK, et al. The Effectiveness of
Convalescent Plasma and Hyperimmune Immunoglobulin for the Treatment of Severe
Acute Respiratory Infections of Viral Etiology: A Systematic Review and Exploratory
Meta-analysis. Journal of Infectious Diseases. 2015;211(1):80-90.
doi:10.1093/infdis/jiu396
19.
Wenjing L, Yuanzheng F, Li JY, Tang L v., Yu H. Safety and efficacy of
convalescent plasma therapy in severely and critically ill patients with COVID-19: A
systematic review with meta-analysis. Aging. Published online 2021.
doi:10.18632/aging.202195
20.
Liu STH, Lin HM, Baine I, et al. Convalescent plasma treatment of severe COVID19: a propensity score–matched control study. Nature Medicine. Published online
2020. doi:10.1038/s41591-020-1088-9
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
21.
Li L, Zhang W, Hu Y, et al. Effect of Convalescent Plasma Therapy on Time to
Clinical Improvement in Patients With Severe and Life-threatening COVID-19. JAMA.
2020;324(5):460. doi:10.1001/jama.2020.10044
22.
Simonovich VA, Burgos Pratx LD, Scibona P, et al. A Randomized Trial of
Convalescent Plasma in Covid-19 Severe Pneumonia. New England Journal of
Medicine. Published online 2020. doi:10.1056/nejmoa2031304
23.
Li L, Tong X, Chen H, et al. Characteristics and serological patterns of COVID‐19
convalescent plasma donors: optimal donors and timing of donation. Transfusion.
2020;60(8):1765-1772. doi:10.1111/trf.15918
24.
Joyner MJ, Senefeld JW, Klassen SA, et al. Effect of Convalescent Plasma on
Mortality among Hospitalized Patients with COVID-19: Initial Three-2 Month
Experience. medRxiv. Published online 2020. doi:10.1101/2020.08.12.20169359
25.
Wong HK, Lee CK, Hung IFN, et al. Practical limitations of convalescent plasma
collection: A case scenario in pandemic preparation for influenza A (H1N1) infection.
Transfusion. Published online 2010. doi:10.1111/j.1537-2995.2010.02651.x
26.
Daga Ruiz D, Fonseca San Miguel F, González de Molina FJ, Úbeda-Iglesias A,
Navas Pérez A, Jannone Forés R. Plasmapheresis and other extracorporeal filtration
techniques in critical patients. Medicina Intensiva (English Edition). Published online
2017. doi:10.1016/j.medine.2016.10.005
27.
Centoni PE, Liumbruno GM, Ceretelli S, et al. Quarantine Plasmapheresis: Donor’s
Recruitment Strategy and Safety. Blood. Published online 2004.
doi:10.1182/blood.v104.11.4097.4097
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
28.
Vincentelli A, Susen S, Le Tourneau T, et al. Acquired von Willebrand Syndrome in
Aortic Stenosis. New England Journal of Medicine. Published online 2003.
doi:10.1056/nejmoa022831
29.
Shen C, Wang Z, Zhao F, et al. Treatment of 5 Critically Ill Patients With COVID-19
With Convalescent Plasma. JAMA. Published online March 27, 2020.
doi:10.1001/jama.2020.4783
30.
Shen L, Wang C, Zhao J, et al. Delayed specific IgM antibody responses observed
among COVID-19 patients with severe progression. Emerging Microbes & Infections.
2020;9(1):1096-1101. doi:10.1080/22221751.2020.1766382
31.
Li L, Zhang W, Hu Y, et al. Effect of Convalescent Plasma Therapy on Time to
Clinical Improvement in Patients With Severe and Life-threatening COVID-19. JAMA.
2020;324(5):460. doi:10.1001/jama.2020.10044
32.
Libster R, Marc GP, Wappner D, et al. Early High-Titer Plasma Therapy to Prevent
Severe Covid-19 in Older Adults. https://doi.org/101056/NEJMoa2033700. Published
online 2021.
33.
Simonovich VA, Burgos Pratx LD, Scibona P, et al. A Randomized Trial of
Convalescent Plasma in Covid-19 Severe Pneumonia. New England Journal of
Medicine. Published online November 24, 2020:NEJMoa2031304.
doi:10.1056/NEJMoa2031304
34.
van Osch D, Dieleman JM, Nathoe HM, et al. Intraoperative High-Dose
Dexamethasone in Cardiac Surgery and the Risk of Rethoracotomy. Annals of Thoracic
Surgery. 2015;100(6). doi:10.1016/j.athoracsur.2015.06.025
35.
Dieleman JM. Intraoperative High-Dose Dexamethasone for Cardiac Surgery. JAMA.
2012;308(17):1761. doi:10.1001/jama.2012.14144
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
36.
Dieleman JM, de Wit GA, Nierich AP, et al. Long-term outcomes and cost
effectiveness of high-dose dexamethasone for cardiac surgery: a randomised trial.
Anaesthesia. 2017;72(6). doi:10.1111/anae.13853
37.
Luke TC, Casadevall A, Watowich SJ, Hoffman SL, Beigel JH, Burgess TH. Hark
back: Passive immunotherapy for influenza and other serious infections. Critical Care
Medicine. Published online 2010. doi:10.1097/CCM.0b013e3181d44c1e
38.
Thomson TM, Toscano-Guerra E, Casis E, Paciucci R. C1 esterase inhibitor and the
contact system in COVID-19. British Journal of Haematology. Published online 2020.
doi:10.1111/bjh.16938
39.
Wiersinga WJ, Rhodes A, Cheng AC, Peacock SJ, Prescott HC. Pathophysiology,
Transmission, Diagnosis, and Treatment of Coronavirus Disease 2019 (COVID-19).
JAMA. 2020;324(8):782. doi:10.1001/jama.2020.12839
40.
Borghesi A, Maroldi R. COVID-19 outbreak in Italy: experimental chest X-ray
scoring system for quantifying and monitoring disease progression. La radiologia
medica. 2020;125(5):509-513. doi:10.1007/s11547-020-01200-3
41.
Sabando Vélez BE, Plaza Meneses C, Felix M, et al. A practical approach for the
compassionate use of convalescent plasma in patients with severe COVID-19 in
developing countries. The Journal of Infection in Developing Countries.
2020;14(07):737-741. doi:10.3855/jidc.12827
42.
Smid WM, Burnouf T, Epstein J, et al. Points to consider in the preparation and
transfusion of COVID-19 convalescent plasma in low– and middle– income countries.
Africa Sanguine. 2020;22(2):5-7. doi:10.4314/asan.v22i2.3
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Tables
Table 1. Comparison of demographic and clinical factors between the intervention
(convalescent plasma) group and the control (dexamethasone) group
Variable
Control group
(N = 50)
Convalescent
plasma
(N = 28)
P value
Demographic characteristics
Age in years mean (sd)
52.5 (14.5)
53.8 (14.3)
0.71
Male sex n(%)
30 (60.0)
13 (48.1)
0.32
Body mass index, median [IQR]
30 [28 – 32]
32
[29 – 35]
0.19
Comorbidities n(%)
Diabetes Mellitus
15 (30.6)
12 (44.4)
0.23
Hypertension
23 (47.9)
15 (55.6)
0.53
Stroke
1 (2.1)
1 (3.7)
1.00
Renal disease
6 (12.5)
6 (22.2)
0.33
Ischemic heart disease
3 (6.4)
4 (14.8)
0.25
Drug usage n(%)
Oral diabetics
17(35.4)
10 (38.5)
0.80
Insulin
3 (6.4)
3 (11.1)
0.66
ACE-inhibitors
8 (17.0)
7 (25.9)
0.36
Angiotensin receptor blockers
3 (6.4)
1 (3.7)
0.62
Presence of symptoms n(%)
Fever
39 (78.0)
22 (81.5)
0.72
Dyspnea
44 (88.0)
24( 88.9)
1.00
Cough
25 (50.0)
18(
69.2)
0.11
Sputum
4 (8.2)
2 (7.4)
0.91
Loss of taste
7 (14.3)
6 (22.2)
0.53
Anosmia
7 (14.3)
5 (18.5)
0.75
Diarrhea
10 (20.4)
3 (11.1)
0.36
Vomiting
4 (8.3)
2 (7.4)
1.00
Acute renal failure
3 (6.3)
6 (23.1)
0.06
Covid Classification n(%)
0.44
Severe
33 (66.0)
16 (57.1)
Life-threatening
17 (34.0)
12 (42.9)
Abbreviations: ACE: angiotensine Converting Enzyme, IQR: interquartile range, sd: Standard
deviation
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Table 2. Comparison of Laboratory findings between the intervention (convalescent plasma)
group and the control (dexamethasone) group at baseline
Hematological parameters, value Control group
(95% CI)
(N = 50)
Hemoglobin, mmol/L
7.7
(7.1 – 8.4)
Hematocrit, %
37
(34 – 40)
Leukocytes, x 109/L
10.8
(7.7 – 14.8)
9
Lymphocytes, x 10 /L
1.1
(0.8 – 1.7)
9
Thrombocytes, x 10 /L
220
(177 – 309)
C-reactive protein, mg/L
14.3
(5.5 – 22.2)
Ferritin, mcg/L
1192
(679 – 1502)
D-Dimer, mg/L
225
(139 – 668)
Fibrinogen, g/L
5.4
(4.4 – 6.5)
APTT, sec
36.0
(32.9 – 40.8)
97
(70 – 129)
Creatinine, mol/L
Aspartate aminotransferase, U/L
42
(30 – 66)
Alanine aminotransferase, U/L
42
(25 – 56)
Lactate dehydrogenase, U/L
357
(260 – 443)
Creatin Kinase, U/L
127
(64 – 343)
Abbreviations: APTT = activated partial thromboplastin time.
Convalescent plasma
(N = 28)
7.3
(6.7 – 8.1)
36
(33 – 40)
10.6
(7.0 – 16.2)
1.0
(0.8 – 1.4)
242
(190 – 322)
16.4
(6.4 – 31.2)
1502
(704 – 1502)
333
(124 – 1060)
5.7
(5.0 – 6.9)
36.2
(29.0 – 40.2)
82
(63 – 117)
50
(30 – 69)
41
(31 – 54)
336
(268 – 460)
210
123 – 474)
P value
.26
.81
.76
.49
.52
.26
.20
.59
.12
.47
.08
.77
.96
.77
0.08
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Figures
Figure 1. Patient selection Flowchart with study enrolment and design
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Figure 2. Convalescent plasma collection method by means of the HemoClear system
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
3
+
+ +++++
+
+++ ++++
+
+
+ ++
100
Survival probability (%)
75
50
b.
100
+++
++
Survival probability (%)
a.
+ +
Strata
25
+
+
Dexa
Convalescent Plasma (CP)
+
50
25
p = 0.027
0
+
10
20
30
Days since IC admission
Number at risk
Dexa
50
11
2
1
1
1
CP
28
9
4
0
0
0
0
10
20
30
40
50
Days since IC admission
Therapy type
Standard Dexa
(N=50)
+ +
Strata
+ Dexa x Severe
+ CP x Severe
+ Dexa x Life threatening
+ CP x Life threatening
+
+
p = 0.0051
0
0
c.
75
+
+
++++++++
+
+ +
+++++
+++++ + +++
+
0
10
20
Days since IC admission
Number at risk
Dexa x Sev
CP x Sev
Dexa x LT
CP x LT
33
16
17
12
6
2
5
7
0
10
0
0
2
4
0
0
1
0
0
0
1
0
0
0
1
0
20
30
40
50
Days since IC admission
reference
Convalescent Plasma
0.22
(N=28)
(0.074 − 0.67)
COVID-19 severity
Severe
(N=49)
30
0.007 **
reference
Life−threatening
(N=29)
2.39
(0.820 − 6.97)
0.11
Age
(N=78)
1.08
(1.022 − 1.14)
0.006 **
Diabetes Mellitus
No
(N=49)
reference
Yes
(N=27)
1.44
(0.586 − 3.54)
0.426
# Events: 23; Global p−value (Log−Rank): 0.00010038
0.1
0.2
0.5
1
Hazard ratio
2
5
Figure 3. Survival probabilities during IC admission for convalescent plasma and standard dexa treatment group.
a) Kaplan Meier curve of complete dexa (n=50) and convalescent plasma (n=28) treatment groups. Right-censoring took
place when a person was dismissed from the IC before the last measured timepoint, death was counted as an event. The
longest IC admission duration in the convalescent plasma group was 27 days, while it was 50 days in the standard dexa
group. b) Kaplan Meier curve of both treatment groups, split into the COVID19 severity classification. Censoring took
place when a person was dismissed from the IC before the last measured timepoint, death was counted as an event. The pvalue of the log-rank signed test is reported directly in the figure. c) A multivariate cox proportional hazards analysis was
performed with the univariately significant vairables. Hazard ratios and 95%CI and log-rank p-value are reported.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
ure 4
a.
Severe
ns
b.
Life−threatening
10
Severe
ns
Life−threatening
**
Therapy group
Dexa
ns
CP
15
Standard Dexa
10
5
Delta CXR score (day 2 - day 0)
CXR score
5
0
0.07
0.07
15
Convalescent Plasma
10
5
0
−5
−10
0
0
2
0
2
Day of CXR score measurement
Dexa
CP
Dexa
Treatment group
CP
Figure 4. CXR score improvement in convalescent plasma and standard dexa treatment group. a)
Change of CXR score from day of IC admission (day0) and one day after treatment start (day2). The standard
dexa treatment (red) and convalescent plasma treatment (blue) groups are categorized into severe and lifethreatening at the time of IC admission, based on the COVID19 severity classification described by Ling et al.
Differences between the two time points were calculated using a two-sided paired t-test. b) The delta CXR
score in the standard dexa and convalescent plasma group. The delta CXR score is calculated by subtracting
the score of day 0 from the score on day 2. The differences between the two groups were calculated using an
unpaired t-test with variance correction, * p <0.05, **p<0.01, *** p<0.001. p-values of borderline significant
tests are reported directly in the figure. NS: not significant.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Figure 5
Severe
a.
***
500
b.
Life−threatening
Severe
Life−threatening
*
ns
Therapy group
Dexa
ns
CP
400
400
Standard Dexa
300
200
Delta PFR (day 2 - day 0)
200
PF ratio
100
*
0.08
500
Convalescent Plasma
400
300
200
0
−200
100
0
2
0
Day of PFR measurement
2
Dexa
CP
Dexa
Treatment group
CP
Figure 5. PF rate improvement in convalescent plasma and standard dexa treatment group. a) Change
of PFR from day of IC admission (day0) and one day after treatment start (day2). The standard dexa treatment
(red) and convalescent plasma treatment (blue) groups are categorized into severe and life-threatening at the
time of IC admission, based on the COVID19 severity classification described by Ling et al. Differences
between the two time points were calculated using a two-sided paired t-test. b) The delta PFR in the standard
dexa and convalescent plasma group. The delta PFR is calculated by subtracting the score of day 0 from the
score on day 2. The differences between the two groups were calculated using an unpaired t-test with variance
correction, * p <0.05, **p<0.01, *** p<0.001. p-values of borderline significant tests are reported directly in
the figure. NS: not significant.
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Age
BMI
Sex
COVID-19 severity classification
Treatment start day
Therapy type
D’dimers*
DeltaCXR*
DeltaPFR*
SAP*
DAP*
CRP*
Ferritin*
Fibrinogen*
Hb*
Creatin*
LDH*
Thrombos*
Hypertension
Ischemic heart disease
Diabets Mellitus
Kidney Failure
Stroke
HR
1.1
0.99
0.66
3
0.94
0.34
1
1
1
0.99
0.99
0.98
1
1
0.83
1
1
1
2.3
0.96
2.4
1.2
2.1
95%CI
(1-1.1)
(0.92-1.1)
(0.25-1.7)
(1-8.4)
(0.87-1)
(0.12-0.92)
(1-1)
(0.9-1.1)
(0.99-1)
(0.97-1)
(0.95-1)
(0.95-1)
(1-1)
(0.96-1)
(0.58-1.2)
(1-1)
(1-1)
(1-1)
(0.94-5.7)
(0.22-4.2)
(1-5.5)
(0.4-3.5)
(0.47-9.7)
p-value
0.0025
0.66
0.4
0.042
0.12
0.035
0.26
0.88
0.38
0.46
0.54
0.38
0.29
0.94
0.31
0.065
0.13
0.96
0.069
0.95
0.047
0.77
0.33
Table S1:univariate hazard ratios of patient specific variables on death during IC admission. A
univariate cox proportional hazards analysis was performed for each variable. Hazard ratio, 95%
confidence interval and p-value are described. Bolded variables are significantly associated with death
and included in the multivariate cox proportional hazards analysis, variables in italics are borderline
non-significant and not included in further analysis. The COVID-19 severity classification is based on
the classification described by Ling et al.*measured at time of IC admission
medRxiv preprint doi: https://doi.org/10.1101/2021.04.14.21255104; this version posted April 19, 2021. The copyright holder for this preprint
(which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.
It is made available under a CC-BY 4.0 International license .
Video S1: Infographic on the plasma collection method.
This video can also be found online at:
https://www.youtube.com/watch?v=gQGh-PtfBLk
|
|
https://openalex.org/W2798014810
|
https://europepmc.org/articles/pmc5932390?pdf=render
|
English
| null |
Policy-Led Comparative Environmental Risk Assessment of Genetically Modified Crops: Testing for Increased Risk Rather Than Profiling Phenotypes Leads to Predictable and Transparent Decision-Making
|
Frontiers in bioengineering and biotechnology
| 2,018
|
cc-by
| 6,783
|
PERSPECTIVE
published: 10 April 2018
doi: 10.3389/fbioe.2018.00043 *Correspondence:
Alan Raybould
alan.raybould@syngenta.com Specialty section:
This article was submitted to
Biosafety and Biosecurity,
a section of the journal
Frontiers in Bioengineering and
Biotechnology Specialty section:
This article was submitted to
Biosafety and Biosecurity,
a section of the journal
Frontiers in Bioengineering and
Biotechnology Specialty section:
This article was submitted to
Biosafety and Biosecurity,
a section of the journal
Frontiers in Bioengineering and
Biotechnology
Received: 30 January 2018
Accepted: 26 March 2018
Published: 10 April 2018 Keywords: risk assessment, genetically modified crops, regulatory policy, problem formulation, profiling,
hypothesis testing Received: 30 January 2018
Accepted: 26 March 2018
Published: 10 April 2018 1 Syngenta Crop Protection AG, Basel, Switzerland, 2 Plant Health Science Services, Canadian Food Inspection Agency,
Ottawa, ON, Canada Edited by:
Randall Steven Murch,
Virginia Tech, United States We describe two contrasting methods of comparative environmental risk assessment
for genetically modified (GM) crops. Both are science-based, in the sense that they
use science to help make decisions, but they differ in the relationship between science
and policy. Policy-led comparative risk assessment begins by defining what would be
regarded as unacceptable changes when the use a particular GM crop replaces an
accepted use of another crop. Hypotheses that these changes will not occur are tested
using existing or new data, and corroboration or falsification of the hypotheses is used to
inform decision-making. Science-led comparative risk assessment, on the other hand,
tends to test null hypotheses of no difference between a GM crop and a comparator. The variables that are compared may have little or no relevance to any previously stated
policy objective and hence decision-making tends to be ad hoc in response to possibly
spurious statistical significance. We argue that policy-led comparative risk assessment
is the far more effective method. With this in mind, we caution that phenotypic profiling of
GM crops, particularly with omics methods, is potentially detrimental to risk assessment. Reviewed by:
Jacqueline Fletcher,
Oklahoma State University,
United States
Laura Adam,
Ebiosec, Inc., United States
Stephen Allen Morse,
Centers for Disease Control and
Prevention (CDC), United States Reviewed by:
Jacqueline Fletcher,
Oklahoma State University,
United States
Laura Adam,
Ebiosec, Inc., United States
Stephen Allen Morse,
Centers for Disease Control and
Prevention (CDC), United States Defining Risk and Opportunity Risk may be expressed as a combination of the likelihood and
severity of harm that may arise from hazardous properties of
a proposed activity. Environmental risk assessors often think
of risk in terms of the potential exposure to the hazard that
can cause a harm, where potential exposure is the expression of
likelihood. Seriousness of harm is related to the degree of hazard,
but also contains subjective elements (see below). Risk is usually
difficult to quantify precisely, and most risk assessments rely on
qualitative assessments and expert judgment. If severe harm is
likely, risk is high; and if the most serious conceivable effect
is trivial and unlikely, then risk may be regarded as negligible. However, even a tiny probability of a harmful effect may be
regarded as high risk if the harmful effect is serious. A severe
decline in the population size of an endangered or iconic species
might be one such effect. Risk may also be regarded as non-
negligible if low severity events are predicted to occur frequently
(e.g., Slovic, 1999). Determining whether an activity poses acceptable risk requires
several difficult judgments. First, one must decide what would
be regarded as harmful effects of the activity and what would be
regarded as beneficial effects. In addition, one must decide how to
judge the severity of harm and the value of benefits. While science
may be used to limit the scope of discussions of harm and benefit
to plausible effects of the proposed activity (Raybould, 2010a), the
designation of an effect as harmful, beneficial or neither, and the
severity and value ascribed respectively to harmful and beneficial
effects of a particular size relies on non-scientific criteria. These
criteria may be based on personal values, an organization’s
objectives or public policy depending on who will make the
decision. For brevity, hereafter we refer to these non-scientific
criteria as “policy objectives.” Similar considerations apply to the opportunities that may
arise from an activity. Opportunity is high if very valuable
benefits are likely to arise, such as shifts to more sustainable
agricultural practices as have been seen in Canada with the
widespread adoption of GM herbicide-tolerant (GMHT) canola
varieties. Defining Risk and Opportunity Use of tillage by growers prior to seeding for weed
control for canola appears to have been eliminated and the
significant shift to minimum and zero tillage systems has
reduced soil erosion, resulted in higher carbon sequestration in
production areas, reduced the need for herbicide applications
and created net economic benefits for growers (Gusta et al.,
2011; Smythe et al., 2011). Opportunity is negligible if the most
valuable benefit is unlikely and of low value, such as cultivation
of a GM drought tolerant crop in an area where precipitation is
almost never yield limiting. Opportunity may still be regarded
as high if beneficial effects are unlikely, but would be hugely
valuable if they arose. The reduction of a non-target effect to
a highly beneficial or iconic insect species that may only rarely
co-occur with crop production could be considered as highly
beneficial. This may occur if cultivation of the GM crop reduces
the spraying of pesticides, either directly through endogenous
insect protection or indirectly by carrying a disease tolerance
that reduces the need to spray for an insect vector of the disease. Significant opportunity may also accrue from frequent events of
relatively low value. The second difficult judgment is how one will weigh risk and
opportunity. One must consider whether certain effects should be
unacceptable regardless of the size of the opportunity or whether
the largest net opportunity will always be the preferred option. In
addition, one will need a method for evaluating net opportunity
when benefits and harms may be very different; how, for example,
does one evaluate the net opportunity if growing a certain crop is
expected to increase yield but reduce other ecosystem services (de
Groot et al., 2010). The above considerations show the importance of setting clear
policy objectives in order to ensure that the scientific parts of
risk assessment answer questions that are useful for decision-
makers rather than questions that scientists may find interesting
(Hill and Sendashonga, 2003; Evans et al., 2006). In practice,
even with policy direction, such as a policy objective on the
conservation of biodiversity, risk assessors rely on professional
judgment when they weigh evidence in what is often a qualitative
process and make a number of “micro policy judgments”
while conducting the assessment. Citation: It follows that even severe risks may be acceptable provided the
opportunities are high enough, and that an increase in risk many
be acceptable provided it is outweighed by increased opportunity. In practice, determining the acceptability of risk for the
cultivation of a GM crop is made difficult by the need to balance
complicated sector needs with a broader public good. The 1993
Canadian Regulatory Framework for Biotechnology (Industry
Canada, 1998; Gabler, 2008), for example, attempts to articulate
guiding principles for how decisions could be structured. The
framework captures the idea that any regulatory decisions should
enable innovation, but also protect the environment and the
health and well-being of citizens. Governments often have
competing internal interests where departments of environment
may view the opportunities for cultivating GM crops differently
from Departments of Agriculture who see the acceptable risks
and benefits of agriculture with a more commercial perspective. Citation: Raybould A and Macdonald P (2018)
Policy-Led Comparative
Environmental Risk Assessment of
Genetically Modified Crops: Testing for
Increased Risk Rather Than Profiling
Phenotypes Leads to Predictable and
Transparent Decision-Making. Front. Bioeng. Biotechnol. 6:43. doi: 10.3389/fbioe.2018.00043 Regulatory risk-management of GM crops often uses comparative risk assessment to inform
decision-making. Decisions may include whether to allow cultivation or importation of a particular
crop in the relevant jurisdiction, and whether any conditions need to be placed on those uses if they
are permitted. Comparative risk assessment contextualizes the risk by comparing the risks posed by
the cultivation of the GM crop with the risks posed by the cultivation of the non-GM counterpart. If the risk assessment indicates that cultivating a GM crop poses no greater environmental risk
than cultivating the non-GM counterpart, then it might be thought that cultivating the GM crop April 2018 | Volume 6 | Article 43 Frontiers in Bioengineering and Biotechnology | www.frontiersin.org Policy-Led ERA for GM Crops Raybould and Macdonald decision-making, the course of action posing the highest net
opportunity—the opportunity minus the risk—must be selected. It follows that even severe risks may be acceptable provided the
opportunities are high enough, and that an increase in risk many
be acceptable provided it is outweighed by increased opportunity. In practice, determining the acceptability of risk for the
cultivation of a GM crop is made difficult by the need to balance
complicated sector needs with a broader public good. The 1993
Canadian Regulatory Framework for Biotechnology (Industry
Canada, 1998; Gabler, 2008), for example, attempts to articulate
guiding principles for how decisions could be structured. The
framework captures the idea that any regulatory decisions should
enable innovation, but also protect the environment and the
health and well-being of citizens. Governments often have
competing internal interests where departments of environment
may view the opportunities for cultivating GM crops differently
from Departments of Agriculture who see the acceptable risks
and benefits of agriculture with a more commercial perspective. poses no unacceptable risk. However, judging the acceptability
of a risk goes beyond the scientific comparison of relative risks. In order to make this point, we discuss definitions of risk,
opportunity and acceptability. We concentrate on environmental
risk assessment and GM crops, but our discussion is pertinent to
risk assessment and decision-making more generally. decision-making, the course of action posing the highest net
opportunity—the opportunity minus the risk—must be selected. Defining Risk and Opportunity Indeed, the promotion of
“science-based risk assessment” (= science-led in our terms)
(e.g., Andow and Hilbeck, 2004; Kuntz et al., 2013) could
lead to the mistaken and pernicious idea that it is desirable
to eliminate consideration of policy objectives and judgment
from risk assessment. Such thinking is almost guaranteed
to produce controversy and paralyze decision-making (e.g., Risk Hypotheses and Decision-Making
Criteria At their most conservative, the risk hypotheses will be
that no harmful effect will result from the proposed activity. If these hypotheses are corroborated under rigorous testing
using information from reputable sources, including data from
laboratory or field tests, the risk managers can be confident
that the proposed activity poses negligible risk, and then use
that conclusion in their decision-making. Less conservative risk
hypotheses acknowledge the probability and contextualize the
impact of any harmful effect; that is, the hypotheses under test
would be that the risk does not exceed a threshold of acceptability. The threshold may be set to be the same as the risk posed
by similar activities, or higher risk could be tolerated if the
activity provides greater opportunities; for example, greater risk
might be acceptable for cultivation of a GM crop that provides
higher yield or improved quality than the crops it will replace. Rigorous corroboration of the hypotheses would indicate that the
risks could be placed in the context of those from comparable
activities, such as the cultivation of a non–GM crop that has a
similar trait, even though the risks may not be negligible. That
conclusion would contribute to decision-making. In essence, regulatory risk assessments should test hypotheses
that help risk managers to make good decisions about whether to
permit particular activities. Problem formulation is the process FIGURE 1 | Conceptual models of science-led and policy-led risk assessment. Judging the Acceptability of Risk g
g
p
y
Judging the acceptability of risk requires a method to weigh the
opportunities against the risks of the activity under consideration
(Sanvido et al., 2012). Under ethical decision-making, if a risk
exceeds an acceptability threshold, then the risk is unacceptable
regardless of the size of the opportunity. Under utilitarian April 2018 | Volume 6 | Article 43 Frontiers in Bioengineering and Biotechnology | www.frontiersin.org 2 Policy-Led ERA for GM Crops Raybould and Macdonald Raybould, 2010b). Instead, “policy-led risk assessment” ought to
be the aim (Figure 1). by which these risk hypotheses, and plans to test them, are
devised. While we concentrate on environmental risk posed by
the cultivation of GM crops, our comments are relevant to any
regulatory decision-making that makes use of risk assessment. In this article, we explore the implications of a change of
emphasis from science to policy on two aspects of comparative
environmental risk assessment of GM crops that are of current
interest: problem formulation and the use of profiling data from
various omics techniques. While we focus on regulatory decision-
making about GM crops, our remarks are relevant to all crops
with novel phenotypes, however they are produced, and to other
types of decision-making, such as choosing which products to
develop (Macdonald, 2014). In regulatory environmental risk assessment, decision-
making criteria should relate to the probability and severity
of environmentally harmful effects arising from the proposed
activity covered by the regulations. In the case of GM crops,
the proposed activity will be cultivation of a specified GM crop
in a particular place, perhaps with other stipulations such as
whether certain crop-protection chemicals will be applied to the
crop. The definition of what is harmful is a matter for the risk
managers based on their interpretation of the policy objectives of
the legislation that the regulations are designed to implement. Placing Risks in Context of Current
Practice Similarly, a hypothesis that growing a certain
GM crop will poses no unacceptable risk, is really a hypothesis
that any increase in risk caused by growing the GM crop will be
acceptable, either because the increase falls below a threshold of
acceptability or because the additional opportunities created by
growing the crop are worth the risk. As “no additional harm”
sets a higher standard than “no unacceptable increase in risk,”
testing a hypothesis of no additional harm may be regarded as
rigorous testing of a hypothesis of no unacceptable increase in
risk provided other factors that determine acceptability of risk,
such as the size of the opportunity, are unchanged. A hypothesis that growing a GM crop will cause no
unacceptable increase in risk is useful in a least three respects. First, corroboration or falsification of this hypothesis is valuable
to risk managers. Second, it shows that GM regulation
follows the Principles of Regulation by not treating GM crops
differently from other agricultural practices. Finally, it is useful
to risk assessors, because if “unacceptable risk” is sufficiently
operationalized, risk assessors have clarity about the data they
need in order to conduct the risk assessment, namely data that
test the hypothesis of no unacceptable risk. Policy-led risk assessment would approach the problem
by defining, at the very least, general trends that would be
regarded as harmful changes in the weed flora; harmful meaning
detrimental to achieving policy objectives. One might define
harm of cultivating the GMHT canola as an increase in the
abundance of specific species of economically damaging weeds,
or a decrease in abundance of specific species that may have
aesthetic or nature-conservation value, compared with their
abundance under conventional management (e.g., Pimentel et al.,
2001). Another option would be the incorporation of some
decision-making criteria into the definitions; thus, one might
define the threshold of unacceptable harm as a 50% increase in
the abundance of noxious weed X or as a 25% decrease in the
abundance of endangered species Y. Consider a proposal to cultivate a new variety of GMHT
canola that is likely to replace long-standing cultivation of a
non-GM (“conventional”) canola. Also, suppose that the effects
of recommended herbicide applications to the GMHT canola
fall under regulations covering GM crops and the effects of
recommended herbicide application to the conventional canola
are covered by pesticide regulations. Placing Risks in Context of Current
Practice In theory, regulations could specify that certain effects are
harmful if they are caused by the cultivation of GM crops but
are not harmful if caused by other activities. However, such
definitions of harm would violate accepted standards of good
regulatory practice. The OECD (2014) describes eight Principles
of Regulation, and defining effects as harmful only if they are
caused by GM crops would violate at least three of them: Principle
2 that regulations must have a sound legal and empirical basis;
Principle 4 that regulations must minimize market distortions;
and Principle 7 that regulations should be consistent with other
regulations and policies. Hence, definitions of acceptable risk for
GM crops should consider what is regarded as acceptable for
other agricultural practices. Many publications have concluded that conceivable harmful
environmental effects from cultivating GM crops are of the same
type as those from growing non-GM crops (e.g., Tiedje et al.,
1989; NRC, 2002; Perry et al., 2004; Lemaux, 2009). Hence, a
hypothesis that growing a certain GM crop will cause no harm,
is really a hypothesis that growing the GM crop will cause no FIGURE 1 | Conceptual models of science-led and policy-led risk assessment. April 2018 | Volume 6 | Article 43 Frontiers in Bioengineering and Biotechnology | www.frontiersin.org 3 Policy-Led ERA for GM Crops Raybould and Macdonald imaginations of the researchers in devising ways to categorize
difference. However, few or even none of these differences may
have any relevance to regulatory policy objectives. Consequently,
cataloging differences is at best an inefficient way to conduct risk
assessment, because effort is wasted on measurements of no value
for decision-making. At worst it is ineffective and potentially
counterproductive because decisions are made ad hoc in response
to statistical significance, which can easily be spurious when
many variables are measured (Benjamini and Hochberg, 1995;
Leek et al., 2017), rather than after serious consideration of what
the objectives of agricultural and environmental policies ought
to be. We could call this behavior PARKing—Policymaking After
the Results are Known—based on Kerr’s (1998) term HARKing
for Hypothesizing After the Results are Known. greater harm than the current practice that cultivation of the GM
crop may replace. Placing Risks in Context of Current
Practice A possible effect of switching
from conventional canola to the GMHT canola is a change in the
abundance and species diversity of weeds owing to variation in
their sensitivity to the different herbicides used on these crops
(e.g., Perry et al., 2004; Wilson et al., 2007). In assessing the
risks posed by cultivating the GMHT canola, the Principles of
Regulation suggest that it would be unreasonable to compare the
weed flora in the GMHT canola regime with the weed flora if
no herbicides were used; the comparison ought to be with the
conventional herbicide management. Prior definition of decision-making criteria means that
experiments can be designed to rigorously test risk hypotheses. One could envisage, for example, testing a hypothesis that the
abundance of noxious weed X will not increase by more than
50% by testing a hypothesis that it is at least as sensitive to
the herbicide that will be applied to the GMHT canola as it
is to the herbicides applied to conventional canola. Such a
targeted test of a policy-relevant hypothesis would be entail vastly
more efficient and effective parameters for data collection than
would untargeted comparisons of the weed floras of GMHT and
conventional canola. With best practices, risk assessors will contextualize the risks
for cultivating the GMHT canola and compare that with the
harm from the cultivation of conventional canola. In the risk
assessment, the risk assessor will consider that cultivation of a
monoculture and the management of a crop in an agricultural
production system reduces biodiversity and has an impact on
the environment. The crop plant itself has a suite of traits that
result in the production of compounds that create environmental
effects and influence ecosystem services. In the comparative risk
assessment, the risk assessor will evaluate the relative impacts
of the two phenotypes and evaluate whether the addition of the
new trait creates harms that exceed those already imposed by the
cultivation of the existing crop. In this scenario, the evaluation
does not insist the results of growing the two crops be identical,
only that the probability or severity of a harm is not increased. Frontiers in Bioengineering and Biotechnology | www.frontiersin.org April 2018 | Volume 6 | Article 43 Assessing Risks Rather Than Measuring
Differences Identifying a fair comparator is only a partial solution to the
problem of formulating a useful risk hypothesis. Countless
changes in the weed flora are theoretically possible when
switching from conventional to GMHT weed management. Science-led risk assessment (Figure 1) might approach this
problem by setting up multiple field trials at many sites over
many years to measure the change in the weed flora when GMHT
replaces conventional management; in effect, the hypothesis
under test would be one of no difference between the weed floras
of conventional and GMHT canola. Comparing
weed
diversity
and
abundance
between
conventional and GMHT canola will almost inevitably reveal
numerous statistically significant differences (e.g., Heard et al.,
2003a,b), with the number limited only by the size of the
experiments, the sensitivity of the measuring techniques and the Policy-led risk assessment can target risk management to
make interventions in order to realize benefits and reduce harms. In testing the risk hypothesis that the endangered species Y will April 2018 | Volume 6 | Article 43 April 2018 | Volume 6 | Article 43 Frontiers in Bioengineering and Biotechnology | www.frontiersin.org 4 Policy-Led ERA for GM Crops Raybould and Macdonald not decrease by more than 25%, testing may reveal that the
species is more sensitive to the GMHT herbicide than to the
conventional canola herbicide. This finding could trigger a search
for changes to management techniques that ensure weeds are
still adequately controlled while minimizing exposure of species
Y to the herbicide, perhaps by altering the proposed timing,
rate or method of its application (e.g., Thompson et al., 1991). In contrast, unfocussed risk assessment may reveal potential
changes in the abundance of numerous species without any
attempt to contextualize the risk. Faced with such a finding,
risk managers may simply refuse to approve the GMHT canola
(Sanvido et al., 2011), thereby foregoing opportunities and not
necessarily reducing risk—although they may have reduced the
probability of change. damage, and attributes of grain or fiber quality depending on the
crop (Horak et al., 2007). The aim of these studies is to identify
differences between the GM crop and its comparator that need
further evaluation in order to characterize risk to human and
animal health and to the environment from using the GM crop
(Kuiper et al., 2001; Nap et al., 2003). Assessing Risks Rather Than Measuring
Differences Although not routinely required for regulatory testing,
profiling of GM crops can also be carried out at the molecular
level,
using
transcriptomics,
proteomics
or
metabolomics
(Kuiper et al., 2003). The value of these methods, along with
characterization of the epigenome, for crop improvement has
recently been discussed by the National Academies of Sciences,
Engineering and Medicine (NAS, 2016). Our purpose here is not
to evaluate the technical feasibility of molecular profiling, but to
discuss whether profiling approaches generally are valuable in
risk assessment of GM crops. In summary, problem formulation for comparative risk
assessment of GM crops should consider two important
elements. First, the comparison should be consistent with the
Principles of Regulation. The effects of using the GM crop should
be compared with agricultural practices that these uses will
replace. Second, the selection of the hypotheses to be tested in
the risk assessment should always be policy-led and informed
by science. Policy-led risk assessment will guide risk assessors to
develop hypotheses of known relevance to the final regulatory
decision and suggest experiments that are required to improve
decision-making rather than satisfying scientific curiosity. The
combination of hypotheses based on prior agreement of decision-
making criteria and rigorous testing maximizes the chances
that risk managers will make decisions that fulfill agricultural
and environmental policy objectives. Risk communication will
also be improved. Science-led risk assessment, on the other
hand, leads to PARKing: ad hoc decision-making based on
whatever differences happen to reach statistical significance in
comparisons of many variables. These decisions are unlikely
to meet wider policy objectives. They are also likely to create
controversy because decisions appear to be fixed by selecting
particular data rather than after a debate about what the
objectives of policy ought to be (e.g., Sarewitz, 2004). A claimed advantage of profiling methods is that they are
unbiased (Kuiper et al., 2003). They make no assumptions about
how the GM crop might differ from its non-GM counterpart. In addition, unbiased approaches make no judgment about
what differences might be important in indicating that using
the GM crop may pose greater risk than similar uses of
the comparator. Hence, profiling approaches are science-led
evaluations of potential differences with all the problems that
entails (Figure 1). In the early days of GM crop development, there was
significant uncertainty about the extent to which transformation
of
plants
could
lead
to
unintended
changes. PROFILING IN RISK ASSESSMENT In the example above, we proposed that rigorous testing of
targeted hypotheses is a more efficient and effective approach to
risk assessment than are untargeted tests of null hypotheses of no
difference between a GM and a non-GM cropping system. The
latter approach makes use of profiling—the characterization of a
system by describing a combination of many of its attributes. It is important to recognize that comparing nutrients is policy-
led risk assessment because protecting human and animal health
is a policy objective. To keep the risk assessment policy-led,
however, it is important that the substances tested really are
determinates of health. If the most extreme conceivable change
in the amount of a substance would have no material effect on
health, then that substance should be of no concern for policy-
led risk assessment, and comparing its concentration in the GM
and non-GM crop should not be necessary to determine risk. Assessing Risks Rather Than Measuring
Differences Hence,
compositional and phenotypic profiling of GM crops made
sense as methods to explore the extent of these changes: testing
the hypothesis that transformation introduces no unintended
changes was a useful tool for basic research into the effects of
transgenesis and also for risk assessors struggling to characterize
products of new technology. In retrospect, however, there was always a need to ensure
that these studies were placed in context when used to inform
the risk assessment. In practice, this has generally been the
case when a GM crop and its non-modified counterpart are
compared. For example, as changes in the nutritional value
of a crop could be harmful to human and animal health, the
risk assessor determines whether the amounts of key nutritional
components are statistically different between the GM and
non-GM comparator. If statistically significant differences are
identified, the assessor will ask whether the amounts in the GM
crop fall into the normal range for that crop. If they do, the
differences will generally be disregarded. April 2018 | Volume 6 | Article 43 Profiling Using Omics Methods The introduction of molecular profiling methods into regulatory
risk assessments would only increase the pervasiveness of
unfocussed data generation rather than policy-led attitudes to
risk assessment. Additional data generation will often pose
questions for which there are no ready answers leading to a
continuing need to produce yet more data. The ability to find
differences between a GM crop and its non-GM comparator is
virtually limitless, creating endless opportunities for PARKing. Advocates of molecular profiling may argue that the methods
could show that variation between GM and non-GM plants as
a class is insignificant compared with variation among non-
GM plants. However, this misses the point. The purpose of
regulatory risk assessment is not to make general points about
a technology or class of products, it is to evaluate whether the
risks posed by a specific use of a specific product are acceptable. Acceptability of risk is ultimately a policy decision, and anything
that promotes policymaking as an ad hoc response to possibly
spurious statistically significant differences, rather than careful
deliberation about delivering agreed societal objectives, should be
discouraged. However, while lack of bias in testing a hypothesis is a
virtue in risk assessment, as in all basic and applied science,
lack of bias in selecting the hypotheses to be tested is a grave
weakness: we should be strongly biased toward hypotheses
that help decision-making and realization of policy objectives. Without this bias, policy may be formulated in response to trivial
differences, perhaps influenced by ill-informed indignation that
a GM crop, unsurprisingly, differs from a non-GM comparator
in some respect. It is this very lack of bias that we believe makes
science-led risk assessment vastly less effective than the policy-led
alternative. In
advocating
policy-led
risk
assessment,
we
do
not
underestimate the difficulties agreeing on policy objectives. Disagreement about what comprise beneficial or harmful effects
of using certain GM crops is rife, even within organizations
that develop and regulate them. However, sooner or later policy
objectives have to be set in order to make decision-making
feasible and hence risk assessment efficient and effective. While
defining these objectives may be controversial, such controversy
is likely to be less than that produced by making policy ad hoc in
response to possibly spurious statistically significant differences
identified by untargeted profiling methods. Ultimately, decision-
makers have to decide based on their individual or organizational
policy objectives. AUTHOR CONTRIBUTIONS Comparative risk assessment is a valuable method for making
risk assessment tractable, provided that it is policy-led rather
than science-led. Ideally, policy-led comparative risk assessment
for a GM crop would define effects that comprise unacceptable All authors listed have made a substantial, direct and intellectual
contribution to the work, and approved it for publication. Profiling Using Omics Methods This responsibility cannot be outsourced to
statistical algorithms processing vast amounts of profiling
data. Finally, our point is not that omics methods can never have
value in regulatory risk assessment. If measurements of specific
transcripts, proteins or metabolites are a good test of a hypothesis
that a given use of a given GM crop does not pose an unacceptable
increase in risk, then the measurements may have value for
regulatory decision-making. However, using the methods simply
to create profiles will be a serious impediment to moving from
science-led to policy-led risk assessment and decision-making. Historic and Current Use of Profiling in
Risk Assessment Profiling of GM crops is used widely in risk assessment. Compositional analysis typically tests for statistically significant
differences between the GM crop and a near-isogenic comparator
variety in the amounts of 60–80 nutrients and anti-nutrients
(Herman
and
Price,
2013). Phenotypic
characterization
compares 30 or more aspects of germination, plant growth
and development, morphology, reproduction, disease and pest Without prior definitions of important changes, science-led
profiling can encourage the idea that producing more data April 2018 | Volume 6 | Article 43 April 2018 | Volume 6 | Article 43 Frontiers in Bioengineering and Biotechnology | www.frontiersin.org 5 Raybould and Macdonald Policy-Led ERA for GM Crops increases in risk from its use. The comparison would be with the
acceptable effects of a similar crop in a similar agricultural system
that is likely to be replaced by use of the GM crop. inevitably leads to better risk assessment. Statistically non-
significant comparisons of thousands of substances may appear
to be a more convincing demonstration of negligible risk than
is the lack of difference in a few key nutrients. However, unless
it is possible to specify values of particular variables that would
show a policy-led risk hypothesis to be false, the data are
of no relevance for drawing conclusions about risk. Finally,
profiling may also understate the importance of policy in risk
assessment and decision-making. It seems to promote the idea
that if sufficient data are collected, uncertainty will be diminished
and the “correct” policy toward the use of GMOs will become
obvious. Defining an unacceptable increase in risk enables the
formulation of testable hypotheses for risk assessment. At their
most conservative, the hypotheses will be that certain effects are
no more likely to occur, and if they do occur, are no more severe
than those caused by use of the crop that will be replaced. Only
data that test such hypotheses, that is, are able to show them to be
false, are useful for such policy-led risk assessment. The alternative method of comparative risk assessment
dispenses with policy objectives and makes numerous tests of the
null hypothesis that the GM crop does not differ from the crop
that it will replace. Such “science-led” risk assessment makes no
judgment about the importance of the variables being measured. Proponents of this method of risk assessment see this unbiased
nature of the risk assessment as a strength (e.g., Kuiper et al.,
2003). de Groot, R. S., Alkemade, R., Braat, L., Hein, L., and Willemen, L. (2010).
Challenges in integrating the concept of ecosystem services and values in Benjamini, Y., and Hochberg, Y. (1995). Controlling the false discovery rate:
a practical and powerful approach to multiple testing. J. R. Stat. Soc. B 57,
289–300. Andow, D., and Hilbeck, A. (2004). Science-based risk assessment for nontarget
effects of transgenic crops. BioScience 54, 637–649. doi: 10.1641/0006-
3568(2004)054[0637:SRAFNE]2.0.CO;2 Benjamini, Y., and Hochberg, Y. (1995). Controlling the false discovery rate:
a practical and powerful approach to multiple testing. J. R. Stat. Soc. B 57,
289–300.
de Groot, R. S., Alkemade, R., Braat, L., Hein, L., and Willemen, L. (2010).
Challenges in integrating the concept of ecosystem services and values in Benjamini, Y., and Hochberg, Y. (1995). Controlling the false discovery rate:
a practical and powerful approach to multiple testing. J. R. Stat. Soc. B 57,
289–300. REFERENCES Reducing uncertainty in regulatory decision-making for
transgenic crops: more ecological research or clearer environmental risk
assessment? GM Crops 1, 25–31. doi: 10.4161/gmcr.1.1.9776 Heard, M. S., Hawes, C., Champion, G. T., Clark, S. J., Firbank, L. G., Haughton, A. J., et al. (2003b). Weeds in fields with contrasting conventional and genetically
modified herbicide-tolerant crops. II. Effects on individual species. Philos. Trans. R. Soc. Lond. B 358, 1833–1846. doi: 10.1098/rstb.2003.1401 Sanvido, O., Romeis, J., and Bigler, F. (2011). Environmental change challenges
decision-making
during
post-market
environmental
monitoring
of
transgenic crops. Transgenic Res. 20, 1191–1201. doi: 10.1007/s11248-011-
9524-8 Herman, R. A., and Price, W. D. (2013). Unintended compositional changes in
genetically modified (GM) crops: 20 years of research. J. Agric. Food Chem. 61,
11695–11701. doi: 10.1021/jf400135r Hill, R. A., and Sendashonga, C. (2003). General principles for risk assessment
of living modified organisms: lessons from chemical risk assessment. Environ. Biosafety Res. 2, 81–88. doi: 10.1051/ebr:2003004 Sanvido, O., Romeis, J., Gathmann, A., Gielkens, M., Raybould, A., and Bigler,
F. (2012). Evaluating environmental risks of genetically modified crops –
ecological harm criteria for regulatory decision-making. Environ. Sci. Policy 9,
82–91. doi: 10.1016/j.envsci.2011.08.006 Horak, M. J., Rosenabum, E. W., Woodrum, C. L., Martens, A. B., Mery, R. F., Cothren, J. T., et al. (2007). Characterization of Roundup Ready flex
cotton, “MON 88913”, for use in ecological risk assessment: evaluation of seed
germination, vegetative and reproductive growth, and ecological interactions. Crop Sci. 47, 268–277. doi: 10.2135/cropsci2006.02.0063 Sarewitz, D. (2004). How science makes environmental controversies worse. Environ. Sci. Policy 7, 385–403. doi: 10.1016/j.envsci.2004.06.001 Slovic, P. (1999). Are trivial risks the greatest risks of all? J. Risk Res. 2, 281–288. doi: 10.1080/136698799376727 Industry Canada (1998). The 1998 Canadian Biotechnology Strategy: An Ongoing
Renewal Process. Ottawa, ON: Industry Canada. Smythe, S. J., Gusta, M., Belcher, K., Phillips, P., and Castle, D. (2011). Environmental impacts from herbicide tolerant canola production in Western
Canada. Agric. Syst. 104, 403–410 doi: 10.1016/j.agsy.2011.01.004 Kerr, N. L. (1998). HARKing: hypothesizing after the results are known. Pers. Soc. Psychol. Rev. 2, 196–217. doi: 10.1207/s15327957pspr0203_4 Thompson, J. F., Stafford, J. V., and Miller, P. C. H. (1991). Potential for
automatic weed detection and selective herbicide application. Crop Protection
10, 254–259. doi: 10.1016/0261-2194(91)90002-9 Kuiper, H. A., Kleter, G. A., Noteborn, H. P., and Kok, E. J. (2001). Assessment of
the food safety issues related to genetically modified foods. Plant J. 27, 503–528. doi: 10.1046/j.1365-313X.2001.01119.x Tiedje, J. M., Colwell, R. REFERENCES Andow, D., and Hilbeck, A. (2004). Science-based risk assessment for nontarget
effects of transgenic crops. BioScience 54, 637–649. doi: 10.1641/0006-
3568(2004)054[0637:SRAFNE]2.0.CO;2 Andow, D., and Hilbeck, A. (2004). Science-based risk assessment for nontarget
effects of transgenic crops. BioScience 54, 637–649. doi: 10.1641/0006-
3568(2004)054[0637:SRAFNE]2.0.CO;2 April 2018 | Volume 6 | Article 43 Frontiers in Bioengineering and Biotechnology | www.frontiersin.org 6 Raybould and Macdonald Policy-Led ERA for GM Crops landscape planning, management and decision making. Ecol. Complex. 7,
260–272. doi: 10.1016/j.ecocom.2009.10.006 landscape planning, management and decision making. Ecol. Complex. 7,
260–272. doi: 10.1016/j.ecocom.2009.10.006 NAS (National Academies of Sciences, Engineering, and Medicine) (2016). Genetically Engineered Crops: Experiences and Prospects. Washington, DC: The
National Academies Press. j
Evans, J., Wood, G., and Miller, A. (2006). The risk assessment–policy gap: an
example from the UK contaminated land regime. Environ. Int. 32, 1066–1071. doi: 10.1016/j.envint.2006.06.002 NRC (National Research Council) (2002). Environmental Effects of Transgenic
Plants. Washington, DC: National Academy Press. Gabler, M. (2008). Intergovernmental Relations in Food Biotechnology Governance:
Complementary
Disentanglement
in
Regulation
with
Collaboration
in
Food Safety and Inspection. Queens’ University Institute of Governmental
Relations
working
paper. Available
online
at
http://www.queensu. ca/iigr/sites/webpublish.queensu.ca.iigrwww/files/files/WorkingPapers/
PublicHealthSeries/gablerpaperfinal.pdf (Accessed 2 April 2018). OECD (Organisation for Economic Cooperation and Development) (2014). The
Governance of Regulators, OECD Best Practice Principles for Regulatory Policy. Paris: OECD Publishing. Perry, J. N., Firbank, L. G., Champion, G. T., Clark, S. J., Heard, M. S., May,
M. J., et al. (2004). Ban on triazine herbicides likely to reduce but not
negate the relative benefits of GMHT maize cropping. Nature 428, 313–316. doi: 10.1038/nature02374 Gusta, M., Smyth, S., Belcher, K., Phillips, P., and Castle, D. (2011). Economic
benefits of genetically-modified herbicide-tolerant canola for producers. AgBioForum 14, 1–13. Available online at: http://agbioforum.org/v14n1/
v14n1a01-smyth.pdf Pimentel, D., McNair, S., Janecka, J., Wightman, J., Simmonds, C., O’Connell,
C., et al. (2001). Economic and environmental threats of alien plant,
animal,
and
microbe
invasions. Agric. Ecosyst. Environ. 84,
1–20. doi: 10.1016/S0167-8809(00)00178-X Heard, M. S., Hawes, C., Champion, G. T., Clark, S. J., Firbank, L. G., Haughton, A. J., et al. (2003a). Weeds in fields with contrasting conventional and genetically
modified herbicide-tolerant crops. I. Effects on abundance and diversity. Philos. Trans. R. Soc. Lond. B 358, 1819–1832. doi: 10.1098/rstb.2003.1402 Raybould, A. (2010a). The bucket and the searchlight: formulating and testing risk
hypotheses about the weediness and invasiveness potential of transgenic crops. Environ. Biosafety Res. 9, 123–133. doi: 10.1051/ebr/2011101 Raybould, A. (2010b). Frontiers in Bioengineering and Biotechnology | www.frontiersin.org REFERENCES K., Grossman, Y. L., Hodson, R. E., Lenski, R. E.,
Mack, R. N., et al. (1989). The planned introduction of genetically engineered
organisms: ecological considerations and recommendations. Ecology 70,
298–315. doi: 10.2307/1937535 Kuiper, H. A., Kok, E. J., and Engel, K.-H. (2003). Exploitation of molecular
profiling techniques for GM food safety assessment. Curr. Opin. Biotechnol. 14,
238–243. doi: 10.1016/S0958-1669(03)00021-1 Kuntz, M., Davison, J., and Ricroch, A. E. (2013). What the French ban of Bt
MON810 maize means for science-based risk assessment. Nat. Biotechnol. 31,
498–500. doi: 10.1038/nbt.2613 Wilson,
R. G.,
Miller,
S. D.,
Westra,
P.,
Kniss,
A. R.,
Stahlman,
P. W., Wicks, G. W., et al. (2007). Glyphosate-induced weed shifts in
glyphosate-resistant
corn
or
a
rotation
of
glyphosate-resistant
corn,
sugarbeet, and spring wheat. Weed Technol. 21, 900–909. doi: 10.1614/
WT-06-199.1 Leek, J., McShane, B. B., Gelman, A., Colquhoun, D., Nuijten, M. B., and
Goodman, S. N. (2017). Five ways to fix statistics. Nature 551, 557–559. doi: 10.1038/d41586-017-07522-z Conflict of Interest Statement: During the writing of this paper AR was employed
by Syngenta and PM was employed by the Canadian Food Inspection Agency. Lemaux, P. G. (2009). Genetically engineered plants and foods: a scientist’s
analysis of the issues (part II). Annu. Rev. Plant Biol. 60, 511–559. doi: 10.1146/annurev.arplant.043008.092013 Macdonald, P. (2014). Genetically modified organisms regulatory challenges and
science: a Canadian perspective. J. Verbraucher Lebensmittelsicherheit 9(Suppl. 1), S59–S64. doi: 10.1007/s00003-014-0893-9 Copyright © 2018 Raybould and Macdonald. 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 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. Nap, J. P., Metz, P. L., Escaler, M., and Conner, A. J. (2003). The
release
of
genetically
modified
crops
into
the
environment. Part
I. Overview
of
current
status
and
regulations. Plant
J. 33,
1–18. doi: 10.1046/j.0960-7412.2003.01602.x April 2018 | Volume 6 | Article 43 Frontiers in Bioengineering and Biotechnology | www.frontiersin.org
|
https://openalex.org/W3135544514
|
https://www.researchsquare.com/article/rs-92844/v1.pdf?c=1631873122000
|
English
| null |
Comparative analysis of perinatal outcomes and birth defects amongst adolescent and older Ugandan mothers: evidence from a hospital-based surveillance database
|
Reproductive health
| 2,021
|
cc-by
| 6,695
|
Robert Serunjogi
(
rserunjogi@mujhu.org
) Makerere University – Johns Hopkins University Research Collaboration
https://orcid.org/0000-0002-8694-1359
Linda Barlow-Mosha Diana Valencia
Centers for Disease Control and Prevention Diana Valencia
Centers for Disease Control and Prevention Sarah C. Tinker
Centers for Disease Control and Prevention Sarah C. Tinker
Centers for Disease Control and Prevention Michelle R. Adler
Centers for Disease Control and Prevention Michelle R. Adler
Centers for Disease Control and Prevention Joyce Namale-Matovu
Makerere University - Johns Hopkins University Research Collaboration Joyce Namale-Matovu
Makerere University - Johns Hopkins Unive Joyce Namale-Matovu
Makerere University - Johns Hopkins University Research Collaboration Dennis Kalibbala
Makerere University - Johns Hopkins University Research Collaboration Philippa Musoke
Makerere University - Johns Hopkins University Research Collaboration & Makerere University College of Health Sciences Abstract Background: Uganda has one of the highest adolescent pregnancy rates in sub-Saharan Africa. We compared the risk of adverse birth
outcomes between adolescents (age 12-19 years) and older mothers (age 20-34 years) in four urban hospitals. Methods: Maternal demographics, HIV status, and birth outcomes of all live births, stillbirths, and spontaneous abortions delivered from August
2015 to December 2018 were extracted from a hospital-based birth defects surveillance database. Differences in the distributions of maternal
and infant characteristics by maternal age groups were tested with Pearson’s chi-square. Adjusted odds ratios (aORs) and 95% Confidence
Intervals (CI) were calculated using logistic regression to compare the prevalence of adverse birth outcomes among adolescents to older
mothers. Results: A total of 100,189 births were analyzed, with 11.1% among adolescent mothers and 89.0% among older mothers. Adolescent mothers
had an increased risk of preterm delivery (aOR: 1.14; CI: 1.06-1.23), low birth weight (aOR: 1.46; CI: 1.34-1.59), and early neonatal deaths (aOR:
1.58; CI: 1.23-2.02). Newborns of adolescent mothers had an increased risk of major external birth defects (aOR: 1.33; CI: 1.02-1.76),
specifically, gastroschisis (aOR: 3.20; CI: 1.12-9.13) compared to older mothers. The difference between the prevalence of gastroschisis among
adolescent mothers (7.3 per 10,000 births; 95% CI: 3.7-14.3) was statistically significant when compared to older mothers (1.6 per 10,000 births;
95% CI: 0.9-2.6). Results: A total of 100,189 births were analyzed, with 11.1% among adolescent mothers and 89.0% among older mothers. Adolescent mothers
had an increased risk of preterm delivery (aOR: 1.14; CI: 1.06-1.23), low birth weight (aOR: 1.46; CI: 1.34-1.59), and early neonatal deaths (aOR:
1.58; CI: 1.23-2.02). Newborns of adolescent mothers had an increased risk of major external birth defects (aOR: 1.33; CI: 1.02-1.76), specifically, gastroschisis (aOR: 3.20; CI: 1.12-9.13) compared to older mothers. The difference between the prevalence of gastroschisis among
adolescent mothers (7.3 per 10,000 births; 95% CI: 3.7-14.3) was statistically significant when compared to older mothers (1.6 per 10,000 births;
95% CI: 0.9-2.6). Conclusions: This study found that adolescent mothers had an increased risk for several adverse birth outcomes compared to older mothers,
similar to findings in the region and globally. Interventions are needed to improve birth outcomes in this vulnerable population. Research DOI: https://doi.org/10.21203/rs.3.rs-92844/v1 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 on March 4th, 2021. See the published version at https://doi.org/10.1186/s12978-
021-01115-w. Page 1/13 Page 1/13 Plain English Summary Adolescent pregnancies are a global problem occurring in high-, middle-, and low-income countries with Uganda having one of the highest
adolescent pregnancy rates in sub-Saharan Africa. We compared the risk of adverse birth outcomes, including major external birth defects,
between adolescents (age 12–19 years) and older mothers (age 20–34 years) in four urban hospitals. All informative births, including live births, stillbirths, and spontaneous abortions; regardless of gestational age, delivered at four selected
hospitals in Kampala from August 2015 to December 2018 were examined. Demographic data were obtained by midwives through maternal
interviews and review of hospital patient notes. Of the 100,189 births, 11.1% were among adolescent mothers and 89.0% among older mothers. Adolescent mothers were more likely than older
mothers to have an infant with preterm delivery, low birthweight, early neonatal death, and major external birth defects. Adolescent pregnancies
were also associated with an increased risk of gastroschisis when compared to older mothers. In conclusion, this study found that adolescent mothers had an increased risk for several adverse birth outcomes compared to older mothers. Research on the potential underlying causes or mechanisms for these adverse outcomes among adolescent pregnancies is necessary to
identify possible interventions. Methods We extracted and analyzed verified data collected between August 2015 and December 2018 from an ongoing birth defects surveillance
system implemented at four major hospitals in Kampala, Uganda.[14] These hospitals have approximately 50,000 births annually, which make
up more than 55% of all births in Kampala. The details of the birth defects surveillance system are described elsewhere. [14] Briefly, this birth
defects surveillance system collected information from hospital records including: demographic (maternal age, delivery site), maternal health
(maternal HIV status, obstetric history), and birth outcome (mode of delivery, pregnancy outcome, infant sex, gestational age, and infant
examinations). Information on maternal HIV status and antiretroviral therapy was obtained from antenatal records and inpatient hospital
records. Information on all live births, stillbirths, and spontaneous abortions was collected between the time of birth and discharge which
usually occurs within the first 24 hours after delivery.[14] Infants born outside the four hospitals and uninformative macerated stillbirths were
not included in the surveillance system. We defined adolescent births as those occurring in women 12–19 years of age at delivery and births among older women as those occurring in
women 20–34 years of age at delivery. There were no births to women younger than 12 years of age. We defined gestational age as the interval
between the date of delivery and the last menstrual period (LMP) in completed weeks; if the LMP was unknown or missing, a clinical estimate
of gestational age was used, such as estimates from fundal height or abdominal ultrasound. We defined preterm delivery as live births
occurring at gestations of less than 37 weeks. Low birth weight (LBW) was defined as an infant weighing less than 2,500 g measured within 24
hours after birth using digital scales among term (≥ 37 weeks) live births. Early neonatal death (ENND) was defined as death among live
neonates born at term during the first 48 hours or before the mother was discharged from the hospital. Stillbirth was defined as a baby born
with no signs of life at or after 28 weeks' gestation, while a spontaneous abortion was defined as fetal death at less than 28 weeks' gestation. Birth defects were confirmed through bedside examination by a physician and review of photographs, narrative descriptions, and or drawings
by a birth defects expert who verified or reassigned the diagnosis code. Details of the birth defect ascertainment and classification have been
described previously. Methods [14] Data were analyzed using STATA version 15 statistical software (StataCorp. 2017. College Station, TX: StataCorp LLC). Descriptive statistics of
maternal and infant characteristics by maternal age group were calculated as frequencies and percentages, and the differences between
proportions were tested with Pearson’s chi-square test. We used multivariable logistic regression analysis to estimate crude and adjusted odds ratios (cORs and aORs, respectively) along with their
95% confidence intervals (CIs) for the associations between adolescent pregnancies and adverse birth outcomes with the 20–34 years age
group as the reference. Separate multivariable logistic regression models were generated for preterm birth, LBW, ENND, each major birth defect
category (neural tube defects, malformations of the eyes and ears, orofacial clefts, and malformations of the musculoskeletal system), and
each of the 16 specific birth defects. The analysis of preterm birth was limited to live births; while that of LBW and ENND was limited to term
live births. The following covariates were considered for adjustment: parity, mode of delivery, singleton/multiple delivery, number of antenatal
visits, and initiation time of prenatal care. The specific covariates used in each model were selected based on previous studies, [6, 15–18] and
excluded possible collider variables. Birth prevalence per 10,000 births for seven categories of major external birth defects and 16 specific birth defects[14] was calculated by
maternal age group along with 95% Wilson’s CIs. Introduction Pregnancies among 15–19 year old females account for 16 million (11%) births worldwide yet they contribute to 23% of the maternal disease
burden attributed to pregnancy and childbirth.[1, 2] The highest prevalence of adolescent pregnancy is found in the sub-Saharan African region,
with birth rates of 101 births per 1,000 females aged 15–19 years in 2018, higher than the global adolescent birth rate of 44 per 1,000.[3]
Uganda has one of the youngest populations in sub-Saharan Africa, with children and adolescents 12–19 years constituting more than half
(55%) of the population in 2014,[4] and one of the highest adolescent pregnancy rates (25%) in sub-Saharan Africa.[5] Despite a decline in the
fertility rate in Uganda from 6.9 in 2000 to 5.4 in 2016, and an increase in the use of modern contraception from 18% in 2000 to 35% in 2016,
adolescent pregnancy remains a challenge with only 7.6% of adolescents having access to contraceptives. [5] Although previous studies have generally found a higher risk of adverse birth outcomes such as preterm birth, low birthweight (LBW), early
neonatal deaths (ENND), and birth defects associated with adolescent births, [1, 6–12], few have been conducted in developing countries of
sub-Saharan Africa. In addition, the conclusions of these studies were drawn based on data collected from small sample sizes [13] and
therefore may not be representative of the general population. Most studies[9, 13] that have reported birth outcomes among adolescent
pregnancies in Sub-Saharan Africa have not reported the magnitude of major external birth defects. Therefore, using a large dataset obtained from an ongoing hospital-based birth defect surveillance study, we compared the occurrence of
adverse birth outcomes (preterm birth, LBW, and ENND), including the rates and prevalence of specific major external birth defects among
adolescent mothers (12–19 years) and older mothers (20–34 years) in Uganda, a low-middle income setting. The findings from this study Page 2/13 Page 2/13 would therefore be used as a benchmark for researchers and policymakers to understand the current estimate of the burden of adverse birth
outcomes among adolescent pregnancies in a low-income Sub-Saharan African country. would therefore be used as a benchmark for researchers and policymakers to understand the current estimate of the burden of adverse birth
outcomes among adolescent pregnancies in a low-income Sub-Saharan African country. Discussion In this study, we observed that adolescent mothers were more likely to have an infant with the adverse birth outcome of preterm delivery, LBW,
ENND, or a major external birth defect such as gastroschisis as compared to older mothers. Previous studies have also found an increased risk
for preterm delivery in adolescent pregnancies,[6, 13, 15] which could be attributable to the maternal-fetal competition for nutrients that arises
when pregnancy coincides with continuing or incomplete growth in adolescents.[20] Our study finds that adolescent mothers were more likely to deliver LBW babies is consistent with results from the Uganda Demographic Health
Survey 2011.[21] That survey also identified infants born with LBW to be at increased risk of neonatal death,[22] highlighting the risks
associated with LBW in this population. The LBW observed among infants born to adolescent mothers could have been due to factors such as
inadequate maternal nutrition, or the related but distinct issue of inadequate weight gain during pregnancy,[16] which were not assessed in our
study. Comparable to findings from a study exploring the impact of early motherhood on neonatal mortality in 45 low and middle-income countries,
our study showed that ENNDs in full-term babies occurred more frequently among adolescent mothers.[7] In contrast, a World Health
Organization (WHO) multi-country survey across 29 countries in Africa, Asia, Latin America, and the Middle East found that ENND among
infants born to adolescent mothers was not significantly different from mothers aged 20–24 years, after controlling for confounders.[6] This
difference may be related to restriction in the WHO study to mothers aged 24 years or younger who gave birth to an infant of at least 22 weeks’
gestation as compared to mothers ≤ 34 years in our analysis and the WHO study’s classification of ENND as intra-hospital deaths that
occurred within 7 days after birth as compared to deaths within 48 hours in our analysis. In this study, adolescent mothers were more likely to deliver a newborn with a birth defect when compared with older mothers. These findings
are consistent with findings from studies in North America and Europe.[23, 24] Our findings of a higher birth defects prevalence estimate (per 10,000 births) among adolescent mothers compared to older mothers is
consistent with findings from a population-based prevalence study using data from EUROCAT congenital anomaly registers in 23 regions of
Europe in 15 countries.[24] However, I Zile and A Villerusa et al. Results [Figure 1] The prevalence estimates (per 10,000 births) of 10 birth defects (Encephalocele,
microcephaly, anophthalmia; microphthalmia, all oral-facial clefts, talipes equinovarus, limb reduction defects, omphalocele, and gastroschisis)
were higher among adolescent mothers, however, only the difference between the prevalence of gastroschisis among adolescent mothers (7.3
per 10,000 births; 95% CI: 3.7-14.3) was statistically significant when compared to older mothers (1.6 per 10,000 births; 95% CI: 0.9-2.6). [Figure
1] Adolescent mothers had a higher prevalence of birth defects (67.1 per 10,000 births, 95% CI: 53.5-84.2) compared to older mothers (49.7 per
10,000 births, 95% CI: 45.3-54.5). The odds of major external birth defects were higher among adolescents in comparison to older mothers
(aOR: 1.36; 95% CI: 1.02-1.80; p=0.032). Talipes equinovarus was the most prevalent major external birth defect among adolescent mothers
(19.9 per 10,000 births; 95% CI: 13.2-30.2). [Figure 1] The prevalence estimates (per 10,000 births) of 10 birth defects (Encephalocele, microcephaly, anophthalmia; microphthalmia, all oral-facial clefts, talipes equinovarus, limb reduction defects, omphalocele, and gastroschisis)
were higher among adolescent mothers, however, only the difference between the prevalence of gastroschisis among adolescent mothers (7.3
per 10,000 births; 95% CI: 3.7-14.3) was statistically significant when compared to older mothers (1.6 per 10,000 births; 95% CI: 0.9-2.6). [Figure
1] Adolescent mothers were significantly more likely to have an infant born with microcephaly and gastroschisis. However, after adjustment for
parity and initiation time of prenatal care, only gastroschisis (aOR: 3.20; 95% CI: 1.12-9.13) remained significantly associated with adolescent
pregnancy (Table 3). Musculoskeletal defects (aOR: 1.69; 95% CI: 1.15-2.50) and malformations of eyes and ears (aOR: 3.09; 95% CI: 1.01-9.42)
were also significantly higher among adolescent births compared to those from older mothers (Table 3). Results A total of 96,938 pregnancies with 100,189 births among mothers 12 to 34 years of age were captured. Of these, 11,028 (11.1%) births were
among adolescent mothers and 89,161 (89.0%) births were among older mothers. Table 1 shows the maternal and infant characteristics by
age group. The proportion of mothers with HIV infection was significantly lower in adolescent mothers (p<0.001) but a significantly higher
proportion of HIV-infected adolescents had not initiated on antiretroviral therapy (ART) by the time of delivery compared to older mothers
(p<0.001). Adolescent mothers were less likely to have attended any antenatal care (ANC), attended the recommended four or more antenatal
visits, [19] or attended the first antenatal visit within the first trimester (p<0.001) compared to older mothers. Also, adolescents were more likely
to have been referred from another health center for delivery, contributing 70% of referred women. Adolescent mothers were also more likely
than older mothers to be primipara, have vaginal deliveries, and have singleton deliveries (p<0.001). Adolescent mothers were significantly more likely than older mothers to have preterm (<37 weeks) live births (aOR: 1.14; 95% CI: 1.06-1.23,
p=0.001) (Table 2). Among live births delivered at term, adolescents were at higher risk of delivering a LBW infant (aOR: 1.46; 95% CI: 1.34-1.59; Page 3/13 Page 3/13 p<0.001) and early neonatal death (aOR: 1.58; 95% CI: 1.23-2.02; p<0.001) (Table 2). Adolescents were also more likely to have a spontaneous
abortion (cOR:1.37 95% CI: 1.19-1.58; p<0.001), but after adjusting for confounders the association was not statistically significant (Table 2). p<0.001) and early neonatal death (aOR: 1.58; 95% CI: 1.23-2.02; p<0.001) (Table 2). Adolescents were also more likely to have a spontaneous
abortion (cOR:1.37 95% CI: 1.19-1.58; p<0.001), but after adjusting for confounders the association was not statistically significant (Table 2). Adolescent mothers had a higher prevalence of birth defects (67.1 per 10,000 births, 95% CI: 53.5-84.2) compared to older mothers (49.7 per
10,000 births, 95% CI: 45.3-54.5). The odds of major external birth defects were higher among adolescents in comparison to older mothers
(aOR: 1.36; 95% CI: 1.02-1.80; p=0.032). Talipes equinovarus was the most prevalent major external birth defect among adolescent mothers
(19.9 per 10,000 births; 95% CI: 13.2-30.2). Study Strengths This study’s strengths include a large sample size, which made it possible to assess the association between adolescent pregnancy and
possible risk factors of adverse birth outcomes. In addition, our study used an active birth defects case ascertainment and collection of data to
ensure accuracy and improved birth defect detection and reporting versus extraction of data from medical records. Also, the physical
examination of newborns by trained staff and several levels of external birth defect review ensured consistent birth defect classification and
coding. Unlike other studies that only include live births,[23, 25] this study included stillbirths, spontaneous abortions, and live births which minimized
selection bias especially since some structural birth defects commonly occur among stillbirths thereby giving more accurate risks and birth
prevalence estimates among the different age groups. Discussion [30] We found that a significantly higher proportion of HIV-infected adolescents were not on ART at conception or delivery compared to older
women, which is consistent with findings from the Uganda Population-Based HIV Impact Household-based National Survey.[28] Maternal HIV
infection has been shown to be associated with increased rates of adverse pregnancy outcomes such as LBW, prematurity, and ENND [29], and
the lower prevalence of ART use among HIV-infected adolescents would further exacerbate the situation because it translates to a potential
increased risk of MTCT of HIV among adolescents compared to older mothers justifying the need to strengthen services for this population. [30] cOR Crudes Odds Ratio; aORs:Adjusted odds ratios; CI:Confidence Intervals; LBW:low birthweight; ENND:Early Neonatal Deaths; MTCT:Mother to
Child Transmission; ANC:Antenatal care; ART:Antiretroviral therapy; WHO:World Health Organization; CDC:Centers for Diseases Control and
Prevention; HIV:Human immunodeficiency virus; LMP:Last menstrual period; US:United States; IQR:Inter-quartile range; NTD:Neural tube
defects; ICD-10 RCPCH:International Classification of Disease 10, Royal College of Paediatrics and Child Health Study Limitations Study limitations include surveillance activities being conducted at four major urban hospitals located in the capital city and is not
representative of adolescent pregnancies nationally.[5] Secondly, because infants were not followed post-discharge, we captured only ENND
that occurred within 48 hours of birth. The standard definition of ENND is death within seven days of delivery so infants that died between
discharge and seven days of life was not accounted for, resulting in a possible underestimation of ENND. Finally, this study did not control for several risk factors known to influence reproductive health outcomes such as social-economic status, level
of education, tobacco smoking, alcohol drinking, maternal nutrition, and the use of folic acid since this information was not captured in the
surveillance. [18, 31] Conclusion Our study is one of the few studies reporting adverse birth outcomes among adolescent women in sub-Saharan Africa.[32] Our results
corroborate previous findings in developed countries on birth outcomes and demonstrate that adolescent pregnancy is a risk factor for several
neonatal adverse birth outcomes. With the growing population and high rates of adolescent pregnancy in Africa, the number of adverse birth
outcomes is likely to increase and thereby remain a key public health concern.[5] Further research on individual, socio-cultural, environmental, economic, and health service-related factors are required to identify practicable
and scalable measures to decrease adolescent pregnancy and to identify and reduce obstacles that discourage the use of qualified antenatal
services, that would prevent or reduce adverse reproductive outcomes such as neonatal deaths, low birth weight, birth defects, and mother to
child transmission of HIV. The establishment of dedicated adolescent-friendly antenatal care programs would help improve neonatal and
adolescent health,[33] and, better understand associated risk factors and the impact of younger maternal age on pregnancy outcomes. It is
critical to monitor trends in birth outcomes and prevalence of major external birth defects across age groups to inform health-care policies and
to plan for needed services among the affected population. Research on the potential underlying causes or mechanisms for these adverse
outcomes among adolescent pregnancies is necessary to identify possible interventions. Discussion (2013), from a study based on data from the Medical Birth Register in Latvia
differed showing that the prevalence of birth defects was instead higher for mothers aged 20–34 years as compared to adolescent mothers. [25] The difference could however be attributed to the fact that our study’s prevalence estimates included births from all live births, stillbirths,
and spontaneous abortions while I Zile and A Villerusa et al. (2013) included only live births and also included other defects/syndromes and
chromosomal defects. Although the number for some birth defects were small in our study, our findings suggest that gastroschisis was significantly higher among
adolescent mothers when compared to older mothers, as reported by other studies.[23, 24, 26] While comparing gastroschisis to other
congenital anomalies, Given, et al. (2017) reported sexually transmitted infections, and continuation of oral contraceptives in early pregnancy,
as preventable risk factors.[27] We were not able to assess these factors in this study. Our study also found that adolescent mothers were
associated with increased odds of musculoskeletal defects as well as malformations of eyes and ears combined. Chen, et al. (2007) found
increased odds of musculoskeletal defects, however, he included some other defects within the category, specifically,
polydactyly/syndactyly/adactyly, diaphragmatic hernia, integumentary anomalies.[23] Page 4/13 Page 4/13 We found that a significantly higher proportion of HIV-infected adolescents were not on ART at conception or delivery compared to older
women, which is consistent with findings from the Uganda Population-Based HIV Impact Household-based National Survey.[28] Maternal HIV
infection has been shown to be associated with increased rates of adverse pregnancy outcomes such as LBW, prematurity, and ENND [29], and
the lower prevalence of ART use among HIV-infected adolescents would further exacerbate the situation because it translates to a potential
increased risk of MTCT of HIV among adolescents compared to older mothers justifying the need to strengthen services for this population. DISCLAIMER The findings and conclusions in this report are those of the authors and do not necessarily represent the official position of the funding
agencies. ACKNOWLEDGMENTS The authors wish to thank all staff of the Birth Defects Surveillance study, and all management and staff of Mulago Referral Hospital, Mengo
Hospital, St. Francis Hospital Nsambya, and Uganda Martyrs Hospital Lubaga who made the surveillance possible at their hospital. We also
thank the management and administration of Makerere University-Johns Hopkins University Research Collaboration for all their support. AUTHOR CONTRIBUTIONS RS: took the lead in writing of the manuscript and is accountable for all aspects of the work in ensuring that questions related to the accuracy
or integrity of any part of the work are appropriately investigated and resolved. LBM, PM, DMM, SCT, DW, MRA, and DV: Substantial contributions to the conception or design of the work; or the acquisition, analysis, or
interpretation of data for the work. They were involved in drafting the manuscript and revising it critically for important intellectual content. DK, JNM, JN, EN, DBM, and JB: were involved in drafting the manuscript and revising it critically for important intellectual content. All authors: Approved the final manuscript version submitted. All authors: Approved the final manuscript version submitted. COMPETING INTERESTS The authors declare that they have no competing interests. DISCLOSURE The authors declare that they have no competing interests. The authors report no conflicts of interest in this work. AVAILABILITY OF DATA AND MATERIALS Not applicable Declarations ETHICS APPROVAL AND CONSENT TO PARTICIPATE Page 5/13 Page 5/13 This surveillance study was approved by the Uganda National Council of Science and Technology (UNCST), (Ref: HS 1693); the Joint Clinical
Research Centre institutional review board/Ethics committee (JCRC IRB), and the US Centers for Disease Control and Prevention Institutional
Review Board (CDC IRB) (protocol # 6606.0). Consent to participate in the surveillance was waived by both IRBs (JCRC and CDC) because the surveillance involves no more than minimal
risk to the participants. However, IRB-approved written informed consent was obtained for photographs of newborns with birth defects from
their mothers or legal guardians. CONSENT FOR PUBLICATION Not applicable FUNDING This research has been supported by the President’s Emergency Plan for AIDS Relief through the United States Centers for Disease Control and
Prevention under the terms of grants number: 1U10GH000487, 5U01GH000487, and 5U01GH002171. References Mumpe-Mwanja D, Barlow-Mosha L, Williamson D, Valencia D, Serunjogi R, Kakande A, Namale-Matovu J, Nankunda J, Birabwa-Male D,
Okwero MA et al: A hospital-based birth defects surveillance system in Kampala, Uganda. BMC Pregnancy Childbirth 2019, 19(1):372. 15. Mombo-Ngoma G, Mackanga JR, González R, Ouedraogo S, Kakolwa MA, Manego RZ, Basra A, Rupérez M, Cot M, Kabanywany AM et al:
Young adolescent girls are at high risk for adverse pregnancy outcomes in sub-Saharan Africa: an observational multicountry study. BMJ
open 2016, 6(6):e011783. 16. Kang G, Lim JY, Kale AS, Lee LY: Adverse effects of young maternal age on neonatal outcomes. Singapore Med J 2015, 56(3):157-163. 6. Kang G, Lim JY, Kale AS, Lee LY: Adverse effects of young maternal age on neonatal outcomes. Sing 16. Kang G, Lim JY, Kale AS, Lee LY: Adverse effects of young maternal age on neonatal outcomes. Singapore Med J 2015, 56(3):157-163. 17 Duong HT Hoyt AT Carmichael SL Gilboa SM Canfield MA Case A McNeese ML Waller DK the National Birth Defects Prevention S: Is 16. Kang G, Lim JY, Kale AS, Lee LY: Adverse effects of young maternal age on neonatal outcomes. Singapore Med J 2015, 56(3):157-163. 17. Duong HT, Hoyt AT, Carmichael SL, Gilboa SM, Canfield MA, Case A, McNeese ML, Waller DK, the National Birth Defects Prevention S: Is
Maternal Parity an Independent Risk Factor for Birth Defects?Birth defects research Part A, Clinical and molecular teratology 2012,
94(4):230-236. 17. Duong HT, Hoyt AT, Carmichael SL, Gilboa SM, Canfield MA, Case A, McNeese ML, Waller DK, the National Birth Defects Prevention S: Is
Maternal Parity an Independent Risk Factor for Birth Defects?Birth defects research Part A, Clinical and molecular teratology 2012,
94(4):230-236. 18. Gill SK, Broussard C, Devine O, Green RF, Rasmussen SA, Reefhuis J, The National Birth Defects Prevention S: Association between
Maternal Age and Birth Defects of Unknown Etiology - United States, 1997–2007. Birth defects research Part A, Clinical and molecular
teratology 2012, 94(12):1010-1018. 19. Ministry of Health U. Uganda Clinical Guidelines 2016: Ministry of Health Uganda; 2016 [1118]. Available from:
http://health go ug/sites/default/files/Uganda%20Clinical%20Guidelines%202016 FINAL pdf Accessed 11/2/2018 19. Ministry of Health U. Uganda Clinical Guidelines 2016: Ministry of Health Uganda; 2016 [1118]. Available from:
http://health.go.ug/sites/default/files/Uganda%20Clinical%20Guidelines%202016_FINAL.pdf Accessed 11/2/2018. 20. Jacqueline MW: Competition for nutrients in pregnant adolescents: consequences for maternal, conceptus and offspring endocrine
systems. J Endocrinol 2019, 242(1):T1-T19. 21. Uganda Bureau of Statistics (UBOS) and ICF International Inc. References 1. WHO. World Health Organisation. Adolescent pregnancy 2014 [Available from: https://apps.who.int/iris/rest/bitstreams/514257/retrieve
Accessed 8/17/2018. 1. WHO. World Health Organisation. Adolescent pregnancy 2014 [Available from: https://apps.who.int/iris/rest/bitstreams/514257/retrieve
Accessed 8/17/2018. 2. WHO. Why is giving special attention to adolescents important for achieving Millennium Development Goal 5? 2008 [Available from:
https://www.who.int/maternal_child_adolescent/events/2008/mdg5/adolescent_preg.pdf. 2. WHO. Why is giving special attention to adolescents important for achieving Millennium Development Goal 5? 2008 [Available from:
https://www.who.int/maternal_child_adolescent/events/2008/mdg5/adolescent_preg.pdf. 3. United Nations. The Sustainable Development Goals Report United Nations, New York: United Nations; [Available from:
https://unstats.un.org/sdgs/files/report/2018/TheSustainableDevelopmentGoalsReport2018-EN.pdf Accessed 1/20/2020. 3. United Nations. The Sustainable Development Goals Report United Nations, New York: United Nations; [Available from:
https://unstats.un.org/sdgs/files/report/2018/TheSustainableDevelopmentGoalsReport2018-EN.pdf Accessed 1/20/2020. Page 6/13 Page 6/13 4. Uganda Bureau of Statistics. Statistical Abstract: Uganda Bureau of Statistics; 2017 [341]. Available from: https://www.ubos.org/wp-
content/uploads/publications/03_20182017_Statistical_Abstract.pdf Accessed 11/2/2018. 5. Uganda Bureau of Statistcs (UBOS) and ICF. Uganda Demographic and Health Survey 2016. Kampala Uganda: UBOS and Calverton,
Maryland: ICF International Inc; 2017. 6. Ganchimeg T, Ota E, Morisaki N, Laopaiboon M, Lumbiganon P, Zhang J, Yamdamsuren B, Temmerman M, Say L, Tuncalp O et al:
Pregnancy and childbirth outcomes among adolescent mothers: a World Health Organization multicountry study. BJOG 2014, 121 Suppl
1:40-48. 7. Neal S, Channon AA, Chintsanya J: The impact of young maternal age at birth on neonatal mortality: Evidence from 45 low and middle
income countries. PLoS One 2018, 13(5):e0195731. 8. Althabe F, Moore JL, Gibbons L, Berrueta M, Goudar SS, Chomba E, Derman RJ, Patel A, Saleem S, Pasha O et al: Adverse maternal and
perinatal outcomes in adolescent pregnancies: The Global Network's Maternal Newborn Health Registry study. Reprod Health 2015, 12
Suppl 2:S8. 9. Kongnyuy EJ, Nana PN, Fomulu N, Wiysonge SC, Kouam L, Doh AS: Adverse Perinatal Outcomes of Adolescent Pregnancies in Cameroon. Maternal and Child Health Journal 2008, 12(2):149-154. 10. Gortzak-Uzan L, Hallak M, Press F, Katz M, Shoham-Vardi I: Teenage pregnancy: risk factors for adverse perinatal outcome. J Matern Fetal
Med 2001, 10(6):393-397. 11. Igwegbe AO, Udigwe GO: Teenage pregnancy: still an obstetric risk. J Obstet Gynaecol 2001, 21(5):478-481. 12. Olausson PO, Cnattingius S, Haglund B: Teenage pregnancies and risk of late fetal death and infant mortality. Br J Obstet Gynaecol 1999,
106(2):116-121. 13. Gronvik T, Fossgard Sandoy I: Complications associated with adolescent childbearing in Sub-Saharan Africa: A systematic literature
review and meta-analysis. PLoS One 2018, 13(9):e0204327. 14. References Ajibola G, Zash R, Shapiro RL, Batlang O, Botebele K, Bennett K, Chilisa F, Widenfelt EV, Makhema J, Lockman S et al: Detecting congenital
malformations - Lessons learned from the Mpepu study, Botswana. PLoS One 2017, 12(3):e0173800. 32. Ajibola G, Zash R, Shapiro RL, Batlang O, Botebele K, Bennett K, Chilisa F, Widenfelt EV, Makhema J, Lockman S et al: Detecting congenital
malformations - Lessons learned from the Mpepu study, Botswana. PLoS One 2017, 12(3):e0173800. 33. WHO. Making health services adolescent friendly: developing national quality standards for adolescent friendly health services 2012
[Available from:
https://apps.who.int/iris/bitstream/handle/10665/75217/9789241503594_eng.pdf;jsessionid=6391680A79868E5D0FAB89144F3466DF? sequence=1 Accessed 2/15/2020 33. WHO. Making health services adolescent friendly: developing national quality standards for adolescent friendly health services 2012
[Available from: 33. WHO. Making health services adolescent friendly: developing national quality standards for adolescent friendly health services 2012
[Available from:
https://apps.who.int/iris/bitstream/handle/10665/75217/9789241503594_eng.pdf;jsessionid=6391680A79868E5D0FAB89144F3466DF? sequence=1 Accessed 2/15/2020. 33. WHO. Making health services adolescent friendly: developing national quality standards for adolescent friendly health services 2012
[Available from:
https://apps.who.int/iris/bitstream/handle/10665/75217/9789241503594_eng.pdf;jsessionid=6391680A79868E5D0FAB89144F3466DF? sequence=1 Accessed 2/15/2020. [
https://apps.who.int/iris/bitstream/handle/10665/75217/9789241503594_eng.pdf;jsessionid=6391680A79868E5D0FAB89144F3466DF? sequence=1 Accessed 2/15/2020. References Uganda Demographic and Health Survey 2011. Kampala Uganda: UBOS
and Calverton, Maryland: ICF International Inc; 2012. 22. Arunda MO, Agardh A, Asamoah BO: Survival of low birthweight neonates in Uganda: analysis of progress between 1995 and 2011. BMC
Pregnancy Childbirth 2018, 18(1):189. 23. Chen XK, Wen SW, Fleming N, Yang Q, Walker MC: Teenage pregnancy and congenital anomalies: which system is vulnerable?Hum Reprod
2007, 22(6):1730-1735. 24. Loane M, Dolk H, Morris JK, Group EW: Maternal age-specific risk of non-chromosomal anomalies. B 24. Loane M, Dolk H, Morris JK, Group EW: Maternal age-specific risk of non-chromosomal anomalies. BJOG 2009, 116(8):1111-1119. 25. Zile I, Villerusa A: Maternal age-associated congenital anomalies among newborns: a retrospective study in Latvia. Medicina (Kaunas)
2013, 49(1):29-35. 25. Zile I, Villerusa A: Maternal age-associated congenital anomalies among newborns: a retrospective study in Latvia. Medicina (Kaunas)
2013, 49(1):29-35. 26. Reefhuis J, Honein MA: Maternal age and non-chromosomal birth defects, Atlanta--1968-2000: teenager or thirty-something, who is at risk? Birth Defects Res A Clin Mol Teratol 2004, 70(9):572-579. P
7/13
27. Given JE, Loane M, Garne E, Nelen V, Barisic I, Randrianaivo H, Khoshnood B, Wiesel A, Rissmann A, Lynch C et al: Gastroschisis in Europe -
A Case-malformed-Control Study of Medication and Maternal Illness during Pregnancy as Risk Factors. Paediatr Perinat Epidemiol 2017, Page 7/13 Page 7/13 31(6):549-559. ( )
28. Ministry of Health, Uganda. Uganda Population-based HIV Impact Assessment (UPHIA) 2016-2017: Final Report. Kampala: Ministry of
Health; July, 2019 [Available from: https://phia.icap.columbia.edu/wp- 28. Ministry of Health, Uganda. Uganda Population-based HIV Impact Assessment (UPHIA) 2016-2017: Final Report. Kampala: Ministry of
Health; July, 2019 [Available from: https://phia.icap.columbia.edu/wp-
content/uploads/2019/07/UPHIA_Final_Report_Revise_07.11.2019_Final_for-web.pdf Accessed 2/24/2020. 29. Xiao PL, Zhou YB, Chen Y, Yang MX, Song XX, Shi Y, Jiang QW: Association between maternal HIV infection and low birth weight and
prematurity: a meta-analysis of cohort studies. BMC Pregnancy Childbirth 2015, 15:246. 30. Ramraj T, Jackson D, Dinh TH, Olorunju S, Lombard C, Sherman G, Puren A, Ramokolo V, Noveve N, Singh Y et al: Adolescent Access to
Care and Risk of Early Mother-to-Child HIV Transmission. J Adolesc Health 2018, 62(4):434-443. 31. Tinker SC, Gilboa S, Reefhuis J, Jenkins MM, Schaeffer M, Moore CA: Challenges in Studying Modifiable Risk Factors for Birth Defects. Current epidemiology reports 2015, 2(1):23-30. 31. Tinker SC, Gilboa S, Reefhuis J, Jenkins MM, Schaeffer M, Moore CA: Challenges in Studying Modifiable Risk Factors for Birth Defects. Current epidemiology reports 2015, 2(1):23-30. 32. Tables Table 1. Maternal and reproductive characteristics of adolescent mothers 12-19 and older mothers 20-34 years of age Table 1. Maternal and reproductive characteristics of adolescent mothers 12-19 and older mothers 20-34 years of age Page 8/13 Page 8/13 Total, n (%)
Maternal age, n (%)
12-19 years
20-34 years
p-Value
No. of births
100189 (100)
11028 (11.0)
89161 (89.0)
-
No. Tables of mothers
96938 (100)
10783 (11.1)
86155 (88.9)
-
Maternal age
Median; Inter-quartile range (IQR)
25; 22-29
18; 18-19
26; 23-29
-
Hospital b
Lubaga
6410 (6.4)
134 (1.2)
6276 (7.0)
< 0.001
Mengo
7905 (7.9)
111 (1.0)
7794 (8.7)
Nsambya
7531 (7.5)
99 (0.9)
7432 (8.3)
Mulago national referral
78343 (78.2)
10684 (96.9)
67659 (75.9)
Maternal HIV Statusa
Positive
8167 (8.4)
480 (4.5)
7687 (8.9)
< 0.001
Negative
88631 (91.4)
10282 (95.3)
78349 (91.0)
Unknown
140 (0.1)
21 (0.2)
119 (0.1)
Maternal antiretroviral therapy (ART) at delivery β
Yes
7786 (95.3)
438 (91.3)
7348 (95.6)
< 0.001
No
381 (4.7)
42 (8.8)
339 (4.4)
Maternal timing of initiation on ART∏
Before Conception
4161 (53.4)
133 (30.4)
4028 (54.8)
< 0.001
After Conception
3625 (46.6)
305 (69.6)
3320 (45.2)
Mother referred from other health centera
Yes
44700 (46.1)
7541 (69.9)
37159 (43.1)
< 0.001
No
52238 (53.9)
3242 (30.1)
48996 (56.9)
Maternal paritya
Primipara (1)
32765 (33.8)
9023 (83.7)
23742 (27.6)
< 0.001
Multipara (≥2)
64173 (66.2)
1760 (16.3)
62413 (72.4)
Mode of deliveryb
Vaginal
68756 (68.6)
8575 (77.8)
60181 (67.5)
< 0.001
Caesarean section
31433 (31.4)
2453 (22.2)
28980 (32.5)
Singleton/multiple deliveriesb
Singleton
93548 (93.4)
10516 (95.4)
83032 (93.1)
< 0.001
Multiple
6641 (6.6)
512 (4.6)
6129 (6.9)
Received antenatal care (maternal) a
Yes
94734 (97.7)
10403 (96.5)
84331 (97.9)
< 0.001
No
2204 (2.3)
380 (3.5)
1824 (2.1) ANC within 2nd Trimester
36783 (44.9)
3976 (45.3)
32807 (44.8)
ANC within 3rd Trimester
38696 (47.2)
4217 (48.1)
34479 (47.1)
Number of maternal antenatal visitsa,π
No ANC Visit
2204 (2.3)
380 (3.5)
1824 (2.1)
< 0.001
1-3 Visits
52764 (54.6)
6626 (61.5)
46138 (53.7)
4+ Visits
41731 (43.2)
3761 (34.9)
37970 (44.2)
a Denominator is the number of mothers
b Denominator is the number of births
β Denominator is the number of HIV positive mothers (n=8,167)
∏ Denominator is the number of HIV positive mothers on ART (n=7,786)
ξ 10,605 mothers missing date of first ANC visit
π 239 mothers missing the number of ANC visits Table 2: Comparison of perinatal outcomes between adolescent mothers 12-19 and older mothers 20-34 years of age Page 10/13 Page 10/13 Total, n (%)
Maternal age, n (%)
12-19
Years
20-34
Years
cOR (95% CI)
*
p-Value
c
aOR (95% CI)
*
p-value
d
Gestational age a
<37 weeks
8,564 (9.0)
1,068
(10.2)
7,496 (8.8)
1.18 (1.10-
1.26)
<0.001
1.14 (1.06-
1.23)
0.001
≥37 weeks
86,839
(91.0)
9,358
(89.8)
77,481
(91.2)
1
1
Birth outcome
Live birth
95,403
(95.2)
10,426
(94.5)
84,977
(95.3)
1
1
Stillbirth
3,102 (3.1)
359 (3.3)
2,743 (3.1)
1.07 (0.95-
1.19)
0.258
1.08 (0.95-
1.22)
0.230
Spontaneous Abortion
1,684 (1.7)
243 (2.2)
1,441 (1.6)
1.37 (1.19-
1.58)
<0.001
0.94 (0.83-
1.11)
0.488
Infant birth weight (≥37
weeks) a
<2500g
6,572 (7.6)
986 (10.5)
5,586 (7.2)
1.51 (1.41-
1.63)
<0.001
1.46 (1.34-
1.59)
<0.001
≥2500g
80,267
(92.4)
8,372
(89.5)
71,895
(92.8)
1
1
ENND (≥37 weeks) a, b
Yes
441 (0.5)
82 (1.0)
359 (0.5)
1.96 (1.57-
2.45)
<0.001
1.58 (1.23-
2.02)
<0.001
No
82,159
(99.5)
8,511
(99.0)
73,648
(99.5)
1
1
Birth defect
No
99,674
(99.5)
10,954
(99.3)
88,720
(99.5)
1
1
Yes ¥
515 (0.5)
74 (0.7)
441 (0.5)
1.36 (1.06-
1.74)
0.015
1.36 (1.02-
1.80)
0.032
a Live births only (n= 95,403) Total, n (%)
Maternal age, n (%) Total, n (%)
Maternal age, n (%) CI) were calculated with 20-34 years as the reference age group. Tables * The cOR (95% CI) and aOR (95% CI) were calculated with 20-34 years as the reference age group. Gestational age model was restricted to live births only with adjustment for parity, mode of delivery, singleton/multiple deliveries, and
number of antenatal visits. Birth outcome model was adjusted for parity, mode of delivery and number of antenatal visits. Birth outcome model was adjusted for parity, mode of delivery and number of antenatal visits. Early neonatal death model was restricted to full-term infants (gestation ≥37 weeks) and adjusted for parity, mode of delivery and number
of antenatal visits. Birth weight model was restricted to full-term infants (gestation ≥37 weeks) and adjusted for parity, m
deliveries and number of antenatal visits. Birth weight model was restricted to full-term infants (gestation ≥37 weeks) and adjusted for parity, mode of delivery, singleton/multiple
deliveries and number of antenatal visits. Overall birth defect model was adjusted for parity, mode of delivery, singleton/multiple births and number of antenatal visits. Overall birth defect model was adjusted for parity, mode of delivery, singleton/multiple births and number of antenatal visits. Overall birth defect model was adjusted for parity, mode of delivery, singleton/multiple births and num usted for parity, mode of delivery, singleton/multiple births and number of antenatal visits. Figures Page 13/13
Figure 1
Birth Prevalence per 10,000 births, 95% CI of Major External Birth Defects, Kampala, Uganda Figure 1 Tables ¥Newborns with at least one of the sixteen major external birth defects of interest to the study Page 11/13
Table 3: Birth defects among adolescent mothers 12-19 and older mothers 20-34 years of age Page 11/13
Table 3: Birth defects among adolescent mothers 12-19 and older mothers 20-34 years of age Page 11/13
Table 3: Birth defects among adolescent mothers 12-19 and older mothers 20-34 years of age ICD-10 RCPCH code a
Birth defects
Number of defects
cOR (95% CI)
aOR (95% CI)
d
p-
value
12-19
years
20-34
years
Neural tube defects
(NTD) *
9
95
0.77 (0.39-1.52)
0.63 (0.27-
1.52)
0.311
Q00.0
Anencephaly
2
27
0.60 (0.14-2.52)
0.64 (0.14-
2.90)
0.559
Q00.1
Craniorachischisis
0
2
na
na
na
Q01.0-Q01.2, Q01.8-
Q01.9
Encephalocele
4
11
2.94 (0.94-9.24)
1.43 (0.27-
7.43)
0.673
Q05.0-Q05.9
Spina bifida
3
56
0.43 (0.14-1.38)
0.40 (0.08-
1.67)
0.202
Q02
Microcephaly
3
6
4.04 (1.01-
16.17) β
4.54 (0.81-
25.39)
0.085
Malformations of eyes and ears
5
28
1.44 (0.56-3.74)
3.09 (1.01-
9.42)
0.047
Q11-Q11.1; Q11.2
Anophthalmia;
Microphthalmia
3
12
2.02 (0.57-7.16)
3.21 (0.71-
14.38)
0.128
Q16.0; Q17.2
Anotia; Microtia
2
16
1.01 (0.23-4.40)
2.94 (0.55-
15.72)
0.206
Orofacial clefts b
9
51
1.43 (0.70-2.90)
1.28 (0.57-
2.91)
0.549
Q35.1-Q35.9, Q38.5,
Q87.0
Cleft palate
2
13
1.24 (0.28-5.51)
0.71 (0.08-
6.12)
0.752
Q36.0, Q36.9
Cleft lip alone
3
12
2.02 (0.57-7.16)
2.54 (0.59-
11.50)
0.213
Q37.0-Q37.9
Cleft lip + palate
4
26
1.24 (0.43-3.56)
1.09 (0.35-
3.41)
0.877
Q42.3
Imperforate anus
1
20
0.40 (0.05-3.01)
1.06 (0.12-
9.08)
0.960
Q54.0-Q54.3, Q54.8-
Q54.9
Hypospadias c
10
104
0.75 (0.39-1.44)
0.63 (0.29-
1.34)
0.230
Musculoskeletal system *
45
214
1.70 (1.23-2.35)
β
1.69 (1.15-
2.50)
0.008
Q66.0, Q66.8
Talipes equinovarus
22
128
1.41 (0.89-2.22)
1.33 (0.77-
2.30)
0.309
Q71.0-Q73.8
Total limb reduction
8
44
1.47 (0.69-3.12)
1.75 (0.67-
4.56)
0.249
Q79.2
Omphalocele
8
41
1.58 (0.74-3.37)
2.17 (0.92-
5.18)
0.078
Q79.3
Gastroschisis
8
14
4.62 (1.93-
11.02) β
3.20 (1.12-
9.13)
0.030
* Some infants had more than one type of defect in the neural tube defects and musculoskeletal system categories
a International Classification of Disease 10, Royal College of Paediatrics and Child Health (ICD-10 RCPCH) d Covariates for the birth defect models: parity and initiation time of prenatal care Figure 1 Page 13/13
|
https://openalex.org/W1973211143
|
https://zenodo.org/records/2194747/files/article.pdf
|
English
| null |
ON ICHTHYOSIS HYSTRIX
|
British journal of dermatology/British journal of dermatology, Supplement
| 1,911
|
public-domain
| 907
|
332 332 CLINICAL NOTE. recently arrived in this country. The closing of the favus school,
which formerly took all these cases, has led to a greater number of
favus cases coming to the clinic. The treatmeut was on the same
lines as that wed in the cases of tinea. BY GEORGE PERNET, M.D. THE case of Ichthyosis hystrix referred to by Dr. Buncli in his
paper in the September number of the Journal (pp. 275-576, Fig. 2
of Plate) appears to be the same case that was brought before the
Dermatological Society of London by the late Radcliffe-Crocker in
Nbveniber, 1900 (vide Brit. Jozir?a. Derm., vol. xiii, 1901, p. 12): and
described as follows: “ . . . a case of Ichthyosis hystrix in
streaks occupying the greater part of the anterior and internal aspect
of the left thigh, roughly corresponding with the cruwl brniich of
the genito-crural and internal cutaneous nerve domains. ‘l‘he growths
were raised a finger’s breadth or more above the surface with thick
black crusts over them j in the less raised portions the horny crusts
were broken up into quadrillatious, and when these were detached
a very slightly raised purplish vascular surface was left. The patient
applied because the middle portioii had become inflamed, mid \\as
suppurating with au offensive discharge. She had had the lesions
from infancy, and although they have increased in thickness and
prominence, they have not extended over a larger surface.”
Subs-
quently, I (not Dr. Radcliffe-Crocker) removed what I could under
an anaesthetic. I curetted with a large sharp spoon, using it
vigorously and thoroughly, and then I applied the Paquelin cautery
at a dull red heat to the denuded and bleeding areas. A wet
sat alembroth dressing was applied. The patient was seen subse-
quently at the time and appeared to be doing well; then I lost sight
of her. It is interesting to note that notwithstanding the vigorous sharp
spooning, etc., the horny projections recurred, but looking at the
photograph supplied by Dr. Bunch in his paper some areas appear to 333 CUltltlCNU LITE&ATUBE. have remained flattened and scarred. Probably if the sharp-spooning
had been followed by a more intense applicatioii of the Paquelin a
better result would have been obtained. At any rate that is what I
should recommend if the case came under my observation again. T h e
Paquelin would settle the B. coli. have remained flattened and scarred. Probably if the sharp-spooning
had been followed by a more intense applicatioii of the Paquelin a
better result would have been obtained. At any rate that is what I
should recommend if the case came under my observation again. T h e
Paquelin would settle the B. coli. BY GEORGE PERNET, M.D. Another p&nt of interest is that part again became inflamed and
the seat of an offensive discharge, as when seen origitially. With regard to the name Ichthyosis hpstrix, I think that it would
be an improvement to drop the word ichthyosis in this connection and
substitute nevus for it, resewing the name ichthyosis for the disease
known as Ichthyosis-a
quite different condition. In this I am well
aware I am following Besnier, who suggested the change in nomen-
clature long ago (see Kapo&Besnier, 2nd French edition, 1891, vol. ii, p. 60, Besnier's foot-note 1). DIAGNOSTIC VALUE O F TUBERCULIN AS SHOWN BY NINE-
TEEN AUTOPSIES. G. W. T. MILLS.
(New York Ned. Rec., March 25th,
1911.) DIAGNOSTIC VALUE O F TUBERCULIN AS SHOWN BY NINE-
TEEN AUTOPSIES. G. W. T. MILLS. (New York Ned. Rec., March 25th,
1911.) The writer thus sums up his conclusions : There were ten cases with advanced
diseaee. One of them gave
absolutely no reaction, two only slight reactions, and the fourth negative reaction
on first trial, positive on second, but this was in the same eye and is without
value. They all died within a compai~tively short time (three days to thirty-five
days), and the results correspond with the results of othei-a and with those of the
injection method, that is, in advanced or very active caws, especially just before
death, the reaction is absent or slight. The other six were positive, all but one
lived a considerable time beyond the test, and the disease was not in as active or
advanckd a stage at the time of test as in the four above described. The one
exception is a case in wlikh the primary cause was Addison's disease. Of these, four cases can be considered together. The next group includes the cases with scars and evidences of former tuber-
culosis, nothing of an active nature being present at death. In this group there
were seven cases. Three of these wei-e negative ; one gave only a questionable
reaction at the end of sixty hours, and three gave positive reactions. This proves
conclusively that old healed lesions can give positive reactions and strongly
positive ones, but at the same time shows that a negative ieaction does not
exclude an old lesion. The third group includes two with negative autopsy
findings, and both gave negative reactions. To quote, with slight altei*ations, from the second paper mentioned at the
beginning of this article : " The subject may, I think, be summed up in this way :
About 20 to 25 per cent. of insane patients will react to the ophthalmo-tuberculin
test, in whom no demonstrable lesions can be found, but it is probable that in all
|
https://openalex.org/W2810266120
|
https://www.nature.com/articles/s41598-018-27951-8.pdf
|
English
| null |
Next generation sequencing identifies novel disease-associated BEST1 mutations in Bestrophinopathy patients
|
Scientific reports
| 2,018
|
cc-by
| 8,798
|
Next generation sequencing
identifies novel disease-
associated BEST1 mutations in
Bestrophinopathy patients Received: 4 January 2018
Accepted: 13 June 2018
Published: xx xx xxxx Thong T. Nguyen2, B. Poornachandra4, Anshuman Verma1, Ruchir A. Mehta4, Sameer Phalke3,
Rajani Battu4, Vedam L. Ramprasad3, Andrew S. Peterson2, Arkasubhra Ghosh 1 &
Somasekar Seshagiri 2 Bestinopathies are a spectrum of retinal disorders associated with mutations in BEST1 including
autosomal recessive bestrophinopathy (ARB) and autosomal dominant Best vitelliform macular
dystrophy (BVMD). We applied whole-exome sequencing on four unrelated Indian families comprising
eight affected and twelve unaffected individuals. We identified five mutations in BEST1, including
p.Tyr131Cys in family A, p.Arg150Pro in family B, p.Arg47His and p.Val216Ile in family C and p.Thr91Ile
in family D. Among these, p.Tyr131Cys, p.Arg150Pro and p.Val216Ile have not been previously reported. Further, the inheritance pattern of BEST1 mutations in the families confirmed the diagnosis of ARB
in probands in families A, B and C, while the inheritance of heterozygous BEST1 mutation in family
D (p.Thr91Ile) was suggestive of BVMD. Interestingly, the ARB families A and B carry homozygous
mutations while family C was a compound heterozygote with a mutation in an alternate BEST1
transcript isoform, highlighting a role for alternate BEST1 transcripts in bestrophinopathy. In the BVMD
family D, the heterozygous BEST1 mutation found in the proband was also found in the asymptomatic
parent, suggesting an incomplete penetrance and/or the presence of additional genetic modifiers. Our
report expands the list of pathogenic BEST1 genotypes and the associated clinical diagnosis. Mutations in BEST1 gene have been described in a variety of ocular disease phenotypes including autosomal
recessive bestrophinopathy (ARB, MIM 611809)1,2, Best vitelliform macular dystrophy (MIM 153700)3,4, autoso-
mal dominant vitreoretinochoroidopathy (MIM 193220)5,6, autosomal dominant microcornea, rod-cone dystro-
phy, early-onset cataract posterior staphyloma syndrome and retinitis pigmentosa (MIM 613194)7,8. The BEST1
(bestrophin-1) protein is expressed in the basolateral plasma membrane of the retinal pigment epithelium (RPE)
where it regulates multiple functions essential for normal vision7,9. It primarily functions as a calcium-activated
chloride channel7,9,10. A role for bestrophin-1 in normal ocular development has been proposed, though its pre-
cise role in this context is not fully understood7. y
Best vitelliform macular dystrophy (BVMD) is an autosomal dominant syndrome associated with BEST1
mutations10. BVMD primarily affects the macula and is characterized by yellowish, vitelliform or egg-yolk-like
lesions with considerable morphologic variations based on the stage of the disease11,12. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 4 January 2018
Accepted: 13 June 2018
Published: xx xx xxxx Materials and Methodsh Study cohort. The prospective study was approved by the Narayana Nethralaya Institutional Review Board
and was performed as per institutional ethics guidelines and in accordance with the tenets of the Declaration of
Helsinki. Subjects were recruited for the study after obtaining informed written consent either from the patient or
the guardian and family members. A total of eight patients with Bestrophinopathy from four unrelated families
from southern India were investigated. Age at the time presentation ranged between 11–26 years with mean age
of 20 years. Clinical examination. Detailed medical history was obtained, followed by clinical examination including
best-corrected Snellen visual acuity (BCVA), slit-lamp examination, gonioscopy, indirect ophthalmoscopy and
fundus photography. Fundus autofluorescence (FAF) imaging with a confocal scanning laser ophthalmoscope
(Spectralis, Heidelberg Engineering, Heidelberg, Germany) in all eight patients and selected family members
was performed. Spectral domain optical coherence tomography (SD OCT; Spectralis, Heidelberg Engineering,
Heidelberg, Germany) was also performed simultaneously in these patients. Two of the eight patients underwent
fundus fluorescein angiography (FFA). Electrophysiologic examinations were conducted according to the stand-
ards given by the International Society of Clinical Electrophysiology in Vision23,24. Viking 5.0 Ganzfeld dome
(Nicolet Biomedical Instruments, Madison, Wisconsin, USA) with a light-emitting diode for light stimulation
was used for both electro-oculography and full-field electroretinography. DNA isolation, exome library preparation and sequencing. DNA was isolated from whole blood
using QIAamp DNA Blood Mini Kit (Qiagen, CA, US; cat no. 51104). Exome library was performed using Agilent
SureSelect (Santa Clara, CA, US) Human All Exome kit v5 (50 Mb). The library was sequenced on Illumina
HiSeq. 4000 (Illumina, CA, US) to obtain 2 × 75 bp paired end reads. An average exome coverage of 71x (range
45–94x) with 81% of the bases over 20x (range 76–91) was obtained. RNA isolation, sequencing and analysis. RNA was isolated from a healthy donor retina sample using
RNeasy Mini Kit (Qiagen; catalogue no 74104). About 0.5 μg of total RNA was used to generate RNA-seq library
using TruSeq RNA Sample Preparation kit (Illumina). The library was sequenced on HiSeq2500 to obtain
166,513,102 paired-end (2 × 75 bp) reads. RNA-seq reads were mapped to the human reference genome version
GRCh37 using GSNAP25. Analysis of BEST1 transcript isoforms was performed using the SGSeq software pack-
age (version 1.4.0)26 with gene annotation from Ensembl (release 75). Variant calling and annotation. Whole exome sequencing data was processed using GATK’s best prac-
tices workflow for DNA-Seq27. Next generation sequencing
identifies novel disease-
associated BEST1 mutations in
Bestrophinopathy patients Electrophysiological char-
acteristics in BVMD patients include normal full-field electroretinography (ERG), with a marked decrease or
absence of light rise in electro-oculography (EOG)13. Early onset choroidal neovascular membranes in patients
with BVMD14, often occur before vitelliruption and it responds to intravitreal therapies. Autosomal recessive
bestrophinopathy (ARB) (MIM 611809) is another condition associated with mutations in the BEST1 gene15. ARB usually manifests in the first two decades of life, but may become symptomatic as late as the fifth decade2,15,16. Clinical presentation of ARB is distinct from BVMD17 and is characterized by central visual loss with typical
hyperopic conditions, sub-retinal lipofuscin deposits that are predominantly outside the macula, absence of light 1GROW Research Laboratory, Narayana Nethralaya Foundation, Bangalore, India. 2Department of Molecular
Biology, Genentech Inc, San Francisco, USA. 3Medgenome Inc., Bangalore, India. 4Retina Department, Narayana
Nethralaya, Bangalore, India. Thong T. Nguyen and B. Poornachandra contributed equally to this work. Correspondence and requests for materials should be addressed to A.S.P. (email: peterson.andrew@gene.com) or
A.G. (email: arkasubhra@narayananethralaya.com) or S.S. (email: sekar@gene.com) SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 1 www.nature.com/scientificreports/ rise in EOG, reduced ERG, accumulation of fluid within and/or beneath the neurosensory retina and develop-
ment of angle-closure glaucoma17,18. ARB may manifest as the result of a total absence (null phenotype) of func-
tional bestrophin-1 protein in the RPE15,19, improper localization to the cell membrane with intact anion channel
activity20 or lack of channel activity specifically2. Among the roughly 270 mutations21 reported in BEST1 thus far,
only about 40 compound heterozygous and homozygous mutations are associated with ARB15,17,18,22. In this study,
we analyzed four Indian families with clinically diagnosed bestrophinopathy using whole exome sequencing and
identified novel BEST1 mutations. Materials and Methodsh Briefly, the raw sequencing reads were aligned to the human reference genome ver-
sion GRCh37 using BWA-MEM (version 0.7.10)28. Picard tools (version 1.126) were used for removing duplicate
reads. Indel realignment and base quality score recalibration were performed using GATK (version 3) to improve
alignment accuracy and recalibrate base quality29. HaplotypeCaller (in reference confidence model) was applied
for each sample to generate gVCF files. The resulting gVCF files from all samples were used for joint variant call-
ing using GenotypeGVCFs walker. Variant Quality Score Recalibration (VQSR) was carried out to estimate the
confidence of called variants. Variant annotation was carried out using SnpEff program (version 4.2)30. Variant filtering and analysis. To identity candidate nucleotide variants, we applied a filtering strat-
egy. Those variants which were present at >0.2% in either the 1000 Genome Project31 or NHLBI-EVS Exome
Sequencing Project32 or ExAC database33 were filtered out. Protein-altering or potentially protein-altering vari-
ants that follow recessive or dominant modes of inheritance were selected for further analysis. Given that BEST1
is a well-established Bestrophinopathy gene, all nucleotide variants present in BEST1 were additionally reviewed. The genes and corresponding mutations that qualified these filtering criteria were investigated to determine their
significance and relevance in Bestrophinopathy. Genes that were associated with an ocular disease phenotype, as
reported on RetNet (https://sph.uth.edu/retnet/), were used for further investigation. Read evidence of the final
list of nucleotide variants was manually inspected using Integrative Genomics Viewer (IGV)34 to detect sequenc-
ing artifacts. Ethics approval and consent to participate. Written informed consent was obtained from all the study
participants. Consent from the parents or legal guardian was obtained wherever samples from minors were
included in the study. The study was approved by the Narayana Nethralaya Institutional Review Board and was
performed as per institutional ethics guidelines and in accordance with the tenets of the Declaration of Helsinki. Availability of data and materials. Filtered variant data is available as a supplementary table. Genotype
data for patients consenting to share it for research use shall be made available upon request. SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 2 www.nature.com/scientificreports/ Figure 1. Family A. (a) Pedigree of the family with two affected members. The proband is marked with an
arrow. (b,c) Colored fundus photographs of right and left eye of proband (II.1) and affected sibling (II.2)
respectively, showing focal areas of subretinal fibrosis (black arrow) with very sparse vitelliform deposit
marked by white arrow. Materials and Methodsh (d,e) Fundus autofluorescence images of proband (II.1) and affected sibling (II.2)
respectively, showing focal dot like areas of increased autofluorescence (white arrow) corresponding to the
areas of vitelliform deposit seen in fundus photography. (f) Optical coherence tomography (OCT) images
of the proband showing intra retinal cystoid and schitic changes (asterisk) with minimal sub retinal fluid
(white arrow). The sub retinal area is marked with the retinal layers as RPE = Retinal Pigment Epithelium,
IZ = Interdigitation Zone, EZ = Ellipsoid Zone and ELM = External Limiting Membrane. Figure 1. Family A. (a) Pedigree of the family with two affected members. The proband is marked with an
arrow. (b,c) Colored fundus photographs of right and left eye of proband (II.1) and affected sibling (II.2)
respectively, showing focal areas of subretinal fibrosis (black arrow) with very sparse vitelliform deposit
marked by white arrow. (d,e) Fundus autofluorescence images of proband (II.1) and affected sibling (II.2)
respectively, showing focal dot like areas of increased autofluorescence (white arrow) corresponding to the
areas of vitelliform deposit seen in fundus photography. (f) Optical coherence tomography (OCT) images
of the proband showing intra retinal cystoid and schitic changes (asterisk) with minimal sub retinal fluid
(white arrow). The sub retinal area is marked with the retinal layers as RPE = Retinal Pigment Epithelium,
IZ = Interdigitation Zone, EZ = Ellipsoid Zone and ELM = External Limiting Membrane. SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 3 www.nature.com/scientificreports/ ntificreports/
Figure 2. Family B. (a) Pedigree of the family with one affected subject (II.1; indicated by arrow). (b) Col
fundus photographs of the right and left eyes of proband demonstrating focal areas of sub-retinal fibrosis
arrow) and extensive areas of sub-retinal vitelliform deposits across the arcade and nasal to the disk (whit
arrow). (c) Corresponding fundus autofluorescence (FAF) images of right and left eyes of the proband hig
the vitelliform deposits (white arrows). (d) OCT images of right and left eyes of proband showing sub reti
(white arrow) and intra retinal (white asterisk) changes with fluid accumulation. www.nature.com/scientificreports/ p Figure 2. Family B. (a) Pedigree of the family with one affected subject (II.1; indicated by arrow). (b) Color
fundus photographs of the right and left eyes of proband demonstrating focal areas of sub-retinal fibrosis (b
arrow) and extensive areas of sub-retinal vitelliform deposits across the arcade and nasal to the disk (white
arrow). Materials and Methodsh (c) Corresponding fundus autofluorescence (FAF) images of right and left eyes of the proband highl
the vitelliform deposits (white arrows). (d) OCT images of right and left eyes of proband showing sub retina
(white arrow) and intra retinal (white asterisk) changes with fluid accumulation. Figure 2. Family B. (a) Pedigree of the family with one affected subject (II.1; indicated by arrow). (b) Colored
fundus photographs of the right and left eyes of proband demonstrating focal areas of sub-retinal fibrosis (black
arrow) and extensive areas of sub-retinal vitelliform deposits across the arcade and nasal to the disk (white
arrow). (c) Corresponding fundus autofluorescence (FAF) images of right and left eyes of the proband highlight
the vitelliform deposits (white arrows). (d) OCT images of right and left eyes of proband showing sub retinal
(white arrow) and intra retinal (white asterisk) changes with fluid accumulation. Results
i Patients and Clinical Characteristics. Twenty individuals, including eight affected and twelve unaffected
members from four families, were selected for the study (Figs 1–4; Table 1). Family A. In family A, two members were affected (Fig. 1a; Table 1). The proband (II.1) was a twenty one year
old male with a BCVA of 20/60 in both eyes with hypermetropic refraction. No anterior segment abnormalities
were observed in the proband. Fundus image revealed very sparse sub-retinal fibrosis with deposits (Fig. 1b). The SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 4 entificreports/ www.nature.com/scientificreports/ Figure 3. Family C. (a) Pedigree of the family with four affected members. The proband is marked with an
arrow. Colored fundus photographs (b, d, f and h) of the proband (II.3) (b, c), affected siblings (brother II.1
(d,e), brother II.4 (f,g), sister (II.2 (h,i) show yellowish white sub-retinal deposits (white arrows). Fundus
autofluoresence (c, e, g and i) of the proband (II.3) (b,c), affected siblings (brother II.1 (d,e), brother II.4 (f,g),
sister (II.2 (h,i) show hyper autoflourescence (white arrows) mainly concentrated around posterior pole. A
localised area of subretinal fibrosis (black arrow; c) is observed in affected sibling II.1. (j) OCT of right and
left eyes of proband show outer segment elongation (black circle) with sub retinal changes and subretinal fluid
(white arrow). Figure 3. Family C. (a) Pedigree of the family with four affected members. The proband is marked with an
arrow. Colored fundus photographs (b, d, f and h) of the proband (II.3) (b, c), affected siblings (brother II.1
(d,e), brother II.4 (f,g), sister (II.2 (h,i) show yellowish white sub-retinal deposits (white arrows). Fundus
autofluoresence (c, e, g and i) of the proband (II.3) (b,c), affected siblings (brother II.1 (d,e), brother II.4 (f,g),
sister (II.2 (h,i) show hyper autoflourescence (white arrows) mainly concentrated around posterior pole. A
localised area of subretinal fibrosis (black arrow; c) is observed in affected sibling II.1. (j) OCT of right and
left eyes of proband show outer segment elongation (black circle) with sub retinal changes and subretinal fluid
(white arrow). affected sibling (II.2) also presented with a normal anterior segment with the corresponding fundus image dis-
playing less conspicuous changes (Fig. 1c). Fundus autofluorescence (FAF) images for both proband and sibling
indicated few areas of hyper autoflourescence (Fig. 1d,e). Optical coherence tomography (OCT) images of the
proband revealed cystoid and schitic changes in inner and outer nuclear layers of retina (Fig. 1f). www.nature.com/scientificreports/ These deposits were clearly
evident on the FAF image (Fig. 2c). Corresponding OCT images exhibit intra-retinal and sub-retinal fluid col-
lection (Fig. 2d). The proband’s ERG indicated rod-cone dysfunction and the corresponding EOG was abnormal
(Supplementary Fig. S2b–d). No ocular abnormalities were observed in unaffected parents and sibling, which is
consistent with ARB. Family C. In this family, four members were affected (Fig. 3a) and the pedigree analysis indicated an autosomal
recessive inheritance pattern. The proband (II.1) presented with a history of decreased central vision and a BCVA
of 20/125 in both eyes. This subject was diagnosed with angle closure glaucoma along with juvenile retinoschi-
sis and had previously undergone peripheral iridotomy. Fundus examination (Fig. 3b) revealed yellowish white
sub-retinal precipitates with corresponding hyper autoflourescence on FAF (Fig. 3c) that was primarily con-
centrated around the posterior pole. Two affected brothers (patient II.1 and II.4) presented with similar clinical
features but the yellowish lesions were more confluent, whereas, the affected sister demonstrated less confluent
lesions(Fig. 3d–i). OCT analysis (Fig. 3j) of the proband revealed sub-retinal yellowish lesions and scars which
corresponded with the hyper-reflective accumulations on or within the RPE cell layer with serous sub-retinal
fluid. The OCT features were essentially similar across all the affected members of family C and correlated with
the clinical features (Supplementary Fig. S3a–c) exhibiting predominant subretinal fluid with some intraretinal
involvement, which was much lower than that observed in families A and B. ERG performed on the proband
was normal (Supplementary Fig. S3f,g). However, the corresponding EOG was abnormal with absent light peak
(Fig. 3i). The proband underwent multiple surgeries for her glaucoma including bilateral trabeculaectomy and
lensectomy. The affected elder brother had glaucoma that was managed medically. Family D. The proband in this family was an eleven year old male (Fig. 4a), who presented with a history of
blurred vision and BCVA of 20/40 in both eyes. Fundus examination revealed yellowish, vitelliform deposits
in the macula exhibiting a pseudohypopyon appearance (Fig. 4b) that is appreciated better in the FAF image
(Fig. 4c). The proband’s father was asymptomatic with visual acuity of 20/20 OU but displaying vitelliform lesion
in the left eye (Fig. 4d,e and Supplementary Fig. S4a). The younger sibling of the proband did not present any
changes in the retina at the time of examination (Fig. 4f,g and Supplementary Fig. S4b). www.nature.com/scientificreports/ www.nature.com/scientificreports/ Patient
Age
Sex
CDVA
OCT features
ERG
EOG
Mutation*
FAMILY A
Proband (II.1)
21
Male
20/60
Cystoid and schitic changes
in macula
Rod-cone dysfunction
Absent light peak
p.Tyr131Cys (hom)
Sibling (II.2)
24
Male
20/60
Cystoid and schitic changes
in macula
Rod-cone dysfunction
Absent light peak
p.Tyr131Cys (hom)
FAMILY B
Proband (II.1)
24
Male
20/40, 20/30
Schitic changes with
subretinal fluid
Rod-cone dysfunction
Absent light peak
p.Arg150Pro (hom)
FAMILY C
Proband (II.3)
21
Female
20/125
Focal schitic changes with
predominant subretinal fluid
Normal
Absent light peak
p.Arg47His (het)
p.Val216Ile (het)
Sibling (II.1)
11
Male
20/30
Focal schitic changes with
predominant subretinal fluid
Not done
Not done
p.Arg47His (het)
p.Val216Ile (het)
Sibling (II.4)
26
Male
Focal schitic changes with
predominant subretinal fluid
Not done
Not done
p.Arg47His (het)
p.Val216Ile (het)
Sibling (II.3)
20
Female
Focal schitic changes with
predominant subretinal fluid
Not done
Not done
p.Arg47His (het)
p.Val216Ile (het)
FAMILY D
Proband (II.1)
11
Male
20/40
Subretinal fluid with
vitelliform deposits
Normal
Absent light peak
p.Thr91Ile (het)
Father (I.1)
38
Male
20/20
Very small sub-foveal lesion
Not done
Not done
p.Thr91Ile (het)
Sibling (II.2)
8
Female
20/20
Normal
Not done
Not done
p.Thr91Ile (het)
Table 1. Summary of clinical characteristics and genetic findings. *hom - homozygous; het - heterozygous. Table 1. Summary of clinical characteristics and genetic findings. *hom - homozygous; het - heterozygous. cone dysfunction in ERG (Supplementary Fig. S1b–e) with absent light peak in EOG for both proband and the
sibling (Supplementary Fig. S1f–i). The electrophysiologic characteristics were similar to the earlier reported
cases of ARB35. No ocular abnormalities were observed in the unaffected parents. Although the proband and
affected sibling were clinically managed with topical and oral carbonic anhydrase inhibitors, the macular fluid
persisted. cone dysfunction in ERG (Supplementary Fig. S1b–e) with absent light peak in EOG for both proband and the
sibling (Supplementary Fig. S1f–i). The electrophysiologic characteristics were similar to the earlier reported
cases of ARB35. No ocular abnormalities were observed in the unaffected parents. Although the proband and
affected sibling were clinically managed with topical and oral carbonic anhydrase inhibitors, the macular fluid
persisted. Family B. The proband was a twenty four year old male (from non-consanguineous parents) (Fig. 2a) with a
BCVA of 20/30 OD and 20/40 OS. Proband’s fundus exhibited sub-retinal fibrosis with yellowish white, vitelli-
form deposits located primarily outside the arcade (Fig. 2b) and peripapillary area. Results
i Similar OCT
features were observed in the affected sibling (Supplementary Fig. S1a). Electrophysiological tests indicated rod affected sibling (II.2) also presented with a normal anterior segment with the corresponding fundus image dis-
playing less conspicuous changes (Fig. 1c). Fundus autofluorescence (FAF) images for both proband and sibling
indicated few areas of hyper autoflourescence (Fig. 1d,e). Optical coherence tomography (OCT) images of the
proband revealed cystoid and schitic changes in inner and outer nuclear layers of retina (Fig. 1f). Similar OCT
features were observed in the affected sibling (Supplementary Fig. S1a). Electrophysiological tests indicated rod SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 5 www.nature.com/scientificreports/ OCT of the proband
indicated sub-retinal deposits with sub-retinal fluid in both eyes (Fig. 4h). The ERG was normal while EOG was
abnormal in the proband (Supplementary Fig. S4c–f). SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 6 www.nature.com/scientificreports/ www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 4. Family D. (a) Pedigree chart of family with one affected subject indicated by black arrow. Colored
fundus photographs of right and left eyes of proband (b), father (d) and sister (f). Corresponding FAF images of
right and left eyes of proband (c), father (e) and sister (g). Proband (b), shows prominent yellowish vitelliform
deposits in macula giving pseudohypopyon appearance, better highlighted in FAF (c). Proband’s father (d)
shows a normal fundus in the right eye but left eye had focal vitelliform lesion (white arrow) better highlighted
in FAF (white arrow) (e). Sister (f,g) did not show abnormal retinal features. (h) OCT of the proband shows
sub-retinal deposits with sub-retinal fluid in both eyes (white arrows). Figure 4. Family D. (a) Pedigree chart of family with one affected subject indicated by black arrow. Colored
fundus photographs of right and left eyes of proband (b), father (d) and sister (f). Corresponding FAF images of
right and left eyes of proband (c), father (e) and sister (g). Proband (b), shows prominent yellowish vitelliform
deposits in macula giving pseudohypopyon appearance, better highlighted in FAF (c). Proband’s father (d)
shows a normal fundus in the right eye but left eye had focal vitelliform lesion (white arrow) better highlighted
in FAF (white arrow) (e). Sister (f,g) did not show abnormal retinal features. (h) OCT of the proband shows
sub-retinal deposits with sub-retinal fluid in both eyes (white arrows). Exome sequencing and causal variant identification. We performed exome sequencing on twenty
individuals with at least 45x coverage (Supplementary Fig. S5) from four unrelated families (Supplementary
Fig. S6). Joint-variant calling using data from twenty samples from the four families in our study resulted in
2,630,722 nucleotide variants (Fig. 5a, Methods). Of these, 317,443 (~12%) were rare variants (MAF <= 1%). We predicted 8,788 of the rare variants to have an impact on protein function and/or have disease relevance. The
pathogenic variants that segregated through affected and unaffected family members were filtered after overlaying
the disease inheritance pattern observed in each pedigree. Additional filters were applied for genes previously
implicated in retinopathy as reported on RetNet (https://sph.uth.edu/retnet/). www.nature.com/scientificreports/ We found BEST1 mutations in all
four families - p.Tyr131Cys in Family A, p.Arg150Pro in Family B, p.Arg47His and p.Val216Ile in Family C, and
p.Thr91Ile in Family D. (Fig. 5a,b, Table 1 and Supplementary Table S1).f ph
y
( g
pp
y
)
In Family A, a homozygous transition c.392 A > G in BEST1 was found in both affected children (proband
II.1 and his brother II.2) resulting in a substitution of tyrosine at codon 131 with cysteine (p.Tyr131Cys) (Fig. 5b, SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 7 www.nature.com/scientificreports/ a
b
Joint Variant Calling
BWA-MEM/GATK
Total variants
2,630,722
Rare variants
Variant segregation
analysis
Retinopathy
related
Variant filtering
1
2
Family A
I
II
1
2
Y131C/wt
Y131C/wt
Y131C/Y131C
Y131C/Y131C
1
2
Family B
I
II
1
2
R150P/R150P
R150P/wt
R150P/wt
wt/wt
1
4
Family C
I
II
1
2
2
3
2
1
III
R47H/wt
R47H/V216I
wt/V216I
R47H/V216I R47H/V216I
R47H/V216I
R47H/wt
wt/V216I
1
Family D
I
II
1
2
2
T91I/wt
T91I/wt
T91I/wt
wt/wt
Potential functionally
impacted variants
Figure 5. Identification of casual variants in bestrophinopathy families. (a) Flowchart depicting the analysis of
exome data from bestrophinopathy patients and their relatives. (b) Pedigrees of four bestrophinopathy families
analyzed in this study. Candidate variants identified in each family is shown. White circles - unaffected females;
white squares - unaffected male; filled circles - affected females; filled squares - affected males. Number within
circle/square indicates that the sample was sequenced. a
b
Joint Variant Calling
BWA-MEM/GATK
Total variants
2,630,722
Rare variants
Variant segregation
analysis
Retinopathy
related
Variant filtering
1
2
Family A
I
II
1
2
Y131C/wt
Y131C/wt
Y131C/Y131C
Y131C/Y131C
1
2
Family B
I
II
1
2
R150P/R150P
R150P/wt
R150P/wt
wt/wt
1
4
Family C
I
II
1
2
2
3
2
1
III
R47H/wt
R47H/V216I
wt/V216I
R47H/V216I R47H/V216I
R47H/V216I
R47H/wt
wt/V216I
Potential functionally
impacted variants a
Joint Variant Calling
BWA-MEM/GATK
Total variants
2,630,722
Rare variants
Variant segregation
analysis
Retinopathy
related
Variant filtering
Potential functionally
impacted variants b
1
2
Family A
I
II
1
2
Y131C/wt
Y131C/wt
Y131C/Y131C
Y131C/Y131C a b Joint Variant Calling
BWA-MEM/GATK Variant filtering Potential functionally
impacted variants Retinopathy
related Figure 5. Identification of casual variants in bestrophinopathy families. (a) Flowchart depicting the analysis of
exome data from bestrophinopathy patients and their relatives. (b) Pedigrees of four bestrophinopathy families
analyzed in this study. Candidate variants identified in each family is shown. www.nature.com/scientificreports/ White circles - unaffected females;
white squares - unaffected male; filled circles - affected females; filled squares - affected males. Number within
circle/square indicates that the sample was sequenced. Supplementary Fig. S7). Both SIFT36 and Polyphen-237 predicted this mutation to be deleterious (Supplementary
Table S1). Consistent with the clinical observation, both unaffected parents (I.1 and I.2) were found to be hete-
rozygous for this BEST1 mutation confirming an autosomal recessive mode of inheritance. Interestingly, in this
family OCT showed predominant intraretinal schitic and cystoid changes with negligible subretinal fluid. l
In family B, we found a missense mutation, p.Arg150Pro, in the BEST1 gene that followed a recessive mode
of inheritance (Fig. 5b, Supplementary Fig. S8). Consistent with the clinical findings, BEST1 p.Arg150Pro was
observed to be homozygous in the affected proband II.1, heterozygous in both the unaffected parents (I.1 and I.2)
and was absent in the unaffected brother (II.2). This alteration was not reported in the 1000 Genome Project31 or
the ExAC database33 and was predicted to be deleterious by both SIFT36 and Polyphen-237.i Analysis of family C identified two mutations, p.Arg47His and p.Val216Ile, in the BEST1 gene that showed a
recessive segregation pattern within the family (Fig. 5b, Supplementary Figs S9–10). The p.Arg47His mutation
resulted from a transition c.140 G > A in exon 2 of BEST1 transcript ENST00000378043. However, the p.Val-
216Ile mutation was a result of a transition c.646 G > A at exon 6 of another BEST1 transcript ENST00000526988. ENST00000378043 (RefSeq - NM_0041830), encoding a 585 amino acid protein isoform, is the best charac-
terized mRNA transcribed from BEST1. ENST00000526988 is a poorly characterized transcript (RefSeq -
XM_017018230), encoding a shorter protein isoform (329aa) and its exon 6 is unique among all 7 protein-coding SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 8 www.nature.com/scientificreports/ Figure 6. RNA-seq analysis of BEST1 transcript isoforms. Top panel shows structure of seven human protein-
coding BEST1 transcript isoforms annotated by Ensembl (release 75), and the location of two mutations
p.Arg47His and p.Val216Ile. Gray boxes represent exons. Green vertical line and red vertical line indicate
ORF start and stop, respectively. Bottom panel shows average per-base read coverage and junction read counts
(middle). Figure 6. RNA-seq analysis of BEST1 transcript isoforms. Top panel shows structure of seven human protein-
coding BEST1 transcript isoforms annotated by Ensembl (release 75), and the location of two mutations
p.Arg47His and p.Val216Ile. Gray boxes represent exons. www.nature.com/scientificreports/ Green vertical line and red vertical line indicate
ORF start and stop, respectively. Bottom panel shows average per-base read coverage and junction read counts
(middle). transcripts of BEST1 (Fig. 6). Manual review of all BEST1 variants found this compound heterozygous mutation,
p.Arg47His and p.Val216Ile, to follow a recessive inheritance mode in this family.i g
y
We confirmed the expression of both ENST00000378043 and ENST00000526988 isoforms in retina by ana-
lyzing RNA-seq data obtained from the retinal tissue of a healthy donor (see Materials & Methods). RNA-seq
split-reads (n = 11) supporting the intron junction between exon 6 and exon 7 of ENST00000526988 confirmed
that this alternate transcript is expressed in the retina and hence likely to be a relevant isoform of BEST1 in the
eye (Fig. 6).f y
g
All four affected members in family C (including proband) carried both the p.Arg47His and p.Val216Ile muta-
tions. The unaffected members (parents and children of proband) were carriers for either p.Arg47His or p.Val-
216Ile. The heterozygous p.Arg47His mutation was reported in a German patient with adult-onset vitelliform
macular dystrophy (AVMD)38 and, more recently, in a Chinese patient with Best Vitelliform Macular Dystrophy
(BVMD)39. The p.Val216Ile mutation was not present in the 1000 Genome Project31 or the ExAC database33 and
was predicted to be damaging by SIFT36 and benign by Polyphen-237. p
g
g y
g
y
yp
In family D, we did not observe any homozygous pathogenic mutations through the segregation analysis. However, upon manual review, the proband (II.1) was found to have a heterozygous p.Thr91Ile mutation in the
BEST1 gene which was predicted to be deleterious by both SIFT36 and Polyphen-237 (Fig. 5b, Supplementary
Fig. S11, Supplementary Table S1). The same mutation was also observed in the father and sister but was absent in
the mother. The father (I.1) who did not have any clinical symptoms, demonstrated vitelliform lesions in his left
eye, indicating that the mutation may show an incomplete penetrance. Discussionh The BEST1 gene has been associated with a wide range of ocular phenotypes. Although clinical presentation of
the autosomal recessive form of bestrophinopathy is distinct from the autosomal dominant form, both these
conditions are known to arise from BEST1 (VMD2) gene alterations. Mutations in BEST1 gene have pleiotropic
effects and the phenotypes observed are influenced by age, gender, environment, epigenetic factors and presence
of modifier genes7,40.i i
g
Our study included four families where probands from three were classified as ARB (families A, B and C) and
the proband from the fourth (Family D) was suspected to have BVMD (family D) based on clinical observations. The BEST1 mutations and the pattern of inheritance confirmed the ARB clinical diagnosis in family A and B. Interestingly, the sequencing results established the family C proband to carry a compound heterozygous BEST1
mutation that likely led to ARB. Finally, in family D we identified a potential autosomal dominant BEST1 muta-
tion that exhibited an incomplete penetrance leading to BVMD in the affected proband.h p
p
gf
p
In Family A, we observed a homozygous p.Tyr131Cys BEST1 mutation. The Y131 is a conserved residue
(Fig. 7d) and substitution at this position likely affects BEST1 function. The p.Tyr131Cys mutation has not been
previously reported. Further, in family B we found a novel homozygous c.449 G > C transversion that led to a
replacement of a highly conserved arginine to proline at codon 150. Family A and Family B correlated both gen-
otypically and phenotypically to ARB.ll y
y
y
y
In family C, the flecks on fundus imaging and autofluorescence tests showed widespread posterior pole dis-
tribution with very minimal but definitive focal schitic changes with predominant subretinal fluid, suggestive of
ARB. However, phenotypically, the affected members of family C were dissimilar to those of families A and B. In
particular, the intraretinal involvement observed in OCT images from family C was relatively lesser compared to
families A and B. Interestingly, in family C we observed two missense substitutions that map to two different iso-
forms of BEST1. One mutation led to arginine to histidine change at codon 47 (p.Arg47His; ENST00000378043) SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 9 www.nature.com/scientificreports/ Figure 7. Discussionh BEST1 mutations depicted on (a) a cartoon of BEST1 with the conserved pfam domain, (b) the
predicted topology of BEST156, (c) the structure of BEST1 (ProteinModelPortal, ID O76090), and (d) a
multiple sequence alignment of BEST1 protein sequences from multiple species. ARB - Autosomal Recessive
Bestrophinopathy. Figure 7. BEST1 mutations depicted on (a) a cartoon of BEST1 with the conserved pfam domain, (b) the
predicted topology of BEST156, (c) the structure of BEST1 (ProteinModelPortal, ID O76090), and (d) a
multiple sequence alignment of BEST1 protein sequences from multiple species. ARB - Autosomal Recessiv
Bestrophinopathy. while the other mutation was a valine to isoleucine substitution at codon 216 (p.Val216Ile; ENST00000526988)
of a previously known alternate BEST1 transcript. We confirmed the expression of this alternate transcript in
normal donor retinal tissue by RNA sequencing. The p.Arg47His mutation was identified previously in a BVMD39
and an AVMD case38 although, the inheritance patterns were not reported. BVMD and AVMD caused by BEST1
mutations are known to show incomplete inheritance and penetrance41. A recent study functionally assessed the
p.Arg47His mutation and suggested that it might be a mildly impaired mutant42. Given these, it is possible that in
the unaffected carriers of family C, the disease was not penetrant in the absence of the additional BEST1 mutation
observed in the proband and other affected family members. while the other mutation was a valine to isoleucine substitution at codon 216 (p.Val216Ile; ENST00000526988)
of a previously known alternate BEST1 transcript. We confirmed the expression of this alternate transcript in
normal donor retinal tissue by RNA sequencing. The p.Arg47His mutation was identified previously in a BVMD39
and an AVMD case38 although, the inheritance patterns were not reported. BVMD and AVMD caused by BEST1
mutations are known to show incomplete inheritance and penetrance41. A recent study functionally assessed the
p.Arg47His mutation and suggested that it might be a mildly impaired mutant42. Given these, it is possible that in
the unaffected carriers of family C, the disease was not penetrant in the absence of the additional BEST1 mutation
observed in the proband and other affected family members. f
y
A BEST1 compound heterozygous mutation, p.Trp29X/p.Arg141His, was previously described in a Swedish
ARB family43. Similarly, in another ARB family the affected members were reported to carry heterozygous p.Ala-
243Glu/p.Arg200X BEST1 mutations44. To the best of our knowledge, our study is the first report of a compound
heterozygous mutations involving two BEST1 isoforms. Discussionh However, the molecular function of the alternate tran-
script ENST00000526988 and the impact of compound heterozygous mutations (p.Arg47His and p.Val216Ile) on
the function of BEST1 in associated disease phenotypes require additional studies. Our analysis of family D found a heterozygous BEST1 p.Thr91Ile mutation in the affected proband. Remarkably, the proband’s father also carried this mutation but was only mildly affected with no loss of vision;
only a small foveal lesion was observed by OCT and FAF. Incomplete penetrance in BVMD has been reported45
and it should be noted that variable presentation of the disease as well as lack of clinical symptoms are also
associated with mutations in certain families46. While the BEST1 p.Thr91Ile mutation identified in family D is
suggestive of a dominant mutation, the mild phenotype in the father is indicative of the variable penetrance of
this mutation that might be modulated by other background genomic variations. Consistent with this, incomplete
penetrance of an autosomal dominant BEST1 mutation has been reported in multiple studies35,47,48. Interestingly,
in 23 patients with heterozygous BEST1 mutations, six were found to have no clinically detectable disease related
phenotype49. While the effect of BEST1 mutations on its function remains to be fully elucidated, a dominant neg-
ative role for some mutations50,51 and a functional role for compound heterozygous mutations in BEST1 disease
phenotypes has been proposed based on in vitro functional studies15,52.h The 585 amino acid long BEST1 protein is characterized by a highly conserved N-terminal region followed
by four to six transmembrane domains. BEST1 functions as a calcium-activated chloride channel (CaCC)
which regulates the flow of chloride and other monovalent anions across cellular membranes in response to
intracellular calcium levels53. The N-terminus of this protein (amino acids 1–390) contains all of the putative SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 10 www.nature.com/scientificreports/ membrane-spanning domains and is sufficient for its CaCC activity while the carboxy-terminal region (amino
acids 391–585 of BEST1) is predicted to be unstructured54. Structural models of BEST1 have been pro-
posed, which describe topological positions of the N-terminal region, the transmembrane domains and the
C-terminus55,56. Such models propose the N- and C-termini as being cytosolic with the presence of four trans-
membrane domains (domain 1,2 and 5, 6) while domain 3 and 4 are cytoplasmic55,56 (Fig. 7a–c). The crystal
structure of chicken BEST1, which is 74% identical to human BEST1, has been solved. References 1. Burgess, R. et al. Biallelic mutation of BEST1 causes a distinct retinopathy in humans. American journal of human genetics 82, 19–31
(2008). 2. Lee, C. S. et al. A Novel BEST1 Mutation in Autosomal Recessive Bestrophinopathy. Invest Ophthalmol Vis Sci 56, 8141–8150 (2015). 3. Marquardt, A. et al. Mutations in a novel gene, VMD2, encoding a protein of unknown properties cause juvenile-onset vitelliform
macular dystrophy (Best’s disease). Hum Mol Genet 7, 1517–1525 (1998). 2. Lee, C. S. et al. A Novel BEST1 Mutation in Autosomal Recessive Bestrophinopathy. Invest Ophthalmol Vis Sci 56, 8141–8150 (2015) 2. Lee, C. S. et al. A Novel BEST1 Mutation in Autosomal Recessive Bestrophinopathy. Invest Ophthalmol Vis Sci 56, 8141–8150 (2015). 3. Marquardt, A. et al. Mutations in a novel gene, VMD2, encoding a protein of unknown properties cause juvenile-onset vitelliform 2. Lee, C. S. et al. A Novel BEST1 Mutation in Autosomal Recessive Bestrophinopathy. Invest Ophthalmol Vis Sci 56, 8141–8150 (2015). 3 M
dt A
t l M t ti
i
l
VMD2
di
t i
f
k
ti
j
il
t it llif 3. Marquardt, A. et al. Mutations in a novel gene, VMD2, encoding a protein of unknown properties cause juvenile-onset vite
macular dystrophy (Best’s disease). Hum Mol Genet 7, 1517–1525 (1998).i y
p y (
)
,
(
)
4. Petrukhin, K. et al. Identification of the gene responsible for Best macular dystrophy. Nature genetics 19, 241–247 (1998). . Petrukhin, K. et al. Identification of the gene responsible for Best i
g
p
y
p y
g
5. Yardley, J. et al. Mutations of VMD2 splicing regulators cause nanophthalmos and autosomal dominant vitreoretinochoroidopathy
(ADVIRC). Invest Ophthalmol Vis Sci 45, 3683–3689 (2004). p
6. Burgess, R. et al. ADVIRC is caused by distinct mutations in BEST1 that alter pre-mRNA splicing. J Med Genet 46, 620–625 (2009). p
6. Burgess, R. et al. ADVIRC is caused by distinct mutations in BEST1 that alter pre-mRNA splicing. J Med Genet 46, 620–625 (2009). 7 Boon C J et al The spectrum of ocular phenotypes caused by mutations in the BEST1 gene Progress in retinal and eye research 28 6. Burgess, R. et al. ADVIRC is caused by distinct mutations in BEST1 that alter pre-mRNA splicing. J Med Genet 46, 620–625 (2009). 7. Boon, C. J. et al. The spectrum of ocular phenotypes caused by mutations in the BEST1 gene. Discussionh This structure is distinct
from other channel proteins and is comprised of a pentamer of five BEST1 subunits symmetrically arranged
around a central axis which creates a pore for chloride ions to pass through the protein complex57. Although the
detailed mechanisms that lead to the disease are not fully understood, most of the characterized BEST1 muta-
tions alter electrophysiological properties of the channel51,54,57. Crystallographic studies of wild-type and mutant
proteins suggest that BEST1 mutations altering the cytoplasmic pore structure affects the permeability of anions
or anion-cation selectivity58. Interestingly, the mutations discovered in this study are localized to the N-terminal
region (Fig. 7a–c). The mutations identified in family A (p.Tyr131Cys) and family B (p.Arg150Pro) lie in the third
cytoplasmic domain. Mutations observed in family C (p.Arg47His) localize to the first transmembrane domain,
while the mutation in family D (p.Thr91Ile) alters an amino acid proximal to the second transmembrane domain. The amino acids at these positions are conserved among mammals (Fig. 7d). References Autosomal Recessive Bestrophinopathy Is Not Associated With the Loss of Bestrophin
F nction in a Patient With a No el BEST1 M tation Invest Ophthalmol Vis Sci 56 4619 4630 (2015) p
,
(
)
21. Leiden Open Variation Database (LOVD). LOVD gene homepage: Bestrophin 1 (BEST1) database [database online]. Available at:
https://databases.lovd.nl/shared/genes/BEST1. Accessed January 10, 2018. p
g
y
2. Sodi, A. et al. BEST1 sequence variants in Italian patients with vitelliform macular dystrophy. Molecular vision 18, 2736–2748
(2011). (
)
23. Bach, M. et al. Standard for pattern electroretinography. Documenta ophthalmologica 101, 11–18 (2000). , M. et al. Standard for pattern electroretinography. Documenta oph 24. Marmor, M. F. An international standard for electroretinography. Documenta Ophthalmologica 73, 299–302 (1989). 25. Wu, T. D. & Nacu, S. Fast and SNP-tolerant detection of complex variants and splicing in short reads. Bioinformatics 26, 8
(2010).i 26. Goldstein, L. D. et al. Prediction and Quantification of Splice Events from RNA-Seq Data. PloS one 11, e0156132 (2016).i i
27. Van der Auwera, G. A. et al. From FastQ data to high confidence variant calls: the Genome Analysis Toolkit best practices p
Current protocols in bioinformatics/editoral board, Andreas D Baxevanis [et al.] 11, 11.10.11-11.10.33 (2013). i
an der Auwera, G. A. et al. From FastQ data to high confidence variant calls: the Genome Analysis Toolkit best practices pipel
urrent protocols in bioinformatics/editoral board Andreas D Baxevanis [et al ] 11 11 10 11 11 10 33 (2013) 27. Van der Auwera, G. A. et al. From FastQ data to high confidence variant calls: the Genome Analysis Toolkit best practices pipelin
Current protocols in bioinformatics/editoral board, Andreas D Baxevanis [et al.] 11, 11.10.11-11.10.33 (2013). 8. Li, H. & Durbin, R. Fast and accurate long-read alignment with Burrows-Wheeler transform. Bioinformatics 26, 589–595 (2010). 29. DePristo, M. A. et al. A framework for variation discovery and genotyping using next-generation DNA sequencing data. Nature
genetics 43, 491–498 (2011).ff g
0. Cingolani, P. et al. A program for annotating and predicting the effects of single nucleotide polymorphisms, SnpEff: SNPs in th
genome of Drosophila melanogaster strainw1118; iso-2; iso-3. Fly (Austin) 6, 80–92 (2012). g
p
g
y
31. Genomes Project, C. et al. An integrated map of genetic variation from 1,092 human genomes. Nature 491, 56–65 (2012). es Project, C. et al. An integrated map of genetic variation from 1,0 1. Genomes Project, C. et al. 1. Burgess, R. et al. Biallelic mutation of BEST1 causes a distinct retinopathy in humans. American journal of human genetics 82, 1
(2008). References Progress in retinal and eye research 28,
187–205 (2009).h 6. Burgess, R. et al. ADVIRC is caused by distinct mutations in Bh 8. Davidson, A. E. et al. Missense mutations in a retinal pigment epithelium protein, bestrophin-1, cause retinitis pigmentosa. The
American Journal of Human Genetics 85, 581–592 (2009). f
9. Marmorstein, A. D., Cross, H. E. & Peachey, N. S. Functional roles of bestrophins in ocular epithelia. Progress in retinal and eye
research 28, 206–226 (2009). 0. Hartzell, H. C., Qu, Z., Yu, K., Xiao, Q. & Chien, L.-T. Molecular physiology of bestrophins: multifunctional membrane protein
linked to best disease and other retinopathies. Physiological reviews 88, 639–672 (2008). p
y
g
11. Boon, C. J. et al. Clinical and genetic heterogeneity in multifocal vitelliform dystrophy. Archives of ophthalmology 125, 1100–1106
(2007). J. et al. Clinical and molecular genetic analysis of best vitelliform m . Boon, C. J. et al. Clinical and molecular genetic analysis of best vi 13. Deutman, A. Electro-oculography in families with vitelliform dystrophy of the fovea: detection of the carrier state. Archives of
ophthalmology 81, 305–316 (1969). p
gy
4. Khan KN, et al. Functional and Anatomical Outcomes of Choroidal Neovascularization Complicating Best1-Related Retinopathy
Retina, (2016).h 5. Burgess, R. et al. Biallelic mutation of BEST1 causes a distinct retinopathy in humans. The American Journal of Human Genetics 82
19–31 (2008). (
)
16. Borman, A. D. et al. Childhood-onset autosomal recessive bestrophinopathy. Archives of Ophthalmology 129, 1088–1093 (201 16. Borman, A. D. et al. Childhood-onset autosomal recessive bestrophinopathy. Archives of Ophthalmology 129, 1088–1093 (2011). 17. Crowley, C. et al. Autosomal recessive bestrophinopathy associated with angle-closure glaucoma. Documenta Ophthalmologica 129,
57–63 (2014). 17. Crowley, C. et al. Autosomal recessive bestrophinopathy associated with angle-closure glaucoma. Documenta Ophthalmologica
57–63 (2014). 8. Kinnick, T. R. et al. Autosomal recessive vitelliform macular dystrophy in a large cohort of vitelliform macular dystrophy patients
Retina 31, 581–595 (2011). 9. Davidson, A. E. et al. Functional characterization of bestrophin-1 missense mutations associated with autosomal recessive
bestrophinopathy. Investigative ophthalmology & visual science 52, 3730–3736 (2011). p
p
y
g
p
gy
20. Johnson, A. A. et al. Autosomal Recessive Bestrophinopathy Is Not Associated With the Loss of Bestrophin-1 Anion Channel
Function in a Patient With a Novel BEST1 Mutation Invest Ophthalmol Vis Sci 56, 4619–4630 (2015) p
p
y
g
p
gy
20. Johnson, A. A. et al. www.nature.com/scientificreports/ Distinct regions that control ion selectivity and calcium-dependent activation in the bestro
ion channel. Proceedings of the National Academy of Sciences of the United States of America 113, E7399–E7408 (2016). Author Contributions S.S., A.G., A.S.P. designed the study. R.B. and P.B. identified the families, performed clinical assessment of the
patients and provided clinical care. A.V. and R.A.M. coordinated patient data collection and sample preparation. S.P. and V.L.R. managed the sequence data collection. T.T.N., S.S. managed and analyzed exome and RNA-seq
data. T.T.N., S.S., A.G. and A.S.P. co-wrote the manuscript with the assistance and contributions from all the co-
authors. Acknowledgementsh g
The authors would like to acknowledge Genentech DNA Sequencing, Oligo and Bioinformatics groups for their
help with the project and members of the Departments of Molecular Biology and Human Genetics for helpful
discussions and review of the manuscript. Work in AG’s lab was supported by Narayana Nethralaya Foundation. www.nature.com/scientificreports/ Clinical evaluation of two consanguineous families with homozygous mutations in BEST1 (2011).h Piñeiro-Gallego T, et al. Clinical evaluation of two consanguineous 49. Querques, G. et al. The spectrum of subclinical Best vitelliform macular dystrophy in subjects with mutations in BEST1
Investigative ophthalmology & visual science 52, 4678–4684 (2011). 50. Qu, Z., Wei, R. W., Mann, W. & Hartzell, H. C. Two bestrophin 50. Qu, Z., Wei, R. W., Mann, W. & Hartzell, H. C. Two bestrophins cloned from Xenopus laevis oocytes express Ca2+ -activated Cl−
currents. Journal of Biological Chemistry 278, 49563–49572 (2003).hi currents. Journal of Biological Chemistry 278, 49563–49572 (20 51. Sun, H., Tsunenari, T., Yau, K.-W. & Nathans, J. The vitelliform macular dystrophy protein defines a new family of chloride channels. Proceedings of the National Academy of Sciences 99, 4008–4013 (2002). 51. Sun, H., Tsunenari, T., Yau, K.-W. & Nathans, J. The vitelliform m h
Proceedings of the National Academy of Sciences 99, 4008–4013 g
f
y f
(
)
2. Lee, C. S. et al. A Novel BEST1 Mutation in Autosomal Recessive BestrophinopathyA Novel BEST1 Mutation in ARB. Investigative
ophthalmology & visual science 56, 8141–8150 (2015). 52. Lee, C. S. et al. A Novel BEST1 Mutation in Autosomal ophthalmology & visual science 56, 8141–8150 (2015). p
gy
3. Tsunenari, T. et al. Structure-function analysis of the bestrophin family of anion channels. Journal of Biological Chemistry 278
41114–41125 (2003).h 54. Xiao, Q., Prussia, A., Yu, K., Cui, Y.-Y. & Hartzell, H. C. Regulation of bestrophin Cl channels by calcium: role of the C terminus. The
Journal of general physiology 132, 681–692 (2008). f g
p y
gy
5. Moskova-Doumanova, V., Pankov, R., Lalchev, Z. & Doumanov, J. Best1 shot through the eye—structure, functions and clinica
implications of bestrophin-1 protein. Biotechnology & Biotechnological Equipment 27, 3457–3464 (2013). p
p
p
gy
g
q p
6. Milenkovic, V. M., Rivera, A., Horling, F. & Weber, B. H. Insertion and topology of normal and mutant bestrophin-1 in the
endoplasmic reticulum membrane. Journal of biological chemistry 282, 1313–1321 (2007). 56. Milenkovic, V. M., Rivera, A., Horling, F. & Weber, B. H. Insertion and topology of nor
endoplasmic reticulum membrane. Journal of biological chemistry 282, 1313–1321 (2007). 7. Dickson, V. K., Pedi, L. & Long, S. B. Structure and insights into the function of a Ca2+ -activated Cl-channel. Nature 516, 213–218
(2014). 58. Vaisey, G., Miller, A. N. & Long, S. B. www.nature.com/scientificreports/ www.nature.com/scientificreports/ 38. Kramer, F. et al. Mutations in the VMD2 gene are associated with juvenile-onset vitelliform macular dystrophy (Best disease) and
adult vitelliform macular dystrophy but not age-related macular degeneration. European journal of human genetics: EJHG 8, 286–292
(2000). (
)
39. Liu, J., Zhang, Y., Xuan, Y., Liu, W. & Wang, M. Novel BEST1 Mutations and Special Clinical Features of Best Vitelliform Ma
Dystrophy. Ophthalmic Res 56, 178–185 (2016). y
p y
p
(
)
40. Guziewicz, K. E., Slavik, J., Lindauer, S. J., Aguirre, G. D. & Zangerl, B. Molecular consequences of BEST1 gene mutations in canine
multifocal retinopathy predict functional implications for human bestrophinopathies. Investigative ophthalmology & visual science
52, 4497–4505 (2011). (
)
41. Johnson, A. A. et al. Bestrophin 1 and retinal disease. Prog Retin Eye Res 58, 45–69 (2017). 41. Johnson, A. A. et al. Bestrophin 1 and retinal disease. Prog Retin Eye Res 58, 45–69 (2017). 42. Johnson, A. A. et al. Disease-causing mutations associated with four bestrophinopathies exhibit disparate effects on the localiza
but not the oligomerization, of Bestrophin-1. Exp Eye Res 121, 74–85 (2014). son, A. A. et al. Disease-causing mutations associated with four best 42. Johnson, A. A. et al. Disease-causing mutations associated with four bestrophinopathies ex
but not the oligomerization, of Bestrophin-1. Exp Eye Res 121, 74–85 (2014). g
p y
43. Schatz, P., Klar, J., Andréasson, S., Ponjavic, V. & Dahl, N. Variant phenotype of Best vitelliform macular dystrophy associated with
compound heterozygous mutations in VMD2. Ophthalmic genetics 27, 51–56 (2006). p
yg
p
g
44. Fung, A. T. et al. New Best1 mutations in autosomal recessive bestrophinopathy. Retina (Philadelphia, Pa) 35, 773 (2015). 45. Boon, C. J. et al. Clinical and molecular genetic analysis of best vitelliform macular dystrophy. Retina 29, 835–847 (2009). 45. Boon, C. J. et al. Clinical and molecular genetic analysis of be al. Clinical and molecular genetic analysis of best vitelliform macul 46. Wabbels, B., Preising, M. N., Kretschmann, U., Demmler, A. & Lorenz, B. Genotype-phenotype correlation and longitudinal cours
in ten families with Best vitelliform macular dystrophy. Graefe’s archive for clinical and experimental ophthalmology = Albrecht vo
Graefes Archiv fur klinische und experimentelle Ophthalmologie 244, 1453–1466 (2006). f
f
p
p
g
47. Weber, B., Walker, D. & Müller, B. Molecular evidence for non-penetrance in Best’s disease. Journal of medical genetics 31, 388
(1994). (
)
48. Piñeiro-Gallego T, et al. References An integrated map of genetic variation from 1,092 human genomes. Nature 491, 56 65 (2012). 2. Fu, W. et al. Analysis of 6,515 exomes reveals the recent origin of most human protein-coding variants. Nature 493, 216–220 (2013) j
g
g
g
32. Fu, W. et al. Analysis of 6,515 exomes reveals the recent origin of most human protein-coding variants. Nature 49 3. Lek, M. et al. Analysis of protein-coding genetic variation in 60,706 humans. Nature 536, 285–291 (2016). 4 Robinson, J T et al Integrative genomics viewer Nat Biotechnol 29, 24–26 (2011) 33. Lek, M. et al. Analysis of protein-coding genetic variation in 60,706 humans. Nature 536, 285–291 (2016). Analysis of protein-coding genetic variation in 60,706 humans. Nat 33. Lek, M. et al. Analysis of protein coding genetic variation in 60,706 humans. Nature 536, 285 291 (2016). 34. Robinson, J. T. et al. Integrative genomics viewer. Nat Biotechnol 29, 24–26 (2011). 34. Robinson, J. T. et al. Integrative genomics viewer. Nat Biotechnol 29, 24–26 (2011). . et al. Integrative genomics viewer. Nat Biotechnol 29, 24–26 (2011 34. Robinson, J. T. et al. Integrative genomics viewer. Nat Biotechno g
g
35. Sharon, D. et al. Ocular phenotype analysis of a family with biallelic mutations in the BEST1 gene. American journal of ophthalm
157, 697–709. e692 (2014).f 36. Ng, P. C. & Henikoff, S. Predicting deleterious amino acid substitutions. Genome Res 11, 863–874 (2001). gf
g
7. Adzhubei, I. A. et al. A method and server for predicting damaging missense mutations. Nat Methods 7, 248–249 (2010). f
37. Adzhubei, I. A. et al. A method and server for predicting damaging missense mutations. Nat Methods 7, SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8 11 Additional Information Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-018-27951-8.h Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-018- Competing Interests: The authors declare no competing interests. Competing Interests: The authors declare no competing interests. Competing Interests: The authors declare no competing interests. Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps an
institutional affiliations. Open Access This article is licensed under a Creative Commons Attribution 4.0 International
License, which permits use, sharing, adaptation, distribution and reproduction in any medium or
format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Cre-
ative Commons license, and indicate if changes were made. The images or other third party material in this
article are included in the article’s Creative Commons license, unless indicated otherwise in a credit line to the
material. If material is not included in the article’s Creative Commons license and your intended use is not per-
mitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the
copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/. 12 SCIeNTIFIC RePorTS | (2018) 8:10176 | DOI:10.1038/s41598-018-27951-8
|
https://openalex.org/W3040104476
|
http://dspace.vsb.cz/bitstream/10084/141831/1/1424-8220-2020v20i13an3666.pdf
|
English
| null |
Analysis and Testing of a Suitable Compatible Electrode’s Material for Continuous Measurement of Glucose Concentration
|
Sensors
| 2,020
|
cc-by
| 9,406
|
Article Nikola Slaninova 1, Klara Fiedorova 1, Ali Selamat 2,3
, Karolina Danisova 1, Jan Kubicek1,*,
Ewaryst Tkacz 4 and Martin Augustynek 1,* 1
Department of Cybernetic and Biomedical Engineering, VŠB—Technical University of Ostrava, 17,
listopadu 2172/15, 708 00 Ostrava–Poruba, Czech Republic; nikola.slaninova@gmail.com (N.S.);
klara.fiedorova@vsb.cz (K.F.); danisovak@centrum.cz (K.D.) 1
Department of Cybernetic and Biomedical Engineering, VŠB—Technical University of Ostrava, 17,
listopadu 2172/15, 708 00 Ostrava–Poruba, Czech Republic; nikola.slaninova@gmail.com (N.S.);
klara.fiedorova@vsb.cz (K.F.); danisovak@centrum.cz (K.D.) klara.fiedorova@vsb.cz (K.F.); danisovak@centrum.cz (K.D.)
2
Malaysia-Japan International Institute of Technology, Universiti Teknologi Malaysia Kuala Lumpur,
Jalan Sultan Yahya Petra, Kuala Lumpur 54100, Malaysia; aselamat@utm.my
3
Media and Games Center of Excellence (MagicX), Universiti Teknologi Malaysia, Skudai 81310, Malaysia
4
Department of Biosensors and Processing of Biomedical Signals, Faculty of Biomedical Engineering,
Silesian University of Technology, 40 Roosevelt’s Street, 41-800 Zabrze, Poland; ewaryst.tkacz@polsl.pl
*
Correspondence: jan.kubicek@vsb.cz (J.K.); martin.augustynek@vsb.cz (M.A.)
R
i
d 5 J
2020 A
d 28 J
2020 P bli h d 30 J
2020 2
Malaysia-Japan International Institute of Technology, Universiti Teknologi Malaysia Kuala Lumpur,
Jalan Sultan Yahya Petra, Kuala Lumpur 54100, Malaysia; aselamat@utm.my
3
Media and Games Center of Excellence (MagicX), Universiti Teknologi Malaysia, Skudai 81310, Malaysia
4
Department of Biosensors and Processing of Biomedical Signals, Faculty of Biomedical Engineering,
Silesian University of Technology, 40 Roosevelt’s Street, 41-800 Zabrze, Poland; ewaryst.tkacz@polsl.pl
*
Correspondence: jan.kubicek@vsb.cz (J.K.); martin.augustynek@vsb.cz (M.A.) Received: 5 June 2020; Accepted: 28 June 2020; Published: 30 June 2020 Abstract: The subject of the submitted work is the proposal of electrodes for the continual
measurement of the glucose concentration for the purpose of specifying further hemodynamic
parameters. The proposal includes the design of the electronic measuring system, the construction of
the electrodes themselves and the functionality of the entire system, verified experimentally using
various electrode materials. The proposed circuit works on the basis of micro-ammeter measuring
the size of the flowing electric current and the electrochemical measurement method is used for
specifying the glucose concentration. The electrode system is comprised of two electrodes embedded
in a silicon tube. The solution consists of the measurement with three types of materials, which
are verified by using three solutions with a precisely given concentration of glucose in the form
of a mixed solution and enzyme glucose oxidase. For the testing of the proposed circuit and the
selection of a suitable material, the testing did not take place on measurements in whole blood. Article For
the construction of the electrodes, the three most frequently used materials for the construction of
electrodes used in clinical practice for sensing biopotentials, specifically the materials Ag/AgCl, Cu
and Au, were used. The performed experiments showed that the material Ag/AgCl, which had the
greatest sensitivity for the measurement even without the enzyme, was the most suitable material for
the electrode. This conclusion is supported by the performed statistical analysis. On the basis of the
testing, we can come to the conclusion that even if the Ag/AgCl electrode appears to be the most
suitable, showing high stability, gold-plated electrodes showed stability throughout the measurement
similarly to Ag/AgCl electrodes, but did not achieve the same qualities in sensitivity and readability
of the measured results. Keywords: biosensor; electrode; enzyme glucose oxidase sensors sensors sensors 1. Introduction This publication deals with the proposal of electrodes for the continual measurement of glucose,
which consists not only in the construction of the electrodes, but also in the selection of a suitable
material for their construction, which measures glucose concentrations using the electrochemical
method [1], and comparing the functionality and differences between the investigated electrodes. www.mdpi.com/journal/sensors Sensors 2020, 20, 3666; doi:10.3390/s20133666 2 of 18 Sensors 2020, 20, 3666 The research describes the basic theoretical knowledge necessary for proper electrode production
and testing. The measurement of glucose levels from a medical perspective is of prime importance for verifying
the health of the patient. Glucose is a natural substance for the organism and thus it is used as an
indicator when measuring other hemodynamic parameters. The ideal blood sugar level in the human
body is in the range of 3.5 mmol/L to 5.5 mmol/L [2]. There are many methods for measuring glucose
in the blood that we can classify according to many perspectives, primarily according to the purpose
of their use. The most well-known include the self-monitoring methods, which include laboratory
tests, glucometer measuring methods and continuous methods. The foundation of these methods is
specific electrochemical or chemical reactions, based on electrochemical photometric methods [3,4]. Electrochemical reactions use specific enzymes for glucose. Enzymes are used to accelerate chemical
reactions in glucose evaluation. An enzyme-substrate complex is formed, whereby the reaction
results in the starting enzyme and the product. The most widespread method for assessing blood
glucose is electrochemical measurement [5]. Glucose oxidase catalyzes the chemical reaction of glucose
with oxygen to form gluconic acid and hydrogen peroxide [6]. Hydrogen peroxide is reduced by
an electrochemical action to water and free electrodes, resulting in a weak electric current that is
proportional to the blood glucose concentration [7]. The research uses a measuring circuit of our own design, which excels in measuring very small
electric currents, and an electrode system, for which it is essential to verify the selection of the material
for the electrodes. Electrodes from three types of materials were chosen—Ag/AgCl, Cu and Au
(Table 1), which were tested using various concentrations of glucose and the enzyme glucose oxidase. Since a narrowly specific electrochemical reaction is used in the work, the material selected for the
electrodes must not enter into or otherwise influence the incurred reaction. 2. Related Work Research will continue in the future to develop mini-invasive sensor for the continuous
measurement of blood glucose. In order to realize this sensor, it will be necessary to resolve the
question of the appropriate immobilization of glucose oxidase to the electrode system and also to
choose the most suitable material for the electrode system. This entire electrode system will then need
to be shrunk to a sensor that is reduced in size enough to be used for measurement in the dermal
interstitial fluid. This chapter outlines current developments and solutions. Continuous Glucose Monitoring (CGM) has been demonstrated to be clinically valuable and
reduces the risks of hypoglycemia and hyperglycemia. This method also improves patient quality
of life [10,11]. Continuous glucose monitoring may result in better glycemic control compared to
conventional treatment [12,13]. The current trend in patient blood glucose measurement is a 24-h
continuous glucose measurement method. The system consists of three parts (sensor, transmitter and
receiver) [14]. The electrode is coated with an enzyme layer and inserted into the patient’s subcutaneous
tissue. The measurement is based on the electrochemical method as well as self-monitoring glycemia
(SMBG) [15]. Blood concentration is a key parameter determining the patient’s health (associated with
Diabetes Mellitus). Many methods for the continuous and accurate monitoring of blood glucose have
been studied. Electrochemical analysis remains important in this area for its simplicity and quantity. GCM is often neglected due to its invasiveness. Non-invasive methods for estimating blood glucose
from tears, saliva and sweat were also studied [16]. Two types of systems are currently available on the market for continuous glucose monitoring. They are a real-time scanning system and an intermittent scanning system. Both systems provide
continuous measurement values, but each system has its own unique characteristics, which can be
beneficial or negative for individual patients [17,18]. IoT (Internet of Things) health monitoring systems have recently been used to improve health
care. However, advanced systems for continuous glucose monitoring using IoT are still in use with
many limitations. The feasibility of an invasive continuous glucose monitoring system using the
IoT-based approach is currently under study. The IoT-based system architecture from sensor to
real-time glucose-presenting back-end system has been designed [19]. Non-invasive methods are desirable to replace the traditional finger prick method because they
can facilitate continuous glucose monitoring. The challenges associated with non-invasive glucose
monitoring are numerous factors that contribute to inaccurate values. 1. Introduction The materials and dimensions of the used electrodes are also defined in this section. Section 5 assesses
the performance of electrodes involving the use of different types of materials at different defined
concentrations. Section 6 objectively quantifies the used materials in a concentration-dependent
manner using correlation coefficients and other statistical methods. Section 7 discusses the results of
the proposed tested electrodes. 1. Introduction In the work we verified
the hypothesis that Ag/AgCl electrodes measure higher voltages than Cu electrodes and second
hypothesis Ag/AgCl electrodes measure higher voltages than Au electrodes. The assumption is that
the Ag/AgCl electrodes verified in practice will have greater sensitivity than the other types of chosen
electrodes. It follows from this that these electrodes will be able to record more precise values of
electric voltage than the other selected materials, which leads to the more precise measured results. The types of materials were chosen on the basis of their various sensitivities and electric characteristics. Table 1. Electric characteristics of tested materials at a temperature of 20 degrees Celsius [8]. Electrical Resistivity
Electrical Conductivity
Material
10−6Ω.m
MS.m−1
Ag
0.016
61.5
Au
0.023
43.5
Cu
0.018
56.2 Table 1. Electric characteristics of tested materials at a temperature of 20 degrees Celsius [8]. The hardware part of the electrode system, its realization and execution are described in detail. A modification of the system with the possibility of data digitization in order to monitor the long-term
trend of data over time is also described. The LabVIEW graphical programming environment was
used for software implementation and measurement data processing [9]. The measured data were
statistically processed in program R and evaluated according to the concentration of the glucose
solution used and the electrode material. In each test set, the voltage value detected by the measuring
electrode was recorded during the first 150 s without an enzyme and within 220 s using the enzyme
glucose oxidase. The organization of the article is as follows. Section 2 describes the research followed by this
paper. The relationship between the papers is described. Section 3 describes the mechanism of the
electrode measurement system of which elements it consists. The construction of the electrode part is
defined, then the measuring and supply circuit. Section 4 shows the design of hardware for online
data recording using a direct connection via a measuring card and also using a microphone element. 3 of 18 Sensors 2020, 20, 3666 The materials and dimensions of the used electrodes are also defined in this section. Section 5 assesses
the performance of electrodes involving the use of different types of materials at different defined
concentrations. Section 6 objectively quantifies the used materials in a concentration-dependent
manner using correlation coefficients and other statistical methods. Section 7 discusses the results of
the proposed tested electrodes. 2. Related Work Non-invasive methods of
glucose measurement based on: intrinsic glucose properties, blood/tissue properties and breath
acetone analysis were tested in recent works [20]. Accurate detection of diabetes and blood glucose is needed for the current needs of improving
patient care. Existing systems have shortcomings such as high computational time and low prediction
accuracy. For this reason, a diagnostic system was designed that works on the principle of using
the machine learning method for the detection of diabetes. The design method was tested on a
clinical data set. The method was designed on a filtering method based on a decision tree algorithm. Experimental results have shown that the proposed performance of the system is comparable to
previous state-of-the-art methods [21]. For continuous glucose measurements, it is necessary to develop suitable electrodes from a
suitable material. A mini-invasive glucose sensor has already been developed with a sensing area
at the electrode tip. The electrode is constructed of a platinum-iridium alloy and is embedded in
the center of a Polyetheretherketone (PEEK) tube and has been used as a sensing electrode. Glucose 4 of 18 Sensors 2020, 20, 3666 Sensors 2020, 20, 3666 oxidase electrodeposition was performed to immobilize the enzymes. The PEEK surface was coated
with Ag/AgCl film as a reference electrode. The response of the prepared glucose sensors was tested
at a potential of 0.6 V [22]. A reusable, non-invasive and ultrafast high-frequency biosensor was developed based on an
optimized manufacturing process of an integrated passive device for quantitative glucose detection. With the aid of the novel biosensor design with hammer-shaped capacitors for carrying out detection,
both the resonance frequency and magnitude of reflection coefficient can be applied to map the
different glucose levels [23]. Another important chapter is the reduction of the entire biosensor thus allowing the mini-invasive
monitoring of glucose in interstitial fluid in the dermal area. Reducing the biosensor size can also lead to
the improved stability and reliability of these sensors. The realized device consists of a three-electrode
enzyme sensor. The working electrode and counterelectrode consist of platinum. The instrument is
capable of dynamically and linearly measuring in-vitro concentrations with sufficient selectivity [24,25]. y
y
y
g
y
Another possible chapter in the selection of a suitable material can be the use of nanomaterials
or near-zero-index materials. Nanomaterials have become crucial for the development of new
technologies in several areas of practical applications. 2. Related Work They are often associated only with optics
and electromagnetism. Analogous to electrical nanocircuits, the concept of nanoelements of thermal
circuits was introduced. Resistors, capacitors and inductors are evaluated in terms of electromagnetic
(electrical permittivity) and thermal (conductivity k and convection coefficient) nanostructured
properties [26]. Another possibility is to use near-zero-index material. Analytical and numerical
results will confirm that the use of near-zero cover materials leads to extraordinary properties in terms
of field configurations, low attenuation and bandwidth. The dielectric wire acts as an efficient guide
with great potentials for advance nanocircuit and electronics [27]. The research is based on the work of The Proposal of an Electrode for Measuring Glucose
Concentration in Blood [28], where the authors presented a basic study of the electrode system for
the determination of blood glucose levels. The research suggests an electrode for measuring glucose
concentration together with a measuring circuit; this system ensures the supply of the required voltage
to the analyzed sample and at the same time detection of current, the magnitude of which corresponds
to the electrochemical reaction between the enzyme glucose oxidase and glucose. Due to the enzyme,
only glucose molecules are detected in the blood. In order to understand how the electrochemical
reaction proceeds and what voltage we detect during the reaction, the measurements take place in two
cycles. The first cycle serves to determine how the electrode system behaves during the measurement
of pure glucose and how it reacts to different glucose concentrations in the analyzed sample. Based
on the results, they were able to distinguish the changes that occurred in the second cycle during
the addition of the enzyme. The result confirmed higher voltage values for enzyme samples, where
the measured voltage waveform is characterized by a rapid increase in voltage followed by a rapid
regression due to the electrochemical reaction and its saturation. The increase of the electrical voltage
as well as the concentration of glucose is caused by a chemical reaction that occurs. With the increased
concentration of glucose, there are also more ions in the blood that are conductive. Mixing glucose
and the given enzyme glucose oxidase results in the creation of water and ions, which increase the
conductivity and lower the electric resistance. Two types of electrode systems were used in different
designs using the same materials. 3. Electrode Measuring System The electrode measuring system is used to measure the low values of electric current from the
electrodes and to convert this electric current into electrical voltage, which is the input value in
the chain directly proportional to the value of glucose in the solution. The measurement is based
on the electrochemical reaction between the glucose and glucose oxidase, when the electric current
resulting from this chemical reaction is recorded and subsequently converted into electrical voltage. The measurement of the solution with the pure glucose was performed for verifying the detected Sensors 2020, 20, 3666 5 of 18 Sensors 2020, 20, 3666 electric current using the measuring circuit with the electrode. To verify the results of the research,
each of the electrodes was tested in ten measurements for the individual concentrations and without
an added enzyme. y
The electrode measurement system (Figure 1) in this work consists of three parts—a power circuit,
a two electrode system and a measuring circuit. The main idea is the ability to measure glucose
concentration in a solution with distilled water (the measurement is performed to verify that the
measuring system is capable of detecting electric current) or to measure glucose in a solution that
contains the enzyme glucose oxidase [29] to accelerate the catalytic reaction of the glucose (Figure 2). The enzyme glucose oxidase is used for the electrochemical measurement, which catalyzes the chemical
reaction of glucose with oxygen. This produces gluconic acid and hydrogen peroxide, which is reduced
by electrochemical action to water and free electrons. This produces a small electric current which is
proportional to the glucose concentration in the solution. Measurements are usually distorted by the
involvement of oxygen in the reaction (formation of hydrogen peroxide). The method was modified
with the ferrocene mediator reagent, which reduces the catalysis of hydrogen peroxide [30–32]. Figure 1. Electrode measuring system. Figure 1. Electrode measuring system. The glucose oxidase enzyme in the solution causes the measuring system to measure a
higher current value during the biochemical reaction than when the enzyme is not in the solution. The resulting signal, which is measured, is proportional to the glucose concentration in the sample
solution, and is generated by the movement of free ions. Ions of different kinds are present in the
solution and therefore it is important to select only glucose molecules (using an enzyme). 3.1. Construction of the Electrode Part It was necessary to design an electrode construction that would have the suitable sensitivity and
stability to record the measured results. The main element of the electrode part is a set of electrodes (Figure 3), which are designed as
a pair of small rollers interconnected by copper connecting wires with pinheads and a supply and
measuring circuit. Each of the electrodes has a different function in the system, which is given by
connecting the wires to the circuit. The electrodes are mounted in a silicone tube. The electrodes are designed as a metal cylinder with a length of 4 mm and a cross-section of 0.5 mm. The electrode gap is 0.97 mm. One electrode is under voltage of 0.6 to 0.69 volts (hydrogen peroxide
decomposition). This electrode is connected to the circuit and is marked as working. The dimensions
of the electrode were chosen experimentally, due to the available technologies and possibilities. The
intention was to create an electrode with the smallest possible dimensions. The design of the electrode
dimensions was limited by the available materials. The size of the electrode was not crucial for this
research, as it is a prototype electrode. Appropriately chosen size of the electrode system (Figure 3)
affects the whole results of the measured electrical voltage. In the initial measurements, it was verified
that if the electrode pads are closer together, the electrode measures in a narrower range. This effect
is desirable especially when reading the concentration of glucose from the blood, when due to the
narrower range, even less different concentrations will be recognizable. Decomposition occurs when hydrogen peroxide is cleaved. Free ions move to the second
electrode (metal roller), the measuring electrode, which registers it. The processing then takes
place by transferring the measured small current to the measuring circuit, where it is converted
to electrical voltage. The silicone used to connect all the components of the electrode system and to apply the test
solution is electrically non-conductive and does not affect the proper functioning of the system or the
chemical reaction of the glucose enzyme. The silicone tubing has a diameter of 4 mm and the space for
application of the test solution is 25.13 × 10−8/L. The tubing has two electrode placement holes at
the top, and the bottom end is sealed with a grounding electrode (to eliminate interference with the
measurement system). 3. Electrode Measuring System The enzyme
in the solution causes a chemical reaction to form gluconic acid and hydrogen peroxide, which is
further cleaved to hydrogen, free ions and oxygen to increase the resulting current. The electrical
potential in the solution must be 0.6 to 0.69 volts for decomposition. The electrical current generated
by the chemical reaction is detected by the electrode system and further converted to an electrical
voltage from which the resulting glucose concentration is evaluated more accurately [30–32]. Figure 2. Reactants and chemical reaction products. Figure 2. Reactants and chemical reaction products. Sensors 2020, 20, 3666 6 of 18 3.1. Construction of the Electrode Part The grounding electrode is constructed as a copper wire system in the insulator. The terminal
parts are connected with two pinheads to the circuit. A mixture of synthetic resins, paraffins and
copolymer was used to seal the electrode. Connecting wires connect gold-plated electrodes and
pinheads. One conducts voltage to the working electrode to decompose hydrogen peroxide and the
other conducts the detected signal to the circuit from the measuring electrode. Pinheads are in two
rows with six outlets and are intended to provide a connection to the measuring circuit. Figure 3. Construction of the electrode. Figure 3. Construction of the electrode. Sensors 2020, 20, 3666 7 of 18 7 of 18 3.2. Measuring and Power Supply Circuit For the proper functioning of the system, it is necessary to construct a power supply circuit
and a circuit to perform the measurements. The entire system is comprised of resistors with various
resistance values and four opamps. The power circuit (Figure 4) is designed to adjust the incoming voltage to 0.6 volts for the working
electrode and then to process the converted voltage from the measuring electrode and measure it using
an oscilloscope. The power supply circuit is supplied with a DC voltage of 3 V (two AA batteries in
series). The voltage divider is reduced to 1.5 V (using two 100 kΩresistors). This voltage is then routed
to the positive input of the operational amplifier, which monitors the voltage values. The voltage at the
input and output of the operational amplifier is therefore the same. An artificial ground is created from
the output of the operational amplifier. Another voltage divider with 150 kΩand 100 kΩresistors
creates a voltage of 0.6 V, which is applied to the working electrode by means of a connecting wire and
pinhead [15,28,30,33]. p
The measuring part (Figure 4) of the circuit is connected to the measuring electrode. The first
operational amplifier in this section converts the current to voltage (the output voltage depends on
the value of the resistance trimmer, the resistance of the solution with the submerged electrodes, and
the input voltage of the working electrode). A negative voltage drop is output from this opamp. The
last opamp adjusts the negative voltage, it serves only as a signal inventor. The resulting positive
voltage at the end of the measurement chain then displays a voltage value proportional to the glucose
concentration in the measured solution [15,28,30,33]. The scope of the measuring circuit is limited by the supply voltage of the electronic microammeter. The sensitivity of the circuit is limited by instabilities, such as surface phenomena on the electrodes or
the noise of the electronic circuits. Figure 4. Diagram of power supply part and measuring part. Figure 4. Diagram of power supply part and measuring part. 4. Design and Implementation of Hardware Chain for Online Recording The main task of this work was to create a complete measuring and imaging electrode system
(Figure 5) able to monitor the value of the resulting voltage corresponding to the glucose concentration. In the previous work, it was found that the generated analog signal is a small DC voltage, which can
be processed in several ways. The LabVIEW graphical programming environment (Laboratory Virtual
Instruments Engineering Workbench) [34] was used to design and implement the software application
for processing the measured data. The DAQ (Data Acquisition) card is used to connect the measuring
and power supply circuits to a computer interface and to convert the measured data online into digital
form. The DAQ Data Acquisition Card is used for a direct connection. The NI USB 6009 measuring
card (National Instruments) was used for measurements in this work. The card has eight analog inputs
(14-bits), two analog outputs (12-bits), twelve two-way digital lines and one 32-bit counter. The counter 8 of 18 Sensors 2020, 20, 3666 has a maximum input frequency of 5 MHz and an input high voltage of 2.0 V. Communication with
the DAQ card was performed with the use of the DAQmx library in the LabVIEW program [35]. has a maximum input frequency of 5 MHz and an input high voltage of 2.0 V. Communication with
the DAQ card was performed with the use of the DAQmx library in the LabVIEW program [35]. has a maximum input frequency of 5 MHz and an input high voltage of 2.0 V. Communication with
the DAQ card was performed with the use of the DAQmx library in the LabVIEW program [35]. Figure 5. Complete measuring system. Figure 5. Complete measuring system. 4.1. Microphone Input Element for Computer Input 4.1. Microphone Input Element for Computer Input 4.2. Types of Electrodes The definition and selection of the proper material for the electrodes was essential for this
research. The material must show the highest stability and resolution when measuring in the designed
measuring circuit. That is why three types of materials that are used in medical practice were used. The characteristics of the electrode material are given primarily by the external layer of the electron
shell of the element atoms. When approaching the atoms and electrons from the outer layers, there is
an interaction and creation of a bond. The characteristic of the material is defined by the arrangement
of the atoms that make up these bonds. A metallic bond is comprised of a structure of positive
ions, located systematically in a crystal lattice, surrounded by valence electrons entering between the
atoms. The presence of these free electrons causes the thermal and electrical conductivity of the metals. Conductive materials can be divided into two categories, materials with high electrical conductivity
and materials with high electrical resistance. Materials with a high electrical conductivity were used in
this research. The materials selected for this research are characterized by a high electrical and thermal
conductivity (mainly silver and copper). Gold-plated electrodes, on the other hand, have a very high
chemical resistance. The electrode system was tested on three materials (Figure 7) (Ag/AgCl, Cu and Gold-plated), but
primarily on gold-plated and copper wires. Identical dimensions have been chosen for the materials
for the easier processing and evaluation of measurement results. The first electrode formed was an Argentine chloride electrode formed from the ECG (Electro
Cardio Graph) of the limb electrodes. This material was also chosen because of the most widely used
material for the construction of the sensing electrodes, since it has the lowest polarization potential. Structurally it is a silver wire covered with a layer of silver chloride with a square cross-section with
a length of 1 mm. The silicone tubing and thin copper wire diameter are the same for all electrode
materials. The solution application area is the same for all electrodes, 0.2 mL. The second electrode is made of copper with a diameter of 1.2 mm and a distance of 2 mm. Technical copper is a metal that has the second highest electrical and thermal conductivity. The copper
material has a high electrical conductivity, but insufficient chemical stability. 4.1. Microphone Input Element for Computer Input An alternative to the measuring DAQ card is the connection through a microphone input. The proposed converter must be able to process a small direct signal and convert it into the output
of the converter which can then lead into the microphone input using a cable with a jack. Here it is
then converted into a digital signal using an A/D converter. To use the computer’s microphone input
(Figure 6), it is necessary to obtain AC voltage at the output of the converter, which is converted to a
digital signal by the A/D converter. When designing the conversion element, we have to consider
the microphone input sensitivity, which is 100 mV. The first circuit utilized in this section is the Texas
Instruments CMOS Low-Power Monostable/Astable Multivibrator CD4047B circuit operating in a
monostable or astable mode. The astable state, when the circuit periodically flips from one state to
another, was used for this work. The second circuit 4066 is a low resistance analog switch comprised
of four independent double-sided switches. This circuit is used to generate a DC pulse signal. The
resulting circuit with the conversion element conducts a signal from the inverter output to the Texas
instruments Quadruple bilateral analog switch SN74HC4066 circuit. If the CD4047B circuit turns on
logic 1, the input from A is coupled to output B. The output voltage is reduced by a 10 kΩresistor
divider and 100 Ωand then enter the microphone input. A disadvantage of using the analogue
microphone input can be the limited non-linearity and pre-amplifier noise. Figure 6. Diagram of microphone output processing. Figure 6. Diagram of microphone output processing. 9 of 18 Sensors 2020, 20, 3666 4.2. Types of Electrodes The third gold-plated electrode has a diameter of 0.6 mm, making it the thinnest of all electrodes. Parts of the electrodes outside the measuring cell have a 1 mm larger diameter, which prevents leakage
of the measured solution from the silicone tube. Gold-plated electrodes are often used in medical
diagnostics as gold has one of the highest degrees of chemical resistance. Figure 7. Types of electrodes used in this work. Figure 7. Types of electrodes used in this work. 5. Functionality of Electrodes Including Use of Various Materials The functionality of the electrodes was tested on the created software with experimental
measurements, where the voltage values from the measuring system were determined. These values
were recorded every 1 s for 150 s. Each material was tested for four different glucose concentrations and
each individual concentration was tested ten times with the enzyme and ten times without the glucose
oxidase enzyme. The enzyme measurement was extended to 220 s due to the long onset of the chemical
reaction. For testing, a powdered enzyme (VWR) was used, which was applied in an amount of 0.01
g to the solution after 20 s of ongoing measurement. The molar concentration defines the amount of
glucose dissolved in the sample to be examined. This molar concentration is directly proportional to 10 of 18 Sensors 2020, 20, 3666 the amount of the substance (mole) and inversely proportional to the volume of the solution (in liters). To obtain the desired solution of a preselected concentration, it is necessary to calculate the amount
of glucose (1 mmol equals 0.18 g), which must be mixed with distilled water (for the experiment
technical distilled water with electrical conductivity of 0.0015 Sm−1 was used). The temperature of the
solution must also be taken into account as the conductivity increases with increasing temperature. Four glucose concentrations (6 mmol/L, 12 mmol/L, 20 mmol/L and 25 mmol/L) were used for
experimental measurements. These solutions were chosen because it was not possible to perform
the testing on whole blood. Before each measurement, the electrodes had to be rinsed with distilled
water [36]. Comparison of the Results of Measured Materials Ag/AgCl electrodes are very often used in medical diagnostics. Therefore, this material was
chosen for testing. The Figure 8 shows the course of the electric voltage over time, where there is a sharp
increase in the electric voltage of the electrode with the enzyme due to the electrochemical reaction and
subsequently the relatively constant course of the electric voltage. Here, the electrochemical reaction
and the material used may be unsuitable. Glucose is consumed here, so it is not possible to record real
measured values. 0
50
100
150
Time (s)
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
1.1
1.2
Voltage (V)
Ag/AgCl electrodes
6 mM without enzyme
6 mM with enzyme
12 mM without enzyme
12 mM with enzyme
20 mM without enzyme
20 mM with enzyme
25 mM without enzyme
25 mM with enzyme
Figure 8. Voltage comparison between Ag/AgCl electrodes. Ag/AgCl electrodes Figure 8. Voltage comparison between Ag/AgCl electrodes. Copper electrodes have high electrical conductivity, but do not have the necessary chemical
stability, so they are not the most suitable for measuring blood glucose. The graph in Figure 9 shows
the course of measurements on copper electrodes. For electrodes with enzyme, there is a sharp increase
and subsequent decrease in electrical voltage. The measured values then gradually decrease over time. The measured initial voltage peak is the result of an improper chemical reaction. Although gold-plated electrodes do not show the best electrical conductivity, on the contrary,
they are the most chemically stable. For this reason, they are most often used to measure blood
glucose in Diabetes mellitus. The graph in Figure 10 shows the course of the chemical reaction at the
gold-plated electrodes. From the graph it can be concluded that the reaction with the enzyme is the
most stable at all concentrations. Initially, there will be a sharp rise in electrical voltage with a gradual
decrease over time. 11 of 18 Sensors 2020, 20, 3666 0
50
100
150
Time (s)
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
Voltage (V)
Cu electrodes
6 mM without enzyme
6 mM with enzyme
12 mM without enzyme
12 mM with enzyme
20 mM without enzyme
20 mM with enzyme
25 mM without enzyme
25 mM with enzyme
Figure 9. Voltage comparison between Cu electrodes. Comparison of the Results of Measured Materials 0
50
100
150
Time (s)
0.2
0.3
0.4
0.5
0.6
0.7
0.8
Voltage (V)
Gold-Plated electrodes
6 mM without enzyme
6 mM with enzyme
12 mM without enzyme
12 mM with enzyme
20 mM without enzyme
20 mM with enzyme
25 mM without enzyme
25 mM with enzyme
Figure 10. Voltage comparison between Gold-Plated electrodes. 0
50
100
150
Time (s)
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
Voltage (V)
Cu electrodes
6 mM without enzyme
6 mM with enzyme
12 mM without enzyme
12 mM with enzyme
20 mM without enzyme
20 mM with enzyme
25 mM without enzyme
25 mM with enzyme Cu electrodes Figure 9. Voltage comparison between Cu electrodes. Figure 9. Voltage comparison between Cu electrodes. 0
50
100
150
Time (s)
0.2
0.3
0.4
0.5
0.6
0.7
0.8
Voltage (V)
Gold-Plated electrodes
6 mM without enzyme
6 mM with enzyme
12 mM without enzyme
12 mM with enzyme
20 mM without enzyme
20 mM with enzyme
25 mM without enzyme
25 mM with enzyme
Figure 10. Voltage comparison between Gold-Plated electrodes. Gold-Plated electrodes Gold-Plated electrodes Figure 10. Voltage comparison between Gold-Plated electrodes. The graph in Figure 11 shows the course of 6 curves, where each curve shows the dependence
of the electrical voltage on the concentration. Solid lines correspond to measurements with enzyme,
dashed lines to measurements without enzyme. Values for individual concentrations were averaged
from all measurements for individual concentrations of 6, 12, 20 and 25 mM. It is clear from the graph
that the voltage increases in direct dependence on the increasing concentration. Measurement without
the use of enzyme does not provide relevant information, as the necessary electrochemical reaction
does not take place here. From the curves shown, it can be clearly seen that the Ag/AgCl electrodes
are the most sensitive, in all embodiments the measurements measure the highest electrical voltage
and in the measurements with the enzyme the dependences are almost linear. Measurements with
Au and Cu electrodes measure at lower values of electrical voltage and the differences between these
measurements are not large. Based on our specific measurement, Ag/AgCl electrodes are the most
suitable for the proposed system in terms of electrical conductivity. 12 of 18 Sensors 2020, 20, 3666 6
8
10
12
14
16
18
20
22
24
26
Concetration (mM)
0
0.2
0.4
0.6
0.8
1
Voltage (V)
Dependence of electric voltage on concentration between materials. Comparison of the Results of Measured Materials Au with enzyme
Au without enzyme
Ag/Cl with enzyme
Ag/Cl without enzyme
Cu with enzyme
Cu without enzyme
Figure 11. Dependence of electric voltage on concentration between materials. Dependence of electric voltage on concentration between materials. Figure 11. Dependence of electric voltage on concentration between materials. 6. Results The results of the individual materials are evaluated depending on the results of the measurements
in various concentrations, with and without the use of the enzyme while recording the value of the
voltage of the voltage after 1 second. Technical distilled water with a specific electrical conductivity
of 0.0015 S.m−1 was used for the experiment. The pure distilled water was measured before each
measurement so that it was possible to define the sufficiently washed measurement space. The stability
of the measurement and linearity in the given time interval, the dependency of electrical voltage over
time, was primarily evaluated on the measured date from the electrodes. Within each measurement, voltage values were recorded over 150 s for the enzyme-free
concentration and 220 s for the enzyme measurement. The testing with the enzyme took place
over a longer time due to the short change of the voltage after the considerable increase during the
chemical reaction. It was assumed that the value of the measured voltage will increase with increasing
concentrations. This assumption has been verified for each electrode separately and confirmed. Further,
correlation analysis was used, comparing the strength of the linear dependence of tested data (Pearson
correlation coefficient used). The highest correlation between the voltage and the concentration of the solution was
demonstrated with the Ag/AgCl electrodes (Table 2) using the enzyme. The resulting Cu electrodes
and Au electrodes had comparable results (Tables 3 and 4). The results confirmed that there is no linear
dependence between the solution concentration and the measured voltage. Table 2. Correlation table of Ag/AgCl electrode. Concentration
Without Enzyme
With Enzyme
[mM]
Arithmetic Mean
Arithmetic Mean
6
0.30
0.44
12
0.42
0.62
20
0.63
0.84
25
0.87
0.99
Correlation [-]
0.984034157
0.995836775 Table 2. Correlation table of Ag/AgCl electrode. 13 of 18 Sensors 2020, 20, 3666 Table 3. Correlation table of Cu electrode. Concentration
Without Enzyme
With Enzyme
[mM]
Arithmetic Mean
Arithmetic Mean
6
0.16
0.37
12
0.19
0.43
20
0.27
0.57
25
0.37
0.59
Correlation [-]
0.96806106
0.983258322
Table 4. Correlation table of Au electrode. Concentration
Without Enzyme
With Enzyme
[mM]
Arithmetic Mean
Arithmetic Mean
6
0.23
0.30
12
0.29
0.42
20
0.36
0.51
25
0.46
0.61
Correlation [-]
0.983292897
0.993248592 Table 4. Correlation table of Au electrode. Concentration
Without Enzyme
With Enzyme
[mM]
Arithmetic Mean
Arithmetic Mean
6
0.23
0.30
12
0.29
0.42
20
0.36
0.51
25
0.46
0.61
Correlation [-]
0.983292897
0.993248592 Table 4. 6. Results Correlation table of Au electrode. The following hypotheses were chosen for further statistical processing according to its electrical
properties (conductivity). The hypotheses were determined from the properties of selected tested
materials: Ag/AgCl electrodes measure higher voltages than Cu electrodes. Ag/AgCl electrodes measure higher voltages than Au electrodes. Au electrodes measure higher voltages than Cu electrodes. electrodes measure higher voltages than Cu electrodes. The hypothesis “Au electrodes measure higher voltages than Cu electrodes” was chosen on the
basis of higher chemical stability of Au than Cu. In terms of electrical properties, Au has a lower
conductivity (and greater resistivity) than Cu. To test the normal distribution of data, the Lilliefors normality test (Tables 5–8) was used to
confirm the normality with the hypotheses: H0 (null hypothesis): data have a normal distribution. H1 (alternative hypothesis): rejection of H0. The decision on the null hypothesis was resolved on the basis of p-values for individual
measurement sets. All these p-values were greater than 0.05 and therefore we do not reject the
null hypothesis about data normality at the 5% significance level. To verify the analysis of variance, the Bartlett test (Table 9) was used with the hypothesis: H0: σ2
1 = σ2
2 = σ2
k . H1: rejection of H0. H1: rejection of H0. In all cases, both with and without the enzyme, the resulting p-value was greater than 0.05, and
therefore we do not reject the null hypothesis about the variance of the 5% significance level and the
variance analysis test can be applied. Box graphs were generated for all concentrations with and without the enzyme measurements. The horizontal axis shows the individual types of electrode materials, the vertical axis determines the
voltage. There are no large variations in the box graphs. It was also evident from the graphs that the
Ag/AgCl electrodes showed the most stable and highest measured voltage values. The next step was Sensors 2020, 20, 3666 14 of 18 to compare which electrodes measure higher voltages and by how much, which was done using the
Tukey test. to compare which electrodes measure higher voltages and by how much, which was done using the
Tukey test. y
The post-hoc analysis hypotheses were formulated as follows: The post-hoc analysis hypotheses were formulated as follows: H0: mean values in pairs are: Ag/AgCl-Au, Au-Cu, Ag/AgCl-Cu. H0: mean values in pairs are: Ag/AgCl-Au, Au-Cu, Ag/AgCl-Cu. 6. Results The box graph of the measured voltage at a concentration of 12 mM with the enzyme (Figure 12)
confirmed our hypothesis that the Ag/AgCl material will have the smallest dispersion of the measured the same way. Ag/AgCl electrodes measured higher voltages than gold and copper electrodes. Gold-plated electrodes measured higher voltages than copper electrodes. The conclusion from the
testing is therefore that the differences between the electrode materials are statistically significant. The box graph of the measured voltage at a concentration of 12 mM with the enzyme (Figure 12)
confirmed our hypothesis that the Ag/AgCl material will have the smallest dispersion of the measured
voltage. This type of electrode is thus capable of recording more precise measured values that the
types Au or Cu. the same way. Ag/AgCl electrodes measured higher voltages than gold and copper electrodes. Gold-plated electrodes measured higher voltages than copper electrodes. The conclusion from the
testing is therefore that the differences between the electrode materials are statistically significant. g
y
g
The box graph of the measured voltage at a concentration of 12 mM with the enzyme (Figure 12)
confirmed our hypothesis that the Ag/AgCl material will have the smallest dispersion of the measured
voltage. This type of electrode is thus capable of recording more precise measured values that the
types Au or Cu. g
y
g
The box graph of the measured voltage at a concentration of 12 mM with the enzyme (Figure 12)
confirmed our hypothesis that the Ag/AgCl material will have the smallest dispersion of the measured
voltage. This type of electrode is thus capable of recording more precise measured values that the
types Au or Cu. Figure 12. Voltage in concentration of 12 mM with enzyme. Figure 12. Voltage in concentration of 12 mM with enzyme. 6. Results H1: mean values in pairs do not equal H0: mean values in pairs are: Ag/AgCl Au, Au Cu, Ag/AgCl Cu. H1: mean values in pairs do not equal. H1: mean values in pairs do not equal. In the non-enzyme test results, in all cases, the p-value is less than 0.05, and therefore the null
hypothesis is rejected and it can be said that the differences between the voltage values of the individual
materials are statistically significant. In the case of enzyme testing, the p-values for all material pairs
are less than 0.05 and therefore the difference between the measured values can be considered to be
statistically significant. The results were statistically significant in all cases. Table 5. Normality test—p-values for concentration of 6 mM. Table 5. Normality test—p-values for concentration of 6 mM. Concentration 6 mM
Concentration 6 mM
Material
Without Enzyme
With Enzyme
Ag/AgCl
0.7975
0.5725
Au
0.3523
0.1150
Cu
0.4991
0.6502
Table 6. Normality test—p-values for concentration of 12 mM. Concentration 12 mM
Concentration 12 mM
Material
Without Enzyme
With Enzyme
Ag/AgCl
0.6774
0.8308
Au
0.3345
0.2631
Cu
0.1743
0.8552
Table 7. Normality test—p-values for concentration of 20 mM. Concentration 20 mM
Concentration 20 mM
Material
Without Enzyme
With Enzyme
Ag/AgCl
0.1519
0.7273
Au
0.0768
0.1094
Cu
0.1163
0.8000
Table 8. Normality test—p-values for concentration of 25 mM. Concentration 25 mM
Concentration 25 mM
Material
Without Enzyme
With Enzyme
Ag/AgCl
0.4311
0.2203
Au
0.8652
0.7900
Cu
0.7251
0.3311
Table 9. Bartlett’s test. Concentration
6 mM
12 mM
20 mM
25 mM
without enzyme
0.2652
0.9279
0.2665
0.9303
with enzyme
0.4837
0.6658
0.5953
0.2791 For enzyme-free measurement results, the results could be interpreted as follows: Ag/AgCl
electrodes measured higher voltages than copper or gold-plated electrodes. Gold-plated electrodes,
in turn, measured higher voltage values than copper electrodes. The enzyme results were interpreted For enzyme-free measurement results, the results could be interpreted as follows: Ag/AgCl
electrodes measured higher voltages than copper or gold-plated electrodes. Gold-plated electrodes,
in turn, measured higher voltage values than copper electrodes. The enzyme results were interpreted Sensors 2020, 20, 3666 15 of 18 Sensors 2020, 20, 3666 15 of 18 the same way. Ag/AgCl electrodes measured higher voltages than gold and copper electrodes. Gold-plated electrodes measured higher voltages than copper electrodes. The conclusion from the
testing is therefore that the differences between the electrode materials are statistically significant. 7. Discussion The aim of the work was to create a complex measuring electrode system with the ability to
record voltage into a computer, in reference to the glucose concentration in a sample. Three types of
electrodes, argent chloride, copper and gold-plated, were tested during the measurement. The aim of the work was to create a complex measuring electrode system with the ability to
record voltage into a computer, in reference to the glucose concentration in a sample. Three types of
electrodes, argent chloride, copper and gold-plated, were tested during the measurement. The appearance of the individual voltage waveforms between measurement sets with different
electrode materials was very different. If values were rounded to one decimal place (sufficient
for glucose measurements), the values in the individual sets would be very similar. The values
measured with the Ag/AgCl electrodes are significantly higher for all measurements than the values
measured with other electrodes. Greater voltage differences were observed between the waveforms. The enzyme-free solution had a slowly descending curve, while with the enzyme, the curves had
a sharp increase in tension and then a slow decrease. Enzyme measurements showed more stable
voltage values. Thus, these electrodes also had the narrowest scope of the measured voltage, therefore
it was possible to detect more precise measured values with them. The copper electrodes had a lower voltage than the Ag/AgCl electrodes. In the enzyme-free
measurement, the moment of application of the solution was visible (a higher voltage values recorded). When the enzyme was applied, the curves had a sharply decreasing character after reaching the highest Sensors 2020, 20, 3666 16 of 18 value. Copper electrodes have common, more stable values after the application of the enzyme with
the Ag/AgCl electrodes. The gold-plated electrodes in the enzyme-free measurement had noticeably higher voltages when
applied to the solution than copper electrodes. Thus, the voltage decreased more rapidly. Enzyme
values were not more stable than non-enzyme electrodes. Ag/AgCl electrodes were chosen as the most suitable material for measuring the glucose
concentration in the solution. These electrodes measured the highest values of all electrodes and, at the
same time, showed the greatest voltage difference at individual concentrations. Measurements using
Ag/AgCl electrodes also showed the greatest stability (the curves behaved steadily). The question
remains whether this type of electrode would withstand continuous measurement in terms of material
stability. This point will be the subject of further research. All claims were verified statistically. 7. Discussion The
analysis also found that the relationship between the glucose concentration of the solution and the
measured voltage is not linear. On the basis of the testing, it was discovered that even though the
Ag/AgCl electrode appears to be more stable with the most precisely measured values, gold-plated
electrodes show stability during the course of the measuring similar to Ag/AgCl electrodes, but they
did not reach the same quality in the resolution. Gold-plated electrodes were chosen as the most
suitable due to the high chemical stability of the material. They are also one of the most commonly
used materials for the production of electrodes for measuring blood glucose. The future development of the work will be directed towards the research and realization of
the immobilization of the enzyme glucose oxidase on the electrode. Continuity testing and the
incorporation of an electrode measuring system and immobilized enzyme into a catheter suitable for
medical applications will also be performed. Following the successful selection of the immobilization
method, the entire proposed system will be optimized and tested on a blood sample. The resulting
chosen material will then be used to design a continuous system for measuring glucose for measured
hemodynamic parameters. The measurement is designed as a continuous, prospective use in a catheter
with the aim of measuring hemodynamic parameters in any part of the bloodstream. If another enzyme
or chemical is used, the system can be used to analyze other reagents if the reaction would result in the
formation of free ions. Author Contributions: Conceptualization, N.S.; formal analysis, N.S. and K.F.; funding acquisition, M.A. and
J.K.; investigation, N.S. and K.F.; methodology, K.F.; project administration, M.A. and J.K.; resources, N.S. and K.F.;
software, K.D.; supervision, A.S., J.K. and E.T.; validation, M.A.; visualization, K.D.; writing—original draft, N.S.;
writing—review and editing, N.S., J.K. and M.A. All authors have read and agreed to the published version of the
manuscript. Funding: The work and the contributions were supported by the research project The Czech Science Foundation
(TACR) ETA No. TL01000302 Medical Devices development as an effective investment for public and
private entities. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. References 1. Hwang, D.W.; Lee, S.; Seo, M.; Chung, T.D. Recent advances in electrochemical non-enzymatic glucose
sensors–A review. Anal. Chim. Acta 2018, 1033, 1–34. [CrossRef] [PubMed] 2. Güemes, M.; Rahman, S.A.; Hussain, K. What is a normal blood glucose? Arch. Dis. Childhood 2016, 101,
569–574. [CrossRef] [PubMed] 3. Kalra, S.; Gupta, Y. Ambulatory glucose profile: Flash glucose monitoring. JPMA J. Pak. Med. Assoc. 2015, 65,
1360–1362. [PubMed] 3. Kalra, S.; Gupta, Y. Ambulatory glucose profile: Flash glucose monitoring. JPMA J. Pak. Med. Assoc. 2015, 65,
1360–1362. [PubMed] 4. Clarke, W.L.; Cox, D.; Gonder-Frederick, L.A.; Carter, W.; Pohl, S.L. Evaluating clinical accuracy of systems
for self-monitoring of blood glucose. Diabetes Care 1987, 10, 622–628. [CrossRef] 5. Williams, D.L.; Doig, A.R.; Korosi, A. Electrochemical-enzymatic analysis of blood glucose and lacta
Chem. 1970, 42, 118–121. [CrossRef] Williams, D.L.; Doig, A.R.; Korosi, A. Electrochemical-enzymatic analysis of blood glucose and lactate. Anal
Chem. 1970, 42, 118–121. [CrossRef] 6. Schmelzeisen-Redeker, G.; Staib, A.; Strasser, M.; Müller, U.; Schoemaker, M. Overview of a novel sensor for
continuous glucose monitoring. J. Diabetes Sci. Technol. 2013, 7, 808–814. [CrossRef] 6. Schmelzeisen-Redeker, G.; Staib, A.; Strasser, M.; Müller, U.; Schoemaker, M. Overview of a novel sensor for
continuous glucose monitoring. J. Diabetes Sci. Technol. 2013, 7, 808–814. [CrossRef] 17 of 18 17 of 18 Sensors 2020, 20, 3666 7. Bao, J.; Furumoto, K.; Yoshimoto, M.; Fukunaga, K.; Nakao, K. Competitive inhibition by hydrogen peroxide
produced in glucose oxidation catalyzed by glucose oxidase. Biochem. Eng. J. 2003, 13, 69–72. [CrossRef] 8. Anderson, J.C.; Leaver, K.D.; Rawlings, R.D.; Leevers, P.S. Materials Science for Engineers; CRC Press: Boca
Raton, FL, USA, 2004. 9. Kalkman, C.J. LabVIEW: a software system for data acquisition, data analysis, and instrument control. J. Clin. Monit. 1995, 11, 51–58. [CrossRef] 10. Rodbard, D. Continuous glucose monitoring: a review of successes, challenges, and opportunities. Diabetes
Technol. Ther. 2016, 18, S2-3–S2-13. [CrossRef] 11. Rodbard, D. Continuous glucose monitoring: a review of recent studies demonstrating improved glycemic
outcomes. Diabetes Technol. Ther. 2017, 19, S-25–S-37. [CrossRef] 12. Lind, M.; Polonsky, W.; Hirsch, I.B.; Heise, T.; Bolinder, J.; Dahlqvist, S.; Schwarz, E.; Ólafsdóttir, A.F.; Frid, A.;
Wedel, H.; et al. Continuous glucose monitoring vs conventional therapy for glycemic control in adults with
type 1 diabetes treated with multiple daily insulin injections: the GOLD randomized clinical trial. JAMA
2017, 317, 379–387. [CrossRef] [PubMed] 13. References Beck, R.W.; Riddlesworth, T.; Ruedy, K.; Ahmann, A.; Bergenstal, R.; Haller, S.; Kollman, C.; Kruger, D.;
McGill, J.B.; Polonsky, W.; et al. Effect of continuous glucose monitoring on glycemic control in adults with
type 1 diabetes using insulin injections: the DIAMOND randomized clinical trial. Jama 2017, 317, 371–378. [CrossRef] [PubMed] 14. Chen, C.; Zhao, X.L.; Li, Z.H.; Zhu, Z.G.; Qian, S.H.; Flewitt, A.J. Current and emerging technology for
continuous glucose monitoring. Sensors 2017, 17, 182. [CrossRef] [PubMed] 15. Sparacino, G.; Facchinetti, A.; Cobelli, C. “Smart” continuous glucose monitoring sensors: On-line signal
processing issues. Sensors 2010, 10, 6751–6772. [CrossRef] 16. Lee, H.; Hong, Y.J.; Baik, S.; Hyeon, T.; Kim, D.H. Enzyme-based glucose sensor: from invasive to wearable
device. Adv. Healthc. Mater. 2018, 7, 1701150. [CrossRef] [PubMed] 17. Adolfsson, P.; Parkin, C.G.; Thomas, A.; Krinelke, L.G. Selecting the appropriate continuous glucose
monitoring system–a practical approach. Eur. Endocrinol. 2018, 14, 24. [CrossRef] 18. Cappon, G.; Acciaroli, G.; Vettoretti, M.; Facchinetti, A.; Sparacino, G. Wearable continuous glucose
monitoring sensors: a revolution in diabetes treatment. Electronics 2017, 6, 65. [CrossRef] 19. Gia, T.N.; Ali, M.; Dhaou, I.B.; Rahmani, A.M.; Westerlund, T.; Liljeberg, P.; Tenhunen, H. IoT-based
continuous glucose monitoring system: A feasibility study. Procedia Comput. Sci. 2017, 109, 327–334. [CrossRef] 20. Shokrekhodaei, M.; Quinones, S. Review of Non-Invasive Glucose Sensing Techniques: Optical, Electrical
and Breath Acetone. Sensors 2020, 20, 1251. [CrossRef] 21. Haq, A.U.; Li, J.P.; Khan, J.; Memon, M.H.; Nazir, S.; Ahmad, S.; Khan, G.A.; Ali, A. Intelligent Machine
Learning Approach for Effective Recognition of Diabetes in E-Healthcare Using Clinical Data. Sensors 2020,
20, 2649. [CrossRef] 22. Li, J.; Koinkar, P.; Fuchiwaki, Y.; Yasuzawa, M. A fine pointed glucose oxidase immobilized electrode for
low-invasive amperometric glucose monitoring. Biosens. Bioelectron. 2016, 86, 90–94. [CrossRef] [PubMed] 23. Li, Y.; Yao, Z.; Yue, W.; Zhang, C.; Gao, S.; Wang, C. Reusable, Non-Invasive, and Ultrafast Radio Frequency
Biosensor Based on Optimized Integrated Passive Device Fabrication Process for Quantitative Detection of
Glucose Levels. Sensors 2020, 20, 1565. [CrossRef] 24. Ribet, F.; Stemme, G.; Roxhed, N. Ultra-miniaturization of a planar amperometric sensor targeting continuous
intradermal glucose monitoring. Biosens. Bioelectron. 2017, 90, 577–583. [CrossRef] 25. Ribet, F.; Stemme, G.; Roxhed, N. Real-time intradermal continuous glucose monitoring using a minimally
invasive microneedle-based system. Biomed. Microdevices 2018, 20, 101. [CrossRef] 26. Donnelly, E.; La Spada, L. Electromagnetic and thermal nanostructures: from waves to circuits. Eng. Res. Express 2020, 2, 015045. [CrossRef] 27. References La Spada, L.; Vegni, L. Near-zero-index wires. Opt. Express 2017, 25, 23699–23708. [CrossRef] [PubMed]
28. Fiedorova, K.; Augustynek, M.; Klinkovsky, T. Proposal of Electrode for Measuring Glucose Concentration
in Blood In World Congress on Medical Physics and Biomedical Engineering 2018; Springer: Singapore 2019 28. Fiedorova, K.; Augustynek, M.; Klinkovsky, T. Proposal of Electrode for Measuring Glucose Concentration
in Blood. In World Congress on Medical Physics and Biomedical Engineering 2018; Springer: Singapore, 2019. 29. Le, T.T.T.; Tran, P.D.; Pham, X.T.; Tong, D.H.; Dang, M.C. Glucose oxidase immobilization on different
modified surfaces of platinum nanowire for application in glucose detection. Adv. Nat. Sci. Nanosci. Nanotechnol. 2010, 1, 035004. [CrossRef] Sensors 2020, 20, 3666 18 of 18 18 of 18 30. Bankar, S.B.; Bule, M.V.; Singhal, R.S.; Ananthanarayan, L. Glucose oxidase—An overview. Biotechnol. Adv. 2009, 27, 489–501. [CrossRef] 31. Hermanson, G.T. Bioconjugate Techniques; Academic Press: Cambridge, MA, USA, 2013. 32. Scheller, F.; Schubert, F. Biosensors; Elsevier: Amsterdam, The Netherlands, 1991. 33. Facchinetti, A. Continuous glucose monitoring sensors: past, present and future algorithmic challenges. Sensors 2016, 16, 2093. [CrossRef] [PubMed] 34. Conway, J.; Watts, S. A software Engineering Approach to LabVIEW; Prentice Hall Professional: Upper Saddle
River, NJ, USA, 2003. 35. Bryant, D.E.; Harvey, A.F. DAQ Configuration System and Method for Configuring Channels in a Data
Acquisition Device. U.S. Patent No 5,764,546, 9 June 1998. 36. Amor-Gutiérrez, O.; Rama, E.C.; Costa-García, A.; Fernández-Abedul, M.T. Based maskless enzymatic sensor
for glucose determination combining ink and wire electrodes. Biosens. Bioelectron. 2017, 93, 40–45. [CrossRef]
[PubMed] c⃝2020 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/).
|
https://openalex.org/W3108564758
|
https://www.preprints.org/manuscript/202011.0446/v1/download
|
English
| null |
Alkaloids with Anti-Onchocercal Activity from Voacanga africana Stapf (Apocynaceae): Identification and Molecular Modeling
|
Molecules/Molecules online/Molecules annual
| 2,020
|
cc-by
| 12,653
|
Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 doi:10.20944/preprints202011.0446.v1 ywords: Alkaloids; Anti-Onchocercal; Bisindoles;Docking; Homology Modeling; Monoindoles. Smith B. Babiaka1, 2*, Conrad V. Simoben3, Kennedy O. Abuga4, James A. Mbah1, Rajshekhar
Karpoormath5, Dennis Ongarora4, Hannington Mugo4, Elvis Monya6, Fidelis Cho-Ngwa6,
Wolfgang Sippl3, E. Joel Loveridge7*, and Fidele Ntie-Kang1, 3, 8* Smith B. Babiaka1, 2*, Conrad V. Simoben3, Kennedy O. Abuga4, James A. Mbah1, Rajshekhar
Karpoormath5, Dennis Ongarora4, Hannington Mugo4, Elvis Monya6, Fidelis Cho-Ngwa6,
Wolfgang Sippl3, E. Joel Loveridge7*, and Fidele Ntie-Kang1, 3, 8* 1 Department of Chemistry, Faculty of Science, University of Buea, P.O. Box 63, Buea, Cameroon; Tel.: +237
685625811; E-mails: babiakasmith2009@gmail.com (SBB); ajeck.james@ubuea.cm (JAM); fidele.ntie-
kang@ubuea.cm (FNK) 1 Department of Chemistry, Faculty of Science, University of Buea, P.O. Box 63, Buea, Cameroon; Tel.: +237
685625811; E-mails: babiakasmith2009@gmail.com (SBB); ajeck.james@ubuea.cm (JAM); fidele.ntie-
kang@ubuea.cm (FNK) 2 AgroEco Health Platform, International Institute of Tropical Agriculture, Cotonou, Abomey-Calavi, Be AgroEco Health Platform, International Institute of Tropical Agriculture, Cotonou, Abomey-Calavi, Benin 3 Institute for Pharmacy, Martin-Luther-Universität Halle-Wittenberg, Kurt-Mothes-Str. 3, 06120 Halle
(Saale), Germany; Tel.: +49 3455525043; E-mails: veranso.conrad@gmail.com (CVS);
wolfgang.sippl@pharmazie.uni-halle.de (WS); fidele.ntie-kang@pharmazie.uni-halle.de (FNK) g
g
pp
p
g p
4 Department of Pharmaceutical Chemistry, School of Pharmacy, University of Nairobi, Nairobi, Kenya;
Email: koabuga@gmail.com (KOA);dbagwasi@gmail.com (DO); mugohannington@yahoo.com(HM) 5 Department of Pharmaceutical Chemistry, School of Chemistry, University of KwaZulu-Natal, Durban
4001, South Africa;Tel: +27-312607179; Email: karpoormath@ukzn.ac.za 6 ANDI Centre of Excellence for Onchocerciasis Drug Research, Biotechnology Unit, Faculty of Science,
University of Buea, P. O. Box 63, Buea, Cameroon; Emails:munyane001@gmail.com(EM);
fidelis.cho@ubuea.cm (FCN) 7 Department of Chemistry, Swansea University, Singleton Park, Swansea SA2 8PP, United Kingdom;Tel: +44
(0)1792 513199, Email: e.j.loveridge@swansea.ac.uk (EJL) 8 Institute of Botany, Technical University of Dresden, 01217 Dresden, Germany, Email: fidele.ntie-kang@tu-
dresden.de (FNK) * Correspondence: babiakasmith2009@gmail.com (SBB); e.j.loveridge@swansea.ac.uk (EJL);
ntiekfidele@gmail.com (F.N.K.) Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 Voacanga africana Stapf (Apocynaceae) has been applied extensively in traditional medicine,
particularly in Africa. For example, the root bark of the plant is used to treat diarrhoea in Kinshasa,
the Democratic Republic of Congo [1], while the stem bark has been used in combination with the
sister species V. thouarsii in the treatment of heart disease, leprosy, diarrhoea, generalized oedema,
madness and convulsions in children in Ivory Coast, Cameroon, Ghana and Congo [2, 3]. Additionally, the fruits, bark and leaf extracts have been used in Cameroonian ethnomedicine to
treat orchitis, ectopic testes and gonorrhoea, respectively [4-8]. Of late, Apocynaceous plants have
been under scientific investigation. Monoterpenoids and bisindole alkaloids are the major classes of
secondary metabolites isolated from this plant family [9-12]. Recently, our research group carried
out investigations that led to the identification of the alkaloids voacangine (2) and voacamine (7),
from the stem bark of V. africana, with both compounds showing activity against Onchocerca ochengi
[13]. The cattle derived O. ochengi is the best model and closest known relative of O. volvulus based
on phylogenetic relationship [14]. This was the first report of anti-Onchocercal activity of alkaloids
from this plant species. To the best of our knowledge, a majority of the isolated compounds from
this plant family have not been screened against onchocerciasis, although the disease still stands as
a major public health problem in the developing world [15]. Thus, as part of our research program
aimed at investigating new bioactive compounds in anti-Onchocercal drug discovery, the present
study was undertaken to identify novel inhibitors from this plant using chemical and molecular
modeling methods in an attempt to explain their structure-activity relationships. * Correspondence: babiakasmith2009@gmail.com (SBB); e.j.loveridge@swansea.ac.uk (EJL);
ntiekfidele@gmail.com (F.N.K.) Abstract: A new iboga-vobasine-type isomeric bisindole alkaloid named voacamine A (1), along
with eight known compounds, voacangine (2), voacristine (3),coronaridine (4), tabernanthine (5),
iboxygaine (6), voacamine (7), voacorine (8), and conoduramine (9), were isolated from the stem
bark of Voacanga africana. The structures of the compounds were determined by comprehensive
spectroscopic analyses. Compounds 1, 2, 3, 4, 6, 7 and 8 were found to inhibit the motility of both
the microfilariae (Mf) and adult male worms of Onchocerca ochengi, in a dose-dependent manner,
but were only moderately active on the adult female worms upon biochemical assessment at 30
μM drug concentrations. The IC50 values of the isolates are 2.49-5.49 μM for microfilariae and 3.45-
17.87 μM for adult males. Homology modeling was used to generate a 3D model of the O. ochengi
thioredoxin reductase target and docking simulation, followed by molecular dynamics and
binding free energy calculations attempted to offer an explanation of the anti-Onchocercal
structure-activity relationship (SAR) of the isolated compounds. These alkaloids are new potential
leads for the development of antifilarial drugs. The results of this study validate the traditional use
of V. africana in the treatment of human onchocerciasis. 1. Introduction 2.1. Isolation and Identification of Alkaloids The crude methanol extract of V. africana was subjected to silica gel normal phase open column
chromatography and elution with a gradient of ethyl acetate in hexane. Repeated column
chromatography through Sephadex LH-20, preparative thin-layer chromatography (TLC) yielded a
new bisindole alkaloid derivative named voacamine A (1) along with eight known compounds,
voacangine (2), voacristine (3),coronaridine (4), tabernanthine (5), iboxygaine (6), voacamine (7),
voacorine (8), and conoduramine (9) [16-25] (Figure 1). The structures of the compounds were
established based on NMR (Figures S3–S25) analyses as well as by comparison with published data. For 1, infrared and mass spectra (Figures S1–S2), and optical rotation, were also acquired. doi:10.20944/preprints202011.0446.v1 Figure 1. Chemical structures of compounds 1-9. For the bisindoles (1, 7, 8 and 9), the
vobasinyl and iboga subunits are highlighted in blue and red, respectively. Figure 1. Chemical structures of compounds 1-9. For the bisindoles (1, 7, 8 and 9), the
vobasinyl and iboga subunits are highlighted in blue and red, respectively. Compound 1, named voacamine A, was obtained as a cream-coloured powder, with
melting point of 222-223 °C and αD –37°(c = 0.13, CHCl3) through crystallization from methanol. It
showed a positive reaction with Dragendorff’s reagent. The compound was identified by
comparing it with an authentic sample of voacamine based on its high-performance liquid
chromatography (HPLC) retention times. The UV absorption bands at 228, 287, 295, and 308 nm
indicated 1 to be an indole alkaloid. The major IR absorptions occurred at 3383 cm–1 (indole NH),
2930 and 2856 cm–1 (C-H stretches), 1722 cm–1 (ester), 1463 cm–1(indole), 1208 cm–1and 739 cm–1, and
were in line with those expected for bisindole alkaloids. High resolution mass spectrometry
revealed a major ion at m/z 705.4022 ([M+H]+, calc. 705.4016, C43H53N4O5). The 1H and 13C NMR data of 1 were characteristic of a bisindole alkaloid (Table 1), with almost
all chemical shifts very similar to those published for voacamine [18]. The 13C NMR data showed a
total of 43 resonances, including those at δ 171.5 (ester carbonyl), 49.9 (ester methyl), 42.4 (N-Me),
118.8, 137.8 (olefinic C-19, C-20) on the vobasinyl subunit, and 11.6, 26.7 (C-18′, C-19′, iboga). Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 Furthermore, in the NOESY and HMBC (Figure 2) spectra, a H-9′/Ar-OMe NOE and the three-bond
correlation from MeO-10′ to C-10′ were observed. The 1H and 13C chemical shifts for the vobainsyl subunit were also extremely similar to those of
voacamine, except for a significant difference in the chemical shifts of C-2, C-20, H-16, H-19 and one
each of the H-6 and H-21 methylene pairs. The broad resonance at δ 5.17 was assigned to H-3 on the
vobasinyl subunit, which allowed us to confirm linkage of the iboga portion of the bisindole
alkaloid to C-3 of the vobasine scaffold, as no alternative linkage point could be found. NOEs to this
H-3 resonance were similar in 1 as in 7 (except where noted below), indicating that the same
stereochemistry is observed at C-3. In addition to the chemical shift differences, the NOESY (Figure S4) data show key structural
differences between 1 and 7.In 7,H-15/H-18 and H-19/H-21 NOEs are observed [18], whereas for 1
these are not seen, and instead H-18/H-21 and H-15/H-19 NOEs are observed, showing that the
alkene geometries are different. Similarly, 7 gives NOEs from H-16 to the adjacent H-5 and H-15
only, whereas 1, in addition to these, gives a clear H-3/H-16 NOE, which indicates that the methyl
ester must have the opposite orientation, and therefore C-16 the opposite stereochemistry, to that
observed in 7 [18]. The H-3/H-16 NOE also provides further evidence that H-3 and C-16 are on the
same face of the vobasinyl subunit. The stereochemistry at C-20’ in the iboga subunit is however
identical to that in 7, as evidenced by H-3’/H-19’ and H-17’/H-20’ NOEs. The structural differences
between 1 and 7 also explain the chemical shift differences: C-2 and one H-6 are under the methyl
ester in 7, whereas C-20 and one H-21 are under it in 1, and the different geometry of the ethylidene
group places H-19 in a different environment. The different stereochemistry at C-16 is known (in
epi-voacamine), but bisindole alkaloids with a different alkene geometry, to the best of our
knowledge, are not.The structure of 1 was, therefore, determined as voacamine A. Figure 2. Key NOE (A) and HMBC (B) correlations in compound 1. The vobasinyl and iboga
subunits are highlighted in blue and red, respectively. Figure 2. Key NOE (A) and HMBC (B) correlations in compound 1. The vobasinyl and iboga
subunits are highlighted in blue and red, respectively. 2.1. Isolation and Identification of Alkaloids The 1H
NMR data of 1 showed the presence of two indole NH groups (δ 7.49, 7.74, 1H each), an
unsubstituted indole moiety (δ 7.07−7.57, 4H, vobasinyl), another, disubstituted, indole ring (δ 6.76
and 6.95, 1H each, iboga), an aromatic methoxy group (δ 4.03, 3H, iboga), two methyl esters (δ3.67,
2.48, each 3H), a N-methyl group (δ 2.63, 3H) and an ethylidene side chain (δ 1.69, 3H and 5.36, 1H)
on the vobasinyl scaffold. 15N-HSQC and 15N-HMBC (Figure S7) analyses showed no evidence of
either subunit being an N-oxide, as the 15N chemical shifts were inconsistent with this functional
group, and neither showed any evidence of a hydroxyl group on C-19΄, as is seen in 8 and 9. Notably, all 1H and 13C chemical shifts for the iboga subunit were essentially identical to those
observed for 7 [18], allowing us to assign the indole substitution pattern of that moiety to be the
same as observed in 7 and 8, and demonstrating that the vobasinyl moiety is linked to C-11’ of the
iboga moiety.The upfield chemical shift of C-9′ (δ 99.2) is a characteristic of adjacent (C-10′)
oxygenation and confirms the presence of aromatic methoxy group at C-10′ of the iboga subunit. 2.2. Anti-Onchocercal Activity The isolated compounds were screened for their anti-Onchocercal activities against O. ochengi
using methods described in the literature [27]. O. ochengi is the best model and closest relative of O. volvulus that is cheap and easily available for performing research in chemotherapy and
immunology of onchocerciasis. Primary screening was performed to eliminate inactive compounds. Seven of the isolates showed activity against O. ochengi worms in primary screens. Compounds 1, 2,
3, 4, 6, 7 and 8 were found to inhibit the motility of both the microfilariae (Mf) and adult male
worms of O. ochengi, in a dose-dependent manner, but were only moderately active on the adult
female worms upon biochemical assessment at 30 μM drug concentrations (Table 2). Their IC50
values were 2.49-5.49 μM for microfilariae, and 3.45-17.87 μM for adult males (Table 3). Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 2
100
100
100
3
100
100
50
4
100
100
50
5
0
0
0
6
100
100
50
7
100
100
65
8
100
100
50
9
0
0
0
Ivermectin
(10μg/mL)
100
NA
NA
Auranofin (10
μM)
100
100
100
2% DMSO
0
0
0
*Auranofin was used as positive control for adult worm assay while ivermectin, which is known not
to kill adult worms was used for Mf assay. Dimethyl sulfoxide (DMSO) 2% was used as negative
control. Percentage adult female worm death corresponds to percentage inhibition of formazan
formation. NA = Not applicable. Table 3. IC50, IC100 and selectivity indices (SI) of isolates on O. ochengi microfilariae and
adult worms, and monkey kidney epithelial cells (LLC-MK2) in secondary screens. Mf
Adult
male
worm
Adult
female
worm
Monkey
kidney
cells (LLC-
MK2)
Mf
Adult
male
worm
Adult
female
worm
Monkey
kidney cells
(LLC-MK2)
1
2
IC50
(μM)
3.69
4.45
-
≥30
5.49
9.07
-
≥30
IC100
(μM)
7.38
8.90
>30
-
10
20
>30
-
SI
8.13
6.74
5.46
3.30
2.83
3
4
IC50
(μM)
4.34
8.07
-
≥30
4.21
8.68
-
≥30
IC100
(μM)
8.68
16.14
>30
-
8.42
17.36
>30
-
SI
6.91
3.71
7.13
3.45
6
7
IC50
(μM)
4.72
9.07
-
≥30
2.49
3.45
-
≥30
IC100
9.44
18.14
>30
-
10
10
>30
- *Auranofin was used as positive control for adult worm assay while ivermectin, which is known not
to kill adult worms was used for Mf assay. Dimethyl sulfoxide (DMSO) 2% was used as negative
control. Percentage adult female worm death corresponds to percentage inhibition of formazan
formation. NA = Not applicable. formation. NA Not applicable. Table 3. IC50, IC100 and selectivity indices (SI) of isolates on O. ochengi microfilariae and
adult worms, and monkey kidney epithelial cells (LLC-MK2) in secondary screens. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 Table 1. 1H (500 MHz) and 13C NMR (125 MHz) assignments for compound 1 in CDCl3 1
No. δH
δC
δN
No. δH
δC
δN
1
7.74 (1H)
127.2
1’
7.49 (1H)
120.1
2
137.3
2΄
137.2
3
5.17 (1H)
37.3
3΄
2.89 (1H)
2.74 (1H)
51.9
4
40.8
4’
20.3
5
4.07 (1H)
60.0
5΄
3.40 (1H)
3.17 (1H)
53.1
6
3.51 (1H)
3.28 (1H)
19.5
6΄
3.12 (1H)
2.99 (1H)
22.2
7
110.0
7΄
110.0
8
129.9
8΄
127.4
9
7.57 (1H)
117.4
9΄
6.95 (1H, s)
99.2
10
7.08 (1H)
119.0
10΄
150.9
11
7.07 (1H)
121.6
11΄
129.8
12
7.07 (1H)
109.8
12΄
6.76 (1H)
110.3
13
135.8
13΄
130.3
14
2.58 (1H)
2.02 (1H)
36.3
14΄
1.82 (1H)
27.3
15
3.80 (1H)
33.6
15΄
1.70 (1H)
1.11 (1H)
32.0
16
2.75 (1H)
47.0
16΄
54.9
17
17΄
2.50 (1H)
1.78 (1H)
36.4
18
1.69 (3H)
12.3
18΄
0.90 (3H)
11.6
19
5.36 (1H)
118.8
19΄
1.56 (1H)
1.45 (1H)
26.7
20
137.8
20΄
1.31 (1H)
39.0
21
3.76 (1H)
2.95 (1H)
52.6
21΄
3.53 (1H)
57.2
22 CO
171.5
22’ CO
175.3
22 OMe
2.48 (3H)
49.9
22’ OMe
3.67 (3H)
52.4
4 NMe
2.63 (3H)
42.4
10’OMe
4.03 (3H)
56.1 Table 2. Effect of Isolated Compounds on O. ochengi Worms in Primary Screens. *Compounds
tested (at 30
μM)
%
Mf
motility
reduction after 24
h
%
Adult
male
worm
motility
reduction after 24 h
%
Adult
female
worm death after
120 h
1
100
100
65 ble 2. Effect of Isolated Compounds on O. ochengi Worms in Primary Screens. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 (μM)
SI
6.35
3.30
8
IC50
(μM)
2.49
3.45
-
≥30
IC100
(μM)
4.98
6.90
>30
-
SI
12.04
8.69
At 10 μM, amocarzine and FDA approved auranofin, a gold conjugated compound, previo
shown to be a macrofilaricide and a current arthritis drug (positive control, [27]) also produ
100% inhibition of formazan formation in adult female worms at 120 h of incubation. 2.3. Molecular Modeling of Secondary Metabolites
2.3.1 Computation of Pharmacokinetic-related Properties
Several physicochemical properties of the identified compounds were computed, particularly t
related to drug metabolism and pharmacokinetics, using the QikProp software (Schrodinger 2
The obtained values were compared with values reported for the same parameters for 95%
known drugs. Selected computed values have been shown in Table 4. The number of propertie
which the computed values for compounds 1 to 9 fall outside the recommended range for 95
known drugs have been marked as #stars. For 5 of the identified compounds (2 to 6), the valu
#stars were reported as zero. This implied that all the computed properties related to d
metabolism and pharmacokinetics (DMPK) for these compounds (only the monoindoles) fell w
the required range for 95% of known drugs. Table 4. Computed molecular descriptors for the assessment of the DMPK profiles of the m
isolated metabolites and the recommended range for 95 % of known drugs. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 Metabolite
a#stars
bCNS
cMW (Da)
dSASA
eFOSA
fFISA
gvolum
1
9*
1
706.9
1067.5*
786.3*
80.0
2140.6
2
0
2
368.5
626.1
480.8
28.0
1171.6
3
0
1
384.5
642.5
461.5
64.5
1191.3
4
0
2
338.4
588.5
387.1
28.0
1094.4
5
0
2
368.5
635.5
485.4
31.7
1175.4
6
0
1
384.5
642.4
461.5
64.5
1191.3
7
9*
1
706.9
1057.7*
781.6*
71.7
2130.5
8
10*
1
722.9
1091.1*
769.0*
119.3
2156.9
9
10*
1
722.9
1089.4*
768.4*
115.5
2163.6
Metabolite
hHBD
iHBA
jlog P
klog S
llogHERG
mCaco-2
nlog BB
1
1
9
7.2*
-8.0*
-8.66*
26.8
0.2
2
0
4
4.5
-4.4
-5.11
1340.2
0.5
3
1
5
3.7
-4.1
-5.31
604.0
0.1
4
0
3
4.5
-4.3
-5.15
1341.8
0.6 (μM)
SI
6.35
3.30
8
IC50
(μM)
2.49
3.45
-
≥30
IC100
(μM)
4.98
6.90
>30
-
SI
12.04
8.69
At 10 μM, amocarzine and FDA approved auranofin, a gold conjugated compound, previously
shown to be a macrofilaricide and a current arthritis drug (positive control, [27]) also produced
100% inhibition of formazan formation in adult female worms at 120 h of incubation. (μM)
SI
6.35
3.30
8
IC50
(μM)
2.49
3.45
-
≥30
IC100
(μM)
4.98
6.90
>30
-
SI
12.04
8.69
At 10 μM, amocarzine and FDA approved auranofin, a gold conjugated compound, previously
shown to be a macrofilaricide and a current arthritis drug (positive control, [27]) also produced
100% inhibition of formazan formation in adult female worms at 120 h of incubation. (μM)
SI
6.35
3.30
8
IC50
(μM)
2.49
3.45
-
≥30
IC100
(μM)
4.98
6.90
>30
-
SI
12.04
8.69
At 10 μM, amocarzine and FDA approved auranofin, a gold conjugated compound, previously
shown to be a macrofilaricide and a current arthritis drug (positive control [27]) also produced At 10 μM, amocarzine and FDA approved auranofin, a gold conjugated compound, previously
shown to be a macrofilaricide and a current arthritis drug (positive control, [27]) also produced
100% inhibition of formazan formation in adult female worms at 120 h of incubation. At 10 μM, amocarzine and FDA approved auranofin, a gold conjugated compound, previously
shown to be a macrofilaricide and a current arthritis drug (positive control, [27]) also produced
100% inhibition of formazan formation in adult female worms at 120 h of incubation. 2.3. Molecular Modeling of Secondary Metabolites 2.3. Molecular Modeling of Secondary Metabolites Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 Mf
Adult
male
worm
Adult
female
worm
Monkey
kidney
cells (LLC-
MK2)
Mf
Adult
male
worm
Adult
female
worm
Monkey
kidney cells
(LLC-MK2)
1
2
IC50
(μM)
3.69
4.45
-
≥30
5.49
9.07
-
≥30
IC100
(μM)
7.38
8.90
>30
-
10
20
>30
-
SI
8.13
6.74
5.46
3.30
2.83
3
4
IC50
(μM)
4.34
8.07
-
≥30
4.21
8.68
-
≥30
IC100
(μM)
8.68
16.14
>30
-
8.42
17.36
>30
-
SI
6.91
3.71
7.13
3.45
6
7
IC50
(μM)
4.72
9.07
-
≥30
2.49
3.45
-
≥30
IC100
9.44
18.14
>30
-
10
10
>30
- Table 3. IC50, IC100 and selectivity indices (SI) of isolates on O. ochengi microfilariae and
adult worms, and monkey kidney epithelial cells (LLC-MK2) in secondary screens. Table 3. IC50, IC100 and selectivity indices (SI) of isolates on O. ochengi microfilariae and
adult worms, and monkey kidney epithelial cells (LLC-MK2) in secondary screens. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 *Property which falls outside the recommended range for 95% of known drugs; aNumber of computed properties which fall
outside the required range for 95% of known drugs (recommended range 0 to 5); b Activity in the central nervous system in
the scale −2 (inactive) to +2 (active); cMolar weight (range for 95 % of drugs: 130–725 Da); dThe solvent accessible surface area
(recommended range 300.0 to 1000.0 Å2); eThe hydrophobic component of the solvent accessible surface area (recommended
range 0.0 to 750.0 Å2); fThe hydrophilic component of the solvent accessible surface area (recommended range 7.0 to 330.0
Å2); gTotal volume of molecule enclosed by solvent-accessible molecular surface, in Å3 (probe radius 1.4 Å) (range for 95 % of
drugs: 500 to 2000 Å3); hNumber of hydrogen bonds donated by the molecule (range for 95% of drugs: 0 to 6); iNumber of
hydrogen bonds accepted by the molecule (range for 95 % of drugs: 2–20); jLogarithm of partitioning coefficient between n-
octanol and water phases (range for 95 % of drugs: −2 to 6.5); kThe predicted aqueous solubility, with S in mol/dm3 (range for
95 % of drugs: −6.5 to 0.5); lPredicted IC50 value for blockage of HERG K+ channels (concern < −5); mPredicted apparent Caco-
2 cell membrane permeability in Boehringer–Ingelheim scale, in nm/s (range for 95 % of drugs: < 5 low, > 500
high); nLogarithm of predicted blood/brain barrier partition coefficient (range for 95 % of drugs: −3.0 to 1.0); oThe predicted
apparent MDCK permeability in nm/s (<25 poor, > 500 great); pThe predicted skin permeability (range for 95% of drugs: −8.0
to −1.0); qNumber of likely metabolic reactions (range for 95 % of drugs: 1–8); rLogarithm of predicted binding constant to
human serum albumin (range for 95 % of drugs: −1.5 to 1.5); sThe predicted percentage human oral absorption (>80 % high, <
25 % poor); tNumber of violations of Lipinski’s ‘Rule of Five’ (Recommended maximum 4); uNumber of violations of
Jorgensen’s ‘Rule of Three’ (Recommended maximum 3). Regarding the compounds with properties falling out of the required range, the bisindoles
(compounds 1, and 7-9), the properties that fell outside the required range (above 1000.0 Å2) have
been marked with an asterisk on Table 4. For example, these compounds show particularly high
solvent accessible surface areas, which would not be ideal for crossing the cell membrane if
administered as drugs [28]. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 6
1
5
3.7
-4.1
-5.31
604.0
0.1
7
1
9
7.2*
-7.8*
-8.62*
32.1
0.3
8
2
10
6.2
-7.5*
-8.89*
11.4
-0.4
9
2
10
6.2
-7.5*
-8.86*
12.4
-0.4
Metabolite
oMDCK
plogKp
q#metab
rlog KHSA
sPHOA
tRo5
uRo3
1
70.4
-6.1
10*
2.49*
92.7
2*
2*
2
282.3
-3.4
2
0.89
50.3
0
0
3
133.9
-4.0
3
0.63
69.0
0
0
4
268.8
-3.3
1
0.91
42.0
0
0
5
836.0
-3.5
2
0.90
50.1
0
0
6
340.4
-4.0
3
0.63
69.1
0
0
7
24.1*
-5.9
10*
2.47*
95.1
2*
2*
8
9.2*
-6.7
10*
2.09*
118.8
2*
3*
9
26.4
-6.6
10*
2.11*
118.1
2*
3* *Property which falls outside the recommended range for 95% of known drugs; aNumber of computed properties which fall
outside the required range for 95% of known drugs (recommended range 0 to 5); b Activity in the central nervous system in
the scale −2 (inactive) to +2 (active); cMolar weight (range for 95 % of drugs: 130–725 Da); dThe solvent accessible surface area
(recommended range 300.0 to 1000.0 Å2); eThe hydrophobic component of the solvent accessible surface area (recommended
range 0.0 to 750.0 Å2); fThe hydrophilic component of the solvent accessible surface area (recommended range 7.0 to 330.0
Å2); gTotal volume of molecule enclosed by solvent-accessible molecular surface, in Å3 (probe radius 1.4 Å) (range for 95 % of
drugs: 500 to 2000 Å3); hNumber of hydrogen bonds donated by the molecule (range for 95% of drugs: 0 to 6); iNumber of
hydrogen bonds accepted by the molecule (range for 95 % of drugs: 2–20); jLogarithm of partitioning coefficient between n-
octanol and water phases (range for 95 % of drugs: −2 to 6.5); kThe predicted aqueous solubility, with S in mol/dm3 (range for
95 % of drugs: −6.5 to 0.5); lPredicted IC50 value for blockage of HERG K+ channels (concern < −5); mPredicted apparent Caco-
2 cell membrane permeability in Boehringer–Ingelheim scale, in nm/s (range for 95 % of drugs: < 5 low, > 500
high); nLogarithm of predicted blood/brain barrier partition coefficient (range for 95 % of drugs: −3.0 to 1.0); oThe predicted
apparent MDCK permeability in nm/s (<25 poor, > 500 great); pThe predicted skin permeability (range for 95% of drugs: −8.0
to −1.0); qNumber of likely metabolic reactions (range for 95 % of drugs: 1–8); rLogarithm of predicted binding constant to
human serum albumin (range for 95 % of drugs: −1.5 to 1.5); sThe predicted percentage human oral absorption (>80 % high, <
25 % poor); tNumber of violations of Lipinski’s ‘Rule of Five’ (Recommended maximum 4); uNumber of violations of
Jorgensen’s ‘Rule of Three’ (Recommended maximum 3). 2.3.1 Computation of Pharmacokinetic-related Properties Several physicochemical properties of the identified compounds were computed, particularly those
related to drug metabolism and pharmacokinetics, using the QikProp software (Schrodinger 2018). The obtained values were compared with values reported for the same parameters for 95% of
known drugs. Selected computed values have been shown in Table 4. The number of properties for
which the computed values for compounds 1 to 9 fall outside the recommended range for 95% of
known drugs have been marked as #stars. For 5 of the identified compounds (2 to 6), the values of
#stars were reported as zero. This implied that all the computed properties related to drug
metabolism and pharmacokinetics (DMPK) for these compounds (only the monoindoles) fell within
the required range for 95% of known drugs. Table 4. Computed molecular descriptors for the assessment of the DMPK profiles of the major
isolated metabolites and the recommended range for 95 % of known drugs. le 4. Computed molecular descriptors for the assessment of the DMPK profiles of the major
ated metabolites and the recommended range for 95 % of known drugs. Metabolite
a#stars
bCNS
cMW (Da)
dSASA
eFOSA
fFISA
gvolume
1
9*
1
706.9
1067.5*
786.3*
80.0
2140.6*
2
0
2
368.5
626.1
480.8
28.0
1171.6
3
0
1
384.5
642.5
461.5
64.5
1191.3
4
0
2
338.4
588.5
387.1
28.0
1094.4
5
0
2
368.5
635.5
485.4
31.7
1175.4
6
0
1
384.5
642.4
461.5
64.5
1191.3
7
9*
1
706.9
1057.7*
781.6*
71.7
2130.5*
8
10*
1
722.9
1091.1*
769.0*
119.3
2156.9*
9
10*
1
722.9
1089.4*
768.4*
115.5
2163.6*
Metabolite
hHBD
iHBA
jlog P
klog S
llogHERG
mCaco-2
nlog BB
1
1
9
7.2*
-8.0*
-8.66*
26.8
0.2
2
0
4
4.5
-4.4
-5.11
1340.2
0.5
3
1
5
3.7
-4.1
-5.31
604.0
0.1
4
0
3
4.5
-4.3
-5.15
1341.8
0.6
5
0
4
4.5
-4.6
-5.29
1237.7
0.5 Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 A too polar surface will not easily penetrate the cell membranes and
would require special transporters, thereby leading to a low concentration of the compound in the
cells. The same trend holds for the hydrophobic component of the SASA of the same compounds
(above 750 Å2). In this case the higher hydrophobic surface plays a negative role in the interaction of
these molecules with water (a polar solvent), hence lower solubility. The logS value is expected to
range from -6.5 to 5 for most drugs. In the case of these compounds, the computed aqueous
solubilities are weak (all below -6.5), implying that the only hope of them being developed into
drugs would be by the introduction of polar functional groups, which could render them less
hydrophobic and more polar or to fragment them into monoindoles. The higher hydrophorbicities
of the bisindoles is also demonstrated in their higher logP values (all above the required maximum
of 5 for orally absorbed drugs according to Lipinski’s rules [29]). The same trend is observed for the
molar volumes (all bisindoles having volumes higher than the maximum of 2000 Å3 for the majority
of known drugs). Compounds known to block human-ether-ago-go K+ channels have a high
tendency to provoke cardiac arrhythmia and could be fatal [30, 31]. Thus, computed logHERG
values are often used as indicators of toxicities of compounds. In the case where this value is less Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 than -5, the compound is not encouraged to be further developed. This is the case of the bisindoles,
all computed logHERG values were less than -5. This, coupled with the low MDCK permeabilities
(an indicator of poor drug permeability, with most of the bisindoles showing less than or almost
equal a value of 25, signifying weak permeability [32]), and higher number of expected metabolic
reactions (10 reactions each, signifying their instability in the body) all indicate that the bisindoles
are not suitable for further drug development. Besides, they have higher binding affinities to
plasma proteins. In this case the predicted binding affinities to human serum albumin (HSA) were
higher than the expected maximum. In general, binding to plasma proteins limits the amount of the
drug to be distributed in general circulation [33]. Besides, only these bisindoles violated the general
rules of thumb (“Rule of Five” and “Rule of Three”), which are general guidelines for selecting
orally available drugs. Figure 3. Homology model of thioredoxin reductase of O. ochengi Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 2.3.2.1 Evaluation of the stability of the generated homology model To fully explore the generated model and use it for further in silico procedures, the model was
prepared and subjected to two energy minimization steps. 20 ns molecular dynamic simulation run
using the Amber software was used to evaluate the stability of the resulting homology model [35]
Visual inspection of the trajectory of the homology model confirmed it reached an equilibrium at ~
4 ns into the molecular dynamic simulation run with a rmsd value of about 2.5. Figure 4 shows that
the rmsd plot of the backbone heavy atoms of the conformations sampled during the simulation
time was stable. Figure 4. Root mean square deviation (rmsd) of generated homology sampled during 20ns MD
simulation with respect to the initial structure versus simulation time. Figure 4. Root mean square deviation (rmsd) of generated homology sampled during 20ns MD
simulation with respect to the initial structure versus simulation time. 2.3.2 Homology Modeling
2.3.2.1 Model development p
To this date of submission of this study,there is no available protein structure for the thioredoxin
reductase of O. ochengi in the Protein Data Bank [34]. So, a multiple sequence alignment to check the
identified conserved moieties for the homologous protein sequences was performed. The
percentage sequence identity and similarity values to our target, compared with templates, are
shown in (Figure S24). The ligand present in the template structure was transferred to the target
during the homology model development process via a slight modification of the modeller script. The structural template 4JNQ_A with a dihydroflavine-adenine dinucleotide (to define and
construct the binding pocket) was selected and used for the generation of homology models. Estimation of model quality was an important aspect in selecting the best model among the 100
models that were built. The final model (Figure 3) was selected based on the DOPE scoring function
of the modeller program, used in the generation of the models. The Ramachandran plot (φ/ψ)
distribution of the backbone conformation angles for each of the residues of the refined structure
revealed that ~ 98.0 % and ~ 2.0 % expected in the favoured and allowed region (Figure S25). The
choice of model was considered as satisfactory and reliable to advance our study. Figure 3. Homology model of thioredoxin reductase of O. ochengi Figure 3. Homology model of thioredoxin reductase of O. ochengi 2.3.3 Docking To explain the observed experimental reported activities of the isolated indole alkaloid, an attempt
was made to understand their binding mode and interactions with the thioredoxin reductase model
generated for O. ochengi. Docking scores and estimated minimisation energies protein-ligand
complexes for the compounds docked into target site of O. ochengi thioredoxin reductase, using
rigid ligand docking in the Maestro within the active site of the generated model have been
tabulated (Table 5). The docking poses of the ligands within the protein binding site in the putative
binding mode have been shown in Figure 5. Table 5. Docking scores of the isolated compounds and their moieties towards the O. ochengi
thioredoxin reductase target and minimization energies of the protein-ligand complexes (including
electronic, solvation and van der Waals components). Table 6. Binding free of docked compounds to the protein target Table 6. Binding free of docked compounds to the protein target Compound
ΔGbind
Eele
Evdw
Esol
1
-38.59
-94.21
-33.61
89.23
1a
-23.65
-92.54
-18.71
87.6
2
-33.95
-75.89
-29.02
70.96
3
-34.01
-68.58
-29.51
64.08
4
-29.32
-70.64
-25.32
66.64
5
-26.57
-111.25
-23.41
108.08
6
-27.74
-63.78
-22.78
58.82
7
-40.47
-81.75
-36.67
77.95
7a
-24.67
-39.34
-21.48
36.15
9
-29.83
-155.19
-24.87
150.22
9b
-28.49
-56.25
-23.83
51.59 Compound 8 was not included in the calculation, since both the vobasinyl and the iboga moieties of
this compound are represented in the other structures, e.g. the vobasinyl moiety of compound 8 is
the same as that of compounds 7 and 9, i.e. 7a, while the iboga moiety of compound 8 is the same as
that of compound 9. The computed ΔGbind energy values showed the lowest binding affinity
(tightest binding) for compound 7 towards the target (Table 6), with no clear cut differences in
binding affinities of the monoindoles towards the targets, when compared with the bisindoles. Amongst the monoindoles (compounds 2 to 6), compounds 2 and 3 showed much tighter binding
compared to compounds 3 to 6. Meanwhile, among the bisindoles, the lowest affinities were seen in
compounds 1 and 7. In general, the greatest contribution towards the computed binding free
energies was electrostatic. which were generally approximately 2- to 5-fold the contribution due to
van der Waals interactions in the monoindoles and between approximately 2- and 6-fold in the
bisindoles. It was rather clear because computed affinities that a greeter electrostatic contribution to
binding free energy led to better affinities. Since van der Waals contributions are generally more
important for hydrophobic molecules while electrostatic contribution to binding affinity is more
important for polar compounds, it was clear that the introduction of more polar groups to the
monoindoles would show better prospects towards binding to the thioredoxin reductase target of
O. ochengi. Compound 8 was not included in the calculation, since both the vobasinyl and the iboga moieties of
this compound are represented in the other structures, e.g. the vobasinyl moiety of compound 8 is
the same as that of compounds 7 and 9, i.e. 7a, while the iboga moiety of compound 8 is the same as
that of compound 9. Table 6. Binding free of docked compounds to the protein target The computed ΔGbind energy values showed the lowest binding affinity
(tightest binding) for compound 7 towards the target (Table 6), with no clear cut differences in
binding affinities of the monoindoles towards the targets, when compared with the bisindoles. 2.3.5 Structure-Activity Relationships Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 Compound Minimisation energy (Amber12, kcal/mol) Docking score (SP*, kcal/mol)
1
-30.48
-4.25
1aa
-32.02
-5.07
1bb
-32.33
-4.89
2
-32.01
-5.07
3
-28.94
-5.26
4
-26.79
-4.54
5
-28.72
-4.80
6
-28.88
-5.26
7
-30.43
-4.25
7aa
-31.99
-5.08
7bb
-21.83
-4.18
8
-28.41
-4.73
8aa
-30.34
-5.28
8bb
-21.91
-4.18
9
-40.53
-5.20
9aa
-29.65
-5.03
9bb
-21.59
-4.18
Auranofin
-47.38
-6.37
*Standard Precision; athe iboga unit; bthe vobasynyl unit Compound Minimisation energy (Amber12, kcal/mol) Docking score (SP*, kcal/mol)
1
-30.48
-4.25
1aa
-32.02
-5.07
1bb
-32.33
-4.89
2
-32.01
-5.07
3
-28.94
-5.26
4
-26.79
-4.54
5
-28.72
-4.80
6
-28.88
-5.26
7
-30.43
-4.25
7aa
-31.99
-5.08
7bb
-21.83
-4.18
8
-28.41
-4.73
8aa
-30.34
-5.28
8bb
-21.91
-4.18
9
-40.53
-5.20
9aa
-29.65
-5.03
9bb
-21.59
-4.18
Auranofin
-47.38
-6.37
*Standard Precision; athe iboga unit; bthe vobasynyl unit *Standard Precision; athe iboga unit; bthe vobasynyl unit *Standard Precision; athe iboga unit; bthe vobasynyl unit Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 Figure 5. Binding interactions between the binding site with amino acid side-chains with the
compounds; A) compound 1 shown in green sticks, B) compound 2 shown in green sticks; C)
compound 3 shown in green sticks, D) compound 4 shown in green sticks. The docked poses of
compounds 5 to 9 have been shown in the Supplementary data (Figure S29) 2.3.4 Binding free energy calculations 2.3.4 Binding free energy calculations To further explore the SAR, the free energy of binding of each ligand to the receptor in the putative
binding mode was calculated, along with its electrostatic (Eele), van der Waals (Evdw) and solvation
(Esol) components. These have been included in Table 6. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 The former is absent in the interaction between 1a and
the binding site, this moiety only interacting via H-bonding with Ala114. When compared with
compound 7, the isomer of compound 1, the vobasinyl moiety (7a) only interacts with Asn249 and
not with the triad, while when the entire compound 7 was docked, the ester group rather interacted
with the triad and not with the Asn249. We must, however, note that moiety 7a is the geometric
isomer of moiety 1a, while compound 2 is equivalent to the iboga unit of compound 7 and
compound 3 is the iboga unit of compound 8. One could as well explain the much higher activities
of the bisindoles, when compared with the mono indoles, because the mono indoles generally lack
the vobasinyl units, thus missing the right interactions in the binding site. This could be because
this part of the molecule does not interact with the aforementioned residues, the two compounds (1
and 7) almost binding in the same way (yellow structures of Figures 5A and D). g
y y
g
In terms of docking scores (Table 5), all bisindoles (the most active compounds, except the
untested compound 9) had higher docking scores (-4.25, -4.25, and -4.72 kcal/mol) for compounds 1,
7 and 8, respectively, towards the docked receptor. When compared with the mono indoles
(ranging from -4.79 to -5.26 kcal/mol), the docking scores of the mono indoles are much lower. It
must be noted that the stereoisomers 1 and 7 had the same docking scores (-4.25 kcal/mol) towards
the receptor site, an indication that the difference in stereochemistry had no effects on the top
scoring docking poses. All the indoles had higher docking scores towards the receptor site, when
compared with the reference compound Auranofin (-6.37 kcal/mol), but this could be explained by
the fact that this compound could have a completely different binding mode or even different
binding site from the reported Voacanga indoles. The chemical structure has been of auranofin
(PubChem ID: 24199313) has been shown in the Supplementary Data (Figure S28). A similar trend
could be seen in terms of the minimisation energies of the ligand-receptor complexes (Table 5),
except for compound 8 (which had a much higher minimisation energy (-28.41 kcal/mol), when
compared with its other bisindole counterparts (1 and 7), with minimisations energies of -30.48 and
-30.43 kcal/mol, respectively. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 ●
Compound 5 was almost inactive in all assays and was not included in Table 3 and this
discussion. ●
Compound 5 was almost inactive in all assays and was not included in Table 3 and this
discussion. The activities of all tested bis indoles lie within the same range and are twice as active as all the
tested mono indoles. Among the mono indoles, it was noted that since they lack the vobasinyl unit,
they all have much weaker activities against both Mf and adult males than the bisindoles. In the
continuation of our discussion, we shall refer to the vobasinyl unit of compound 1 would be
referred to as 1a, while the vobasinyl unit of compound 7 would be referred to as 7a and the iboga
unit of compound 9 would be referred to as 9b. Among the mono indoles (2 to 6), the least active is compound 5. Compound 4 is most active
against Mf while 3 is most active in adult males (Table 3). This shows that the OMe and OH groups
do not play any role in the activity. On the contrary, the ester group (present in both the most active
compounds 2 and 3) is absent in the least active mono indoles (5 and 6). This ester group interacts
with the triad (Gly116, Gly116 and Ala114) in the docking pose of compound 2 (Figure 5B), making
a H-bond with Gly116. The same ester group in the iboga unit of compound 7 makes the same
interaction with the same triad (Figure 5C). The docking pose of compound 4 (Figure 5D) also show
the ester group interacting with the Gly116, Gly116 and Ala114 triad, which is an indication that the
monoindoles that lack this ester group (compounds 5 and 6), would miss this interaction and,
hence, be less active than their counterparts (2, 3 and 4) in both Mf and adult male worms. The ester
group is also present in all vobasinyl units of the bisindoles, but only interacts with Asn249 in the
docking pose of compound 1 (Figure 5A), contrary to compounds 2 and 3. Comparing the docking pose of compound 1 (Figure 5A) and its vobasinyl moiety (1a), we
observe that the indole NH of compound 1 rather makes a H-bond interaction with Asp284, while
the ester group interacts with the Asn249. 2.3.5 Structure-Activity Relationships From Table 3, it can be observed, in terms of IC50 values, that: ●
Compound 1 is more active than compound 2, being ~2 fold more active in both Mf and
adult male worms. In our discussion, the activities against adult female worms were
ignored, since the experimental activities were limited to a few dotted cases. ●
Besides, the measured activities of the bisindoles (1, 7 and 8, possessing a vobasinyl unit)
were much better than those of the mono indoles (2, 3, 4 and 6). ●
Compound 1 is more active than compound 2, being ~2 fold more active in both Mf and
adult male worms. In our discussion, the activities against adult female worms were
ignored, since the experimental activities were limited to a few dotted cases. ●
Besides the measured acti ities of the bisindoles (1 7 and 8 possessing a
obasinyl unit) ●
Besides, the measured activities of the bisindoles (1, 7 and 8, possessing a vobasinyl unit
were much better than those of the mono indoles (2, 3, 4 and 6). Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 observed that electrostatic contributions towards the binding of the compounds towards the target
were more important than van der Waals interactions. observed that electrostatic contributions towards the binding of the compounds towards the target
were more important than van der Waals interactions. 3.1. General Experimental Procedures Column chromatography was carried out with glass columns using Merck 60 (60-200 μm) silica gel
as a stationary phase. Size exclusion chromatography was performed with Sephadex LH-20 (Sigma
Aldrich). Preparative TLC was done using silica gel H. Analytical TLC was performed on Merck
F254 aluminium sheets precoated with silica gel with n-hexane in ethyl acetate as the mobile phase. Triethylamine was added in the mobile phase to prevent interaction of the basic alkaloids with
acidic silanol groups of the silica gel packing material. Zones on these plates were visualized under
UVGL-58 lamp at 254/365 nm and then sprayed with Dragendoff’s reagent. The purity of the
compounds was determined using RP-C18 column with analytical Shimadzu HPLC 2017 with a
photodiode array detector. A H3PO4/K2HPO4 buffer (pH 6.0) with mobile phase 4:6 (CH3CN/H2O)
was used for the separation. Melting points were determined on a Mel Temp II apparatus and are
uncorrected. Optical rotation was determined using a Bellingham and Stanley ADP430 digital
polarimeter at 20 °C using the sodium D line (589 nm). IR spectroscopy was performed on a
PerkinElmer Spectrum 2 FT-IR spectrometer with a UATR accessory. Mass spectrometry was
performed using a Waters Xevo G2-S mass spectrometer equipped with an atmospheric solids
analysis probe, in positive ion mode. 1H and 13C NMR spectra were recorded in CDCl3 at 500 and
125 MHz respectively, with TMS as the internal reference.The chemical shifts (δ) of carbon and
proton are in parts per million. 3.2. Plant Material
The stem barks of V. africana Stapf (Apocynaceae) were collected in Ndop, North West Region of
Cameroon, in October 2014 by Dr. Wirmum Clare, Director of the Medicinal Foods and Plants,
Bamenda. A voucher specimen of the plant, N° SCA887 was deposited at the Limbe Botanic
Garden. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 When compared with the mono indoles (compounds 2 to 4), the
minimisation energies of the complexes having bis indoles are much lower (more stable) than those
having mono indoles. It was generally observed that the isolated molecules bound almost mostly
via hydrophobic interactions with amino acid side-chains in the O. ochengi thioredoxin reductase
target site. In terms of binding free energies, although no clear SAR could be derived, it was 3.4.2 Mammalian Cells for Microfilarial Cultures and Cytotoxicity Studies 3.4.2 Mammalian Cells for Microfilarial Cultures and Cytotoxicity Studies Monkey kidney epithelial cells (LLC-MK2) (ATCC, USA) were cultured at 37 ᵒC in humidified air
with 5% CO2 in a Hera Cell-150 incubator (Thermo Electron, Germany) until the cell layer is almost
confluent. The cell suspension was dispensed into 96-well microtiter plates (200 μL/well) and kept
in the incubator for 3-5 days for cells to grow and become fully confluent. These cells served as
feeder layers for the Mf assays and were also used for cytotoxicity studies. 3.4.3 Isolation and Culturing of Onchocerca ochengi Microfilariae Briefly, Mf were prepared using the method described by Cho-Ngwa et al. [26], with slight
modifications. A few skin snips were obtained from different locations and incubated in aliquots of
culture medium for 15 minutes, after which the emergent Mf were qualified and quantified using
an inverted microscope and standard atlases. The leftover pieces of skin were shaved, rinsed,
sterilized with 70% ethanol and sliced into thin slivers. The slivers were incubated in CCM for 2
hours, and the emergent highly motile O. ochengi Mf were concentrated by centrifugation. The Mf
were transferred to 96-well microtiter plates (15 Mf/100 μL/well) containing fully confluent LLC-
MK2 cell layer in 100 μL of CCM. This was monitored for viability and sterility for 24 hours before
addition of test and control compounds. 3.4.4 Preparation of Loa loa Microfilariae For the confirmation of the presence of L. loa Mf, a thick blood smear was prepared, stained with
Giemsa and observed under a light microscope [26]. Ten millilitres of venous blood was collected in
EDTA tubes and gently mixed. A portion of the blood was diluted in RPMI-1640 medium and the
Mf load was determined using an inverted microscope. The blood was then diluted according to
the number of Mf present at initial count so as to obtain a total of 15 Mf/100 μL/well. After dilution,
the Mf were transferred in a 96-well plate and monitored for 24 hours before addition of test and
control compounds. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 nodules were discarded. The viability of worms retained for the assay was ascertained by visual
and microscopic examination of adult male worm motility using an inverted microscope. nodules were discarded. The viability of worms retained for the assay was ascertained by visual
and microscopic examination of adult male worm motility using an inverted microscope. 3.3. Extraction and Isolation The fresh stem barks of V. africana were air-dried and ground into coarse powder. The powdered
sample of the plant was macerated in methanol at room temperature for nine days (3×3 days). Filtration and concentration of the crude extract led to a dark greenish extract. The crude extract
was subjected to silica gel normal phase open column chromatography and elution with a gradient
of ethyl acetate in hexane. Repeated column chromatography and purification through Sephadex
LH-20 and preparative TLC yielded the compounds 1-9. 3.4. In Vitro Antimalarial Activity
3.4.1 Isolation of Onchocerca ochengi adult worms The isolation of O. ochengi adult worms was done as described previously by Cho-Ngwa et al. [26]. Briefly, fresh pieces of umbilical cattle skin with palpable nodules bought from butchery in Douala
Cameroon were washed, drained and sterilized with 70% ethanol. The worms were carefully
scraped out of the nodules as single masses and temporarily submerged in 1 mL complete culture
medium, CCM [RPMI-1640 (Sigma-Aldrich, USA) supplemented with 25 mM HEPES, 2 g/L sodium
bicarbonate, 2 mM L-glutamine, 5% newborn calf serum (SIGMA, USA), 150 units/mL penicillin,
150 μg/mL streptomycin and 0.5 μg/mL amphotericin B (SIGMA, USA), pH 7.4)] using 24-well
plates. The adult worms were allowed in the culture medium overnight in a CO2 incubator, during
which period the male worms migrated out of the nodular masses. Only wells containing viable
worms received treatment with test compounds. Damaged worms and worms from putrefied 3.4.8 Statistical Analysis The statistical significance of differences in means between the effects of pure compounds at
various concentrations on parasites were determined by one-way analysis of variance (ANOVA),
followed by Newman-Keuls multiple comparison tests. A value of p < 0.05 was considered
significant. The data were analyzed using GraphPad prism 6. 3.4.7 Screens against Loa loa Microfilariae Ethical clearance for the study was obtained from the Cameroon National Ethics Committee, while
patients freely gave their written consent to participate in the study before recruitment. Clients
living in the Edea Health District were invited to the Edea District Hospital for free screening. All
the compounds were screened against L. loa Mf and the IC50 values determined. This was done
according to the protocol used to screen extracts against O. ochengi Mf. All assays were repeated at
least once for confirmation of results. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 of worm motility), 3 (near normal movement of whole worm or 25% inhibition of worm motility), 2
(whole body of worm motile but sluggish i.e. 50% inhibition of worm motility), 1 (only head or tail
of worm moving i.e. 75% inhibition of worm motility), 0 (completely immotile worm i.e. 100%
inhibition of worm motility). A metabolite was considered active if there was a 100% inhibition of
adult male worm motility; or moderately active for a motility inhibition of 50-99%; and inactive if
the inhibition was less than 50%. The pure compounds with 100% activity at primary screens were re-tested as described under
primary screens, in order to determine the IC50 values. The IC50 assays were done in triplicate and
each experiment repeated for confirmation. The means of all activities at a concentration were
calculated and used in the statistical analyses. GraphPad prism version 6.0 (GraphPad Software,
CA, USA) was used to generate dose response curves from which the IC50 values were obtained. 3.4.6 Primary and Secondary Screens against Onchocerca ochengi Microfilariae y
y
g
g
f
The biological assays were conducted in duplicates in the 96-well microtiter plates. The Mf were
incubated with the drug for 120 hours in a total of 200 μL of medium. Mf viability was assessed by
microscopy once every day and motility inhibition scores were recorded. The drug activity was
determined using the data of the 5th day. Motility inhibition correlates to drug activity. The
positive control drug was amorcazine at 30 μM and negative control was the diluent (DMSO). Compounds showing 100% activity in the primary screens were re-tested as described under
primary screens to determine the IC50 values. All assays were repeated at least once. The selectivity
index (SI) of each extract was calculated as the ratio of the IC50 of the extract on the mammalian cell
(termed CC50) to the IC50 on parasites. 3.4.7 Screens against Loa loa Microfilariae 3.4.8 Cytotoxicity Studies Cytotoxicity of the pure compounds with anti-Onchocercal activities was assessed on LLC-MK2
cells, microscopically, on day 5 of the Mf assay. Living cells were flattened out and attached to the
culture plate, while dead cells were rounded up and detached from the plate. The IC50 values for
these cells were estimated from the morphological deformation data. 3.4.8 Statistical Analysis 3.4.5 Primary and Secondary Screens against Onchocerca ochengi Adult Worms The compounds were tested on Mfs at a single concentration of 30 μM, in duplicate wells. The
worm cultures containing the drug were incubated for 168 hours (7 days), at 37 ᵒC in 5% CO2
atmosphere. The female worms were removed and incubated in 500 μL of 0.5 μg/mL MTT for 30
minutes on the last of incubation. Inhibition of formazan formation from MTT directly correlates
with worm death. The worms were blotted on absorbent paper and observed visually for blue
coloration against a white background. Scores based on activity were assigned, ranging from 100%
inhibition of formazan formation giving a completely pale yellow worm, 90% inhibition giving only
one or few spots of blue color seen on the worm, 75% inhibition where about 75% of the worm
remained pale yellow, 50% where about 50% of the worm remained pale yellow, to 25% giving near
total blue coloration, and 0% (inactive compound) for total blue color on worm. Auranofin at 10
μM, which had previously shown activity against O. ochengi adult worms and Mf [27], was used as
positive control, while negative control wells received the diluent, 2% DMSO only, previously
shown to have no effect on parasite viability. The solvent DMSO (2%) was used as a negative
control. In addition the 2% DMSO concentration has been shown to be non toxic to worms and
LLCMK2 cells in vitro [26, 36]. Also the toxicity of DMSO decreases with dilution [37]. Adult male worm motility was evaluated with the aid of an inverted microscope. Motility score
was on a scale of 4 (vigorous or normal movement of whole worm, corresponding to 0% inhibition Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 The choice of the target thioredoxin reductase is based on the fact that the reference compound in
the bioassays (Auranofin) is a known inhibitor of Onchocerca volvulus thioredoxin reductase [27]. Amino acid sequences of the target proteins were retrieved from several Uniprot database
(https://www.uniprot.org/uniprot/I7IAK1) [38] For the identification of the candidate template
structures, a BLAST [39] search of the full length target sequence was carried out using the RCSB
Protein Data Bank [40]. The final template structures were chosen based on the sequence identity,
the quality of the available structural data and the type of the bound ligand. Sequence identity and
similarity of the templates and target proteins was calculated in MOE (Figure S24) (Figure SI_1). The initial sequence alignment for modeling was performed in MOE software version 16.08 [41]. The template structure and/or the initial alignment were manually adjusted before the modeling to
address conserved structural features of the binding pocket. The homology modeling of the target
protein catalytic domains was performed using the program MODELLER 9.11 [42]. Choice of
homology model was based on the DOPE score implemented in the modeler program. 2.3.2.1 Molecular Dynamic Simulation of the generated Homology Model The generated homology model was subjected to Molecular Dynamics (MD) simulations using the
AMBER16 program to evaluate its stability [35]. The tleap module in amber was used to prepare the
system for MD simulations. Hydrogen atoms were added to all amino acid residues assuming a
normal ionization state for all ionizable residues. The ff03.r1 force field was used to optimize the
protein, while the tip3p for water model was used to solvate the entire system in an octahedral box
[43]. The solute atoms and the borders of the box were separated by at least 10 Å. The resulting system was then energy minimized in two steps: a 3000 steps minimization
(2000 cycles of steepest descent followed by 1000 cycles of conjugate gradient) with restraints on the
protein atoms, while the solvent molecules and counter ions were free. This was followed by a
further 4000 cycles minimization of the entire system (2000 cycles of steepest descent followed by
2000 cycles of conjugate gradient) without restraints to remove any steric clash in the initial
geometry of the protein. Subsequently, restraint heating of the system using a force constant of 10
kcal/mol from 0 to 300K was performed over a period of 100 ps. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 Finally, using the Particle Mesh
Ewald method, we ran a 20 ns molecular dynamic simulation using a time step of 2 fs [44, 45]. The
system was kept at constant temperature (300K) and pressure (1 bar) during the molecular dynamic
simulation time. Distances and rmsd were calculated with respect to the input coordinates of the
complex as a reference using cpptraj. 3.5 Molecular Modeling In this study, it was unclear why the compounds exhibited anti-onchocercal activities. An attempt
to explore the mode of action of these compounds and to explore the structure-activity relations led
to docking all of them in the same active site as the reference compound in the study. 3.5.1 Homology Modeling Author Contributions: Conceptualization, J.A.M.; K.O.A.; and F.N.K.; Data Curation, S.B.B.; C.V.S.; R.K.;
H.M.; E.J.L.; F.N.K.; Formal Analysis, R.K.; E.J.L.; F.N.K.; Funding acquisition, S.B.B.; K.O.A.; F.N.K.; K.O.A.;
E.J.L.; R.K.; F.C.N.; J.A.M.; W.S.;Investigation, S.B.B.; C.V.S.; E.M.; R.K.; D.O.; E.J.L.; Methodology, S.B.B.; E.M..;
C.V.S.; H.M.;E.J.L.; Project administration, J.A.M; K.O.A.; W.S., E.L.J.; Software, W.S.; Supervision, J.A.M;
K.O.A.; W.S., E.J.L.; F.N.K; Validation, S.B.B.; C.V.S.; E.J.L. and F.N.K.; Visualization, C.V.S.; F.N.K.; E.J.L.;
S.B.B.; Writing- original draft, S.B.B.; E.J.L.; C.V.S.; K.O.A.;F.N.K.; Writing- review and editing, J.A.M.; D.O.;
H.M.; E.M.; F.C.N; R.K.; W.S. 3.5.5 Rescoring docked poses by binding free energy calculations 3.5.5 Rescoring docked poses by binding free energy calculations This was performed via a complex minimization approach using the molecular mechanics energies
combined with the generalized Born and accessible surface area (MM-GBSA) implicit continuum
solvation [53-54] with the AMBER12EHT force field [55] implemented in MOE [41] to estimate the
binding free energy (BFE) for the proposed poses after docking of each molecule. AMBER12EHT
force field was used to fix partial charges for each of Protonate3D system [56] followed by a short
minimization. Finally, an in-house script for MOE was used to estimated BFE for all the docked
poses. Protein heavy atoms were tethered during complex minimization with a deviation of 0.5 Å
(force constant (3/2) kT/(0.5)2). Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 stereochemistry. Additionally, the optimized integrated OPLS_2005 force field [48] was used to
minimize all ligands. Finally, 30 conformers for each of the prepared ligand molecules were
generated and each conformer output minimized using the settings of ConfGen [50, 51]. 3.5.4 Ligand Docking and Scoring Prepared protein and ligands were flexibly docked using the standardized Glide program
procedure of Schrödinger’s software [49, 51]. The receptor grid preparation for the docking
procedure was carried out by assigning the center of the transferred ligand from the template into
our homology model (FDA) as the centroid of the grid box. Glide docking program in Schrodinger
software was subsequently used to dock the generated three-dimensional conformers of the
prepared ligand. The GlideScore (GS) Standard Precision (SP) mode was used as the scoring
function to rank the resulting binding poses [49, 52]. A total of 5 poses per ligand conformer were
included in the post-docking minimization step, and a maximum of 2 docking poses was generated
for each ligand conformer. 3.5.5 Rescoring docked poses by binding free energy calculations 3.5.2 Protein Preparation Based on the generated homology models, the best model was selected (with regards to the lowest
DOPE score) and subsequently used in this study. Protein preparation was performed using similar
protocols previously reported by Simoben et al., 2018 [46]. Protein Preparation Wizard of
Schrödinger software using the default settings was used to prepare the protein structure [47]. The
Epik-tool (with the pH set at 7.0 ± 2.0) was used to apply bond orders, hydrogen atoms and
protonation of the heteroatom states were added using Optimization of the H-bond network. The
structure was finally subjected to a restrained energy minimization step using the Optimized
Potentials for Liquid Simulations (OPLS) 2005 force field [48] and a root-mean-square-deviation
(rmsd) of 0.3 Å for atom displacement for terminating. 3.5.3 Ligand Dataset Preparation Schrodinger software, v2017-u1 was used for the preparation of ligands for docking [49]. Epik
ionization method at biologically relevant pH (pH 7.0 ± 2.0) was used to generate all possible
tautomers, as well as possible combinations of stereoisomers for molecules without well-defined References 1. Tona, L.; Kambu, K.; Mesia, K.; Cimanga, K.; Apers, S.; De Bruyne, T.; Pieters, L.; Totte, J.;
Vlietinck, A. J. Biological screening of traditional preparations from some medicinal plants
used as antidiarrhoeal in Kinshasa, Congo. Phytomedicine 1999, 6, 59-66. 1. Tona, L.; Kambu, K.; Mesia, K.; Cimanga, K.; Apers, S.; De Bruyne, T.; Pieters, L.; Totte, J.;
Vlietinck, A. J. Biological screening of traditional preparations from some medicinal plants
used as antidiarrhoeal in Kinshasa, Congo. Phytomedicine 1999, 6, 59-66. 2. Liu, X.; Yanga, D.; Liu, J.; Ren, N. Synthesis and acetylcholinesterase inhibitory activities of
tabersonine derivatives. Phytochem. Lett. 2015, 14, 17-22. 3. Chen, H. M.; Yang, Y. T.; Li, H. X.; Cao, Z. X.; Dan, X. M.; Mei, L.; Guo, D. L.; Song, C. X.;
Dai, Y.; Hu, J.; Deng, Y. Cytotoxic monoterpenoid indole alkaloids isolated from the barks
of Voacanga africana Staph. Nat. Prod. Res. 2016, 30, 1144-1149. g
f
p
4. Tan, P. V.; Nyasse, B. Anti-ulcer compound from Voacanga africana with possible histamine
H2 receptor blocking activity. Phytomedicine 2000, 7, 509-515. 5. Tan, P. V.; Penlap, V. B.; Nyasse, B.; Nguemo, J. D. B. Anti-ulcer actions of the bark
methanol extract of Voacanga africana in different experimental ulcer models in rats. J. Ethnopharmacol. 2000, 73, 423-428. 6. Jiofack, T.; Fokunang, C.; Kemeuze, V.; Fongnzossie, E.; Tsabang, N.; Nkuinkeu, R.;
Mapongmetsem, P. M.; Nkongmeneck, B. A. Ethnobotany and phytopharmacopoea of the
South-West ethnoecological region of Cameroon. J. Med. Plants Res. 2008, 2, 197-206. 7. Hussain, H.; Hussain, J.; Al-Harrasi, A.; Green, I. R. Chemistry and biology of the genus
Voacanga. Pharm. Biol. 2012, 50, 1183-1193. 8. Kitajima, M.; Iwai, M.; Kogure, N.; Kikura-Hanajiri, R.; Goda, Y.; Takayama, H. Aspidosperma-aspidosperma-type bisindole alkaloids from Voacanga africana. Tetrahedron
2013, 69, 796-801. 9. Dey, A.; Mukherjee, A.; Chaudhury, M. Alkaloids from Apocynaceae: Origin,
pharmacotherapeutic properties, and structure-activity studies. Stud. Nat. Prod. Chem. 2017,
52, 373-487. 10. Hussain, H.; Hussain, J.; Al-Harrasi, A.; Green, I. R. Chemistry and biology of the genus
Voacanga. Pharm. Biol. 2012, 50, 1183-1193. 11. Kitajima, M.; Iwai, M., Kikura-Hanajiri, R.; Goda, Y.; Iida, M.; Yabushita, H.; Takayama, H. Discovery of indole alkaloids with cannabinoid CB1 receptor antagonistic activity. Bioorg. Med. Chem. 2011, 21, 1962-1964. 12. Kitajima, M.; Takayama, H. Monoterpenoid bisindole alkaloids. The Alkaloids 2016, 76, 259
310. 13. Borakaeyabe, S. B.; Mbah, J. A.; Cho-Ngwa, F.; Metuge, J. A.; Efange, S. M. N. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 Supplementary Materials: The following are available. Figure S1-S26. Supplementary Materials: The following are available. Figure S1-S26. Funding: We acknowledged the financial support from Africa Regional International Staff/Student Exchange:
Food Security and Sustainable Human Wellbeing (ARISE) and Ministry of Higher Education of Cameroon
(MINESUP), to S.B.B to carry out part of his PhD research work at the University of Nairobi, Kenya. We are
also grateful to the African-German Network of Excellence in Science (AGNES) junior researcher grant
awarded to S.B.B in 2019. F.N.K. would also like to acknowledge funding from the German Academic
Exchange Services (DAAD) for a guest professorship at TU Dresden. Acknowledgments: We thank Professor Dr. Dr. h. c. Michael Spiteller of the Institute of Environmental
Research (INFU) of the Faculty of Chemistry, Chair of Environmental Chemistry and Analytical Chemistry, TU
Dortmund, Dortmund, Germany for LC-MS and NMR analyses of some of the compounds. We also thank the
National Mass Spectrometry Facility at Swansea University for MS analysis of voacamine A. Conflicts of Interest: The authors declare no conflict of interest 5. Conclusions A new bisindole iboga-vobasine type alkaloid named voacamine A (1) along with eight known
compounds, voacangine (2), voacristine (3), coronaridine (4), tabernanthine (5), ibogaine (6),
voacamine (7), voa corine (8), and conoduramine (9) were isolated from the stem barks of Voacanga
africana. All compounds were tested for their anti-Onchocercal activity against the O. ochengi. Compounds 1, 2, 3, 4, 6, 7and 8 were found to inhibit the motility of both the Mf and adult male
worms of Onchocerca ochengi, in a dose-dependent manner, but were only moderately active on the
adult female worms upon biochemical assessment at 30 μM drug concentrations. Their IC50 values
are 2.49-5.49 μM for Mf and 3.45-17.87 μM for adult males. This study reports, for the first time, the
efficacy of these alkaloids against Mf and adult O. ochengi worms. Molecular modeling led to the
generation of a homology model for the O. ochengi thioredoxin reductase target. It was, however,
unclear why the compounds exhibited anti-onchocercal activities. An attempt to explore the mode of
action of these compounds and to explore the structure-activity relations led to docking all of them
in the same active site as the reference compound in the study. Since the reference compound is
known to bind to the aforementioned drug target, our rationale was to attempt an initial SAR study
by exploring the putative binding of these compounds to the target in silico, then further suggest an
in vitro study of the enzyme inhibition kinetics of these compounds against the target. Docking the
receptor site could offer an explanation to the structure-activity relationships of the isolated
compounds in terms of docking scores, binding free energies towards the drug target site, complex
minimisation energies and interactions with site chain residues. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 16. Harada, M.; Asaba, K. N.; Iwai, M.; Kogure, N.; Kitajima, M.; Takayama, H. Asymmetric
total synthesis of an iboga-type indole alkaloid, voacanga lactone, newly isolated from
Voacanga africana. Org. Lett. 2012, 14, 5800-5803. 17. Kutney, J. P.; Horinaka, A.; Ward, R. S.; Worth, B. R. Studies on the total synthesis of
bisindole alkaloids within the voacamine family. Can. J. Chem. 1980, 58, 1829-1838. 18. Medeiros, W. L. B.; Vieira, I. J. C.; Mathias, L.; Braz-Filho, R.; Leal, K. Z.; Rodrigues-Filho,
E.; Schripsema, J. Two known bis-indole alkaloids isolated from Tabernaemontana laeta:
complete 1H and 13C chemical shift assignments. Magn. Reson. Chem. 1999, 37, 676-681. 19. Nge, C. E.; Chong, K. W.; Thomas, N. F.; Lim, S. H.; Low, Y. Y.; Kam, T. S. Ibogan,
aspidosperma, vincamine, and bisindole alkaloids from a Malayan Tabernaemontana
corymbosa: Iboga alkaloids with C-20α substitution. J. Nat. Prod. 2016, 79, 1388-1399. y
g
20. Sim, D. S. Y.; Teoh, W. Y.; Sim, K. S.; Lim, S. H.; Thomas, N. F.; Low, Y. Y.; Kam, T. S. Vobatensines A−F, cytotoxic iboga-vobasine bisindoles from Tabernaemontana corymbosa. J. Nat. Prod. 2016, 79, 1048-1055. 21. Chen, H. M.; Yang, Y. T.; Li, H. X.; Cao, Z. X.; Dan, X. M.; Mei, L.; Guo, D. L.; Song, C. X.;
Dai, Y.; Hu, J.; Deng, Y. Cytotoxic monoterpenoid indole alkaloids isolated from the barks
of Voacanga africana Staph. Nat. Prod. Res. 2016, 30, 1144-1149. 22. Chaturvedula, V. S. P.; Sprague, S.; Schilling, J. K.; Kingston, D. G. I. New cytotoxic indole
alkaloids from Tabernaemontana calcarea from the Madagascar rainforest. J. Nat. Prod. 2003,
66, 528-531. 23. Sharma, P.; Cordell, G. A. Heyneana hydroxyindole nine, a new indole alkaloid from
Ervatamia coronaria var. plena. J. Nat. Prod. 1988, 51, 528-531. 24. Qu, Y.; Simonescu, R.; Luca, V. D. Monoterpene indole alkaloids from the fruit of
Tabernaemontana litoralis and differential alkaloid composition in various fruit components. J. Nat. Prod. 2016, 79, 3143-3147.. 25. Thomas, D. W.; Biemann, K. The hydroxyindole nine derivative of voacangine, a new
indole alkaloid from Voacanga africana. Tetrahedron 1987, 24, 4223-4231. 26. Cho-Ngwa, F.; Abongwa, M.; Ngemenya, N. M.; Nyongbela, K. D. Selective activity of
extracts of Margaritaria discoidea and Homalium africanum on Onchocerca ochengi. BMC
Complement. Altern. Med. 2010, 10, 62. p
27. Bulman, C. A.; Bidlow, C. M.; Lustigman, S.; Cho-Ngwa, F.; Williams, D.; Jr, A. A. References Isolation and
characterization of filaricidal compounds from the stem bark of Voacanga africana, a plant
used for onchocerciasis in Cameroon. J. Med. Plants Res. 2015, 9, 471-478. 14. Trees, A.; Graham, S.; Renz, A.; Bianco, A.; Tanya, V. Onchocerca ochengi infections in cattle
as a model for human onchocerciasis: recent developments. Parasitology 2000, 120, 133-142. 15. Lobos, E.; Weiss, N.; Karam, M.; Taylor, H. R.; Ottesen, E. A.; Nutman, T. B. An
immunogenic Onchocerca volvulus antigen: A specific and early marker of infection. Science
1991, 251, 1603-1605. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.209 doi:10.20944/preprints202011.0446.v1 34. Berman, H. M.; Westbrook, J.; Feng, Z.; Gilliland, G.; Bhat, T. N.; Weissig, H.; Shindyalov, I
N.; Bourne, P. E. The Protein Data Bank. Nucleic Acids Res. 2000, 28, 235-242. 35. Case, D. A.; Betz, R. M.; Cerutti, D. S.; Cheatham, T. E.; III; Darden, T. A.; Duke, R. E.;
Giese, T. J.; Gohlke, H.; Goetz, A. W.; Homeyer, N.; Izadi, S.; Janowski, P.; Kaus, J.;
Kovalenko, A.; Lee, T. S.; LeGrand, S.; Li, P.; Lin, C.; Luchko, T.; Luo, R.; Madej, B.;
Mermelstein, D.; Merz, K. M.; Monard, G.; Nguyen, H.; Nguyen, H. T.; Omelyan, I.;
Onufriev, A.; Roe, D. R.; Roitberg, A.; Sagui, C.; Simmerling, C. L.; Botello-Smith, W. M.;
Swails, J.; Walker, R. C.; Wang, J.; Wolf, R. M.; Wu, X.; L., X.; A., K. P., AMBER 2016. University of California, San Francisco 2016. 36. Cho-Ngwa, F.; Monya, E.; Azantsa, B. K.; Manfo, F. P. T.; Babiaka, S. B.; Mbah, J. A.; Samje,
M. Filaricidal activities on Onchocerca ochengi and Loa loa, toxicity and phytochemical
screening of extracts of Tragia benthami and Piper umbellatum. BMC Complement. Altern. Med. 2016, 16, 326. 37. Worthley, E.G.; Schott, C.D. The toxicity of four concentrations of DMSO. Toxicol. Appl. Pharmacol. 1969, 15, 275-281. 38. The UniProt Consortium. Activities at the Universal Protein Resource (UniProt). Nucleic
Acids Res. 2014, 42, D191–D198. 39. Altschul, S.F.; Gish, W.; Miller, E.W.; Myers, D.J. Lipman. Basic local alignment search tool. J. Mol. Biol. 1990, 215, 403-410. 40. Burley, S. K.; Berman, H. M.; Bhikadiya, C.; Bi, C.; Chen, L.; Costanzo, L. D.; Christie, C.;
Dalenberg, K.; Duarte, J. M.; Dutta, S.; Feng, Z.; Ghosh, S.; Goodsell, D. S.; Green, R. K.;
Guranović, V.; Guzenko, D.; Hudson, B. P.; Kalro, T.; Liang, Y.; Lowe, R.; Namkoong, H.;
Peisach, E.; Periskova, I.; Prlić, A.; Randle, C.; Rose, A.; Rose, P.; Sala, R.; Sekharan, M.;
Shao, C.; Tan, L.; Tao, Y. P.; Valasatava, Y.; Voigt, M.; Westbrook, J.; Woo, J.; Yang, H.;
Young, J.; Zhuravleva, M.; Zardecki, C. RCSB Protein Data Bank: biological
macromolecular structures enabling research and education in fundamental biology,
biomedicine, biotechnology and energy. Nucleic Acids Res. 2019, 47, D464–D474. Dalenberg, K.; Duarte, J. M.; Dutta, S.; Feng, Z.; Ghosh, S.; Goodsell, D. S.; Green, R. K.; 41. MOE Molecular Operating Environment (MOE), 2016.08; Chemical Computing Group Inc. 1010 Sherbrooke St. West, Suite #910, Montreal, QC, Canada, H3A 2R7, 2016. 42. Webb, B.; Sali, A. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 R.,
Tricoche, N., Samje, M., Bell, A., Suzuki, B., Lim, K. C., Supakorndej, N., Supakorndej, P.,
Wolfe, RascónJr, A. R.; Knudsen, G. M.; Chen, S.; Wilson, C.; Ang, K. H.; Arkin, M.; Gut, J.;
Franklin, C.; Marcellino, C.; McKerrow, J. H.; Debnath, A.; Sakanari, J. A. Repurposing
auranofin as a lead candidate for treatment of lymphatic filariasis and onchocerciasis. PLoS
Negl. Trop. Dis. 2015, 9, e0003534. 28. Gromiha, M. M.; Ahmad, S. Role of solvent accessibility in structure based drug design. Curr. Comput.-Aided Drug Des. 2005, 1, 223-235. 29. Lipinski, C. A.; Lombardo, F.; Dominy, B. W.; Feeney, P. J. Experimental and
computational approaches to estimate solubility and permeability in drug discovery and
development settings. Adv. Drug Delivery Rev. 1997, 23, 3–25. 30. Cavalli, A.; Poluzzi, E.; De Ponti, F.; Recanatini, M. Toward a pharmacophore for drugs
inducing the long QT syndrome: insights from a CoMFA Study of HERG K+ channel
blockers. J. Med. Chem. 2002, 45, 3844–3853. 31. De Ponti, F.; Poluzzi, E.; Montanaro, N. Organising evidence on QT prolongation and
occurrence of Torsades de Pointes with non antiarrhythmic drugs: a call for consensus. Eur. J. Clin. Pharmacol. 2001, 57, 185–209. 32. Irvine, J. D.; Takahashi, L.; Lockhart, K.; Cheong, J.; Tolan, J. W.; Selick, H. E.; Grove, J. R. MDCK (Madin-Darby canine kidney) cells: a tool for membrane permeability screening. J. Pharm. Sci. 1999, 88, 28–33. 33. Colmenarejo, G.; Alvarez-Pedraglio, A.; Lavandera, J.-L. Cheminformatic models to predict
binding affinities to human serum albumin. J. Med. Chem. 2001, 44, 4370–4378. Sample Availability: Samples of the compounds 1 - 9 are available from the authors. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.209 Comparative protein structure modeling using MODELLER. Curr. Protoc
Bioinformatics 2016, 54, 5.6.1–5.6.37. 43. Jorgensen, W. L.; Chandrasekhar, J.; Madura, J. D.; Impey, R. W.; Klein, M. L., Comparison
of Simple Potential Functions for Simulating Liquid Water. J. Chem. Phys. 1983, 79, 926-935. 44. Sagui, C.; Pedersen, L. G.; Darden, T. A., Towards an accurate representation of
electrostatics in classical force fields: Efficient implementation of multipolar interactions in
biomolecular simulations. J. Chem. Phys. 2004, 120, 73-87. 45. Toukmaji, A.; Sagui, C.; Board, J.; Darden, T., Efficient particle-mesh Ewald based
approach to fixed and induced dipolar interactions. J. Chem. Phys. 2000, 113, 10913-10927. 46. Simoben, C. V.; Robaa, D.; Chakrabarti, A.; Schmidtkunz, K.; Marek, M.; Lancelot, J.;
Kannan, S.; Melesina, J.; Shaik, T. B.; Pierce, R. J.; Romier, C. A novel class of Schistosoma
mansoni histone deacetylase 8 (HDAC8) inhibitors identified by structure-based virtual
screening and in vitro testing. Molecules 2018, 23, 566. 47. Sastry, G. M.; Adzhigirey, M.; Day, T.; Annabhimoju, R.; Sherman, W. Protein and ligand
preparation: Parameters, protocols, and influence on virtual screening enrichments. J. Comput.-Aided Mol. Des. 2013, 27, 221–234. 48. Banks, J. L.; Beard, H. S.; Cao, Y.; Cho, A. E.; Damm, W.; Farid, R.; Felts, A. K.; Halgren, T. A.; Mainz, D. T.; Maple, J. R.; Murphy, R.; Philipp, D. M.; Repasky, M. P.; Zhang, L. Y.;
Berne, B. J.; Friesner, R. A.; Gallicchio, E.; Levy, R. M. Integrated modeling program,
Applied Chemical Theory (IMPACT). J. Comput. Chem. 2005, 26, 1752-1780. pp
y
p
49. Schrödinger Release 2017–2: LigPrep; Schrödinger, LLC: New York, NY, USA, 2017. 50. Schrödinger Release 2017-2: ConfGen; Schrödinger, LLC: New York, NY, USA, 2017. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 17 November 2020 doi:10.20944/preprints202011.0446.v1 51. Watts, K. S.; Dalal, P.; Murphy, R. B.; Sherman, W.; Friesner, R. A.; Shelley, J. C. Conf Gen:
A conformational search method for efficient generation of bioactive conformers. J. Chem. Inf. Model. 2010, 50, 534–546. f
52. Halgren, T. A.; Murphy, R. B.; Friesner, R. A.; Beard, H. S.; Frye, L. L.; Pollard, W. T.;
Banks, J. L. Glide: A new approach for rapid, accurate docking and scoring. 2. Enrichment
factors in database screening. J. Med. Chem. 2004, 47, 1750-1759. 53. Hou, T.; Wang, J.; Li, Y.; Wang, W. Assessing the performance of the MM/PBSA and
MM/GBSA Methods. 1. The accuracy of binding free energy calculations based on
molecular dynamics simulations. J. Chem. Inf. Model. 2011, 51, 1, 69–82. 54. Genheden, S.; Ryde, U. The MM/PBSA and MM/GBSA methods to estimate ligand-binding
affinities. Expert Opin. Drug Discov. 2015, 10, 449-461. 55. Hornak, V.; Abel, R.; Okur, A.; Strockbine, B.; Roitberg, A.; Simmerling, C. Comparison of
multiple AMBER force fields and development of improved protein backbone parameters. Proteins. 2006, 65, 712–725. 56. Labute, P. Protonate3D: assignment of ionization states and hydrogen coordinates to
macromolecular structures. Proteins. 2009, 75, 187-205.
|
https://openalex.org/W2890853172
|
https://iris.unimore.it/bitstream/11380/1171703/4/Full%20text%20IJERPH2018_Modenese_Korpinen_Gobba.pdf
|
English
| null |
Solar Radiation Exposure and Outdoor Work: An Underestimated Occupational Risk
|
International journal of environmental research and public health/International journal of environmental research and public health
| 2,018
|
cc-by
| 17,352
|
Dear Dr. Fabriziomaria Gobba Dear Dr. Fabriziomaria Gobba The International Journal of Environmental Research and Public Health—IJERPH (ISSN
1660-4601, IF 2.101) is currently running a Special Issue "Workplace Health Promotion
2018". Based on your expertise in the field of the prevention of occupational UV risk in
exposed workers, I think that you could make an excellent contribution. As a Guest Editor, I invite you to submit high-quality original research articles or reviews
that provide solid new findings extending the current state of knowledge. Preference will be
given to contributions using longitudinal data and or experimental/intervention designs. Studies with cross-sectional design will only be considered as exceptions if convincingly
justified. All manuscripts will be peer-reviewed by experts in the field, and would be due no
later than the end of 31 March 2018. For further reading, please follow the link to the special issue website at:
http://www.mdpi.com/journal/ijerph/special_issues/workplace_health Manuscripts should be submitted through the online manuscript submission and editorial
system at http://susy.mdpi.com. You need to choose IJERPH as the journal title, * Workplace
Health Promotion 2018* as special issue title. For further details on the submission process,
please
see
the
instructions
for
authors
at
the
journal
website
(http://www.mdpi.com/journal/ijerph/instructions). IJERPH (ISSN 1660-4601) is an international, open access journal on environmental health
sciences and public health with the Impact Factor of 2.101 in 2017. Article Processing
Charges (APC) of 1600 Swiss Francs (CHF) apply to accepted papers. All articles are
published with a CC BY 4.0 license. For more information on the CC BY license, please see:
http://creativecommons.org IJERPH (ISSN 1660-4601) is an international, open access journal on environmental health
sciences and public health with the Impact Factor of 2.101 in 2017. Article Processing
Charges (APC) of 1600 Swiss Francs (CHF) apply to accepted papers. All articles are
published with a CC BY 4.0 license. For more information on the CC BY license, please see:
http://creativecommons.org I look forward to hearing from you soon. Nicola Magnavita
Institute of Public Health
Università Cattolica del Sacro Cuore
Largo Gemelli 8, 00168 Roma Received: 30 July 2018; Accepted: 18 September 2018; Published: 20 September 2018 Abstract: A considerably high number of outdoor workers worldwide are constantly exposed for
the majority of their working life to solar radiation (SR); this exposure is known to induce various
adverse health effects, mainly related to its ultraviolet (UV) component. The skin and the eye are the
principal target organs for both acute and long-term exposure. Actinic keratosis, non-melanoma skin
cancers, and malignant melanoma are the main long-term adverse skin effects, whereas in the eye
pterygium, cataracts, and according to an increasing body of evidence, macular degeneration may be
induced. Despite this, SR exposure risk is currently undervalued, if not neglected, as an occupational
risk factor for outdoor workers. SR exposure is influenced by various environmental and individual
factors, and occupation is one of the most relevant. For a better understanding of this risk and for
the development of more effective prevention strategies, one of the main problems is the lack of
available and adequate methods to estimate SR worker exposure, especially long-term exposure. The main aims of this review were to provide a comprehensive overview of SR exposure risk of
outdoor workers, including the UV exposure levels and the main methods recently proposed for
short-term and cumulative exposure, and to provide an update of knowledge on the main adverse
eye and skin effects. Finally, we also outline here preventive interventions to reduce occupational risk. Keywords: solar radiation; ultraviolet radiation; skin cancers; macular degeneration; cataract;
occupational exposure; outdoor work Int. J. Environ. Res. Public Health 2018, 15, 2063; doi:10.3390/ijerph15102063 Nicola Magnavita 1 International Journal of
Environmental Research
and Public Health Solar Radiation Exposure and Outdoor Work:
An Underestimated Occupational Risk Alberto Modenese 1,*
, Leena Korpinen 2
and Fabriziomaria Gobba 1 Alberto Modenese
,
, Leena Korpinen
and Fabriziomaria Gobba
1
Department of Biomedical, Metabolic and Neural Sciences, University of Modena & Reggio Emilia,
41124 Modena, Italy; fabriziomaria.gobba@unimore.it
2
Clinical Physiology and Neurophysiology Unit, The North Karelia Central Hospital, 80210 Joensuu, Finland
leenakorpinen@gmail.com *
Correspondence: alberto.modenese@unimore.it; Tel.: +39-059-205-5475 *
Correspondence: alberto.modenese@unimore.it; Tel.: +39-059-205-5475 1. Introduction Solar radiation (SR) exposure can possibly be considered the oldest occupational risk. The exposure started together with the first human activities as hunting and fishing and then
agriculture. The adverse effects of this risk were recognized and described by Bernardino Ramazzini in
1700 in his textbook “De Morbis Artificum Diatriba”, reporting of naked farmers with extensive sunburns
and associated hyperthermia [1]. As an occupational risk, SR can be considered a physical risk; the sun
emits a wide range of the frequencies of the whole electromagnetic spectrum, but mainly in the range
of non-ionizing radiations (NIR), including most of the natural incoherent optical radiation. According
to the International Commission on Illumination (Commission Internationale d’Eclairage—CIE) [2],
the spectrum of the optical radiation can be classified as: (1)
Ultraviolet radiation (UVR), composed of UV-C (wavelength; λ = 100–280 nm), UV-B (λ = 280–315
nm), and UV-A (λ = 315–400 nm);
(2)
Vi ibl
di ti
(λ
400 780
) (2)
Visible radiation (λ = 400–780 nm); (3)
Infrared radiation (IR), further divided into IR-A (λ = 780–1400 nm), IR-B (λ = 1400–3000 nm),
and IR-C (λ = 1 mm–3000 nm). (3)
Infrared radiation (IR), further divided into IR-A (λ = 780–1400 nm), IR-B (λ = 1400–3000 nm),
and IR-C (λ = 1 mm–3000 nm). www.mdpi.com/journal/ijerph Int. J. Environ. Res. Public Health 2018, 15, 2063; doi:10.3390/ijerph15102063 2 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 Generally speaking, optical radiation has a limited penetration depth in biological tissues. However, each spectral region is different, both in terms of penetration ability and biological interaction
mechanisms, and consequently in terms of possible induced effects [3]. Generally speaking, optical radiation has a limited penetration depth in biological tissues. However, each spectral region is different, both in terms of penetration ability and biological interaction
mechanisms, and consequently in terms of possible induced effects [3]. The solar radiation spectrum at the Earth’s surface is quite different from that emitted by the Sun
due to the shielding effect of various atmospheric components. Ozone is particularly important as
it filters out all the wavelengths shorter than 290 nm, i.e., all the UV-C and the majority of UV-B [4]. About the 95% of the solar radiation at the Earth’s surface is composed by IR and visible wavelengths,
at about 45% and 50%, respectively; whereas UV accounts for approximately 5%. 1. Introduction Nevertheless,
UVR is able to induce the main and most severe adverse health effects on humans, and is responsible
for the classification of SR in Group 1 of the International Agency for Research on Cancer (IARC),
which includes agents carcinogenic to humans [5]. Furthermore, the depletion of the ozone layer over
the last decades has increased the amount of UV-B at the Earth’s surface. For these reasons, in this
paper, the health risks associated to solar UVR exposure are mainly considered. According to these premises, the main objective of this review is to provide a comprehensive
overview of occupational SR exposure risk of outdoor workers. In the following sections, we offer
a complete panorama of this risk from an occupational medicine point of view: the mechanisms through
which UV rays interact with the biological tissues, the characteristics of exposure, and the usual UV
levels reported in scientific literature for outdoor workers. Furthermore, an updated summary of the
possible eye and skin adverse health effects related to occupational SR exposure in outdoor workers is
presented, including results from recent systematic reviews. Finally, we outline here also the main
preventive measures applicable to reduce solar UV occupational risk to better protect outdoor workers. 2. Solar Radiation: Mechanisms of Interaction and Pathophysiology The interaction of solar radiation with biological tissues is related to two main mechanisms:
photochemical, typical of the ultraviolet wavelengths, and thermal, the main mechanism in the case
of infrared radiation. In the visible region of the SR spectrum, both mechanisms can be observed:
the photochemical effect prevails in the violet-blue light region of the visible spectrum (400–550 nm
wavelength), whereas the thermal effect prevails in the yellow-red light part (600–700 nm) [4,6]. Considering the thermal effect, when the photons are absorbed, they increase the kinetic energy
of the tissue and the radiant energy of the optical radiation is converted to heat. The resulting rise
in temperature depends on the wavelength, exposure duration, and total energy absorbed by the
tissue. If the thermal energy is sufficiently high, other biological effects can be observed, for example,
on procollagen expression with a consequent increasing in the production of reactive oxygen species
(ROS). These effects have a threshold that can be rapidly exceeded in the case of high IR exposure levels,
which are usually related to artificial sources. Moreover, the thermal sensitivity of different tissues is
highly variable, mainly depending on dissipative processes related to the area of the irradiated surface
and the composition of the tissue [6]. Photochemical effects, typical of UVR and of shorter wavelengths of visible radiation as violet-blue,
are essentially related to the absorption of photons by specific molecules in target tissues, including
DNA, called chromophores. The effects related to the photochemical mechanism depend on the total
dose, such as a result of the product between the duration of the exposure and the intensity of the
radiation. Accordingly, high short-term exposure and less intense but more prolonged exposure can
induce similar effects [4]. This characteristic is known as the Principle of Reciprocity of Photobiology,
or Bunsen-Roscoe Law of Photobiology [7]. The main target organs of the effects induced by SR are the skin and eyes. For both, the effects
depend primarily on the wavelength, which characterizes the mechanism of interaction and the
penetration level into biological tissue. During photochemical interactions, this is important for the
presence and location of the interacting chromophores. Regarding the skin, the three main layers—the epidermis, dermis, and hypodermis (also called
subcutaneous layer)—have different specific components of epithelial, mesothelial, and neural Int. J. Environ. Res. Public Health 2018, 15, 2063 3 of 24 origin. Longer UV wavelengths penetrate deeper. 2. Solar Radiation: Mechanisms of Interaction and Pathophysiology The stratum corneum provides an optical barrier
for the UVC, whereas up to 25–50% of UVA can reach melanocytes in the dermis. In general,
visible wavelengths and IR, particularly IRA, penetrate deeper into the skin, even reaching the
hypodermis. Conversely, the penetration of IRC is limited to the epidermis. In epidermal cells, solar UVR is absorbed from various chromophores of the cytosol and of
cell membranes, including DNA and RNA. These interactions are due to the formation of reactive
products, such as free oxygen radicals. In the case of DNA damage, this may induce skin cell
divisions, contributing to the thickening of the epidermis. Upon acute irradiation, several cytokines
are liberated, activated, or synthesized by keratinocytes. They belong to several categories and are
responsible for local or systemic inflammatory reactions, such as vasodilatation, edema, and possibly
hyperpyrexia [4,8–10]. The peak of UV absorption from DNA occurs at an about 260 nm wavelength;
then, the absorption of UV-B rays with longer wavelengths rapidly decreases, and no absorption is
detected for UV rays with wavelengths longer than 325 nm. DNA damage may result both from direct
absorption of UVR and from oxidation due to the action of reactive oxygen species (ROS). A simple
irradiation UV dose of approximately 1 Minimal Erythemal Dose (MED) results in about 300,000 DNA
lesions per cell, most of them being repaired within a few hours [4]. Among the best known and
most frequent DNA alterations related to solar UVR is the formation of cyclobutane-type pyrimidine
dimers. The 6-4 pyrimidine dimers are often identified UV-induced DNA alterations. Considering
UV-A, DNA photo-damage is more indirect and consequent to oxidation, which induces alterations
based on the UV absorption in specific chromophores called 8-hydroxydeoxyguanosine (8-OHdG) and
on the formation of DNA-protein crosslinks [4,8–10]. The main skin reactions to solar ultraviolet radiation exposure are neo-melanogenesis and skin
thickening, which are responsible for skin darkening (tanning), which can be interpreted as an adaptive
defense mechanism. Long-term exposure induces the complex phenomenon of photo-ageing, related
to different UV components, but mainly to chronic UV-A damage [8–10]. Also, in the human eye, different SR bands are absorbed by different ocular structures,
and consequently, different thermic and photochemical effects are possible. UV-C is absorbed by
the cornea, whereas UV-B and UV-A rays are absorbed by the cornea and the lens, respectively. 2. Solar Radiation: Mechanisms of Interaction and Pathophysiology Notably, approximately 1–2% of near UV-A (380–400 nm) can reach the retina; age related differences
have been described with proportions up to 10% in childhood. The whole visible spectrum and near
infrared (IR-A) are absorbed by the retina, whereas the IR-B from the cornea and the lens and the IR-C
from the cornea [4,6,11–13]. Even if adaptation mechanisms, such as pigmentation and thickening as described for the skin,
are not available in the eye, other factors, such as the conformation of the frontal and orbital bones,
provide an effective defense for the eye from overhead SR exposure. Other important defense
mechanisms in case of intense direct light reaching the eyes are squinting and aversion responses,
which are immediate involuntary responses appearing in fractions of second as an adaptation to sudden
changes in lighting, even if some recent experiments with lasers showed that a significant fraction
of the population may be not adequately protected by these responses [14]. Another mechanism is
pupillary light reflex, which is the regulation of the pupil diameter in relation to the light intensity,
is slower and is scarcely efficient in some neuro-ophthalmological conditions (anisocoria, myasthenia,
paralysis of the ocular nerves, etc.) or in case of consumption of drugs and narcotics such as atropine
and cannabis [4,6,11–13]. 3.1. Environmental Factors According to the International Commission on Non-Ionizing Radiation Protection (ICNIRP),
the main environmental factors influencing both the total amount and the spectral composition of solar
UVR reaching the earth’s surface are [4]: 4 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 (1)
Atmospheric composition: In addition to ozone, other gaseous and pollutants particles in the
atmosphere may interact with UV rays, inducing various optic phenomena, such as absorption,
reflection, refraction, and diffusion. The presence of pollutants in the troposphere usually reduces
UVR exposure, but these phenomena can also increase the exposure in particular cases. (2)
Angle of the sun on the horizon, which depends on: 2)
Angle of the sun on the horizon, which depends on: •
Hour of the day: In summer, about 20–30% of the total exposure to UVR occurs between
11:00 a.m. and 1:00 p.m., and 75% between 9:00 a.m. and 3:00 p.m. Season: In temperate
countries, there are significant seasonal variations in exposure, whereas these changes are
smaller closer to the equator. •
Latitude: The cumulative UVR exposure decreases with increasing distance from the Equator (3)
Altitude: UVR exposure increases with altitude. Approximately every 300 m, the solar UV ability
in inducing sunburns increases 4%. (3)
Altitude: UVR exposure increases with altitude. Approximately every 300 m, the solar UV ability
in inducing sunburns increases 4%. (4)
Clouds: Solar UVR is approximately reduced by 50% with complete cloud cover, whereas
incomplete coverage is not able to adequately shield UVR, where only 10% is usually blocked by
the clouds. In some cases, diffusion, refraction, and reflection phenomena can even increase the
amount of UVR. (5)
Reflectance: Reflection of surrounding surfaces can be relevant for individual solar UV exposure,
possibly increasing the exposure of parts of the body usually protected from direct UV-rays,
such as the eyes. Reflectance is high for white or clear surfaces, such as fresh snow, reaching
values in the order of 0.8–0.9, whereas grass and foliage reflects only about 2% or less of the UVR,
and sand reflects up to 15–20%. The reflection of water depends on various factors, including the
sun angle, ranging from less than 10% to 65% or more in case of very low angle on the horizon. Another term used to describe this phenomenon is “albedo”. 3.1. Environmental Factors A particular aspect of albedo is
the “Coroneo effect”: the rays coming from the temporal side of the face can be refracted by the
corneal dome in the nasal corneal limbus and in the nasal and inferonasal part of the lens [4,11]. 3.2. Individual Factors The other group of factors influencing solar UV exposure includes personal factors, such as the
performance of an outdoor activity, both during work but also during leisure time on holidays or for
the practice of sports or outdoor hobbies. It has to be noted that 20–30 min of outdoor activity in the
sun during the hottest hours of the day during summer at intermediate latitudes is sufficient to induce
an erythema in pale skin individuals, whereas in winter, many hours could be necessary. Individual
behaviors are among the most relevant factors influencing solar UV exposure, such as wearing
protective clothes, sunglasses and hats, using sunscreen protections, and shade seeking [4,15–17]. These cultural and behavioral factors are fundamental for the prevention of excessive solar UV
exposure, and more indications relevant for the prevention of solar UV risk in outdoor workers
will be provided in the Section 7. Furthermore, individual factors indirectly influence exposure, but
determining a high predisposition for possible UV damage, in particular for the skin, is essential so
that people with predisposing conditions are less exposed than others. The most relevant predisposing
factor influencing the likelihood of UV damage in humans is photo-type. One of the most applied
photo-type classifications is that introduced by Fitzpatrick [18], who identified six different skin
photo-types, based on skin pigmentation, ability to tan, and the rapidity of receiving a sunburn. Fitzpatrick photo-types 1 and 2, representing very fair skin, are the most sensitive to UV damage
for both acute and long-term effects, but types 3 and 4 are also at risk. Moreover, there are various
UV-unrelated skin diseases, such as lupus erithematosus, sclerodermia, and psoriasis, which can be
enhanced by UV exposure, so individuals with these pathological conditions need to be more protected
when outdoors [3,4,15–17]. 5 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 3.3. Occupational Factors At work, both environmental and individual factors influence acute and long-term (cumulative)
solar UV exposure of outdoor workers (OW). For example, the work environment may involve the
presence of reflective surfaces, such as water for maritime workers or glass and metal for construction
workers. Furthermore, work organization may require workers to perform their activities during the
central hours of the day and/or during the hottest seasons, as usually happens both in the construction
and agricultural sectors. Also, working posture is relevant in determining the body areas with the
highest exposures, such as in agriculture and construction, where different working tasks, such as fruit
harvesting from the trees or the ground or the activity of a mason compared to the activity of a tiler
may respectively induce a high exposure of the face and chest or the back and nape. Finally, for leisure
time, as with for work, the use of individual protection, including adequate clothes, caps, sunglasses,
and sunscreen, has a relevant role in determining worker eye and skin exposure [4,15–17]. Outdoor work is particularly relevant in influencing cumulative exposure, with possible
photochemical damage accumulating in the skin and eyes of the workers for many years,
finally resulting in adverse effects. According to the European Agency for Safety and Health at Work,
outdoor work is defined as exposed to SR for at least the 75% of their working time, which includes a
non-exhaustive list of activities: farmers, silviculturists and horticulturists, farm workers, commercial
garden and park workers, postmen and sorters, newspaper delivery workers, physical education
instructors, trainers, coaches, and childcare workers [19]. It is estimated that about 15 million workers
in Europe are exposed to solar UV; the vast majority (90%) are generally male. UVR is a carcinogen
in 36 employment sectors of the European Union, for which 11 rank first among other carcinogens. Also, other occupational diseases statistics, including data from the CARcinogen Exposure (CAREX)
database, show that SR is among the first occupational carcinogens, involving at least 10 million
exposed workers in Europe [4,19,20]. 4. Measures and Methods to Evaluate Solar Radiation Exposure in Workers Solar ultraviolet radiation exposure can be evaluated using different methods. In radiometry, it can
be measured by radiant energy and irradiance. Radiant energy is the energy of the electromagnetic
radiation emitted by a source into the surrounding environment, measured in Joules. Irradiance is the
radiant flux received by a surface per unit area, generally expressed in watts per square meter. However,
the effectiveness of solar UV in inducing biological effects varies as a function of wavelength and
spectral composition. Therefore, in order to compare exposures with different spectral compositions,
and consequently to compare possible risk levels, the effective quantities derived from the previously
mentioned radiometric physical quantities are used, called effective irradiance (watts eff/m2) and
effective radiant exposure (Joules eff/m2), respectively [4,16]. A simplified measure of solar UV irradiance on a horizontal plan is represented by the UV index
(UVI), which is an estimation of the risk of sunburn for different geographic regions adopted by the
World Health Organization (WHO) in 1994. UVI is a linear numeric scale, ranging from 1 to 11+;
the higher the value, the greater the potential for skin and eye damage [21,22]. The calculation of
UVI is weighted for UV wavelengths to which the skin is most sensitive, according to the CIE action
spectrum, so UVI represents a number linearly related to the intensity of sunburns produced by
UVR at a specific place. It has also to be considered that the most dangerous UVR bands reaching
the skin are in the 295 to 325 nm wavelength range because the vast majority of UVR with shorter
wavelengths, even if they have higher skin penetration and damage power, are absorbed by the
earth’s atmosphere, in particular by the ozone layer [21,22]. Considering the linearity of the UVI scale,
only from a theoretical point of view (under identical meteorological and environmental conditions,
with the same person performing exactly the same activity with standard exposing behaviors and
identical individual protections adopted), can it be said that the amount of UVR reaching a specific
skin site during one hour of exposure to UVI 3 or half-hour exposure to UVI 6 is almost identical. 6 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 Considering individual exposure, other quantities with a clinical significance used to evaluate UV
exposure are the Minimal Erythemal Dose (MED) and the Standard Erythemal Dose (SED). 4. Measures and Methods to Evaluate Solar Radiation Exposure in Workers The MED
is defined as the erythemal radiant exposure that produces a just noticeable erythema on a single
individual’s previously unexposed skin [4,23]. It is a subjective measure depending on many variables
including individual photo-type. The SED is equivalent to an erythemal radiant exposure of 100 J/m2
and it is a standardized measure also considering individual sensitivity to the damage proposed by
the International Standards Organization (ISO) and the CIE [2,4,24]. These measures of solar UVR are generally applied to evaluate an acute exposure of few
hours or a few days. Radiometric physical quantities are obtained with spectroradiometers and
dosimeters, evaluating the exposure of an environment where a worker is performing their activity. Often, these meters are worn by the subjects for evaluation of individual exposure, such as
polysulphone dosimeters and the more recent electronic dosimeter [4,16]. The abovementioned methods are not adequate for an evaluation of long-term adverse effects
related to solar UVR exposure in workers. For these purposes, the large majority of studies currently
available in the scientific literature adopted subjective questionnaires, often self-administrated. These surveys usually do not include specific details on the factors influencing exposure, such as on
the adoption of preventive measures, and they do not separately consider leisure and occupational
solar UVR exposure [4,16]. On the contrary, few studies applied detailed methods to evaluate long-term exposure to solar
UVR in groups of OW. Worth mentioning is the study by Rosenthal et al. [25], which presents a model
of ocular and facial skin exposure to UV-B that combines interviews on work and leisure activities,
and eyeglass wearing and hat usage, with field and laboratory measurements of UV radiant exposure
in a group of American water workers. In Australia, McCarty et al. developed a simplified model
for quantifying lifetime ocular UV-B exposure considering the ambient UV-B levels, the duration
of outdoor exposure, the proportion of ambient UV-B that reaches the eye, and the usage of ocular
protection [26]. More recently, Wittlich et al. elaborated a specific algorithm, after a six-month dosimetric
measurement campaign in a large group of outdoor workers, obtaining a standardized tool useful for
German social accident insurance institutions to calculate and decide whether a sufficient portion of
UVR exposure has been accumulated during one’s occupational lifetime [27]. 4. Measures and Methods to Evaluate Solar Radiation Exposure in Workers These kinds of methods are important because many individual and environmental factors can
modify solar UVR exposure and therefore influence the UV dose able to induce adverse effects at the
target organs in outdoor workers. 5. Solar Ultraviolet Radiation Exposure Levels in Outdoor Workers As an example, in Northern Europe, IW receive an annual solar exposure of
around 200 SED mainly from weekend and holiday exposure, and principally to the hands, forearms,
and face. This value is approximately 5% of the total ambient available. Ocular exposure is rarely
relevant, except in case of unusual conditions, such as reflection from snow. At the same latitudes,
OW receive about two to three times these exposure doses, so that the annual occupational exposure
was estimated to be 400–600 SED per year [4]. These data were recently confirmed in a German study
by Wittlich et al., where an annual exposure of 538 SED in an outdoor worker was estimated, and their
lifetime occupational exposure was evaluated as 8417 SED using a specific algorithm [27]. Table 1. Direct measurements of solar ultraviolet (UV) exposure in groups of outdoor workers in
different sectors. Results of the measurements are in Standard Erythemal Doses (SED) per day. Table 1. Direct measurements of solar ultraviolet (UV) exposure in groups of outdoor workers in
different sectors. Results of the measurements are in Standard Erythemal Doses (SED) per day. Table 1. Direct measurements of solar ultraviolet (UV) exposure in groups of outdoor workers in
different sectors. Results of the measurements are in Standard Erythemal Doses (SED) per day. 5. Solar Ultraviolet Radiation Exposure Levels in Outdoor Workers Outdoor workers have very high ultraviolet radiation exposure, usually exceeding the current
occupational limits set for artificial UVR exposure, e.g., from the American Conference of Governmental
Industrial Hygienists (ACGIH) [28] and from the International Commission on Non-Ionizing Radiation
Protection (ICNIRP) [4]. These limits have also been adopted as normative requirements in many areas,
such as in Europe according to the European Directive 2006/25/CE on Artificial Optical Radiation. The occupational exposure limit is currently equal to 30 J/m2 for a working day (eight hours) for
a worker exposed to artificial UV (all UV bands considered, appropriately weighted). This value was
initially calculated to prevent photo-keratitis, but can be applied for the protection of both skin and eyes
from acute effects [4,28]. When adapting this limit to the CIE erythemal action spectrum, 1–1.3 SED
(approximately one-half of a MED for fair skin) would be the limit for eight working hours to protect
outdoor workers’ skin from sunburns [2,4,24]. Table 1 presents a review of occupational solar UVR
exposure levels in construction, agricultural, and other sectors. We collected data from studies reporting
direct measurements at workplace and individual dosimetric measurements, mainly expressed in terms
of SED (Table 1). As an example, regarding construction workers, recent studies showed an acute solar
UVR exposure of 9.9 SED in Australia [29], a daily dose ranging from 11.9 to 28.6 SED depending on 7 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 the altitude in Switzerland [30], and an exposure of 6.11 SED in Spain [31]. For farmers, high exposure
to UVR have been reported e.g., in New Zealand [32], France [33], Austria [34], and in Tuscany (Italy),
where an exposure of the workers’ nape of 14.5 SED was collected in April [35]. With regard to other
outdoor workers, in a Spanish study, personal exposure doses of approximately 4 and 11 SED were
measured in groups of gardeners and lifeguards, respectively [36]. Lifeguards were investigated in
a North American study, experiencing an exposure ranging from 1.7 to 6.9 SED [37]. The measures reported in these studies are useful for evaluating occupational risk due to
solar UVR exposure in different professional activities, but they are a measure of acute exposure. Some long-term exposure data could be available for comparison with the leisure exposure of groups
of indoor workers (IW). 5. Solar Ultraviolet Radiation Exposure Levels in Outdoor Workers Reference
Population, Month/Season, Place
Results of the Measurements (SED/day)
Construction Sector
[33]
126 workers, Summer, France
10.1
[29]
493 OW
September–November, Queensland
(North Australia)
Pavers–Tilers 10
Dogger 8.3
Roofers 7.6
Fencers 6.2
Plant operators 3.1
Painters 1.1
Cabinet makers 0.3
Laborers 5.9
Steel fixers 5.6
Inspectors 2.5
Concreters 4.7
Bricklayers 4.7
Supervisors 3.4
Carpenters 5.3
Riggers 6
Plumbers 5.7
Other Workers 4.9
All workers 4.5
[32]
77 OW: 39 construction and 19 road workers,
Summer (December), New Zealand
5.25 for construction workers
5.31 for road workers
[30]
20 workers, Switzerland, July–September, at three
different altitudes: plain (500–600 m); middle
(1400–1500 m); high mountain (2000–2500 m)
11.9 in plain
21.4 at middle altitude
28.6 in high mountain
[31]
8 workers, Valencia, Spain
6.11
Agricultural Sector
[33]
23 Gardeners and 108 farmers, Summer, France
12 for gardeners
9.5 for farmers
[32]
77 OW, of which 16 horticulturists, Summer
(December), New Zealand
5.61
[35]
31 vineyard workers, April, July, October, Tuscany,
Italy
April: Nape = 14.5; Arm = 10.3
July: Nape = 10.0; Arm = 5.9
October: Nape 3.0; Arm 2.0
[34]
12 farmers, April and October, Austria
2.99
[36]
4 gardeners, June–July, Valencia, Spain
4.1 493 OW
September–November, Queensland
(North Australia) 8 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 Table 1. Cont. Table 1. Cont. Table 1. Cont. Reference
Population, Month/Season, Place
Results of the Measurements (SED/day)
Other Occupational Sectors
[33]
741 workers with various occupations (not all OW)
Cultural, art, social workers 9.2
Industrial workers 7.9
Telecommunication workers 7.9
Transporters & mail carriers 7.7
Office workers 7.3
Commercial & service agents 6.9
Managers 6.3
Protective services workers 6.2
Engineers, researchers 6.1
Health professionals & personal care
workers 6.0
Leisure and sport workers 5.9
Shopkeepers 5.4
Cleaners and service workers 4.9
Restaurant workers 4.6
Teaching professionals 3.5
Child care workers 3.3
[37]
168 lifeguards, June–July in: (1) <35◦N
(Arizona, Texas); (2) >40◦N (Nebraska, Oregon,
USA)
South US 3.3 (Texas)
3.2 (Arizona)
North US 6.2 (Nebraska)
1.7 (Oregon)
Mean (all sites) = 3.3
[36]
5 lifeguards, summer (June–July), Valencia, Spain
11.4 6.1. General Overview of the Adverse Health Effects Related to Solar Radiatio Exposure 6.1. General Overview of the Adverse Health Effects Related to Solar Radiatio Exposure Solar radiation exposure may induce several acute and long-term adverse health effects, mainly
to the skin and eyes, but the immune system may also be involved, e.g., as found in the reactivation of
latent herpes labialis infections. Furthermore, SR exposure may induce positive effects. For example,
UV rays have a key role in vitamin D activation and, consequently, in the prevention of diseases such
as rickets, osteomalacia, and osteoporosis. Accordingly, insufficient solar UVR exposure is related
to a reduction in vitamin D activation. Another beneficial effect of SR exposure is supposed for
various psychiatric disorders and possibly for some neoplastic diseases (Table 2), according to the
World Health Organization (WHO). WHO published an extensive review of the scientific literature on
the health effects of SR in humans in 2006, which are adapted and summarized here in the Tables 2
and 3. Both adverse and beneficial effects were considered, and the results were classified according
to the level of evidence proposed by the WHO and based on the available scientific literature data
(Tables 2 and 3, adapted from WHO [38]). According to the WHO, acute eye effects of SR exposure with
strong evidence of causality include photokeratitis and photoconjunctivitis, which can occur in cases
with high reflection from surfaces like snow, whereas they are common occupational eye injuries in
unprotected workers exposed to artificial UV [39] and solar retinopathy, which is an acute burn of the
retina mainly due to the visible and infrared-A components of SR. Chronic diseases of the pterygium
include cortical cataract and squamous cell carcinoma (SCC) of the cornea and conjunctiva. Regarding
the skin, acute effects with strong evidence of causality are sunburns and photodermatoses; chronic
effects include photoaging, actinic keratoses, and other skin cancers such as Basal Cell Carcinoma
(BCC), SCC, and Malignant Melanoma (MM) [38]. 9 of 24 9 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 Table 2. Beneficial effects on diseases of solar radiation exposure (WHO 2006, adapted) [38]. Target
Diseases
Bone system
Rickets, osteomalacia, and osteoporosis depending on reduced vitamin D production *
Cardiovascular system
Hypertension
Lymphopoietic system
Non-Hodgkin lymphoma
Prostate
Cancer
Breast. Cancer
Colon
Cancer
Psychiatric disorders
Seasonal affective disorder; Schizophrenia; General well-being. 6.1. General Overview of the Adverse Health Effects Related to Solar Radiatio Exposure 6.2. Long-Term Solar Radiation Exposure and the Eye: Focus on Outdoor Work and Pterygium, Cataract,
and Macular Degeneration Table 3. Adverse health effects of solar radiation exposure in humans (WHO 2006, adapted) [38]. Target
Adverse Health Effects Caused by Excessive SR Exposure
Immune system
Acute: Reactivation of latent viral infection—herpes labialis *; suppression of
cell-mediated immunity; increased susceptibility to infection; impairment of
prophylactic immunization
Long-term: Reactivation of latent viral infection—papillomavirus
Eye
Acute: photokeratitis and photoconjunctivitis *; solar retinopathy *
Long-term: Pterigyum *; cataract: cortical *, nuclear, and sub-capsular; climatic droplet
keratopathy; Pinguecula; melanoma; macular degeneration; corneal and conjunctival
squamous cell carcinoma *
Skin
Acute: Sunburn *; Photodermatoses *
Long-term: Photo-ageing *; actinic keratosis *; basal cell carcinoma *; squamous cell
carcinoma *; cutaneous malignant melanoma *; cancer of the lip
* Effects with strong evidence of causality according to WHO. 6.2. Long-Term Solar Radiation Exposure and the Eye: Focus on Outdoor Work and Pterygium, Cataract,
and Macular Degeneration 6.2. Long-Term Solar Radiation Exposure and the Eye: Focus on Outdoor Work and Pterygium, Cataract,
and Macular Degeneration 6.2. Long-Term Solar Radiation Exposure and the Eye: Focus on Outdoor Work and Pterygium, Cataract,
nd Macular Degeneration 6.1. General Overview of the Adverse Health Effects Related to Solar Radiatio Exposure Others
Rheumatoid arthritis, Type 1 diabetes, Multiple sclerosis (for the immunomodulating
role of solar UV); Tubercolosis (for the regulatory role of solar UV in
Vitamin D production)
* Effects with strong evidence of causality according to WHO. Table 2. Beneficial effects on diseases of solar radiation exposure (WHO 2006, adapted) [38]. Table 2. Beneficial effects on diseases of solar radiation exposure (WHO 2006, adapted) [38]. Target
Diseases
Bone system
Rickets, osteomalacia, and osteoporosis depending on reduced vitamin D production *
Cardiovascular system
Hypertension
Lymphopoietic system
Non-Hodgkin lymphoma
Prostate
Cancer
Breast. Cancer
Colon
Cancer
Psychiatric disorders
Seasonal affective disorder; Schizophrenia; General well-being. Others
Rheumatoid arthritis, Type 1 diabetes, Multiple sclerosis (for the immunomodulating
role of solar UV); Tubercolosis (for the regulatory role of solar UV in
Vitamin D production)
* Effects with strong evidence of causality according to WHO. Table 3. Adverse health effects of solar radiation exposure in humans (WHO 2006, adapted) [38]. Target
Adverse Health Effects Caused by Excessive SR Exposure
Immune system
Acute: Reactivation of latent viral infection—herpes labialis *; suppression of
cell-mediated immunity; increased susceptibility to infection; impairment of
prophylactic immunization
Long-term: Reactivation of latent viral infection—papillomavirus
Eye
Acute: photokeratitis and photoconjunctivitis *; solar retinopathy *
Long-term: Pterigyum *; cataract: cortical *, nuclear, and sub-capsular; climatic droplet
keratopathy; Pinguecula; melanoma; macular degeneration; corneal and conjunctival
squamous cell carcinoma *
Skin
Acute: Sunburn *; Photodermatoses *
Long-term: Photo-ageing *; actinic keratosis *; basal cell carcinoma *; squamous cell
carcinoma *; cutaneous malignant melanoma *; cancer of the lip
* Effects with strong evidence of causality according to WHO. 6.2. Long-Term Solar Radiation Exposure and the Eye: Focus on Outdoor Work and Pterygium, Cataract,
and Macular Degeneration Table 3. Adverse health effects of solar radiation exposure in humans (WHO 2006, adapted) [38]. Target
Adverse Health Effects Caused by Excessive SR Exposure
Immune system
Acute: Reactivation of latent viral infection—herpes labialis *; suppression of
cell-mediated immunity; increased susceptibility to infection; impairment of
prophylactic immunization
Long-term: Reactivation of latent viral infection—papillomavirus
Eye
Acute: photokeratitis and photoconjunctivitis *; solar retinopathy *
Long-term: Pterigyum *; cataract: cortical *, nuclear, and sub-capsular; climatic droplet
keratopathy; Pinguecula; melanoma; macular degeneration; corneal and conjunctival
squamous cell carcinoma *
Skin
Acute: Sunburn *; Photodermatoses *
Long-term: Photo-ageing *; actinic keratosis *; basal cell carcinoma *; squamous cell
carcinoma *; cutaneous malignant melanoma *; cancer of the lip
* Effects with strong evidence of causality according to WHO. 6.2.1. Pterygium The pterygium is a wing-shaped abnormal growth of the conjunctiva onto the cornea that
can cause ocular irritation, relevant cosmetic effects, and, in the late stage of the corneal tissue’s
invasion, visual impairment. Full knowledge of its pathogenesis is still incomplete, but data indicate
a relevant role played by long-term eye exposure to solar UV [38,40–44]. The prevalence of this disease,
more frequent in men, is highly variable ranging from 1.1 to 40% in different groups investigated in
various places around the world, where the lower the latitude, the higher the prevalence [38,40–44]. According to the WHO, the Population Attributable Fraction (PAF) of pterygium due to solar UVR
exposure is 42–74% [38]. We report here a summary from a recent systematic review of the scientific
papers published during the period 2008–2017, which specifically considers the role of outdoor work
as a risk factor for pterygium [44]. The results of 25 of the 29 studies included in this systematic review
are synthetized in Table 4. Int. J. Environ. Res. Public Health 2018, 15, 2063 10 of 24 Table 4. Mean pterygium prevalence and mean odds ratios (ORs) calculated based on scientific studies
on pterygium and outdoor work published in the period of 2008 to 2017 according to the UV risk areas:
evaluation of the differences (adapted from Modenese and Gobba [44]). Table 4. Mean pterygium prevalence and mean odds ratios (ORs) calculated based on scientific studies
on pterygium and outdoor work published in the period of 2008 to 2017 according to the UV risk areas:
evaluation of the differences (adapted from Modenese and Gobba [44]). UVI Risk Area
Reference
Pterygium
Prevalence (%)
Average Pterygium
Prevalence Per Area (%)
OR (95% Confidence Interval) for
Pterygium and Occupational Exposure
to SR vs. 6.2.1. Pterygium No Occupational Exposure
Mean OR in
Risk Area
UVI ≤5 Moderate Risk
[45]
/
4.8
3.1 (1.9–4.8)
2.2
[46]
2.5
1.8 (1.2–2.6)
[47]
6.2
1.5 (1.1–1.9)
[48]
7.1
/
[49]
5.9
2.3 (1.0–5.0)
[50]
2.5
2.3 (2.5–5.4)
UVI ≥6 High Risk
[51]
13.3
19.3
/
2.2
[52]
38.7
3.8 (2.2–6.5)
[53]
10.1
2.1 (1.1–4.0)
[54]
9.5
/
[55]
12.3
2.2 (1.1–4.5)
[56]
25.2
1.4 (1.2–1.9)
[57]
13
/
[58]
52
/
[59]
/
2.5 (1.3–4.9)
[60]
11.9
/
[61]
/
3.8 (1.0–14.7)
[62]
11.7
1.8 (1.5–2.2)
[63]
19.3
1.5 (1.1–2.2)
[64]
9.4
/
[65]
10.9
2.2 (1.2–4.1
[66]
30.8
1.8 (1.3–2.5)
[67]
4.4
1.5 (0.9–2.3)
[68]
16.2
/
[69]
39
1.5 (1.1–1.9) This review further supports the role of solar UV radiation in pterygium induction, such as shown
by the four-fold higher prevalence in high, very high, and extreme risk areas for the mean annual UV
Index (UVI), with a mean pterygium prevalence of 19.3%, versus moderate risk areas with a mean
prevalence resulted 4.8%. Considering outdoor work, pterygium resulted in a frequently occurring
disease in OW occupationally exposed to SR for many hours during the day and for many years during
their working life. Significant odds ratios (ORs) in the reviewed studies were found, ranging from
3.8 in Iran and Ethiopia [52,61] to 1.4 in Taiwan [56]. Considering the UV index, for high, very high,
and extremely high-risk areas, we calculated a mean OR of 2.2 based on 12 studies, and the same
average OR resulted from five studies of moderate risk areas [44]. Accordingly, OW had increased
ORs, ranging from 1.4 to 3.8 for pterygium, and these ORs did not vary significantly with latitude. Occupational exposure to solar UV is one of the most relevant factors associated with pterygium
presence, both in the case of high to extremely high levels of environmental UV and in the case of
a moderate UV index. Occupational exposure was found to be positively associated with the severity of
the disease [53,55,58,70]. Furthermore, in one study, pterygium occurrence was specifically associated
with the total number of years worked [51] and in terms of protection, sunglasses, spectacles, and hats
were found to be significant protective factors for pterygium in OW [52,54,63]. 6.2.2. Cataract Cataract is currently the primary cause of blindness in the world, responsible for approximately
20 million ongoing cases, and the second most prevalent cause of visual impairment, accounting for
approximately 81 million out of 246 million cases [71]. Different risk factors are known for this disease,
but one of the main and most diffuse risk factors is long-term UV radiation exposure, for both the UV-A
and the UV-B components, absorbed by the lens and acting with a photochemical mechanism [72,73]. Different cataract classifications based on morphological and/or etiological criteria are available,
but in epidemiological studies, the most commonly used is the simplified system of three types based
on the localization of lens opacities. Nuclear cataract is the most frequent form, followed by cortical
cataract, and posterior subcapsular cataract [74,75]. According to the WHO, the upper Population
Attributable Fraction of cortical cataract due to solar UVR is 25% [38]. Furthermore, an increasing body Int. J. Environ. Res. Public Health 2018, 15, 2063 Int. J. Environ. Res. Public Health 2018, 15, 2063 11 of 24 of scientific data supports the role of solar radiation in inducing nuclear and posterior subcapsular
cataracts [76,77]. Taken as a whole, these data indicate that a reduction in excessive long-term SR
exposure could prevent a significant number of visual impairments and blindness worldwide, and to
a consequent parallel reduction in medical costs. Table 5 provides a summary of the results from a recently published systematic review on cataract
and occupational SR exposure [77]. Data showed high prevalence of cataracts in OW and a strong
association between occupational SR exposure and cataracts. The majority of the studies included in
the systematic review showed positive associations between cataracts and outdoor work. Specifically,
one longitudinal study found a significant adjusted relative risk in laborers [78], and five studies [79–83]
found positive adjusted ORs for cataracts for at least one of the main subtypes, i.e., cortical, nuclear,
or posterior subcapsular cataract (Table 5), compared to controls. Table 5. Cataract prevalence and mean ORs calculated in scientific studies conducted in outdoor
workers (OW) in the period of 1998 to 2017 (adapted from Modenese and Gobba, 2018) [77]. Table 5. Cataract prevalence and mean ORs calculated in scientific studies conducted in outdoor
workers (OW) in the period of 1998 to 2017 (adapted from Modenese and Gobba, 2018) [77]. 6.2.2. Cataract Reference
Cataract Prevalence (%)
OR (95% CI) for Cataract and Occupational Exposure to
Solar Radiation vs. No Occupational Exposure/Cataract
Subtype Associated (If Investigated)
Notes/Other Results
[84]
33.2
No association
Higher education level vs. lower OR = 0.6 (0.4–0.9)
[85]
40.4
0.9 n.s. /
[86]
40.1
/
Significant higher prevalence in male OW
[61]
25.4
/
Prevalence in a group of quite young Indian salt workers
[87]
/
1.8 (1.5–2.9) in urban context
5.9 (4.8–6.9) in rural context
Unadjusted OR
[88]
29.8
/cortical
Prevalence in a group of French mountainers
[78]
/
/cortical
Longitudinal study: Relative Risk in laborers = 2.2 (1.03–4.9)
[79]
36.8
2.9 (1.1–7.6)/nuclear
/
[80]
/
3.7 (1.5–9.0)/nuclear
OR 3.2 (1.2–8.2) when considering the use of protective equipment
[81]
36.3
1.1 (1.0–1.2)
/
[89]
/
/
OR 5.33 (1.7–16.7) for OW with catarct and polymorphism of
glutathione S-transferase M1 gene vs. OW from the control group
and same gene expression
[82]
/
1.8 (1.1–2.8)/nuclear
2.8 (1.4–5.7)/posterior subcapsular
/
[90]
/
2.75 (1.5–4.5). Unadjusted OR
[83]
25.8–37.2
2.6 (1.45–4.67)
/
[91]
/
/
OR 2.7 (1.2–6.3) for OW with cataract and NQO1 C609T gene
polymorphism vs. OW from control group without the
polymorphism
n.s. = not significant; OR = odds ratio; OW = outdoor workers. Table 5. Cataract prevalence and mean ORs calculated in scientific studies conducted in outdoor
workers (OW) in the period of 1998 to 2017 (adapted from Modenese and Gobba, 2018) [77]. n.s. = not significant; OR = odds ratio; OW = outdoor work Regarding the cataract subtypes, the nuclear form was confirmed to be the most frequent subtype
of age-related cataract, followed by cortical cataracts, with posterior subcapsular cataracts being
the least frequent. Furthermore, in this systematic review, the major recent evidence for a causal
relationship between occupational SR exposure and cataracts were found for the nuclear subtype
(Table 5) [77]. 6.2.3. Macular Degeneration Macular degeneration (MD) is a chronic disease affecting the macula, inducing a progressive
vision loss, usually starting from the central part of the visual field. The evolution is slow, taking
many years to induce an appreciable visual impairment, with different grades of severity from early
to late disease stages [92–94]. MD is the leading cause of blindness for people over 50 years old in
developed countries [95]. According to a multicenter study performed in 2006, the prevalence in
Europe is 3.3% [96], and the prevalence is similar in the U.S., where it is estimated that about 10,000,000
people are affected by MD [97]. Chronic retinal damage in MD is considered the result of an alteration in the metabolic sustainment
of the photoreceptors cells (rods and cones) and of the retinal pigment epithelium (RPE) related to
inflammatory processes and vascular modifications [98–100]. Several studies show the accumulation of
degradation products in degenerated macular tissue, including lipofuscin granules, which are a result 12 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 of lipid peroxidation processes and of the oxidation action of oxygen free radicals (OFR), involved in
the formation of the “drusen” or body colloids [98–100]. OFR formation can be induced by long-term
exposure to optical radiation, in particular in the range between 400 and 550 nm wavelength (i.e., near
UV-A and blue light). In both laboratory and animal models, near UV and blue light, which are
components of the SR spectrum at the Earth’s surface, have proven to induce photochemical damage
of the retina [101,102]. Accordingly, long-term SR exposure, as reported by the WHO [38], is a risk
factor for MD [97,101,103], together with other factors, such as age, smoking, diabetes, inheritance,
and alcohol abuse [92–94,104–108]. Therefore, outdoor workers can be considered at risk for the
development of this disease. p
We report here a summary from a systematic review on the possible occupational risk factors
related to an increased risk of MD development [109]. The main results related to occupational SR
exposure and MD are synthetized in Table 6. Among other possible occupational risks examined
in our review (e.g., chemical exposure), SR exposure of outdoor workers was the most represented,
as it was studied in 10 of 13 studies included in the review. All these 10 studies found a positive
association between SR exposure and MD. 6.2.3. Macular Degeneration In six studies occupational exposure was evaluated simply
by classifying workers as outdoor or indoor [110–115], whereas in four studies [116–119], the exposure
was evaluated with a more detailed method, considering subjective and objective data and estimating
cumulative SR exposure. We briefly discuss here these latter four studies. In a recent multi-centric
European study [118], MD was not found to be associated with current SR exposure, but with both
early and late MD, proving an association with a history of past major sunlight exposure more than
eight hours outdoor per day, typical of outdoor work, with an OR for early MD of 5.5 (95% CI 1.25–24.6),
and of 2.8 (95% CI 1.25–6.2, p = 0.01) for late MD. Furthermore, OW were more likely to have late
MD with an OR of 2.6 (1.9–3.5), after adjustment for age, sex, and smoking behavior. In another
multi-centric European study [117], a significant association was found for subjects, including OW,
with the lowest dietary intake of antioxidants and high cumulative blue light exposure in midday
hours with an OR of 1.95 (1.1–3.6) for grade 3 MD versus grade 0. History of cumulative exposure to
the blue light component of SR was also found to be associated with severe MD (grade 4) in a group
of maritime workers, OR = 1.35 (1.0–1.8), whereas no significant association was found for the UV
component [119]. These maritime workers were examined in a further study to evaluate a five-year
MD incidence. In this case, an increased MD incidence with age and cumulative SR exposure was also
shown [116]. Table 6. Macular degeneration (MD) prevalence and mean ORs calculated in scientific studies
conducted in OW (adapted from Modenese and Gobba, 2018 [109]). Table 6. Macular degeneration (MD) prevalence and mean ORs calculated in scientific studies
conducted in OW (adapted from Modenese and Gobba, 2018 [109]). Reference, Location
Main Results: Association between Occupational SR Exposure and Macular Degeneration
[116], USA
Five-year incidence in Maritime workers = 50–59 years: 7%; 60–69 years: 14%; >70 years: 26%. Cumulative exposure to SR = 0.84 ± 0.63 Maryland Sun Years
[110], Croatia
OW vs. controls: 70 vs. 30% (X2 = 17,633, p < 0.0001)
[117], Europe
Subjects with lowest dietary intake of antioxidants and high blue light exposure in central hours
of the day = OR 3.7 (95% CI 1.6–8.9) for neo-vascular MD vs. 6.3.1. Non-Melanoma Skin Cancers (Including Actinic Keratosis) 6.3.1. Non-Melanoma Skin Cancers (Including Actinic Keratosis) NMSCs are the most commonly diagnosed cancers in Caucasians worldwide [122], even if
the exact numbers for NMSCs are usually under-estimated due to the lack of registration of these
neoplasms in cancer registries. Recent U.S. data estimate that, in 2012, 3.3 million people were
diagnosed with an NMSC, but many of these people were diagnosed with more than one NMSC,
bringing the total number of NMSC cases approximately to 5.8 million in the U.S. [123]. NMSCs,
and in particular BCC, are the most common among all the malignant tumors diagnosed every year
in the European population: there are approximately 2,000,000 diagnoses of NMSCs (AK excluded)
per year in Europe [5]. In Italy, the incidence of NMSCs is estimated in 119.4 cases per 100,000 male
subjects and 90.7 cases per 100,000 women per year, representing a lifetime incidence of 12.5% and 7%,
respectively [124]. In the U.S., the yearly cost of treating NMSCs was estimated to be USD $4.8 billion
in 2012 [125], whereas in Australia, it was AUD $93.5 million in 2010 [126]. Epidemiological data show high prevalence of AK among Caucasians, both in the northern
hemisphere, where it is estimated that 11–25% of the adults develop one or more AKs during their
life [127], and in the southern hemisphere. In Australia, approximately 40–60% of adults have one
or more lesions [128]. The most relevant risk factors are age, male sex, immunosuppression, a fair
photo-type, and the cumulative dose of UVR received from the skin [129,130]. AK frequently progresses
in an invasive SCC [131,132]; several studies show that the presence of SCC in association with AK
includes a high number of patients, usually higher than the 60% of the samples investigated [133,134]. Furthermore, the recent developments in dermatologic research suggest that AKs are in situ SCCs,
rather than pre-cancerous lesions [120]. SCC is less common than BCC, with a ratio between the two types of approximately 1:4, but SCC
has more malignant characteristics, with a higher risk of metastasis and related mortality, even if,
due to early diagnosis and surgery, the mortality rate has been reduced over the years [135]. In Italy,
the estimated age-adjusted SCC prevalence was 0.08% in 2006, indicating approximately 50,000 cases in
the Italian population [136]. The SCC incidence increases with age, and accordingly, the vast majority
of cases are diagnosed in people over 40 years old [137–139]. 6.2.3. Macular Degeneration atrophic; OR 1.9 (95% CI 1.1–3.6) for
MD grade 3 vs. 0
[111], Croatia
Three-year incidence = 1.9% in OW vs. 0.8% in indoor workers (p < 0.001)
[112], Croatia
113 fishermen, sea workers, and farmers with SR exposure > 8 h/day had MD, X2 186.22, p < 0.001
[113], Iran
Gene XRCC7 polymorphism in OW: OR 3.1 (95% CI 1.04–9.4; p = 0.04)
[118], Europe
Prevalence = 20.3% early MD; 31.9% late MD
OR: 2.6 (95% CI 1.9–3.5) after adjustment for age, sex, and smoking behavior for late MD and OW;
n.a. with early MD
Considering past SR exposure > 8 h/day:
OR = 5.5 (95% CI 1.25–24.6) for early MD
OR = 2.8 (95% CI 1.25–6.2) for late MD 13 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 Table 6. Cont. Table 6. Cont. Reference, Location
Main Results: Association between Occupational SR Exposure and Macular Degeneration
[119], USA
MD grade 4 in maritime workers = 1.2%
OR = 1.35 (95% CI 1.0–1.8) for blue light exposure, n.s. for UV
[114], Nepal
Composition of the sample = 42.6% farmers (most represented occupational group, p = 0.077)
[115], Croatia
Two-year incidence = 18% in OW (farmers and fishers) vs. 2.5% in indoor workers
CI = Confidence Interval; MD = Macular Degeneration; OR = odds ratio; OW = outdoor workers; SR = solar radiation. Summarizing, current data, despite a low number of published studies on the topic and the rather
heterogeneous quality of the studies, support the hypothesis of an association between long-term
occupational SR exposure, in particular for its blue-light component, and MD in OW. 6.3. Long-Term Solar Radiation Exposure and Skin: Focus on OW and Skin Cancers (Non-Melanoma Skin
Cancer, Including Actinic Keratosis and Cutaneous Malignant Melanoma) The WHO recognizes among the main adverse skin effects related to long term solar radiation
exposure as photo-aging, malignant melanoma, and non-melanoma skin cancers (NMSCs), including
actinic keratosis (AK) (Table 3) [38]. Notably, AK, according to a recent re-evaluation, can be considered
a squamous cell carcinoma (SCC) in situ [120]. Non-melanoma skin cancers (NMSCs), including basal
cell carcinoma (BCC), SCC, and AK, are collectively referred to as “keratinocyte carcinomas” [121]. 6.3.1. Non-Melanoma Skin Cancers (Including Actinic Keratosis) The diagnosis of SCC produces an
additional risk of developing another NMSC in the following three to five years ranging from 18%
to 30% [140]. UVR exposure is among the main risk factors for developing SCC [5]: the evidence
supporting this is that Caucasian individuals who moved to sub-tropical regions have a higher SCC 14 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 14 of 24 incidence compared to those living in their country of origin [38]. A concomitant state of chronic
immunosuppression contributes to increase the risk of developing SCC in sun-exposed areas [141]. Other risk factors, possibly relevant in relation to occupation, are chemical exposure, such as to arsenic,
aromatic hydrocarbons [142,143], and ionizing radiation exposure [142]. The other and more frequent form of NMSC is BCC. In the U.S., it is estimated that more than
2 million people per year are diagnosed with BCC [123]. BCC usually appears in subjects over 60 years
old and the prevalence is higher in men, even if recent studies are showing an increasing prevalence in
women [144,145]. In Italy, the estimated age-adjusted BCC prevalence was 0.42% in 2006, indicating
approximately 250,000 cases in the Italian population [136]. As for SCC, long-term solar UVR exposure
is a recognized risk factor for the development of BCC as well as fair photo-type [5,38], but in this
case, intermittent intense UVR exposure is particularly relevant [145]. Genetic risk factors also have
to be considered for the development of BCC, in particular in the case of multiple presentation,
such as immunosuppression, photosensitizing drug use, human papillomaviruses infections, smoke,
chemicals, and ionizing radiation exposure [145]. In evaluating the relationship between the two main types of NMSCs and occupational solar UVR
exposure, according to the WHO, “the risk of BCC increases with increasing occupational exposure, but
particularly with increasing non-occupational or intermittent exposure to the sun”, whereas for SCC
there is a “convincing” epidemiologic and biologic evidence of a causal association with UVR exposure. The risk is related to total lifetime sun exposure, “but particularly occupational sun exposure” [38]. Two specific systematic reviews and meta-analyses on the association between occupational solar UVR
exposure and SCC and BCC were recently published [146,147]. Considering SCC, Schmitt et al. 6.3.1. Non-Melanoma Skin Cancers (Including Actinic Keratosis) [146]
showed that 89% (16 studies) of the articles included in their systematic review found an increased risk
of SCC in individuals with an occupational solar UV exposure compared with individuals without
occupational solar UV exposure. A statistical significance was reached in 12 of the studies included,
whereas only in two studies was no association reported. At the meta-analysis phase, a pooled OR of
1.8 (95% CI 1.4–2.2) was calculated, similar in cohort and in case-control studies. Notably, according
to the authors, the pooled OR was, most likely, substantially underestimated due to the qualitative
UV exposure assessment performed in the majority of the studies reviewed. Finally, the authors
reported an increasing strength in the association between occupational solar UV exposure and SCC
risk with decreasing latitude [146]. Considering BCC, the meta-analysis of Bauer et al. [147] revealed
a 40% increase in the risk of developing cancer in outdoor compared to indoor workers. In this
case, the authors suggested that the observed pooled OR of 1.4 (95% CI 1.2–1.7) calculated at the
meta-analysis phase should substantially under-estimate the true relationship between occupational
solar UV exposure and BCC risk [147]. 6.3.2. Malignant Melanoma Malignant melanoma incidence has increased constantly worldwide in recent years, and by
an average of 3–4% every year in the U.S. [148] over the last 40 years. Moreover, the incidence of
melanoma in fair skinned individuals (e.g., Fitzpatrick phototypes 1–3) increases at low latitudes:
according to the results of the Global Burden of Diseases (GBD) project, the global incidence of
melanoma in 2015 was 351,880 cases, with the highest rates in Australia and New Zealand, with both
at 54 per 100,000 per year, followed by the European countries of Norway and Sweden (26 per
100,000/year) and the Netherlands (25 per 100,000/year). The lowest incidence was observed in
Southeast Asia and in particular in the Pacific area, with rates ranging between 0.7 and 1.4 per
100,000 people per year [149]. Considering the melanoma mortality, according to GBD estimates,
the number of deaths per year attributable to melanoma in the world are approximately 50,000, higher
in men [149]. UV exposure is among the most relevant risk factors for melanoma, together with the number
of melanocytic nevi, familial history, and genetic susceptibility [150]. The increase in environmental
UV radiation is strongly associated with a high risk of melanoma: as ozone levels are depleted, Int. J. Environ. Res. Public Health 2018, 15, 2063 15 of 24 the atmosphere increasingly loses its protective filter function and more solar UVR reaches the
earth’s surface [151]. The WHO estimates that a 10% decrease in ozone will result in an additional
4500 melanoma cases per year [38]. Considering the association between melanoma and long-term UV exposure, which is typical
of outdoor work, various signs of chronic exposure, as in BCC and AKs, have been significantly
associated with melanoma occurrence [5,152,153]. Nevertheless, the pattern of UV exposure typically
associated with a higher melanoma risk is that of intermittent sun exposure, including repeated
sunburns, especially in younger ages and childhood [5,152,153]. On the other hand, despite the
association with chronic actinic damage, poor associations have been found with regard to cumulative
sun exposure and long-term sun exposure in general [5,152,153]. Examining the risk for outdoor workers, in its monograph, the IARC concluded a “ . . . lower-than
average phenotypic risk for skin carcinogenesis among outdoor workers”, recognizing the association
with intermittent exposure typical of leisure time. In the WHO “Environmental Burden of Disease
Series, No. 6.3.2. Malignant Melanoma 13”, only 8 of the 49 reviewed studies on the association between solar UVR exposure
and melanoma considered occupational sun exposure, and only one [154] found a positive significant
relative risk of 6.01 (CI 95% 2.08–17.36) for outdoor work versus indoor work [38]. (
)
In conclusion, scientific literature data indicate an overall lack of evidence for a raised incidence
of melanoma in outdoor workers [5,38,153], whereas some studies suggest an increased melanoma
risk for indoor workers. A possible explanation for this apparently paradoxical observation is that
specific groups of indoor workers (e.g., managers, physicians, etc.) have a high economic income
compared to OW, so that they may spend longer vacation periods in places with higher UV indexes. Moreover, because of the lower UV exposure of indoor workers during the year, they are usually not
tanned when starting their holidays, whereas tanning acts as sunburn protection for OW. These
possible scenarios suggest that indoor workers are more likely to report sunburns and intense
intermittent UV exposure during leisure time compared to OW. These events may induce a possible
increased risk of melanoma [153]. Another possible explanation to be considered is the so-called
“healthy worker effect”: workers with a very fair photo-type or with other relevant risk factors for
melanoma (e.g., with melanoma cases within their families) may be less likely to be employed in
outdoor occupations. 7. Prevention of Solar Radiation Exposure Risk in Outdoor Workers Appropriate clothing should include long-sleeved shirts and
trousers from light-proof fabrics (cotton wool or synthetic fibers) with high Ultraviolet Protective
Factors (UPF: recommended 50+). Adequate headgear would include broad-brimmed helmets
or broad-brimmed hats supplied with sun shields and neck guard. Waterproof sunscreens
(recommended SPF 50+) must be applied on all uncovered skin areas (and under the clothes
if they do not have a sufficient UPF). An abundant application at least 20 min before exposure
is recommended, as well as frequent re-applications. A new application every two hours is
recommended when UVI is above 3 [3,4,15–17,21,22]. (3)
Personal protection. Sunglasses for occupational use must fulfill standard requirements in
terms of both filtering power of the lenses and shape of the sunglasses. They have to be
marked, reporting their technical characteristics, and their lenses need to be adequately large and
adherent, with large lateral bars. Appropriate clothing should include long-sleeved shirts and
trousers from light-proof fabrics (cotton wool or synthetic fibers) with high Ultraviolet Protective
Factors (UPF: recommended 50+). Adequate headgear would include broad-brimmed helmets
or broad-brimmed hats supplied with sun shields and neck guard. Waterproof sunscreens
(recommended SPF 50+) must be applied on all uncovered skin areas (and under the clothes
if they do not have a sufficient UPF). An abundant application at least 20 min before exposure
is recommended, as well as frequent re-applications. A new application every two hours is
recommended when UVI is above 3 [3,4,15–17,21,22]. (4) (4)
Health surveillance. Occupational physicians should perform pre-employment medical
examinations and periodic medical examinations of outdoor workers to adequately prevent
adverse long-term effects to eyes and the skin. Of particular relevance is the recognition of
individual conditions inducing a particular sensitivity to UV risk, such as photo-type 1 or 2,
prolonged use of photosensitive drugs, wounds, suspected skin lesions, and presence of UV
sensitive skin diseases (e.g., psoriasis). For the eye, lens opacities, corneal lesions, etc., would
induce photosensitivity. A collaboration with dermatologists and ophthalmologists, or with other
specialists, would be useful in specific cases. When UV-related diseases are diagnosed in outdoor
workers, reporting these diseases to the compensation authorities is crucial, not only for the legal
recognition of the disease for the individual worker, but also to uncover the real dimension of the
emerging issue of UV-related occupational diseases and for the development of better prevention
of this underestimated work-related risk [3,4,15–17]. 7. Prevention of Solar Radiation Exposure Risk in Outdoor Workers The prevention of skin and eye adverse health effects in outdoor workers exposed to solar UV
needs to be based on various preventive actions, including collective technical and organizational
interventions, information and specific training of workers, use of individual protective equipment,
change in individual behaviors, and adequate health surveillance of exposed workers [3,4,15–17,21,22]. Nevertheless, these preventive measures are currently inadequately applied and the major reason
for this would be the lack of standards, legislation, and recommendations for the prevention of
this occupational risk. To our knowledge, among the most relevant and internationally recognized
experiences for the prevention of UV risk at work, there are the documents from ICNIRP [4] and
ACGIH [28], proposing specific occupational exposure limits, applicable for artificial optical radiation. However, given the highly variable environmental solar UVR levels as well as behavioral effects and
different exposure geometry, the application of these limits to solar UV exposure is not practical [155]. Accordingly, new efforts to enforce the protection of OW should be desirable, at both a legislative
and political level. To raise awareness of the issue of occupational UV risk for OW, the reporting of
occupational SR-related diseases, and in particular skin cancers, should be extremely relevant [17,156]. Among the main examples of preventive interventions that can be applied to reduce the adverse health
impact of solar UV risk there are four main techniques: (1)
Collective Technical/Organizational Measures. These include artificial or natural coverage
and shading of the workplace; organization of specific indoor breaks, or at least breaks in
UV-shielded areas during work and lunch, to reduce exposure during the central hours of the (1)
Collective Technical/Organizational Measures. These include artificial or natural coverage
and shading of the workplace; organization of specific indoor breaks, or at least breaks in
UV-shielded areas during work and lunch, to reduce exposure during the central hours of the Int. J. Environ. Res. Public Health 2018, 15, 2063 16 of 24 16 of 24 day; re-organization of working activities in order to avoid (or limit) outdoor work during the
central hours of the day (e.g., organizing specific work activities in UV shielded areas, starting
work earlier in the morning, prolonging lunch breaks, etc.), especially in the periods of the year
with the highest UV indexes [3,4,15,16]. 7. Prevention of Solar Radiation Exposure Risk in Outdoor Workers day; re-organization of working activities in order to avoid (or limit) outdoor work during the
central hours of the day (e.g., organizing specific work activities in UV shielded areas, starting
work earlier in the morning, prolonging lunch breaks, etc.), especially in the periods of the year
with the highest UV indexes [3,4,15,16]. (2) (2)
Health and safety information and training. As the risk of developing adverse effects increases
with age and with the cumulative UV dose received, training and information activities should be
implemented as early as possible, possibly in all schools preparing for outdoor professions and
all outdoor workers. Contents of these prevention initiatives should include the mechanisms and
effects of acute and chronic SR exposure, he possible preventive measures to be adopted, as well
as the importance of auto-examination and health surveillance, and of periodic dermatologic
and ophthalmologic examinations. The adoption of preventive materials as fact-sheets and
signals, recommending, for example, to possibly avoid exposure when UVI is higher than 3 and
reminding workers to protect themselves adequately with clothing, hats, UV filtered eyeglasses,
and sunscreen, can be suggested. Information on the reflection indexes of the surrounding
surfaces should be important, especially for the protection of the eye [3,4,15–17,21,22]. (2)
Health and safety information and training. As the risk of developing adverse effects increases
with age and with the cumulative UV dose received, training and information activities should be
implemented as early as possible, possibly in all schools preparing for outdoor professions and
all outdoor workers. Contents of these prevention initiatives should include the mechanisms and
effects of acute and chronic SR exposure, he possible preventive measures to be adopted, as well
as the importance of auto-examination and health surveillance, and of periodic dermatologic
and ophthalmologic examinations. The adoption of preventive materials as fact-sheets and
signals, recommending, for example, to possibly avoid exposure when UVI is higher than 3 and
reminding workers to protect themselves adequately with clothing, hats, UV filtered eyeglasses,
and sunscreen, can be suggested. Information on the reflection indexes of the surrounding
surfaces should be important, especially for the protection of the eye [3,4,15–17,21,22]. (3) (3)
Personal protection. Sunglasses for occupational use must fulfill standard requirements in
terms of both filtering power of the lenses and shape of the sunglasses. They have to be
marked, reporting their technical characteristics, and their lenses need to be adequately large and
adherent, with large lateral bars. 8. Conclusions In this review, we presented a comprehensive overview of the main relevant aspects of the
risks related to occupational solar radiation exposure, focused in particular on the UV component. As a conclusion, we summarize here some main points to be considered for a better protection of
outdoor workers. Photo-chemical UVR damage to the eyes and skin is cumulative, and consequently, repeated
exposure over the years, even if quite low, may result in disease. Accordingly, it is always important
to implement preventive measures aiming to reduce UV exposure, from an early age, even in the
case of moderate UV index. Excessive exposure is responsible for a significantly increasing risk of
relevant adverse health effects, in particular to the eyes and skin, including pterygium, cataract,
macular degeneration, and melanoma for the eye; and keratinocytes carcinomas and malignant Int. J. Environ. Res. Public Health 2018, 15, 2063 17 of 24 melanoma for the skin. Notably, for cutaneous malignant melanoma, despite being recognizes in UV
exposure as a major risk factor, to date no increase in the risk for outdoor workers has been shown in
scientific studies. melanoma for the skin. Notably, for cutaneous malignant melanoma, despite being recognizes in UV
exposure as a major risk factor, to date no increase in the risk for outdoor workers has been shown in
scientific studies. Application of UV occupational exposure limits to solar UV involves many practical issues,
but the scientific literature shows that outdoor workers frequently considerably exceed current ACGIH
and ICNIRP limits. So occupational solar UVR exposure should be reduced to the lowest level possible,
as it is carcinogenic to humans (e.g., group 1 IARC). Despite the frequency of SR-related adverse
health effects in outdoor workers, these diseases are under-reported to the national legal and workers’
compensation authorities. This is particularly true for skin cancers, which are the most frequent
cancers in Caucasians, but are scarcely reported as occupational diseases. An increased reporting of
solar UVR-related occupational diseases should be a fundamental step in raising public awareness
and promoting the adoption of preventive measures. A reduction in the occupational risk related to solar radiation exposure is possible. 8. Conclusions It can be based
on: (1) collective measures including specific legislation, standards, and recommendations, workers’
education and training, and preventive technical and organizational interventions; (2) individual
measures including adoption of personal protective equipment and promotion of appropriate
individual behaviors; and (3) secondary prevention, which includes health surveillance of outdoor
workers performed by trained physicians. Author Contributions: A.M., L.K. and F.G. conceived and designed the study, reviewed the scientific literature,
summarized and discussed the data. A.M. wrote the paper, L.K. and F.G. revised the text. Funding: No research funds were received to carry out this review. The costs for open access publication will be
covered with research funds from the National Institute for Insurance against Accidents at Work (INAIL). Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. References Pearse, A.D.; Gaskell, S.A.; Marks, R. Epidermal changes in human skin following irradiation with either
UVB or UVA. J. Investig. Dermatol. 1987, 88, 83–87. [CrossRef] [PubMed] 11. Coroneo, M. Ultraviolet radiation and the anterior eye. Eye Contact Lens 2011, 37, 214–224. [CrossRef]
[PubMed] 12. Sliney, D.H. How light reaches the eye and its components. Int. J. Toxicol. 2002, 21, 501–509. [CrossRef]
[PubMed] 13. Tenkate, T.D. Ocular ultraviolet radiation exposure of welders. Scand. J. Work Environ. Health
2017, 43, 287–288. [CrossRef] [PubMed] 14. Reidenbach, H.D.; Hofmann, J.; Dollinger, K. Active Physiological Protective Reactions should be used
as a Prudent Precaution Safety Means in the Application of Low-Power Laser Radiation. IFMBE Proc. 2006, 14, 2690–2691. [CrossRef] 15. Alfonso, J.H.; Bauer, A.; Bensefa-Colas, L.; Boman, A.; Bubas, M.; Constandt, L.; Crepy, M.N.; Goncalo, M.;
Macan, J.; Mahler, V.; et al. Minimum standards on prevention, diagnosis and treatment of occupational and
work-related skin diseases in Europe–position paper of the COST Action StanDerm (TD 1206). J. Eur. Acad. Dermatol. Venereol. 2017, 31 (Suppl. 4), 31–43. [CrossRef] 16. Modenese, A.; Bisegna, F.; Borra, M.; Grandi, C.; Gugliermetti, F.; Militello, A.; Gobba, F. Outdoor work
and solar radiation exposure: Evaluation method for epidemiological studies. Med. Pr. 2016, 67, 577–587. [CrossRef] [PubMed] 17. Ulrich, C.; Salavastru, C.; Agner, T.; Bauer, A.; Brans, R.; Crepy, M.N.; Ettler, K.; Gobba, F.; Goncalo, M.; Imko
Walczuk, B.; et al. The European Status Quo in legal recognition and patient-care services of occupational
skin cancer. J. Eur. Acad. Dermatol. Venereol. 2016, 30, 46–51. [CrossRef] [PubMed] 18. Fitzpatrick, T.B. The validity and practicality of sun reactive skin types I through VI. Arch. Dermatol. 1988, 124,
869–871. [CrossRef] [PubMed] 19. European Agency for Safety and Health at Work. Outlook 1. New and Emerging Risks in Occupational
Safety and Health;
European Risk Observatory;
Office for Official Publications of the European
Communities: Luxembourg, 2009. Available online: https://osha.europa.eu/en/node/6842/file_view
(accessed on 26 July 2018). y
0. Mirabelli, D.; Kauppinen, T. Occupational exposures to carcinogens in Italy: An update of CAREX datab
Int. J. Occup. Environ. Health 2005, 11, 53–63. [CrossRef] [PubMed] 21. World Health Organization; World Meteorological Organization; United Nations Environment Programme
and the International Commission on Non-Ionizing Radiation Protection. Global Solar UV Index: A Practical
Guide. Geneva, 2002. Available online:
http://www.who.int/uv/publications/en/UVIGuide.pdf
(accessed on 26 July 2018). 22. Gies, P.; van Deventer, E.; Green, A.C.; Sinclair, C.; Tinker, R. Review of the Global Solar UV Index 2015
Workshop Report. References . Gobba, F.; Modenese, A.; Occhionero, V. Bernardino Ramazzini’s intuitions and modern occupatio
medicine. Med. Secoli 2011, 23, 443–463. [PubMed] 1. Gobba, F.; Modenese, A.; Occhionero, V. Bernardino Ramazzini’s intuitions and modern occupational
medicine. Med. Secoli 2011, 23, 443–463. [PubMed] 2. Internationals Standard Organization and Commision Internationale d’Eclairage ISO 17166:1999(E) CIE
S 007/E-1998. Erythema Reference Action Spectrum and Standard Erythema Dose. Spectre D’action
Érythémale de Référence et Dose Érythémale Normalisée. Geneva, 1999. Available online: http://hsevi.ir/
RI_Standard/File/3755 (accessed on 26 July 2018). 2. Internationals Standard Organization and Commision Internationale d’Eclairage ISO 17166:1999(E) CIE
S 007/E-1998. Erythema Reference Action Spectrum and Standard Erythema Dose. Spectre D’action
Érythémale de Référence et Dose Érythémale Normalisée. Geneva, 1999. Available online: http://hsevi.ir/
RI_Standard/File/3755 (accessed on 26 July 2018). 3. European Commission, Directorate General for Employment, Social Affairs and Inclusion, Unit B.3. Non-Binding Guide to Good Practice for Implementing Directive 2006/25/EC “Artificial Optical Radiation”. Publications Office of the European Union: Luxembourg, 2011. Available online: https://www.av.se/
globalassets/filer/publikationer/foreskrifter/optisk-stralning-eu-guide-eng.pdf (accessed on 26 July 2018). globalassets/filer/publikationer/foreskrifter/optisk-stralning-eu-guide-eng.pdf (accessed on 26 July 2018). 4. International Commission on Non-Ionizing Radiation Protection. ICNIRP statement–Protection of workers
against ultraviolet radiation. Health Phys. 2010, 99, 66–87. [CrossRef] [PubMed] 4. International Commission on Non-Ionizing Radiation Protection. ICNIRP statement–Protection of workers
against ultraviolet radiation. Health Phys. 2010, 99, 66–87. [CrossRef] [PubMed] 5. International Agency for Research on Cancer (IARC). Radiation Volume 100 D. A Review of Human. Carcinogens;
WHO Press: Lyon, France, 2012. Available online: http://monographs.iarc.fr/ENG/Monographs/vol100D/
mono100D.pdf (accessed on 26 July 2018). 5. International Agency for Research on Cancer (IARC). Radiation Volume 100 D. A Review of Human. Carcinogens;
WHO Press: Lyon, France, 2012. Available online: http://monographs.iarc.fr/ENG/Monographs/vol100D/
mono100D.pdf (accessed on 26 July 2018). 6. International Commission on Non-Ionizing Radiation Protection. Guidelines on limits of exposure to
incoherent visible and infrared radiation. Health Phys. 2013, 105, 74–96. Available online: https://www. icnirp.org/cms/upload/publications/ICNIRPVisible_Infrared2013.pdf (accessed on 26 July 2018). 7. Bunsen, R.W.; Roscoe, H.E. Photochemical Researches—Part V. On the Measurement of the Chemical Action
of Direct and Diffuse Sunlight. Proc. R. Soc. 1862, 12, 306. [CrossRef] 8. Fisher, G.J.; Wang, Z.Q.; Datta, S.C.; Varani, J.; Kang, S.; Voorhees, J.J. Pathophysiology of premature skin
aging induced by ultraviolet light. N. Engl. J. Med. 1997, 337, 1419–1428. [CrossRef] [PubMed] 9. Moan, J.; Juzeniene, A. Solar radiation and human health. J. Photochem. Photobiol. B 2010, 101, 109–110. [CrossRef] [PubMed] 18 of 24 18 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 10. References Health Phys. 2018, 114, 84–90. [CrossRef] [PubMed] 23. Commission Internationale d’Eclairage. Sensitivity of Human Skin to Ultraviolet Radiation, Expressed as Minimal
Erythema Dose (MED); CIE: Vienna, Austria, 2014; ISBN 978-3-902842-34-3. 24. Hermann, C. CIE publ. 125–1997, Standard erythema dose, a review and CIE DS 007.3/E Erythema reference
action spectrum and standard erythema dose. Color. Res. Appl. 1998, 23, 124–125. [CrossRef] 25. Rosenthal, F.S.; West, S.K.; Munoz, B.; Emmett, E.A.; Strickland, P.T.; Taylor, H.R. Ocular and facial skin
exposure to ultraviolet radiation in sunlight: A personal exposure model with application to a worker
population. Health Phys. 1991, 61, 77–86. [CrossRef] p p
26. McCarty, C.A.; Lee, S.E.; Livingston, P.M.; Bissinella, M.; Taylor, H.R. Ocular exposure to UV-B in sunlight:
The Melbourne visual impairment project model. Bull. World Health Organ. 1996, 74, 353–360. [PubMed] 27. Wittlich, M.; Westerhausen, S.; Kleinespel, P.; Rifer, G.; Stöppelmann, W. An approximation of occupational
lifetime UVR exposure: Algorithm for retrospective assessment and current measurements. J. Eur. Acad. Dermatol. Venereol. 2016, 30, 27–33. [CrossRef] [PubMed] 28. American Conference of Governmental Industrial Hygienists (ACGIH). 2014 TLVs and BEIs; ACGIH:
Cincinnati, OH, USA, 2014; ISBN 978-1-607260-72-1. 29. Gies, P.; Wright, J. Measured Solar Ultraviolet Radiation Exposures of Outdoor Workers in Queensland in
the Building and Construction Industry. Photochem. Photobiol. 2003, 78, 342–348. [CrossRef] 30. Milon, A.; Sottas, P.E.; Bulliard, J.L.; Vernez, D. Effective exposure to solar UV in building workers: Influence
of local and individual factors. J. Expo. Sci. Environ. Epidemiol. 2007, 17, 58–68. [CrossRef] [PubMed] 19 of 24 19 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 31. Serrano, M.A.; Cañada, J.; Moreno, J.C. Solar UV exposure in construction workers in Valencia, Spain. J. Expo. Sci. Environ. Epidemiol. 2013, 23, 525–530. [CrossRef] [PubMed] 32. Hammond, V.; Reeder, A.I.; Gray, A. Patterns of real-time occupational ultraviolet radiation exposure among
a sample of outdoor workers in New Zealand. Public Health 2009, 123, 182–187. [CrossRef] [PubMed] 33. Boniol, M.; Koechlin, A.; Boniol, M.; Valentini, F.; Chignol, M.C.; Doré, J.F.; Bulliard, J.L.; Milon, A.; Vernez, D. Occupational UV exposure in French outdoor workers. J. Occup. Environ. Med. 2015, 57, 315–320. [CrossRef]
[PubMed] 34. Schmalwieser, A.W.; Cabaj, A.; Schauberger, G.; Rohn, H.; Maier, B.; Maier, H. Facial Solar UV Exposure of
Austrian Farmers During Occupation. Photochem. Photobiol. 2010, 86, 1404–1413. [CrossRef] [PubMed] 35. Siani, A.M.; Casale, G.R.; Sisto, R.; Colosimo, A.; Lang, C.A.; Kimlin, M.G. References Occupational Exposures to
Solar Ultraviolet Radiation of Vineyard Workers in Tuscany (Italy). Photochem. Photobiol. 2011, 87, 925–934. [CrossRef] [PubMed] 36. Serrano, M.A.; Cañada, J.; Moreno, J.C.; Solar Radiation Group. Erythemal Ultraviolet Exposure in Two
Groups of Outdoor Workers in Valencia, Spain. Photochem. Photobiol. 2009, 85, 1468–1473. [CrossRef]
[PubMed] 37. Gies, P.; Glanz, K.; O’Riordan, D.; Elliott, T.; Nehl, E. Measured occupational solar UVR exposures of
lifeguards in pool settings. Am. J. Ind. Med. 2009, 52, 645–653. [CrossRef] [PubMed] 38. Lucas, R.; McMichael, T.; Smith, W.; Armstrong, B. Environmental Burden of Disease Series, No. 13. Solar
Ultraviolet Radiation: Global Burden of Disease from Solar Ultraviolet Radiation; Prüss-Üstün, A., Zeeb, H.,
Mathers, C., Repacholi, M., Eds.; World Health Organization: Geneva, Switzerland, 2006. Available online:
http://www.who.int/uv/health/solaruvradfull_180706.pdf (accessed on 26 July 2018). 39. Gobba, F.; Dall’Olio, E.; Modenese, A.; De Maria, M.; Campi, L.; Cavallini, G.M. Work-Related Eye Injuries:
A Relevant Health Problem. Main Epidemiological Data from a Highly-Industrialized Area of Northern
Italy. Int. J. Environ. Res. Public Health 2017, 14. [CrossRef] [PubMed] 40. Chui, J.; Di Girolamo, N.; Wakefield, D.; Coroneo, M.T. The pathogenesis of pterygium: Current concepts
and their therapeutic implications. Ocul. Surf. 2008, 6, 24–43. [CrossRef] 1. Hill, J.C.; Maske, R. Pathogenesis of pterygium. Eye 1989, 3, 218–226. [CrossRef] [PubMed] 2. Doughty, M.J.; Oblak, E. A clinical assessment of the anterior eye in arc welders. Clin. Exp. Op
2005, 88, 387–395. [CrossRef] [PubMed] 3. Taylor, H.R. The prevalence of corneal disease and cataracts in Australian aborigines in Northwes
Australia. Aust. J. Ophthalmol. 1980, 8, 289–301. [CrossRef] [PubMed] 44. Modenese, A.; Gobba, F. Occupational Exposure to Solar Radiation at Different Latitudes and Pterygium:
A Systematic Review of the Last 10 Years of Scientific Literature. Int. J. Environ. Res. Public Health 2017, 15. [CrossRef] [PubMed] 45. Lee, Y.B.; Kim, S.Y.; Park, Y.G.; Han, K.D.; Kim, J.W.; Chae, H.S.; Lee, Y.C. Evaluation of socioeconomic status
as a risk factor of pterygium using the Korean National Health and Nutrition Examination Survey 2010 to
2011. Medicine 2017, 96, e6343. [CrossRef] [PubMed] 46. Li, Z.; Wu, S.; Mai, J.; Xu, K.; Sun, Y.; Song, Z.; Jin, D.; Wang, H.; Liu, P. Prevalence of and risk factors
for pterygia in a rural northern Chinese population. Ophthalmic Epidemiol. 2014, 21, 378–383. [CrossRef]
[PubMed] 47. Lim, C.Y.; Kim, S.H.; Chuck, R.S.; Lee, J.K.; Park, C.Y. References J. Clin. Diagn. Res. 2015, 9, LC01-3. [CrossRef] [PubM 57. Cherian, J.; Singh, Z.; Bazroy, J.; Purty, A.J.; Natesan, M.; Chavada, V.K. Study of morbidity pattern among
salt workers in marakkanam, Tamil Nadu, India. J. Clin. Diagn. Res. 2015, 9, LC01-3. [CrossRef] [PubMed]
58. Coutts, S.J.; Coombes, A. Pterygium: Prevalence and severity in an Amazonian ophthalmic setting, Brazil. Rev. Bras. Oftalmol. 2012, 71, 372–376. [CrossRef] 58. Coutts, S.J.; Coombes, A. Pterygium: Prevalence and severity in an Amazonian ophthalmic setting
Rev. Bras. Oftalmol. 2012, 71, 372–376. [CrossRef] 59. Li, L.; Zhong, H.; Tian, E.; Yu, M.; Yuan, Y.; Yang, W.; Wei, T.; Cha, X.; Li, X.; Li, J.; et al. Five-year incidence
and predictors for pterygium in a rural community in China: The yunnan minority eye study. Cornea
2015, 34, 1564–1568. [CrossRef] [PubMed] 60. Lin, A.D.; Miles, K.; Brinks, M.V. Prevalence of Pterygia in Hawaii: Examining Cumulative Surfing Hours as
a Risk Factor. Ophthalmic Epidemiol. 2016, 23, 264–268. [CrossRef] [PubMed] 61. Malekifar, P.; Esfandiari, H.; Behnaz, N.; Javadi, F.; Azish, S.; Javadi, M.; Kalantarion, M. Risk factors for
pterygium in Ilam Province, Iran. J. Ophthalmic Vis. Res. 2017, 12, 270–274. [CrossRef] [PubMed] 62. Marmamula, S.; Khanna, R.C.; Rao, G.N. Population-based assessment of prevalence and risk factors
for pterygium in the South Indian state of Andhra Pradesh: The Andhra Pradesh eye disease study. Investig. Ophthalmol. Vis. Sci. 2013, 54, 5359–5366. [CrossRef] [PubMed] g
p
[
] [
]
63. Nemesure, B.; Wu, S.Y.; Hennis, A.; Leske, M.C. Nine-Year Incidence and Risk Factors for Pterygium in the
Barbados Eye Studies. Ophthalmology 2008, 115, 2153–2158. [CrossRef] [PubMed] 64. Rezvan, F.; Hashemi, H.; Emamian, M.H.; Kheirkhah, A.; Shariati, M.; Khabazkhoob, M.; Fotouhi, A. The prevalence and determinants of pterygium and pinguecula in an urban population in Shahroud, Iran. Acta Med. Iran. 2012, 50, 689–696. [PubMed] 65. Sherwin, J.C.; Hewitt, A.W.; Kearns, L.S.; Griffiths, L.R.; Mackey, D.A.; Coroneo, M.T. The association between
pterygium and conjunctival ultraviolet autofluorescence: The Norfolk Island Eye Study. Acta Ophthalmol. 2013, 91, 363–370. [CrossRef] [PubMed] 66. Shiroma, H.; Higa, A.; Sawaguchi, S.; Iwase, A.; Tomidokoro, A.; Amano, S.; Araie, M. Prevalence and
Risk Factors of Pterygium in a Southwestern Island of Japan: The Kumejima Study. Am. J. Ophthalmol. 2009, 148, 766–771. [CrossRef] [PubMed] 67. Tano, T.; Ono, K.; Hiratsuka, Y.; Otani, K.; Sekiguchi, M.; Konno, S.; Kikuchi, S.; Onishi, Y.; Takegami, M.;
Yamada, M.; et al. West, S. Ocular ultraviolet B exposure and lens opacities: A review. J. Epidemiol. 1999, 9, 97–101. [CrossRef References Risk Factors for Pterygium in Korea: The Korean
National Health and Nutrition Examination Survey V, 2010–2012. Medicine 2015, 94, e1258. [CrossRef]
[PubMed] 48. Nam, G.E.; Kim, S.; Paik, J.S.; Kim, H.S.; Na, K.S. Association between pterygium and obesity status in
a South Korean population. Medicine 2016, 95, e5664. [CrossRef] [PubMed] 49. Viso, E.; Gude, F.; Rodríguez-Ares, M.T. Prevalence of pinguecula and pterygium in a general population in
Spain. Eye 2011, 25, 350–357. [CrossRef] [PubMed] 50. Zhao, L.; You, Q.S.; Xu, L.; Ma, K.; Wang, Y.X.; Yang, H.; Jonas, J.B. 10-year incidence and associations of
pterygium in adult Chinese: The Beijing Eye Study. Investig. Ophthalmol. Vis. Sci. 2013, 54, 1509–1514. [CrossRef] [PubMed] 51. Achigbu, E.; Ezepue, U.F. Prevalence and severity of pterygium among commercial motorcycle riders in
south eastern Nigeria. Ghana Med. J. 2014, 48, 153–157. [CrossRef] [PubMed] 20 of 24 20 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 52. Anbesse, D.H.; Kassa, T.; Kefyalew, B.; Tasew, A.; Atnie, A.; Desta, B. Prevalence and associated factors of
pterygium among adults living in Gondar city, Northwest Ethiopia. PLoS ONE 2017, 12, e0174450. [CrossRef]
[PubMed] 53. Ang, M.; Li, X.; Wong, W.; Zheng, Y.; Chua, D.; Rahman, A.; Saw, S.M.; Tan, D.T.; Wong, T.Y. Prevalence
of and racial differences in pterygium: A multiethnic population study in Asians. Ophthalmology
2012, 119, 1509–1515. [CrossRef] [PubMed] 54. Asokan, R.; Venkatasubbu, R.S.; Velumuri, L.; Lingam, V.; George, R. Prevalence and associated factors for
pterygium and pinguecula in a South Indian population. Ophthalmic Physiol. Opt. 2012, 32, 39–44. [CrossRef]
[PubMed] 55. Cajucom-Uy, H.; Tong, L.; Wong, T.Y.; Tay, W.T.; Saw, S.M. The prevalence of and risk factors for pterygium
in an urban Malay population: The Singapore Malay Eye Study (SiMES). Br. J. Ophthalmol. 2010, 94, 977–981. [CrossRef] [PubMed] 56. Chen, C.L.; Lai, C.H.; Wu, P.L.; Wu, P.C.; Chou, T.H.; Weng, H.H. The epidemiology of patients with
pterygium in southern Taiwanese adults: TheChiayi survey. Taiwan J. Ophthalmol. 2013, 3, 58–61. [CrossRef] 57. Cherian, J.; Singh, Z.; Bazroy, J.; Purty, A.J.; Natesan, M.; Chavada, V.K. Study of morbidity pattern among
salt workers in marakkanam, Tamil Nadu, India. J. Clin. Diagn. Res. 2015, 9, LC01-3. [CrossRef] [PubMed]
58. Coutts, S.J.; Coombes, A. Pterygium: Prevalence and severity in an Amazonian ophthalmic setting, Brazil. 7. Cherian, J.; Singh, Z.; Bazroy, J.; Purty, A.J.; Natesan, M.; Chavada, V.K. Study of morbidity pattern am
salt workers in marakkanam, Tamil Nadu, India. References Prevalence of pterygium in a population in Northern Japan: The Locomotive Syndrome
and Health Outcome in Aizu Cohort Study. Acta Ophthalmol. 2013, 91, e232–e236. [CrossRef] [PubMed] 68. West, S.; Muñoz, B. Prevalence of pterygium in Latinos: Proyecto VER. Br. J. Ophthalmol. 2009, 93, 1287–1290. [CrossRef] [PubMed] 69. Zhong, H.; Cha, X.; Wei, T.; Lin, X.; Li, X.; Li, J.; Cai, N.; Li, J.; Su, X.; Yang, Y.; et al. Prevalence of and risk
factors for pterygium in rural adult Chinese populations of the Bai nationality in Dali: The Yunnan minority
eye study. Investig. Ophthalmol. Vis. Sci. 2012, 53, 6617–6621. [CrossRef] [PubMed] 70. Salagar, K.M.; Biradar, K.G. Conjunctival autograft in primary and recurrent pterygium: A study. J. Clin. Diagn. Res. 2013, 7, 2825–2827. [CrossRef] [PubMed] 71. Pascolini, D.; Mariotti, S.P. Global estimates of visual impairment: 2010. Br. J. Ophthalmol. 2012, 96, 614–618. [CrossRef] [PubMed] Lofgren, S. Solar ultraviolet radiation cataract. Exp. Eye Res. 2017, 156, 112–116. [CrossRef] [PubMed] 72. Lofgren, S. Solar ultraviolet radiation cataract. Exp. Eye Res. 2017, 156, 112–116. [CrossRef] [PubMed]
73. West, S. Ocular ultraviolet B exposure and lens opacities: A review. J. Epidemiol. 1999, 9, 97–101. [CrossRef] g
p
y
[
] [
]
73. West, S. Ocular ultraviolet B exposure and lens opacities: A review. J. Epidemiol. 1999, 9, 97–101. [CrossRef] Int. J. Environ. Res. Public Health 2018, 15, 2063 21 of 24 21 of 24 74. Hall, A.B.; Thompson, J.R.; Deane, J.S.; Rosenthal, A.R. LOCS III versus the Oxford clinical cataract
classification and grading system for the assessment of nuclear, cortical and posterior subcapsular cataract. Ophthalmic Epidemiol. 1997, 4, 179–194. [CrossRef] [PubMed] 75. Thylefors, B.; Chylack, L.T., Jr.; Konyama, K.; Sasaki, K.; Sperduto, R.; Taylor, H.R.; West, S.; WHO Cataract
Grading Group. A simplified cataract grading system. Ophthalmic Epidemiol. 2002, 9, 83–95. [CrossRef]
[PubMed] 76. McCarty, C.A.; Taylor, H.R. A review of the epidemiologic evidence linking ultraviolet radiation and cataracts. Dev. Ophthalmol. 2002, 35, 21–31. [CrossRef] [PubMed] 77. Modenese, A.; Gobba, F. Cataract frequency and subtypes involved in workers assessed for their solar
radiation exposure: A systematic review. Acta Ophthalmol. 2018. [CrossRef] [PubMed] 78. Mukesh, B.N.; Le, A.; Dimitrov, P.N.; Ahmed, S.; Taylor, H.R.; McCarty, C.A. Development of cataract and
associated risk factors: The Visual Impairment Project. Arch. Ophthalmol. 2006, 124, 79–85. [CrossRef]
[PubMed] 79. Neale, R.E.; Purdie, J.L.; Hirst, L.W.; Green, A.C. Sun exposure as a risk factor for nuclear cataract. References Epidemiology 2003, 14, 707–712. [CrossRef] [PubMed] 80. Pastor-Valero, M.; Fletcher, A.E.; de Stavola, B.L.; Chaques-Alepuz, V. Years of sunlight exposure and cataract:
A case-controlstudy in a Mediterranean population. BMC Ophthalmol. 2007, 7, 18. [CrossRef] [PubMed] 81. Rim, T.H.; Kim, M.H.; Kim, W.C.; Kim, T.I.; Kim, E.K. Cataract subtype risk factors identified from the Korea
National Health and Nutrition Examination survey 2008–2010. BMC Ophthalmol. 2014, 14, 4. [CrossRef]
[PubMed] 82. Theodoropoulou, S.; Theodossiadis, P.; Samoli, E.; Vergados, I.; Lagiou, P.; Tzonou, A. The epidemiology of
cataract: A study in Greece. Acta Ophthalmol. 2011, 89, e167–e173. [CrossRef] [PubMed] 83. Yu, J.M.; Yang, D.Q.; Wang, H.; Xu, J.; Gao, Q.; Hu, L.W.; Wang, F.; Wang, Y.; Yan, Q.C.; Zhang, J.S.; et al. Prevalence and risk factors of lens opacities in rural populations living at two different altitudes in China. Int. J. Ophthalmol. 2016, 9, 610–616. [CrossRef] [PubMed] 84. Athanasiov, P.A.; Casson, R.J.; Sullivan, T.; Newland, H.S.; Shein, W.K.; Muecke, J.S.; Selva, D.; Aung, T. Cataract in rural Myanmar: Prevalence and risk factors from the Meiktila Eye Study. Br. J. Ophthalmol. 2008, 92, 1169–1174. [CrossRef] [PubMed] 85. Athanasiov, P.A.; Edussuriya, K.; Senaratne, T.; Sennanayake, S.; Sullivan, T.; Selva, D.; Casson, R.J. Cataract in central Sri Lanka: Prevalence and risk factors from the Kandy Eye Study. Ophthalmic Epidemiol. 2010, 17, 34–40. [CrossRef] [PubMed] 86. Burton, M.; Fergusson, E.; Hart, A.; Knight, K.; Lary, D.; Liu, C. The prevalence of cataract in two villages of
northern Pakistan with different levels of ultraviolet radiation. Eye 1997, 11, 95–101. [CrossRef] [PubMed] g
g
y
p
g
northern Pakistan with different levels of ultraviolet radiation. Eye 1997, 11, 95–101. [CrossRef] [PubMed]
87. Echebiri, S.I.; Odeigah, P.G.; Myers, S.N. Case-control studies and risk factors for cataract in two population
studies in Nigeria. Middle East. Afr. J. Ophthalmol. 2010, 17, 303–309. [CrossRef] [PubMed] y
87. Echebiri, S.I.; Odeigah, P.G.; Myers, S.N. Case-control studies and risk factors for cataract in two population
studies in Nigeria. Middle East. Afr. J. Ophthalmol. 2010, 17, 303–309. [CrossRef] [PubMed] 88. El Chehab, H.; Blein, J.P.; Herry, J.P.; Chave, N.; Ract-Madoux, G.; Agard, E.; Guarracino, G.; Swalduz, B.;
Mourgues, G.; Dot, C. Ocular phototoxicity and altitude among mountain guides. J. Fr. Ophtalmol. 2012, 35, 809–815. [CrossRef] [PubMed] 89. Saadat, M.; Farvardin-Jahromi, M. Occupational sunlight exposure, polymorphism of glutathione
S-transferase M1, and senile cataract risk. Occup. Environ. Med. 2006, 63, 503–504. [CrossRef] [PubMed]
90. References Ughade, S.N.; Zodpey, S.P.; Khanolkar, V.A. Risk factors for cataract: A case control study. Indian J. Ophthalmol. 1998 46 221–227 [CrossRef] 89. Saadat, M.; Farvardin-Jahromi, M. Occupational sunlight exposure, polymorphism of glutathione
S-transferase M1, and senile cataract risk. Occup. Environ. Med. 2006, 63, 503–504. [CrossRef] [PubMed] 90. Ughade, S.N.; Zodpey, S.P.; Khanolkar, V.A. Risk factors for cataract: A case control study. Indian J. Oph
1998, 46, 221–227. [CrossRef] 91. Zarei, N.; Saadat, I.; Farvardin-Jahromi, M. The relationship between NQO1 C609T and CAT C-262Tgenetic
polymorphisms and the risk of age-related cataracts. Mol. Biol. Res. Commun. 2015, 4, 143–149. [CrossRef]
[PubMed] 92. Evans, J.R. Risk factors for age-related macular degeneration. Prog. Retin. Eye Res. 2001, 20, 227–253. [CrossRef] 93. Klein, R.; Peto, T.; Bird, A.; Vannewkirk, M.R. The epidemiology of age-related macular degeneration. Am. J. Ophthalmol. 2004, 137, 486–495. [CrossRef] [PubMed] 94. Clemons, T.E.; Milton, R.C.; Klein, R.; Seddon, J.M.; Ferris, F.L., 3rd. Age-Related Eye Disease Study Research
Group. Risk factors for the incidence of advanced age-related macular degeneration in the Age-Related
Eye Disease Study Research (AREDS) AREDS report no. 19. Ophthalmology 2005, 112, 533–539. [CrossRef]
[PubMed] 22 of 24 22 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 95. Taylor, H.R.; Keeffe, J.E. World blindness: A 21st century perspective. Br. J. Ophthalmol. 2001, 85, 261–266. [CrossRef] [PubMed] 96. Augood, C.A.; Vingerling, J.R.; de Jong, P.T.; Chakravarthy, U.; Seland, J.; Soubrane, G.; Tomazzoli, L.;
Topouzis, F.; Bentham, G.; Rahu, M.; et al. Prevalence of age-related maculopathy in older Europeans:
The European Eye Study (EUREYE). Arch. Ophthalmol. 2006, 124, 529–535. [CrossRef] [PubMed] 97. Tomany, S.C.; Cruickshanks, K.J.; Klein, R.; Klein, B.E.; Knudtson, M.D. Sunlight and the 10-year incidence
of age-related maculopathy: The Beaver Dam Eye Study. Arch. Ophthalmol. 2004, 122, 750–757. [CrossRef]
[PubMed] 98. Gehrs, K.M.; Anderson, D.H.; Johnson, L.V.; Hageman, G.S. Age-related macular degeneration-emerging
pathogenetic and therapeutic concepts. Ann. Med. 2006, 38, 450–471. [CrossRef] [PubMed] 99. Nowak, J.Z. Age-related macular degeneration (AMD): Pathogenesis and therapy. Pharmacol. Rep. 2006, 58, 353–363. Available online: http://www.if-pan.krakow.pl/pjp/pdf/2006/3_353.pdf (accessed on
26 July 2018). [PubMed] 100. Shaw, P.X.; Stiles, T.; Douglas, C.; Ho, D.; Fan, W.; Du, H.; Xiao, X. Oxidative stress, innate immunity, and
age-related macular degeneration. AIMS Mol. Sci. 2016, 3, 196–221. [CrossRef] [PubMed] 101. Sui, G.Y.; Liu, G.C.; Liu, G.Y.; Gao, Y.Y.; Deng, Y.; Wang, W.Y.; Tong, S.H.; Wang, L. Is sunlight exposure a risk
factor for age-related macular degeneration? References A systematic review and meta-analysis. Br. J. Ophthalmol. 2013,
97, 389–394. [CrossRef] [PubMed] 102. Wang, A.L.; Lukas, T.J.; Yuan, M.; Du, N.; Tso, M.O.; Neufeld, A.H. Autophagy and exosomes in the aged
retinal pigment epithelium: Possible relevance to drusen formation and age-related macular degeneration. PLoS ONE 2009, 4, e4160. [CrossRef] [PubMed] 103. Cruickshanks, K.J.; Klein, R.; Klein, B.E.; Nondahl, D.M. Sunlight and the 5-year incidence of early agerelated
maculopathy: The beaver dam eye study. Arch. Ophthalmol. 2001, 119, 246–250. [PubMed] 104. Chakravarthy, U.; Wong, T.Y.; Fletcher, A.; Piault, E.; Evans, C.; Zlateva, G.; Buggage, R.; Pleil, A.;
Mitchell, P. Clinical risk factors for age-related macular degeneration: A systematic review and meta-analysis. BMC Ophthalmol. 2010, 10, 31. [CrossRef] [PubMed] 105. Chong, E.W.; Kreis, A.J.; Wong, T.Y.; Simpson, J.A.; Guymer, R.H. Alcohol consumption and the risk of
age-related macular degeneration: A systematic review and meta-analysis. Am. J. Ophthalmol. 2008, 145,
707–715. [CrossRef] [PubMed] [
] [
]
106. Kearney, F.M.; Fagan, X.J.; Al-Qureshi, S. Review of the role of refined dietary sugars (fructose and glucose)
in the genesis of retinal disease. Clin. Exp. Ophthalmol. 2008, 42, 564–573. [CrossRef] [PubMed] 107. Tomany, S.C.; Wang, J.J.; Van Leeuwen, R.; Klein, R.; Mitchell, P.; Vingerling, J.R.; Klein, B.E.; Smith, W.;
De Jong, P.T. Risk factors for incident age-related macular degeneration: Pooled findings from 3 continents. Ophthalmology 2004, 111, 1280–1287. [CrossRef] [PubMed] 108. Yoshimura, N. Age-related macular degeneration and genetics. Clin. Exp. Ophthalmol. 2010, 38, 1. [CrossRef]
[PubMed] 109. Modenese, A.; Gobba, F. Macular degeneration and occupational risk factors: A systematic review. Int. Arch. Occup. Environ. Health 2018. [CrossRef] [PubMed] 110. Caljkusi´c-Mance, T.; Kovacevi´c, D.; Novak-Stroligo, M.; Alpeza-Dunato, Z. Distribution of agerelated
macular degeneration in Primorsko-Goranska County. Coll. Antropol. 2010, 34, 109–111. [PubMed] Njiri´c, S.; Misljenovi´c, T.; Mikulici´c, M.; Pavicevi´c, L. Incidence of age related macular degeneration in
correlation with age, sex and occupation. Coll. Antropol. 2007, 31, 107–110. [PubMed] correlation with age, sex and occupation. Coll. Antropol. 2007, 31, 107–110. [PubMed]
112. Plestina-Borjan, I.; Klinger-Lasi´c, M. Long-term exposure to solar ultraviolet radiation as a risk factor for
age-related macular degeneration. Coll. Antropol. 2007, 31, 33–38. [PubMed] 112. Plestina-Borjan, I.; Klinger-Lasi´c, M. Long-term exposure to solar ultraviolet radiation as a risk factor for
age-related macular degeneration. Coll. Antropol. 2007, 31, 33–38. [PubMed] 113. Saadat, I.; Vakili-Ghartavol, R.; Farvardin-Jahromi, M.; Saadat, M. Association between exudative agerelated
macular degeneration and the G6721T polymorphism of XRCC7 in outdoor subjects. References Korean J. Ophthalmol. 2007, 26, 423–427. [CrossRef] [PubMed] 114. Thapa, R.; Paudyal, G.; Shrestha, M.K.; Gurung, R.; Ruit, S. Age-related macular degeneration in Nepal. Kathmandu Univ. Med. J. (KUMJ) 2011, 9, 165–169. [CrossRef] 115. Vojnikovi´c, B.; Njiri´c, S.; Coklo, M.; Spanjol, J. Ultraviolet sun radiation and incidence of age-related macular
degeneration on Croatian Island Rab. Coll. Antropol. 2007, 31, 43–44. [PubMed] 23 of 24 23 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 116. Bressler, N.M.; Munoz, B.; Maguire, M.G.; Vitale, S.E.; Schein, O.D.; Taylor, H.R.; West, S.K. Five-year
incidence and disappearance of drusen and retinal pigment epithelial abnormalities. Waterman study. Arch. Ophthalmol. 1995, 113, 301–308. [CrossRef] [PubMed] 117. Fletcher, A.E.; Bentham, G.C.; Agnew, M.; Young, I.S.; Augood, C.; Chakravarthy, U.; de Jong, P.T.; Rahu, M.;
Seland, J.; Soubrane, G.; et al. Sunlight exposure, antioxidants, and age-related macular degeneration. Arch. Ophthalmol. 2008, 126, 1396–1403. [CrossRef] [PubMed] 118. Schick, T.; Ersoy, L.; Lechanteur, Y.T.; Saksens, N.T.; Hoyng, C.B.; den Hollander, A.I.; Kirchhof, B.; Fauser, S. History of sunlight exposure is a risk factor for age-related macular degeneration. Retina 2016, 36, 787–790. [CrossRef] [PubMed] 119. Taylor, H.R.; Muñoz, B.; West, S.; Bressler, N.M.; Bressler, S.B.; Rosenthal, F.S. Visible light and risk of
age-related macular degeneration. Trans. Am. Ophthalmol. Soc. 1990, 88, 163–178. [PubMed] 120. Röwert-Huber, J.; Patel, M.J.; Forschner, T.; Ulrich, C.; Eberle, J.; Kerl, H.; Sterry, W.; Stockfleth, E. Actinic
keratosis is an early in situ squamous cell carcinoma: A proposal for reclassification. Br. J. Dermatol. 2007, 156
(Suppl. 3), 8–12. [CrossRef] 121. Karimkhani, C.; Boyers, L.N.; Dellavalle, R.P.; Weinstock, M.A. It’s time for “keratinocyte carcinoma” to
replace the term “nonmelanoma skin cancer”. J. Am. Acad. Dermatol. 2015, 72, 186–187. [CrossRef] [PubMed]
122. Marks, R. The epidemiology of non-melanoma skin cancer: Who, why and what can we do about it. J. Dermatol. 1995, 22, 853–857. [CrossRef] [PubMed] 122. Marks, R. The epidemiology of non-melanoma skin cancer: Who, why and what can we do a
J. Dermatol. 1995, 22, 853–857. [CrossRef] [PubMed] 123. American Cancer Society. Cancer Facts & Figures 2016. Atlanta 2016. Available online:
www.cancer.org/content/dam/cancer-org/research/cancer-facts-and-statistics/annual-cancer-facts-and-
figures/2016/cancer-facts-and-figures-2016.pdf (accessed on 26 July 2018). 124. Associazione Italiana di Oncologia Medica (AIOM), Associazione Italiana Registri Tumori (AIRTUM). I
Numeri del Cancro in Italia. Intermedia Editore, Rome. 2014. Available online: www.registri-tumori.it/
PDF/AIOM2014/I_numeri_del_cancro_2014.pdf (accessed on 26 July 2018). 125. Guy, G.P., Jr.; Machlin, S.R.; Ekwueme, D.U.; Yabroff, K.R. References 1994, 30, 774–778. [CrossRef] 139. Weinstock, M.A. Non melanoma skin cancer mortality in the United States, 1969 through 1988. Arch. Dermatol. 1993, 129, 1286–1290. [CrossRef] [PubMed] 140. Marcil, I.; Stern, R.S. Risk of developing a subsequent nonmelanoma skin cancer in patients with a history
of nonmelanoma skin cancer: A critical review of the literature and meta-analysis. Arch. Dermatol. 2000, 136, 1524–1530. [CrossRef] [PubMed] 141. DePry, J.L.; Vyas, R.; Lazarus, H.M.; Caimi, P.F.; Gerstenblith, M.R.; Bordeaux, J.S. Cutaneous Malignant
Neoplasms in Hematopoietic Cell Transplant Recipients:
A Systematic Review. JAMA Dermatol. 2015, 151, 775–782. [CrossRef] [PubMed] 142. Bauer, A. Skin cancer as occupational disease. Hautarzt 2016, 67, 884–890. [CrossRef] [PubMed] . Skin cancer as occupational disease. Hautarzt 2016, 6 143. Mayer, J.E.; Goldman, R.H. Arsenic and skin cancer in the USA: The current evidence regarding
arsenic-contaminated drinking water. Int. J. Dermatol. 2016, 55, e585–e591. [CrossRef] [PubMed] 144. Christenson, L.J.; Borrowman, T.A.; Vachon, C.M.; Tollefson, M.M.; Otley, C.C.; Weaver, A.L.; Roenigk, R.K. Incidence of basal cell and squamous cell carcinomas in a population younger than 40 years. JAMA
2005, 294, 681–690. [CrossRef] [PubMed] 45. Verkouteren, J.A.C.; Ramdas, K.H.R.; Wakkee, M.; Nijsten, T. Epidemiology of basal cell carcinoma: Schol
review. Br. J. Dermatol. 2017, 177, 359–372. [CrossRef] [PubMed] 146. Schmitt, J.; Seidler, A.; Diepgen, T.L.; Bauer, A. Occupational ultraviolet light exposure increases the
risk for the development of cutaneous squamous cell carcinoma: A systematic review and meta-analysis. Br. J. Dermatol. 2011, 164, 291–307. [CrossRef] [PubMed] 147. Bauer, A.; Diepgen, T.L.; Schmitt, J. Is occupational solar ultraviolet irradiation a relevant risk factor for basal
cell carcinoma? A systematic review and meta-analysis of the epidemiological literature. Br. J. Dermatol
2011, 165, 612–625. [CrossRef] [PubMed] 148. Linos, E.; Swetter, S.M.; Cockburn, M.G.; Colditz, G.A.; Clarke, C.A. Increasing burden of melanoma in the
United States. J. Investig. Dermatol. 2009, 129, 1666–1674. [CrossRef] [PubMed] 149. Karimkhani, C.; Green, A.C.; Nijsten, T.; Weinstock, M.A.; Dellavalle, R.P.; Naghavi, M.; Fitzmaurice, C. The
global burden of melanoma: Results from the Global Burden of Disease Study 2015. Br. J. Dermatol. 2017, 177,
134–140. [CrossRef] [PubMed] 150. Bharath, A.K.; Turner, R.J. Impact of climate change on skin cancer. J. R. Soc. Med. 2009, 102, 215–218. [CrossRef] [PubMed] 151. Rastrelli, M.; Tropea, S.; Rossi, C.R.; Alaibac, M. Melanoma: Epidemiology, risk factors, pathogenesis,
diagnosis and classification. In Vivo 2014, 28, 1005–1011. [PubMed] 152. References Prevalence and costs of skin cancer treatment in
the U.S., 2002–2006 and 2007–2011. Am. J. Prev. Med. 2015, 48, 183–187. [CrossRef] [PubMed] 126. Fransen, M.; Karahalios, A.; Sharma, N.; English, D.R.; Giles, G.G.; Sinclair, R.D. Non-melanoma skin cancer
in Australia. Med. J. Aust. 2012, 197, 565–568. [CrossRef] [PubMed] 127. Gupta, A.K.; Cooper, E.A.; Feldman, S.R.; Fleischer, A.B., Jr. A survey of office visits for actinic keratosis as
reported by NAMCS, 1990-1999. National Ambulatory Medical Care Survey. Cutis 2002, 70, 8–13. [PubMed] 128. Frost, C.A.; Green, A.C.; Williams, G.M. The prevalence and determinants of solar keratoses at a subtropical
latitude (Queensland, Australia). Br. J. Dermatol. 1998, 139, 1033–1039. [CrossRef] [PubMed] 129. Berman, B.; Cockerell, C.J. Pathobiology of actinic keratosis: Ultraviolet-dependent keratinocyte proliferation. J. Am. Acad. Dermatol. 2013, 68, S10–S19. [CrossRef] [PubMed] 130. Siegel, J.A.; Korgavkar, K.; Weinstock, M.A. Current perspective on actinic keratosis: A review. Br. J. Dermatol. 2017, 177, 350–358. [CrossRef] [PubMed] 131. Marks, R.; Rennie, G.; Selwood, T.S. Malignant transformation of solar keratoses to squamous cell carcinoma. Lancet 1988, 1, 795–797. [CrossRef] 132. Salasche, S.J. Epidemiology of actinic keratoses and squamous cell carcinoma. J. Am. Acad. Dermatol. 2000, 42, 4–7. [CrossRef] [PubMed] 133. Guenthner, S.T.; Hurwitz, R.M.; Buckel, L.J.; Gray, H.R. Cutaneous squamous cell carcinomas consistently
show histologic evidence of in situ changes: A clinicopathologic correlation. J. Am. Acad. Dermatol. 1999, 41, 443–448. [CrossRef] 134. Mittelbronn, M.A.; Mullins, D.L.; Ramos-Caro, F.A.; Flowers, F.P. Frequency of pre-existing actinic keratosis
in cutaneous squamous cell carcinoma. Int. J. Dermatol. 1998, 37, 677–681. [CrossRef] [PubMed] 135. Modenese, A.; Farnetani, F.; Andreoli, A.; Pellacani, G.; Gobba, F. Questionnaire-based evaluation of
occupational and non-occupational solar radiation exposure in a sample of Italian patients treated for actinic
keratosis and other non-melanoma skin cancers. J. Eur. Acad. Dermatol. Venereol. 2016, 30, 21–26. [CrossRef]
[PubMed] 136. Falanga, R.; Corradin, M.T. I tumori cutanei maligni. Il ruolo della medicina generale. I dati di Health Search
e l’importanza della diagnosi precoce. SIMG 2007, 1, 9–13. 137. Geller, A.C.; Annas, G.D. Epidemiology of melanoma and non melanoma skin cancer. Semin. Oncol. Nurs. 2003, 19, 2–11. [CrossRef] [PubMed] 24 of 24 Int. J. Environ. Res. Public Health 2018, 15, 2063 138. Miller, D.L.; Weinstock, M.A. Non melanoma skin cancer in the United States: Incidence. J. Am. Acad. Dermatol. 1994, 30, 774–778. [CrossRef] 138. Miller, D.L.; Weinstock, M.A. Non melanoma skin cancer in the United States: Incidence. J. Am. Acad. Dermatol. References Gandini, S.; Sera, F.; Cattaruzza, M.S.; Pasquini, P.; Zanetti, R.; Masini, C.; Boyle, P.; Melchi, C.F. Meta-analysis
of risk factors for cutaneous melanoma: III. Family history, actinic damage and phenotypic factors. Eur. J. Cancer 2005, 41, 2040–2059. [CrossRef] [PubMed] 153. Armstrong, B.K.; Cust, A.E. Sun exposure and skin cancer, and the puzzle of cutaneous melanoma:
A perspective on Fears et al. Mathematical models of age and ultraviolet effects on the incidence of
skin cancer among whites in the United States. American Journal of Epidemiology 1977; 105: 420-427. Cancer Epidemiol. 2017, 48, 147–156. [CrossRef] [PubMed] 154. Grob, J.J.; Gouvernet, J.; Aymar, D.; Mostaque, A.; Romano, M.H.; Collet, A.M.; Noe, M.C.; Diconstanzo, M.P.;
Bonerandi, J.J. Count of benign melanocytic nevi as a major indicator of risk for nonfamilial nodular and
superficial spreading melanoma. Cancer 1990, 66, 387–395. [CrossRef] 155. Tenkate, T.; Kimlin, M. Occupational exposure to ultraviolet radiation–not a standard for all. Aust. N. Z. J. Public Health 2008, 32, 87–88. [CrossRef] [PubMed] 156. John, S.M.; Trakatelli, M.; Ulrich, C. Non-melanoma skin cancer by solar UV: The neglected occupational
threat. J. Eur. Acad. Dermatol. Venereol. 2016, 30, 3–4. [CrossRef] [PubMed] © 2018 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/).
|
https://openalex.org/W3167867709
|
https://www.nature.com/articles/s41699-021-00241-0.pdf
|
English
| null |
Carrier-capture-assisted optoelectronics based on van der Waals materials to imitate medicine-acting metaplasticity
|
npj 2D materials and applications
| 2,021
|
cc-by
| 8,432
|
1Engineering Research Center for Nanophotonics & Advanced Instrument (MOE), Technical Center for Multifunctional Magneto-Optical Spectroscopy (Shanghai), School of
Physics and Electronic Science, East China Normal University, Shanghai, China. 2Institute for Optoelectronics, Shanghai Institute of Intelligent Electronics and Systems, Fudan
University, Shanghai, China. 3Department of Physics, National Chung Hsing University, Taichung, Taiwan. 4Department of Electrical Engineering & Institute of Electronic
Engineering, National Tsing Hua University, Hsinchu, Taiwan. 5Graduate Institute of Applied Science and Technology, National Taiwan University of Science and Technology,
Taipei, Taiwan. 6Graduate Institute of Biomedical Engineering, National Chung Hsing University, Taichung, Taiwan. 7i-Center for Advanced Science and Technology (i-CAST),
National Chung Hsing University, Taichung, Taiwan. 8Institute of Nanoscience, National Chung Hsing University, Taichung, Taiwan. 9These authors contributed equally: Qianfan
Nie, Caifang Gao. ✉email: mengjiaoli@email.nchu.edu.tw; yenfulin@nchu.edu.tw; wwli@ee.ecnu.edu.cn INTRODUCTION neurons (ΔWn: the ratio between the postsynaptic responses
triggered by the nth and 1st input spikes)22, and is analogous to
long lasting of drug reward learning evoked by repeated drug
stimulus. It represents three types of excitatory, flat, and inhibitory
states through transmission of chemical media between the pre
and post synapse. Likewise, in the drug reward pathway of the
human brain, the ΔWn index, which is increasing, flattening, and
decreasing, can be used to characterize the three effects21,23,24,
that is, effective, stable, and ineffective, when the neuronal
networks are triggered by adequate, low and ultralow drug doses,
respectively. At present, there is a great deal of research into the
development of solid-state neuromorphic electronics that can
simulate synaptic plasticity behaviors. However, the reported
result about the ΔWn index only exhibits a monotonous increase
as either the stimuli frequency or pulse number increase25–29. This
cannot fully conform with the tunable increasing/flattening/
decreasing
synaptic
responses
correlated
with
the
“same”
frequency or presynaptic spike number under different amplitude
repeated stimulations in the neural circuits of the human brain. Different trends in the ΔWn index have also been done but
necessarily under “different” electrostatic pulses or optical pulses
with different wavelength16,30–33. Based on the aforementioned
mechanism, to effectively mimic the biological synapses at device
level, the device needs to strongly depend on the polarity of the
applied electric fields and possess the advantage of low power
consumption. Advance of optically and electrically stimulated
synaptic devices based on two-dimensional van der Waals layered
materials2,6,33 has been regarded as a thrilling progress in
neuromorphic applications. The
brain
is
the
main
intelligent
organ. It
has
exclusive
architecture that facilitates and executes highly energy efficient
short-term computation, long-term learning, and memorization
using the network of synapses in the neural system for data
processing. The development of the next generation of humanoid
robots and electronics is inseparably connected to the innovative
concept of emulation and reproduction of biological systems and
artificial synapse1,2. Recently, atomically thin van der Waals
materials with characteristic internal and interfacial structures,
large area development, and good charge transport behavior have
attracted substantial interest in the field of neuromorphic
engineering. The materials have enabled the development of
synaptic devices, including resistive memory, sensors, and field-
effect transistors (FETs) with various operating mechanisms such
as ferroelectric or charge-trapping layer, electrochemical memory,
and optoelectronic memory2–6. ARTICLE
OPEN
Carrier-capture-assisted optoelectronics based on van der
Waals materials to imitate medicine-acting metaplasticity Qianfan Nie1,2,9, Caifang Gao1,9, Feng-Shou Yang3,4, Ko-Chun Lee3, Che-Yi Lin3, Xiang Wang1, Ching-Hwa Ho
5, Chen-Hsin Lien4,
Shu-Ping Lin
6,7, Mengjiao Li3,4✉, Yen-Fu Lin3,7,8✉, Wenwu Li
1,2✉, Zhigao Hu1,2 and Junhao Chu1,2 Recently, researchers have focused on optoelectronics based on two-dimensional van der Waals materials to realize multifunctional
memory and neuron applications. Layered indium selenide (InSe) semiconductors satisfy various requirements as photosensitive
channel materials, and enable the realization of intriguing optoelectronic applications. Herein, we demonstrate InSe photonic
devices with different trends of output currents rooted in the carrier capture/release events under various gate voltages. Furthermore, we reported an increasing/flattening/decreasing synaptic weight change index (ΔWn) via a modulated gate electric
field, which we use to imitate medicine-acting metaplasticity with effective/stable/ineffective features analogous to the synaptic
weight change in the nervous system of the human brain. Finally, we take advantage of the low-frequency noise (LFN)
measurements and the energy-band explanation to verify the rationality of carrier capture-assisted optoelectronics applied to
neural simulation at the device level. Utilizing optoelectronics to simulate essential biomedical neurobehaviors, we experimentally
demonstrate the feasibility and meaningfulness of combining electronic engineering with biomedical neurology. npj 2D Materials and Applications (2021)5:60 ; https://doi.org/10.1038/s41699-021-00241-0 www.nature.com/npj2dmaterials Published in partnership with FCT NOVA with the support of E-MRS Device characterization and electrical/optical performances Device characterization and electrical/optical performances D ¼ R
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
S=2qIdark
p
;
(2) (2) D ¼ R
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
S=2qIdark
p
; Since InSe possesses innate ultrahigh mobility and hypersensitivity
to light, we fabricated optoelectronic devices based on layered
InSe flakes to perform electrical measurements and probe exotic
applications. Furthermore, the band gap of layered InSe trans-
forms from direct to indirect as the material changes from bulk to
a monolayer, which covers an extensive wavelength range from
near-infrared to visible light44. Such advantages make InSe a
desirable candidate for optoelectronic devices. What is more, as a
two-dimensional material, InSe has the characteristic of low power
consumption, which is further conducive to its application in the
neuromorphic system. Figure 1a illustrates a schematic sketch of
the back-gate InSe-based FET, and the optical image is shown in
Fig. 1b. For stability and charge transport enhancement, an In
layer was deposited on the top surface of the layered InSe
semiconductor34. The thickness of the as-exfoliated and selected
InSe flake, which was crudely determined by optical microscope
with the help of color contrast and precisely measured by atomic
force
microscopy
(AFM),
was
~11.6 nm
(see
Fig. 1c
and
Supplementary Fig. 1) for a better channel performance. To
further understand the characteristic of the layered InSe, Raman
spectrum was obtained by a 532 nm laser excitation (Fig. 1d). The
characteristic peaks
at ∼115,
∼178, ~199,
and ∼228 cm−1
corresponding
to
vibration
mode
of
A0
1 Γ2
1
,
E0 Γ2
1
−TO,
A00
2 Γ1
1
−LO, and A0
1 Γ3
1
, respectively, were highly consistent with
previous study45. Subsequently, we carried out photoelectric
measurements to investigate the properties of the proposed
design. The linear output characteristics (Ids −Vds) of the InSe FETs
under various gate voltages (Vbg), in Fig. 1e, indicate ohmic
contact between the metal electrodes and the InSe semiconduc-
tor capped with the In layer34. The transfer characteristics (Ids −
Vbg) at various illumination intensities of a 405-nm-wavelength
laser, swept from −80 to 80 V at Vds = 0.5 V, exhibited a high on/
off ratio of 107 and a tremendous current density of 5.58 × 10−5 A
μm−1 in the dark under a relatively low drain-source voltage (Vds),
as shown in Fig. 1f. Device characterization and electrical/optical performances Moreover, as the light power density varied
from 0 to 0.245 W cm−2, there was a distinct negative shift in the where q is the elementary charge, and revealed great uniformity
with previous reports on InSe phototransistors36,49. It should be
noted that these estimated optoelectronic parameters at a higher
Vbg were relatively smaller, which was attributed to the small
photocurrent
variation
under
the
device-saturation
regime. However, all of these Iph, R, and D* values indicated the tunability
of photoresponses, suggestively rooting in carrier-assisted InSe
optoelectronics by adjusting the gate electric field. Q. Nie et al. Responsivity (R) is defined as the photocurrent (Iph)
divided by the laser power (P) and the illumination area of the
device48 (S): threshold voltage (Vth) owing to an increase in the concentration
of photon-generated carriers36. Note that the photoelectrical
characterizations were conducted in the dark to reduce fluctua-
tions triggered by environmental disturbance. To quantitatively
analyze the dependence of the photoresponse on the illumination
intensity, the photocurrent (Iph ¼ Ilight Idark) was obtained at
different values of Vbg, with a drain-source voltage of 0.5 V, as a
function of the illumination power density (see Supplementary
Fig. 2a). Figure 1g illustrates the power law of Iph / Pα, where
P and α represent the laser power density and the exponent
factor, respectively. The correlation between Iph and P was super
linear (α > 1) at negative Vbg value and sublinear (α < 1) at positive
Vbg value. The results strongly hinted that there were trap states at
the interface between the semiconductor and the dielectric layer,
which can capture and release carriers and thereby influence
charge transport46,47. Responsivity and detectivity are two other
critical characteristics of the performance of optoelectronic InSe
devices. Responsivity (R) is defined as the photocurrent (Iph)
divided by the laser power (P) and the illumination area of the
device48 (S): R ¼ Iph=P S; (1) R ¼ Iph=P S;
(1) and is highly dependent on the Vbg value, as shown in Fig. 1h. As
the Vbg increased from −80 V to 80 V, the variation in the
responsivity with power density changed from ascent to descent. Supplementary Fig. 2b presents the extracted Iph and R values at a
fixed
Vbg = 0 V,
which
exhibits
an
inverse
trend
with
an
incremental illumination intensity, in good agreement with recent
research36. In Supplementary Fig. 2c, detectivity (D*), reflecting the
sensitivity of a photoelectric InSe FET, was estimated as48 INTRODUCTION However, there is a common but
inevitable problem in silicon substrate-based 2D electronic
devices, numerous defects on the surface of the SiO2 originating
from Si–O dangling bonds, which normally degrade either the
electrical or optical performance of the device7–11. Therefore,
modulating the external applied electric field to effectively control
the carrier capture mechanism would be a major breakthrough in
the development of artificial synaptic system12,13. p
y
p
y
Synapses with functions of short-term plasticity (STP) and long-
term plasticity (LTP), as the basic units of the human brain, and
work in each brain circuit such as the reward pathway, which is
the core pathway affected by drugs14–21. Synaptic plasticity is
defined as the change in weight of the connections between Published in partnership with FCT NOVA with the support of E-MRS Published in partnership with FCT NOVA with the support of E-MRS Q. Nie et al. Q. Nie et al. 2 The
present
study
demonstrated
carrier
capture-assisted
optoelectronics, based on a two-dimensional van der Waals
material indium selenide (InSe), comprising Si/SiO2/InSe/In layers
and Au source-drain electrodes. It is proven that our layered InSe
devices can imitate medicine-acting metaplasticity with three
types of responses (effective/stable/ineffective) under various
drug dosages. InSe, a III–VI group material with a low effective
electron mass, excellent intrinsic charge transport characteristics,
and ultrasensitive optical absorption, exhibits high on–off current
ratio, carrier mobility, and excellent photoresponse compared
with the pioneering works on other van der Waals semiconductor-
based electronic devices6,34–38. The traps on the SiO2 surface that
degrade device performances provide an opportunity to exploring
carrier capture/release events between the InSe semiconductor
and the SiO2 substrate by controlling electric field and applying
optical pulses7,8,39–41. Therefore, we achieved a strong gate-
dependent persistent photocurrent and an increasing/flattening/
decreasing ΔWn index, to successfully mimic the significant
synaptic plasticity and drug response by positive/zero/negative
correlations with “same” frequency and number of drug stimuli. Finally, the underlying mechanisms in terms of carrier capturing/
releasing characteristics were comprehensively illustrated and
proved in detail by energy band and low-frequency noise (LFN)
analysis34,42,43. In our work, we developed a drug dosage
modulator utilizing InSe optoelectronics, which represents a
significant
step
toward
achieving
the
next
generation
of
nanoelectronic devices based on artificial intelligence. threshold voltage (Vth) owing to an increase in the concentration
of photon-generated carriers36. Note that the photoelectrical
characterizations were conducted in the dark to reduce fluctua-
tions triggered by environmental disturbance. To quantitatively
analyze the dependence of the photoresponse on the illumination
intensity, the photocurrent (Iph ¼ Ilight Idark) was obtained at
different values of Vbg, with a drain-source voltage of 0.5 V, as a
function of the illumination power density (see Supplementary
Fig. 2a). Figure 1g illustrates the power law of Iph / Pα, where
P and α represent the laser power density and the exponent
factor, respectively. The correlation between Iph and P was super
linear (α > 1) at negative Vbg value and sublinear (α < 1) at positive
Vbg value. The results strongly hinted that there were trap states at
the interface between the semiconductor and the dielectric layer,
which can capture and release carriers and thereby influence
charge transport46,47. Responsivity and detectivity are two other
critical characteristics of the performance of optoelectronic InSe
devices. Published in partnership with FCT NOVA with the support of E-MRS Mechanism of gate-modulated synaptic response a Schematic sketch of the back-gate InSe-based
device. b Optical image of the multilayered InSe device. Scale bar: 10 μm. c Height profile of the layered InSe channel. d Raman spectrum of
the InSe flake with an excitation wavelength of 532 nm. e Output characteristics of the InSe device tested in the dark at various Vbg. f Transfer
characteristics at different illumination intensities of a 405-nm laser at Vds = 0.5 V. g The extracted α value as a function of Vbg. h Responsivity
(R) of the InSe device as a function of the laser power density under diverse Vbg with Vds = 0.5 V. presynaptic membrane to the synaptic space. They work by
binding to receptors on the postsynaptic membrane, and are
transported back to the pre-neurons with the aid of special
transporters, after which the reward pathway provides positive
feedback such as a feeling of wellbeing to patients. Namely, a
beneficial medicine-acting reaction can be achieved and the health
of the patient will get better and better and eventually reach
saturation to recovery after repeated medication in adequate
dosage. Whereas, a low or ultralow drug dosage stimulates the
release of low levels of neurotransmitters and few changes in
the postsynaptic membrane response17. The consequence for the
human brain is that different drug doses (adequate/low/ultralow)
give rise to three kinds of medicine-acting metaplasticity: effective,
stable, and ineffective drug reactions. The results suggest that our
proposed InSe optoelectronics have the potential to imitate
medicine-acting metaplasticity by virtue of the operating gate
electric field, as discussed in detail later. release/transport of neurotransmitters in the synapse16, provides
the support for imitating essential synaptic plasticity behaviors
including drug dosage reward-related metaplasticity. As presented
in Fig. 2a, we applied a series of light pulses with the same laser
wavelength, power density, and pulse width to mimic the action of
a patient taking the same kind of drug, wherein the various gate
electric fields served as different drug dosages. That is to say that
positive/zero/negative bias represented ultralow/low/adequate
drug dosages, respectively. In addition, the increasing optical
spike frequency/pulse numbers are analogous to the frequency/
number of the drug taking, and the output device current can be
taken as both a reward-related postsynaptic current (PSC) and a
reward pathway response after drug stimulations or therapy. Mechanism of gate-modulated synaptic response To obtain a better understanding of the photoelectrical properties
of InSe devices, we examined the performances under various
gate voltages, Vbg. As shown in Fig. 2a, we plotted the temporal
responses of an InSe-based phototransistor under the following
conditions: 405-nm wavelength and 0.245-W cm−2 power density,
and Vbg values of −80, −40, 0, 40, and 80 V. Notably, the current
decayed slower at lower Vbg values after the light was turned off
and generated a persistent current at negative gate bias and a
very fast decay time at positive Vbg. Hypothetically, strong gate-
modulated photoresponses benefit from significant carrier cap-
ture/release events at the interface between the InSe semicon-
ductor and the SiO2 substrate. Further proof of this was provided
by inserting another layered material comprising hexagonal boron
nitride (h-BN) with free-dangling bonds into the InSe/SiO2
interface (see Supplementary Fig. 3). Obviously, InSe phototran-
sistors based on an h-BN/SiO2 substrate have markedly a shorter
relaxation time than phototransistors with SiO2 alone as the
substrate50,51. It is noted that the dangling Si–O bonds at the
substrate surface play a crucial role in our carrier capture-assisted
process. The dangling Si–O bonds allow gate electric field to
regulate the Fermi level on the surface of the InSe semiconductor,
which facilitate carriers to be captured from the InSe channel to
the SiO2 surface under positive Vbg and be released back under
negative Vbg. The phenomenon of channel conductance change
caused by carrier release/capture processes, in line with the Published in partnership with FCT NOVA with the support of E-MRS npj 2D Materials and Applications (2021) 60 Q. Nie et al. ig. 1
Characterization, electrical and optical properties of multilayered InSe device. a Schematic sketch of the back-gate InSe-bas
device. b Optical image of the multilayered InSe device. Scale bar: 10 μm. c Height profile of the layered InSe channel. d Raman spectrum
he InSe flake with an excitation wavelength of 532 nm. e Output characteristics of the InSe device tested in the dark at various Vbg. f Transf
haracteristics at different illumination intensities of a 405-nm laser at Vds = 0.5 V. g The extracted α value as a function of Vbg. h Responsiv
R) of the InSe device as a function of the laser power density under diverse Vbg with Vds = 0.5 V. Q. Nie et al. 3 Fig. 1
Characterization, electrical and optical properties of multilayered InSe device. Published in partnership with FCT NOVA with the support of E-MRS npj 2D Materials and Applications (2021) 60 Medicine-acting synaptic plasticity emulation PSC change induced by the presynaptic spike to the initial current
level) under various pulse widths at the same power density of
0.245 W cm−2. When the pulse width was modified from 0.05 to
10 s, the strength of the PSC and the value of ΔW1 enhanced
gradually. We observed similar results following an increase in the
illumination intensity at a fixed stimulation duration of 500 ms, as
shown in Fig. 3d. Therefore, the amplitude of persistent Iph is able
to be effectively tuned by varying the width and power of the
laser pulse because of various channel conductance in InSe
optoelectronics, which can mimic the synaptic plasticity events
that occur during treatment with different types of medication. In view of the aforementioned research and the discussion of the
gate voltage regulation of the photoresponse and the neuror-
egulatory mechanism of drug dose in patients, we further verified
that the artificial InSe-based devices are capable of imitating
synaptic behavior. Synapses, as a bridge between neurons,
transmit information by releasing and receiving neurotransmitters,
which
stimulates
postsynaptic
neurons
to
generate
action
potentials, leading to metaplasticity. Synaptic plasticity (i.e., STP
and LTP) characterizes changes in the strength of synaptic weight
aroused by memorization events16,18 and is manifested in the
ability of the brain to learn and memorize the drug efficacy. To
emulate experimentally STP and LTP behaviors in the InSe device,
we adopted a 405-nm-wavelength laser and measured under Vbg
= −40 V and Vds = 0.5 V. Figure 3a, b records the PSCs in the InSe
photoelectronic device illuminated by a series of laser pulses
during an exposure cycle of 20 s (serving as presynaptic spikes or
drug stimuli) at frequencies of 0.2 and 1 Hz, respectively. In our
measurements, the laser power density was kept constant as
0.245 W cm−2 and the pulse width was 500 ms. In Fig. 3a, at the
low frequency, it can be seen that the PSC decreased abruptly
from 7.9 nA to a steady state value of 4.9 nA after the presynaptic
spikes, causing STP behavior. Note that although STP means that
the PSC return toward the initial value after the termination of
stimulus within a short time, it eventually converges to a certain
value that may not accord with the initial one as well. In order to
make the effect of presynaptic stimulus more significant, we
ultimately adopted above result. Mechanism of gate-modulated synaptic response In the
human brain, the reward pathway is an indispensable neural
circuit, in which drugs mainly act through controlling the
transmission of dopamine and other neurotransmitters24. When a
drug stimulates and activates the reward pathway in patient’s
brain, the appropriate neurotransmitters are released from the release/transport of neurotransmitters in the synapse16, provides
the support for imitating essential synaptic plasticity behaviors
including drug dosage reward-related metaplasticity. As presented
in Fig. 2a, we applied a series of light pulses with the same laser
wavelength, power density, and pulse width to mimic the action of
a patient taking the same kind of drug, wherein the various gate
electric fields served as different drug dosages. That is to say that
positive/zero/negative bias represented ultralow/low/adequate
drug dosages, respectively. In addition, the increasing optical
spike frequency/pulse numbers are analogous to the frequency/
number of the drug taking, and the output device current can be
taken as both a reward-related postsynaptic current (PSC) and a
reward pathway response after drug stimulations or therapy. In the
human brain, the reward pathway is an indispensable neural
circuit, in which drugs mainly act through controlling the
transmission of dopamine and other neurotransmitters24. When a
drug stimulates and activates the reward pathway in patient’s
brain, the appropriate neurotransmitters are released from the npj 2D Materials and Applications (2021) 60 Published in partnership with FCT NOVA with the support of E-MRS Fig. 2
Gate voltage-dependent electrical property and schematic diagram of the synaptic response mechanism. a Drain-source currents
(Ids) of the InSe synaptic device at gate voltages of −80, −40, 0, 40, and 80 V and drain-source voltage of 0.5 V. b Schematic diagram illustrating
the synaptic response mechanism and three outcomes of drug action in the nervous system. Used with permission from Guangzhou
Inmagine Information Technology Co., Ltd, China, and Licensor (Seal) Shanghai Tuchong Network Technology Co., Ltd, China. Q. Nie et al. Q. Nie et al. Q. Nie et al. Q. Nie et al. 4 Fig. 2
Gate voltage-dependent electrical property and schematic diagram of the synaptic response mechanism. a Drain-source currents
(Ids) of the InSe synaptic device at gate voltages of −80, −40, 0, 40, and 80 V and drain-source voltage of 0.5 V. b Schematic diagram illustrating
the synaptic response mechanism and three outcomes of drug action in the nervous system. Mechanism of gate-modulated synaptic response Used with permission from Guangzhou
Inmagine Information Technology Co., Ltd, China, and Licensor (Seal) Shanghai Tuchong Network Technology Co., Ltd, China. npj 2D Materials and Applications (2021) 60 Published in partnership with FCT NOVA with the support of E-MRS Medicine-acting synaptic plasticity emulation By contrast, when the InSe
synaptic device was stimulated by high-frequency presynaptic
spikes, the amplitude of the PSC slowly recovered stability and
maintained a higher current value of 12.3 nA, shown in Fig. 3b. Therefore, we concluded that the relatively high-frequency drug
stimulus exaggerated the changes in the synaptic weight, giving
rise to an LTP behavior and a better persistent treatment effect. Figure 3c exhibits the channel current of the InSe synaptic device
and the calculated weight variation of the PSC (ΔW1: the ratio of g
y
Paired-pulse facilitation (PPF) is another crucial manifestation of
STP. It relates to the recognition and decoding of temporal
information about the drug stimulus and represents the synaptic
responses which can be strengthened by the effects of two
successive presynaptic spikes1,52,53. PPF was emulated in the InSe
device to explore dynamic synaptic plasticity as well. Two identical
laser pulses (power intensity 0.245 W cm−2, exposure duration
500 ms, Vbg 40 V) were applied, and the pulse interval (Δt) ranged
from 0.7 to 3.5 s. The PPF-like behavior was remarkably observed,
in Fig. 3e, and the PPF ratio (ΔW2, ΔWn represents the percentage
of the postsynaptic responses triggered by the nth to 1st input
spikes, where n is greater than 1) grew to saturation as Δt
increased. Moreover, a similar phenomenon occurred when ten
sequential presynaptic spikes impinged on the artificial InSe
synapse, at the same light power density, spike duration, and Vbg
condition. As the frequency increased, the PSC gain (ΔW10) faded
in Fig. 3f. Such observations differ from those reported in most
studies on PPF, but have been validated in the human brain39,53,
and attributed to the release of the captured carriers at the InSe/
SiO2 interface under the negative Vbg. Therefore, the increased
pulse interval facilitated the charges in the InSe channel, which
resulted in higher values for the PSC, the PPF ratio, and the PSC
gain. The results corresponded to an improvement of the
medicine-acting effect with a relative ascent in the interval
following
the
administration
of
the
adequate
dose
of
a Published in partnership with FCT NOVA with the support of E-MRS Q. Nie et al. 5 Fig. 3
Synaptic plasticity of the InSe-based device. Medicine-acting synaptic plasticity emulation The amplitudes and weight variations (ΔW1) of the postsynaptic current (PSC) under different c presynaptic pulse widths
increasing from 0.05 to 10 s and d illumination intensity ranging from 10−6 to 0.245 W cm−2. e Paired-pulse facilitation (PPF) emulated by two
identical presynaptic spikes (power intensity of 0.245 W cm−2, exposure duration of 500 ms) and PPF ratio as a function of pulse interval (Δt). f PSC response triggered by a series of ten presynaptic spikes and the weight change of PSC (ΔW10) as a function of frequency. Note that all
results were done at Vbg = −40 V and Vds = 0.5 V. weight enhanced and then stabilized at Vbg of −80 and −40 V
with the incremental pulse number, in close accordance with
effective treatment by administering the drug at an adequate
dosage exhibited in Fig. 2b. However, when a positive bias (i.e., Vbg
of 40, 60, and 80 V) was applied to the gate electrode, the ΔWn
followed a reverse tendency, which was similar to the ineffective
drug efficacy at a low dosage. Besides, as the Vbg increased, the
decay of ΔWn became more prominent. Such a phenomenon
profits from the release of the trapped charges at negative Vbg
values, and the capture of the charges at the interface between
the InSe and SiO2 at positive Vbg values. At Vbg = 0 V, few carriers
were trapped or detrapped, and the synaptic weight barely
changed, which was analogous to stable treatment. Accordingly,
the gate voltage, serving as the dosage of the drug, can
dynamically imitate the effective/stable/ineffective drug responses
in a patient (in Fig. 2b), meanwhile a higher drug stimulus
frequency and a greater number of spikes causes a deeper degree
of medicine-acting response. medication. Conversely, the frequent use drugs reduced the
treatment efficacy. To systematically investigate the dependency of synaptic
activity on the modulation of the gate voltage as well as to
realize the medicine-acting effect, we further measured the
metaplasticity in the InSe optoelectronic devices by varying Vbg
from −80 to 80 V. Combining Fig. 4a and Supplementary Figs. 5–8,
it can be appreciated that the amplitude of PSC obviously
increased at a negative Vbg and dropped off at a positive Vbg,
which corresponded to the two reactions (i.e., effective and
ineffective drug use) under adequate and ultralow drug doses. Published in partnership with FCT NOVA with the support of E-MRS Medicine-acting synaptic plasticity emulation a Short-term plasticity (STP) and b long-term plasticity (LTP) behavior of the InSe
optoelectronic synapse illuminated by a 405-nm laser with a pulse width of 500 ms, a power density of 0.245 W cm−2, and frequency of 0.2 Hz
(STP) and 1 Hz (LTP). The amplitudes and weight variations (ΔW1) of the postsynaptic current (PSC) under different c presynaptic pulse widths
increasing from 0.05 to 10 s and d illumination intensity ranging from 10−6 to 0.245 W cm−2. e Paired-pulse facilitation (PPF) emulated by two
identical presynaptic spikes (power intensity of 0.245 W cm−2, exposure duration of 500 ms) and PPF ratio as a function of pulse interval (Δt). f PSC response triggered by a series of ten presynaptic spikes and the weight change of PSC (ΔW10) as a function of frequency. Note that all
results were done at Vbg = −40 V and Vds = 0.5 V. . 3
Synaptic plasticity of the InSe-based device. a c plasticity of the InSe-based device. a Short-term Fig. 3
Synaptic plasticity of the InSe-based device. a Short-term plasticity (STP) and b long-term plasticity (LTP) behavior of the InSe
optoelectronic synapse illuminated by a 405-nm laser with a pulse width of 500 ms, a power density of 0.245 W cm−2, and frequency of 0.2 Hz
(STP) and 1 Hz (LTP). The amplitudes and weight variations (ΔW1) of the postsynaptic current (PSC) under different c presynaptic pulse widths
increasing from 0.05 to 10 s and d illumination intensity ranging from 10−6 to 0.245 W cm−2. e Paired-pulse facilitation (PPF) emulated by two
identical presynaptic spikes (power intensity of 0.245 W cm−2, exposure duration of 500 ms) and PPF ratio as a function of pulse interval (Δt). f PSC response triggered by a series of ten presynaptic spikes and the weight change of PSC (ΔW10) as a function of frequency. Note that all
results were done at Vbg = −40 V and Vds = 0.5 V. Fig. 3
Synaptic plasticity of the InSe-based device. a Short-term plasticity (STP) and b long-term plasticity (LTP) behavior of the InSe
optoelectronic synapse illuminated by a 405-nm laser with a pulse width of 500 ms, a power density of 0.245 W cm−2, and frequency of 0.2 Hz
(STP) and 1 Hz (LTP). Medicine-acting synaptic plasticity emulation These opposite variations caused by the reversed electric field
polarities in the PSC are also highlighted in Supplementary Fig. 4. Furthermore, the presynaptic pulses of various frequencies with
illumination cycles of 20 s were applied at each gate voltage
conditions (−80, −40, 0, 40, and 80 V). The observations suggest
that the presynaptic spike frequency steered the degree of
variation in synaptic weight (ΔWn). For convenient comparison, we
stored the synaptic weight in a 3 × 3 matrix and utilized the
elements to represent different Vbg values plotted in Fig. 4b. The
results recorded in Fig. 4c show that when the pulse frequency
ranged from 0.2 to 1.25 Hz in exposure cycles of 20 s, ΔWn
gradually increased at negative Vbg values, became flat at zero
bias and decreased at positive voltages respectively. Apart from
varying pulse frequencies, the number of pulses can also be used
to modify the updating of synaptic weight as shown in Fig. 4d and
Supplementary Fig. 9. The InSe-based synapse was triggered by
~100 presynaptic spikes with the pulse frequency of 1 Hz under
different gate voltages. We recorded the PSCs and calculated the
corresponding ΔWn value, which indicated that the synaptic Carrier fluctuations mechanism of InSe-based synapse What is noteworthy is that the
normalized SI independent of Vds suggested that the LFN
originated from the InSe/SiO2 interface, rather than from the
contact barriers between the source/drain electrodes and the InSe
channel34. This
corroborated
by
the
highly
linear
output
characteristics in Fig. 1e, which exhibits good Ohmic contact
behavior. Moreover, it is remarkable that effective trap density (Nit)
at a fixed frequency can be characterized using the formula
Nit / SI
g2
m, where gm is the transconductance. And the formula is
determined by the carrier number (CNF) model based on carrier
capturing and releasing events near the dielectric/semiconductor
interface. Hence, the Nit depends heavily on the gate electric field
owing to gate bias-modulated gm
42,43. Combining with Fig. 5a and
Supplementary Fig. 3, we can conclude that the gate voltage-
modulated metaplasticity
and the
ΔWn
characteristics
with
opposite trends are derived from carrier capturing/releasing
events, as well as from the Nit variations between the InSe
semiconductor and the SiO2 substrate. We further described the
dynamic floating process, and used energy-band diagrams to
elucidate the functional mechanism underlying the InSe synaptic
optoelectronics in Fig. 5c, d, respectively. When we applied a
positive Vbg to the InSe optoelectronics, the energy band of the
InSe surface bent downward, which caused more carriers to travel from the channel to the InSe/SiO2 interface where they were
captured by the interface trap states. It is a remarkable fact that
the traps multiplied sharply with more positive Vbg on account of
a higher position of the Fermi level in the InSe. Furthermore, with
increasing amounts of light stimulation, a greater number of the
carriers were trapped, shielding the effect of the effective gate
electric field, and then leading to a more obvious reduction of Ids
in the InSe channel, as exhibited in Supplementary Fig. 10. On the
contrary, the captured carriers were released from the SiO2 surface
with a negative Vbg, implementing an increase synaptic weight
change (ΔWn), which profited from an ever-larger PSC triggered by
a series of light stimuli training. Above this all, our InSe-based
optoelectronics
with
gate-modulated
photoresponses
could
successfully imitate effective/stable/ineffective medicine-acting
metaplasticity, as shown in Fig. 2b. To summarize, we demonstrated a carrier-capture-assisted InSe
optoelectronic device and successfully imitated medicine-acting
metaplasticity with aid of the strong dependence on polarity of
the applied electric fields. Carrier fluctuations mechanism of InSe-based synapse Carrier fluctuations mechanism of InSe based synapse
For a more intuitive comprehension of the mechanism underlying
the carrier fluctuations in InSe optoelectronics, we carried out
systematic dynamic characteristic measurements under various
conditions. Figure 5a indicates the power spectral map of the
current fluctuations (SI) at various Vbg as a function of frequency. As the measurement frequency increased from 10 to 104 Hz and
gate voltage came to the more positive value, SI was gradually
aggrandized. Besides,
the
variations
of
SI
with
increasing
frequency at Vbg = −40, 0, 40 V and with increasing Vbg at a fixed
frequency of 20 Hz were highlighted in the inset at the bottom Published in partnership with FCT NOVA with the support of E-MRS npj 2D Materials and Applications (2021) 60 Q. Nie et al. 4
Metaplasticity in the InSe synaptic devices under various frequencies and numbers of presynaptic spikes. a PSC generated by
synaptic illumination with a 405-nm laser (0.245 W cm−2, 500 ms) with diverse frequencies of 0.2, 0.25, 0.4, 0.5, 1, and 1.25 Hz, at Vbg =
0 V. b Diagram showing different gate voltages represented by elements of the matrix. c Maps for weight change of the PSC (ΔWn) under
ous Vbg at the aforementioned frequencies. d PSC responses triggered by a train of 100 presynaptic spikes and the corresponding ΔWn
der different Vbg ranging from −80 to 60 V. 6 Fig. 4
Metaplasticity in the InSe synaptic devices under various frequencies and numbers of presynaptic spikes. a PSC generated by
presynaptic illumination with a 405-nm laser (0.245 W cm−2, 500 ms) with diverse frequencies of 0.2, 0.25, 0.4, 0.5, 1, and 1.25 Hz, at Vbg =
−40 V. b Diagram showing different gate voltages represented by elements of the matrix. c Maps for weight change of the PSC (ΔWn) under
various Vbg at the aforementioned frequencies. d PSC responses triggered by a train of 100 presynaptic spikes and the corresponding ΔWn
under different Vbg ranging from −80 to 60 V. and right of Fig. 5a, respectively. Among which, the SI curves
under each gate voltage were consistent with the representative
ideal 1/f signal, revealing that carrier capture or scattering was
uniformly distributed both in terms of space and energy. The SI
was further normalized by the square of the Ids at various Vds
values, as shown in Fig. 5b. Published in partnership with FCT NOVA with the support of E-MRS npj 2D Materials and Applications (2021) 60 Characterizations dosages at the device level, corresponding to ascending/flatten-
ing/descending ΔWn indexes under negative/zero/positive bias,
respectively. In addition, the LFN measurements further illustrated
that the tunable metaplasticity and ΔWn variation trend originated
from carrier capturing/releasing. Therefore, the proposed synaptic
optoelectronics could pave the way for a connection between
electronics and neurology. The layer thickness was determined through AFM system (Dimension Icon,
Bruker), and the morphology of the InSe FET was identified via optical
microscopy (Olympus, BX51M). Raman spectra were measured by Raman
microscope (Jobin Yvon LabRAM HR Evolution, Horiba) with an excitation
laser of 532 nm. Carrier fluctuations mechanism of InSe-based synapse In our work, the InSe transistor achieved
excellent electronical and photoelectrical properties due to the
high mobility, optical sensitivity, and low power consumption. In
addition, the STP, LTP, and PPF behaviors tuned by the photic
stimulus emulated the drug-related synaptic plasticity of the
human brain. Owing to the trap capture/release characteristics of
the interface between the InSe semiconductor and the SiO2
dielectric layer, the highly gate-modulated photoresponse sup-
ported
the
emulation
of
effective/stable/ineffective
features
triggered by repeated drug stimuli with adequate/low/ultralow Published in partnership with FCT NOVA with the support of E-MRS npj 2D Materials and Applications (2021) 60 Q. Nie et al. 7 Mechanism of carrier fluctuations and energy-band diagrams. a Power spectral map of the current fluctuations (SI) at different Vbg as
ction of frequency, the curves of SI versus frequency at Vbg = −40, 0, and 40 V are listed at the bottom and the SI–Vbg curve at 20 Hz is
ed on the right. b Normalized SI as a function of frequency at diverse Vds and Vbg = 40 V. c Schematic of the trapping/detrapping events at
nterface between the InSe semiconductor and the SiO2 layer. d Energy-band diagrams of the carrier capture and release process. Note the
sponding band diagrams of the InSe-based synaptic device under light illumination are shown in the Supplementary Information. Fig. 5
Mechanism of carrier fluctuations and energy-band diagrams. a Power spectral map of the current fluctuations (SI) at different Vbg as
a function of frequency, the curves of SI versus frequency at Vbg = −40, 0, and 40 V are listed at the bottom and the SI–Vbg curve at 20 Hz is
plotted on the right. b Normalized SI as a function of frequency at diverse Vds and Vbg = 40 V. c Schematic of the trapping/detrapping events at
the interface between the InSe semiconductor and the SiO2 layer. d Energy-band diagrams of the carrier capture and release process. Note the
corresponding band diagrams of the InSe-based synaptic device under light illumination are shown in the Supplementary Information. Electrical properties The electrical characterizations of optoelectronic devices based on
multilayer InSe were performed by using a semiconductor parameter
analyzer (Keithley, 4200-SCS) under a high vacuum condition to avoid
channel oxidation6. Note that all the electrical behaviors of the InSe
devices were determined in darkness to reduce fluctuations due to the
environmental perturbations. The photoresponses of the devices were
carried out using an adjustable laser driver system (Thorlabs, ITC4001). All
the measurements were obtained at room temperature. Device fabrication Atomically layered InSe flakes were mechanically exfoliated from the bulk
crystal using the conventional Scotch tape method and transferred to a p+
silicon substrate capped with a 300 nm oxide dielectric SiO2 layer. The p+
silicon substrate served as a back-gate. Subsequently, an In layer with a
thickness of 30 nm was intentionally deposited on the top surface of a
multilayered InSe film as a doping/packed layer. It should be emphasized
that the surface morphology of the deposited In doping/packed layer
shows inconsecutive film, displaying ignorable contributions to conducting
paths for charge transport. Drain-source electrodes (Au) were fabricated by
thermal evaporation using a shadow mask. The detail of the device
fabrication was given elsewhere34. DATA AVAILABILITY
Data are available on request from the authors. DATA AVAILABILITY
Data are available on request from the authors. Published in partnership with FCT NOVA with the support of E-MRS REFERENCES 32. Arnold, A. J. et al. Mimicking neurotransmitter release in chemical synapses via
hysteresis engineering in MoS2 transistors. ACS Nano 11, 3110 (2017). 1. John, R. A. et al. Flexible ionic-electronic hybrid oxide synaptic TFTs with pro-
grammable dynamic plasticity for brain-inspired neuromorphic computing. Small
13, 1701193 (2017). 33. Ahmed, T. et al. Optically stimulated artificial synapse based on layered black
phosphorus. Small 15, 1900966 (2019). 34. Li, M. et al. High mobilities in layered inse transistors with indium-encapsulation-
induced surface charge doping. Adv. Mater. 30, 1803690 (2018). 2. Seo, S. et al. Artificial van der Waals hybrid synapse and its application to acoustic
pattern recognition. Nat. Commun. 11, 3936 (2020). 35. Chen, F. et al. Lattice vibration characteristics in layered InSe films and the
electronic behavior of field-effect transistors. Nanotechnology 31, 335702 (2020). Li, J. et al. Symmetric ultrafast writing and erasing speeds in qua 3. Li, J. et al. Symmetric ultrafast writing and erasing speeds in quasi-nonvolatile
memory via van der Waals heterostructures. Adv. Mater. 31, 1808035 (2019). memory via van der Waals heterostructures. Adv. Mater. 31, 1808 36. Tamalampudi, S. R. et al. High performance and bendable few-layered InSe
photodetectors with broad spectral response. Nano Lett. 14, 2800–2806 (2014). 4. Mukherjee, B. et al. Laser‐assisted multilevel non‐volatile memory device based
on 2D van‐der‐Waals few‐layer‐ReS2/h‐BN/graphene heterostructures. Adv. Funct. Mater. 30, 2001688 (2020). 37. Chen, L. et al. Ultrasensitive and robust two-dimensional indium selenide flexible
electronics and sensors for human motion detection. Nano Energy 76, 105020
(2020). 5. Hong, S. et al. Complementary type ferroelectric memory transistor circuits with
P‐ and N‐channel MoTe2. Adv. Electron. Mater. 6, 2000479 (2020). 38. Chen, L. et al. Ultrasensitive flexible strain sensor based on two-dimensional InSe
for human motion surveillance. In: 2019 IEEE International Electron Devices
Meeting (IEDM), 26.26.1–26.26.4 (IEEE, 2019). 6. Yang, F. S. et al. Oxidation-boosted charge trapping in ultra-sensitive van der
Waals materials for artificial synaptic features. Nat. Commun. 11, 2972 (2020). 7. Clement, N., Nishiguchi, K., Fujiwara, A. & Vuillaume, D. One-by-one trap activa-
tion in silicon nanowire transistors. Nat. Commun. 1, 92 (2020). 39. Lee, K.-C. et al. Inverse paired-pulse facilitation in neuroplasticity based on
interface-boosted charge trapping layered electronics. Nano Energy 77, 105258
(2020). 8. Pak, J. et al. Trapped charge modulation at the MoS2/SiO2 interface by a lateral
electric field in MoS2 field-effect transistors. Nano Futures 3, 011002 (2019). 40. Choi, M. S. et al. ACKNOWLEDGEMENTS This work was financially supported by the National Key Research and Development
Program of China (Grant No. 2016YFB0501604), the National Natural Science
Foundation of China (Grant Nos 61774061 and 61504043), the NSAF Foundation of
China (Grant No. U1830130), the Natural Science Foundation of Shanghai (Grant No. 19ZR1473400), and the Taiwan Ministry of Science and Technology (Grant Nos MOST
109-2221-E-005-011- and 109-2112-M-005-013-MY3). The authors wish to acknowl-
edge Dr Wei-Ju Lee, attending physician of Neurological Institute, Taichung Veterans
General Hospital, Taiwan, for his generous help in interpreting the significance of the
results of this study. This work was financially supported by the National Key Research and Development
Program of China (Grant No. 2016YFB0501604), the National Natural Science
Foundation of China (Grant Nos 61774061 and 61504043), the NSAF Foundation of
China (Grant No. U1830130), the Natural Science Foundation of Shanghai (Grant No. 19ZR1473400), and the Taiwan Ministry of Science and Technology (Grant Nos MOST
109-2221-E-005-011- and 109-2112-M-005-013-MY3). The authors wish to acknowl-
edge Dr Wei-Ju Lee, attending physician of Neurological Institute, Taichung Veterans
General Hospital, Taiwan, for his generous help in interpreting the significance of the
results of this study. 23. Martins, D., Mehta, M. A. & Prata, D. The “highs and lows” of the human brain on
dopaminergics: Evidence from neuropharmacology. Neurosc. Biobehav. Rev. 80,
351–371 (2017). 24. Wise, R. A. Drug-activation of brain reward pathways. Drug Alcohol Depend. 51,
13–22 (1998). 25. Shim, H. et al. Stretchable elastic synaptic transistors for neurologically integrated
soft engineering systems. Sci. Adv. 5, eaax4961 (2019). 26. Wang, K. et al. Light-stimulated synaptic transistors fabricated by a facile solution
process based on inorganic perovskite quantum dots and organic semi-
conductors. Small 15, 1900010 (2019). 27. Kwon, S. M. et al. Environment-adaptable artificial visual perception behaviors
using a light-adjustable optoelectronic neuromorphic device array. Adv. Mater. 31, 1906433 (2019). REFERENCES et al. Photodetectors based on graphene, othe materials and hybrid systems. Nat. Nanotechnol. 9, 780–793 (2014) 16. Wang, Y. et al. Photonic synapses based on inorganic perovskite quantum dots
for neuromorphic computing. Adv. Mater. 30, 1802883 (2018). 49. Zhao, Q. et al. The role of traps in the photocurrent generation mechanism in thin
InSe photodetectors. Mater. Horiz. 7, 252–262 (2020). InSe photodetectors. Mater. Horiz. 7, 252–262 (2020). 17. Di Chiara, G. Drug addiction as dopamine-dependent associative learning dis-
order. Eur. J. Pharmacol. 375, 13–30 (1999). 50. Wu, Y. C. et al. Extrinsic origin of persistent photoconductivity in monolayer MoS2
field effect transistors. Sci. Rep. 5, 11472 (2015). 18. Ohno, T. et al. Short-term plasticity and long-term potentiation mimicked in
single inorganic synapses. Nat. Mater. 10, 591–595 (2011). 51. Peimyoo, N. et al. Laser-writable high-k dielectric for van der Waals nanoelec-
tronics. Sci. Adv. 5, eaau0906 (2015). 19. Sangwan, V. K. et al. Multi-terminal memtransistors from polycrystalline mono-
layer molybdenum disulfide. Nature 554, 500–504 (2018). 52. Duan, N. et al. An electro-photo-sensitive synaptic transistor for edge neuro-
morphic visual systems. Nanoscale 11, 17590–17599 (2019). 20. Costenla, A. R., Cunha, R. A. & de Mendonca, A. Caffeine, adenosine receptors, and
synaptic plasticity. J. Alzheimer’s Dis. 20, S25–S34 (2010). 53. Wang, J. H. & Kelly, P. T. Attenuation of paired-pulse facilitation associated with
synaptic potentiation mediated by postsynaptic mechanisms. J. Neurophysiol. 78,
2707–2716 (1997). synaptic plasticity. J. Alzheimer’s Dis. 20, S25–S34 (2010). 21. Fagen, Z. M., Mansvelder, H. D., Keath, J. R. & McGehee, D. S. Short- and long-term
modulation of synaptic inputs to brain reward areas by nicotine. Ann. N. Y. Acad. Sci. 1003, 185–195 (2003). 22. Kvarta, M. D., Harris-Warrick, R. M. & Johnson, B. R. Neuromodulator-evoked
synaptic metaplasticity within a central pattern generator network. J. Neurophy-
siol. 108, 2846–2856 (2012). DATA AVAILABILITY Received: 14 December 2020; Accepted: 13 May 2021; npj 2D Materials and Applications (2021) 60 Published in partnership with FCT NOVA with the support of E-MRS Q. Nie et al. 8 REFERENCES Controlled charge trapping by molybdenum disulphide and
graphene in ultrathin heterostructured memory devices. Nat. Commun. 4, 1624
(2013). 9. Guo, Y. et al. Charge trapping at the MoS2-SiO2 interface and its effects on the
characteristics of MoS2 metal-oxide-semiconductor field effect transistors. Appl. Phys. Lett. 106, 103109 (2015). 41. Lee, J. et al. Monolayer optical memory cells based on artificial trap-mediated
charge storage and release. Nat. Commun. 8, 14734 (2017). 10. Li, Q., Zhou, Q., Shi, L., Chen, Q. & Wang, J. Recent advances in oxidation and
degradation mechanisms of ultrathin 2D materials under ambient conditions and
their passivation strategies. J. Mater. Chem. A 7, 4291–4312 (2019). 42. Lin, Y. F. et al. Origin of noise in layered MoTe2 transistors and its possible use for
environmental sensors. Adv. Mater. 27, 6612–6619 (2015). 11. Kang, K. et al. Graphene-assisted antioxidation of tungsten disulfide monolayers:
substrate and electric-field effect. Adv. Mater. 29, 1603898 (2017). 43. Lee, J. W. et al. Sidewall crystalline orientation effect of post-treatments for a
replacement metal gate bulk fin field effect transistor. ACS Appl. Mater. Inter. 5,
8865–8868 (2013). 12. Yoon, J. H. et al. An artificial nociceptor based on a diffusive memristor. Nat. Commun. 9, 417 (2018). 44. Mudd, G. W. et al. Tuning the bandgap of exfoliated InSe nanosheets by quantum
confinement. Adv. Mater. 25, 5714–5718 (2013). 13. Feng, G. et al. A sub-10 nm vertical organic/inorganic hybrid transistor for pain-
perceptual and sensitization-regulated nociceptor emulation. Adv. Mater. 32,
1906171 (2020). 45. Lei, S. D. et al. Evolution of the electronic band structure and efficient photo-
detection in atomic layers of InSe. ACS Nano 8, 1263–1272 (2014). 5. Lei, S. D. et al. Evolution of the electronic band structure and 14. Bi, G. Q. & Poo, M. M. Synaptic modifications in cultured hippocampal neurons:
dependence on spike timing, synaptic strength, and postsynaptic cell type. J. Neurosci. 18, 10464–10472 (1998). 46. Yin, L. et al. Ultrafast and ultrasensitive phototransistors based on few-layered
HfSe2. Appl. Phys. Lett. 109, 213105 (2016). 47. Liao, F. et al. A dual-gate MoS2 photodetector based on interface coupling effect. Small 16, 1904369 (2020). 15. Lauri, S. E. et al. Presynaptic mechanisms involved in the expression of STP
and UP at CA1 synapses in the hippocampus. Neuropharmacology 52, 1–11
(2007). 48. Koppens, F. H. et al. Photodetectors based on graphene, other two-dimensional
materials and hybrid systems. Nat. Nanotechnol. 9, 780–793 (2014). 48. Koppens, F. H. Q. Nie et al. 9 ADDITIONAL INFORMATION Supplementary information The online version contains supplementary material
available at https://doi.org/10.1038/s41699-021-00241-0. Correspondence and requests for materials should be addressed to M.L., Y.-F.L. or W.L. Open Access This article is licensed under a Creative Commons
Attribution 4.0 International License, which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative
Commons license, and indicate if changes were made. The images or other third party
material in this article are included in the article’s Creative Commons license, unless
indicated otherwise in a credit line to the material. If material is not included in the
article’s Creative Commons license and your intended use is not permitted by statutory
regulation or exceeds the permitted use, you will need to obtain permission directly
from the copyright holder. To view a copy of this license, visit http://creativecommons.
org/licenses/by/4.0/. COMPETING INTERESTS The authors declare no competing interests. npj 2D Materials and Applications (2021) 60 Published in partnership with FCT NOVA with the support of E-MRS Q. Nie et al. © The Author(s) 2021 AUTHOR CONTRIBUTIONS W.L. and Y.-F.L. conceived and designed the experiments. M.L. contributed to the
device fabrication and LFN measurements. C.G. and Q.N. fabricated the device and
conducted the electrical and optical measurements and data analysis. F.-S.Y. and X.W. contributed to the Schematic sketch and AFM measurement. K.-C.L. and C.-Y.L. helped with the data analysis. The paper was written by Q.N. and C.G. with
contributions from all the co-authors. W.L. and Y.-F.L. supervised the research. C.-H.H. provided InSe materials. C.-H.L. and S.-P.L. helped design the experiments. Z.H. and J. C. provided the some experimental equipments. All the authors discussed the results
and commented on the manuscript. 28. Chen, Y. et al. Piezotronic graphene artificial sensory synapse. Adv. Funct. Mater. 29, 1900959 (2019). 29. Sun, Y. et al. Photoelectric synaptic plasticity realized by 2D perovskite. Adv. Funct. Mater. 29, 1902538 (2019). 30. Wang, L. et al. Artificial synapses based on multiterminal memtransistors for
neuromorphic application. Adv. Funct. Mater. 29, 1901106 (2019). neuromorphic application. Adv. Funct. Mater. 29, 1901106 (2019) 31. Wang, S. et al. A MoS2 /PTCDA hybrid heterojunction synapse with efficient
photoelectric dual modulation and versatility. Adv. Mater. 31, 1806227 (2019). npj 2D Materials and Applications (2021) 60 Published in partnership with FCT NOVA with the support of E-MRS Reprints and permission information is available at http://www.nature.com/reprints Reprints and permission information is available at http://www.nature.com/reprints Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims
in published maps and institutional affiliations. © The Author(s) 2021 Published in partnership with FCT NOVA with the support of E-MRS npj 2D Materials and Applications (2021) 60
|
https://openalex.org/W4388047088
|
https://www.frontiersin.org/articles/10.3389/frwa.2023.1278205/pdf?isPublishedV2=False
|
English
| null |
A network-based analysis of critical resource accessibility during floods
|
Frontiers in water
| 2,023
|
cc-by
| 16,031
|
OPEN ACCESS EDITED BY
Sujan Pal,
Argonne National Laboratory (DOE),
United States
REVIEWED BY
Andrea Emilio Rizzoli,
University of Applied Sciences and Arts of
Southern Switzerland, Switzerland
Matteo Sangiorgio,
Polytechnic University of Milan, Italy
*CORRESPONDENCE
Paola Passalacqua
paola@austin.utexas.edu
RECEIVED 15 August 2023
ACCEPTED 09 October 2023
PUBLISHED 31 October 2023
CITATION
Preisser M, Passalacqua P, Bixler RP and
Boyles S (2023) A network-based analysis of
critical resource accessibility during floods. Front. Water 5:1278205. doi: 10.3389/frwa.2023.1278205 EDITED BY
Sujan Pal,
Argonne National Laboratory (DOE),
United States Matthew Preisser1,2, Paola Passalacqua1,2*, R. Patrick Bixler3 and
Stephen Boyles1 REVIEWED BY
Andrea Emilio Rizzoli,
University of Applied Sciences and Arts of
Southern Switzerland, Switzerland
Matteo Sangiorgio,
Polytechnic University of Milan, Italy 1Fariborz Maseeh Department of Civil, Architectural, and Environmental Engineering, The University of
Texas at Austin, Austin, TX, United States, 2Center for Water and the Environment, University of Texas at
Austin, Austin, TX, United States, 3LBJ School of Public Afairs, University of Texas at Austin, Austin, TX,
United States Numerous government and non-governmental agencies are increasing their
eforts to better quantify the disproportionate efects of climate risk on
vulnerable populations with the goal of creating more resilient communities. Sociodemographic based indices have been the primary source of vulnerability
information the past few decades. However, using these indices fails to capture
other facets of vulnerability, such as the ability to access critical resources (e.g.,
grocery stores, hospitals, pharmacies, etc.). Furthermore, methods to estimate
resource accessibility as storms occur (i.e., in near-real time) are not readily
available to local stakeholders. We address this gap by creating a model built on
strictly open-source data to solve the user equilibrium trafc assignment problem
to calculate how an individual’s access to critical resources changes during
and immediately after a flood event. Redundancy, reliability, and recoverability
metrics at the household and network scales reveal the inequitable distribution
of the flood’s impact. In our case-study for Austin, Texas we found that the
most vulnerable households are the least resilient to the impacts of floods
and experience the most volatile shifts in metric values. Concurrently, the least
vulnerable quarter of the population often carries the smallest burdens. We show
that small and moderate inequalities become large inequities when accounting for
more vulnerable communities’ lower ability to cope with the loss of accessibility,
with the most vulnerable quarter of the population carrying four times as much of
the burden as the least vulnerable quarter. TYPE Original Research
PUBLISHED 31 October 2023
DOI 10.3389/frwa.2023.1278205 TYPE Original Research
PUBLISHED 31 October 2023
DOI 10.3389/frwa.2023.1278205 TYPE Original Research
PUBLISHED 31 October 2023
DOI 10.3389/frwa.2023.1278205 KEYWORDS flooding, impact, resources, networks, accessibility, resiliency, near-real-time, metrics frontiersin.org OPEN ACCESS The near-real time and open-source
model we developed can benefit emergency planning stakeholders by helping
identify households that require specific resources during and immediately after
hazard events. COPYRIGHT
© 2023 Preisser, Passalacqua, Bixler and
Boyles. 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 Water COPYRIGHT
© 2023 Preisser, Passalacqua, Bixler and
Boyles. 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. 1. Introduction The inequitable distribution of flood risks and their impacts is well documented at
global (Füssel, 2010; Anguelovski et al., 2016), national (Tate et al., 2021; Wing et al.,
2022), and local scales (Collins et al., 2019; Sanders et al., 2022). Inequitable risk is
often found by overlaying flood maps with social vulnerability to identify the likelihood
that people will be affected by a hazard (exposure), the degree to which people will be
affected by a hazard (sensitivity), and/or the ability of people to adjust after a hazard
(adaptive capacity) (Fischer and Frazier, 2017). These components of vulnerability do
not exist in a vacuum and are dynamically coupled to one another. An individual’s
adaptive capacity encompasses the range of their abilities to reduce their exposure Frontiers in Water 01 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 10.3389/frwa.2023.1278205 nodes/edges (Karakoc et al., 2020); (d) assessing how different
types of interdependencies impact system operations (Najafiet al.,
2021); (e) studying inter-organizational operating failures during
disaster response efforts (Oh et al., 2010); and (f) exploring the
strength of inter-agency collaboration for effective emergency
response (Kapucu and Garayev, 2012). Connecting social science
information to physical infrastructure data is becoming a necessary
component of post-hazard resilience models and there are clear
benefits to incorporating accessibility studies into existing and
future emergency management plans (Rosenheim et al., 2019;
Wi´sniewski et al., 2020). Since initial disruptions are difficult to
predict and model, emergency managers can better respond to
events when interdependences are accounted for because this
approach better estimates how risk has the potential to cascade
through the multi-layer network (Lu et al., 2018; Arrighi et al.,
2021). and sensitivity (Nelson et al., 2007). Since adaptive capacity,
exposure, and sensitivity are difficult to measure directly,
previous work has relied heavily on utilizing readily available
sociodemographic data to create indices that act as proxies for
vulnerability (Tellman et al., 2020; Tate et al., 2021). However, sociodemographic information alone may not
capture the complex nature of vulnerability (Rufat et al., 2019). For
example, vulnerability indices built on sociodemographic data lack
information regarding the spatial distribution of critical resources
(e.g., grocery stores, hospitals, pharmacies, etc.) that individuals
may need to access during and immediately after a disaster event. 1. Introduction Due to the fact that numerous critical resources may also be
distributed inequitably across cities and regions (Liu et al., 2014;
Akhavan et al., 2019; Barbosa et al., 2021), socially vulnerable
groups may lose access to critical resources to a greater extent
than less vulnerable groups (Fitzpatrick et al., 2020; Gangwal and
Dong, 2022; Jasour et al., 2022). Having the ability to quickly and
accurately estimate transportation network disruptions can better
inform emergency response personnel (e.g., ambulance services,
fire and police first responders) on how to traverse the network
more efficiently, thus having a more effective response to disasters
(Gil and Steinbach, 2008; Lhomme et al., 2013; Yin et al., 2016;
Green et al., 2017). The goal of this study is to determine how resilient different
communities are in their ability to access critical resources during
disruptions caused by flood events through the use of a multi-layer
network framework. Using a near-real-time inundation estimate,
resource location information, community sociodemographic data,
and road network topologies, we measure the impact a flood
has on people’s ability to move during and immediately after
a storm event. This research fills in gaps within the current
state of natural hazard, hydrology, and flood response research
by specifically (1) creating an accessible, consistent, and flexible
toolkit for practitioners that (2) emphasizes a near-real-time analysis
of (3) multiple accessibility resiliency metrics. Our approach has
the advantage of moving beyond flood hot spots to identify
how disruptions from multiple flood sources (fluvial and pluvial)
propagate spatially and temporally through infrastructure systems. The wellbeing of a society is dependent upon the continuous
and reliable functioning of its infrastructure systems. Infrastructure
systems
including
but
not
limited
to
telecommunications,
electrical power systems, transportation, water supply systems,
emergency
services,
gas
distribution,
food/agriculture,
and
healthcare are mutually dependent upon each other to function
properly (Rinaldi et al., 2001; Ouyang, 2014). Interdependent
infrastructure systems have been modeled through a variety
of
approaches
based
on
stakeholder
objectives,
including
empirical-,
agent-,
system
dynamics-,
economic
theory-,
and network- based approaches (Hasan and Foliente, 2015). Understanding disaster impacts with a network-based approach
is becoming increasingly prevalent because it captures more
realistic dynamics of our built environment by incorporating
large infrastructure datasets and flow characteristics such as
information, commodities, or people (Hasan and Foliente,
2015). Frontiers in Water frontiersin.org 2.3. Trafc assignment problem and the
user equilibrium solution The traffic assignment problem, also referred to as the route
assignment or route choice problem, is the class of problems
associated with selecting feasible and minimum cost paths on a
transportation network from a series of origin-destination pairs
(OD pairs, the start and end points for trips made by individuals). Simplified and idealized examples of the traffic assignment problem
are equivalent to the maximum-flow-minimum-cost problem,
utilizing only free flow travel times or simply just distance (Horner
and Widener, 2011; Gori et al., 2020). While the simplified ideal
solution has the advantage of being significantly faster to solve
(linear versus convex optimization), this method fails to capture
the real-world dynamics of how individuals and emergency services
travel throughout a city (Sohn, 2006; Cho and Yoon, 2015). Since emergency services often have to respond to situations
during and immediately after extreme weather events, it is
necessary for responders to have information on the condition
of the road network in order to efficiently operate. Quantifying
the impact of inundated road networks on emergency services is
common, as numerous studies have shown that even minor flood
events can increase response times above acceptable standards
or create areas of inaccessibility for upwards of 60% of required
destinations (Green et al., 2017; Arrighi et al., 2019; Tsang and
Scott, 2020). Furthermore, decreases in overlapping coverage, or
station redundancy, have also been identified and are directly
related to a reduction in resiliency (Lhomme et al., 2013; Coles
et al., 2017; Green et al., 2017). Floods can have direct (e.g.,
rendering a roadway impassible) and indirect (e.g., isolating a
location) impacts on transportation networks. Direct and indirect
impacts can create “islands” of areas that are inaccessible to
surrounding areas and “peninsulas” where a single (or fewer than
before) route(s) is available to access the rest of the road network The user equilibrium solution to the traffic assignment
problem accounts for the impacts of congestion on the road
network. User equilibrium requires two assumptions to be met:
(1) that individuals are “greedy” and always choose paths that
minimize their own travel time and (2) are well-informed on
road network conditions. While it may be difficult for an
individual to know exact road network conditions during a
flood event, the prolific use of real-time traffic data (i.e., Google
Maps, Apple Maps, Waze, etc.) suggests that individuals have a
reasonable understanding of estimated travel times even during
disruptions. 2.1. Inequitable access to critical resources Colloquially, one of the most common examples of inequitable
access to resources is the “food desert,” a region that lacks
access to healthy grocery stores resulting in individuals likely
not incorporating healthy foods into their diet (Beaumont et al.,
1995; Cummins, 2002; Whelan et al., 2002). Numerous studies
have quantified resource access inequities under normal conditions
and without the influence of specific climate change or other
environmental related events (Liu et al., 2014; Akhavan et al., 2019;
Barbosa et al., 2021). While the term food desert has undergone
intense scrutiny in recent years due to its simplistic nature of
equating access to only geographic distance (Donald, 2013; Ghosh-
Dastidar et al., 2017; Widener, 2018), resource accessibility remains
highly variable from city to city and resource to resource (Akhavan
et al., 2019; Pulcinella et al., 2019; Barbosa et al., 2021). In the
context of emergency response, it does not matter what causes
the inequitable disruption just as long as emergency managers are
able to identify it and respond accordingly. While a flood event
may induce, maintain existing, exacerbate, or appear to alleviate
inequitable access to resources, a temporal analysis is required
to distinguish which of the prior specific dynamics is occurring. Knowing the specific source of inequality is required for longer
term mitigation planning in order to systemically remove it. 2.2. Social vulnerability indices There is an extensive amount of literature regarding social
vulnerability indices (SVIs), including construction methodologies
(Cutter et al., 2003; Peacock et al., 2010; UNDP, 2010; Flanagan
et al., 2011; Foster, 2012; Bakkensen et al., 2016), strengths
(Tellman et al., 2020; Tate et al., 2021; Boscoe et al., 2022)
and weaknesses (Rufat et al., 2019). Indices are typically created
using a dimensionality reduction methodology to return a final
relative composite index score scaled from 0 (least vulnerable) to
1 (most vulnerable) within the specific study area. Vulnerability
indices are not created equally, leading them to have varying
levels of explanatory and predictive capabilities depending on their
specific end use. This discrepancy results in indices being applied
incorrectly, due to conceptual misunderstandings between a social
vulnerability model and its empirical validity (Bakkensen et al.,
2016; Rufat et al., 2019). 1. Introduction We utilize a static transportation assignment cost function to
solve for the user equilibrium traffic solution (Beckmann et al.,
1955), creating a household resource accessibility model that
strictly uses open-source data and readily available computational
resources (i.e., not requiring graphical processing units or
supercomputing technology). We estimate infrastructure demand
while accounting for the impacts of travel congestion and flooding
(water depth). While this is not the first study to consider
these impacts, it is, to the best of the authors’ knowledge, the
first to quantify robust resiliency metrics to describe individual
households on a multi-layer network in near-real time that
can be readily applied to numerous regions across the globe. We translate infrastructure demand information into multiple
resiliency metrics to define the reliability, redundancy, and
recoverability of the multi-layer system. Correlations among
these metrics and sociodemographic vulnerability indices further
substantiate the inequitable impacts of floods. Numerous
multi-layer,
or
interdependent,
infrastructure
classification schemes and evaluation criteria have been defined
in the literature (Ouyang, 2014). Rinaldi et al. (2001) proposed
one such classification describing the six leading dimensions
of infrastructure interdependencies: (a) type of failure, (b)
infrastructure
characteristics,
(c)
state
of
operations,
(d)
types of interdependencies, (e) environmental factors, and (f)
coupling behavior. Researchers have utilized these dimensions to
quantitatively and qualitatively assess the impacts a disturbance
can have on networks to better understand how to avoid, reduce,
and eliminate disruptions. For example, insights gained from
studying how disasters disrupt interconnected infrastructure
networks have come from (a) analyzing the impact cascading
failures have on social vulnerability (Lu et al., 2018); (b) examining
correlations between spatial distribution of urban characteristics
with disruption duration (Dargin et al., 2020); (c) developing
methods for equitable repair based on operational and disabled A benefit to having a rapidly repeatable framework is that
multiple flooding scenarios can be run to identify robust response
options to a disaster event while it unfolds (Horner and Widener,
2011). Furthermore, road networks are often the first infrastructure
network impacted by flooding (Yin et al., 2016), highlighting the
need for near-real-time information dissemination on inundation
estimates and optimized travel routes. Our model’s combination
of multiple network and household level metrics can specifically
benefit local and regional planners, where the majority of 02 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 10.3389/frwa.2023.1278205 (Gil and Steinbach, 2008). 1. Introduction These impacts can cascade on each
other, shift travel patterns, and induce resource shortages and
scarcities due to misaligned supply and demand across the network. Indirect impacts can manifest larger consequences outside of the
immediate vicinity of a flooded road (Coles et al., 2017). Due
to the likelihood of increased flooding in the future as a result
of global climate change, resource access disruption caused by
road network disruptions can be used as an indicator for future
household flooding (Jasour et al., 2022). mitigation and emergency response actions will take place (Nelson
et al., 2015). We present an application of our model to the 2015 Memorial
Day Flood in Austin, Texas USA.This paper is organized as
follows: first, we provide background information (Section 2) and
cover the characteristics of our study area (Section 3). We then
discuss our methodology (Section 4) in relationship to inundation
and vulnerability data, mathematical formulation of the traffic
assignment problem, and our specific resiliency metrics. We then
present our results (Section 5), discuss them (Section 6), and finally
we state the conclusions of this work and opportunities for future
research (Section 7). Frontiers in Water frontiersin.org 2.3.1. The link performance function and
inundation disruptions For the user equilibrium solution to account for congestion
on the road network, each road link is a function of the
number of cars that must utilize that link to go between
their OD pair and the road link’s capacity, length, and speed
limit. Numerous equations known as link performance functions
exist to represent travel times across road segments. One of
the most popular is the Bureau of Public Roads, or BPR,
function (Bureau of Public Roads, 1964). First developed in 1964,
numerous agencies and departments across the US and world
have modified the BPR function (Kurth et al., 1996; Moses et al.,
2013). Besides road network characteristics, travel time is also
impacted by the flooding that occurs along roadways and
intersections, thus shifting travel flows and demands. As stated
in Pregnolato et al. (2017), the relationship between adverse
weather, traffic flow, and congestion is widely acknowledged but
poorly understood (Hooper et al., 2012; Tsapakis et al., 2013;
Pyatkova et al., 2018). Typically, flood induced road disruptions
have been determined by overlaying inundation maps on road
networks (Dawson et al., 2011; Coles et al., 2017; Green et al.,
2017). There are numerous environmental and structural factors
that influence the relationship between flooding and traffic flow
including but not limited to the ponded water depth, velocity
of the water, infiltration/drainage infrastructure, and precipitation
rate intensity (Koetse and Rietveld, 2009; Hooper et al., 2012;
Pregnolato et al., 2017). With ponded water depth and extent the
most widely available inundation metric, Pregnolato et al. (2017)
developed three equations based on experimental, observational,
and modeling literature that relate the depth of water on the
road to a decrease in maximum feasible vehicle speed, allowing a
maximum traversable water depth of either 150, 300, or 600 mm. Various studies and emergency preparedness standards suggest
different maximum depths that a vehicle may be able to drive
through, ranging from 150 mm of standing water for smaller and
medium sized cars (Pearson and Hamilton, 2014; Kramer et al.,
2016; FEMA, 2022; NWS, 2022), 250 mm for emergency service
personnel (Dawson et al., 2011; Green et al., 2017), and even up
to 450 and 900 mm for larger four wheel drive vehicles (Pregnolato
et al., 2017). Resiliency and its application to natural hazards have
already been extensively defined (Zhou et al., 2009; Hosseini
et al., 2016). 2.3. Trafc assignment problem and the
user equilibrium solution The user equilibrium traffic assignment solution 03 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 TABLE 1 Definitions of the components of resiliency: redundancy,
reliability, and recoverability. Component
Definition
Redundancy
The presence of duplicate services and routes
Reliability
The degree to which road disruptions impact an
individual’s ability to reach a critical resource
Recoverability
The time it takes for functionality to return to its
pre-flooded conditions TABLE 1 Definitions of the components of resiliency: redundancy,
reliability, and recoverability. TABLE 1 Definitions of the components of resiliency: redundancy,
reliability, and recoverability. TABLE 1 Definitions of the components of resiliency: redundancy,
reliability, and recoverability. does not minimize congestion as individuals do not make
collective decisions, but rather choose the options that will
benefit themselves. The solution to the user equilibrium traffic
assignment problem is defined as each path connecting an OD
pair has the same travel time. User equilibrium represents an
opportunity for transportation engineers and city planners to
implement changes or control mechanisms to move closer to
the system optimal solution, where each OD pair has the same
and minimal marginal travel time cost. We specifically focus
on solving the user equilibrium optimization problem because
it is the more realistic representation of how people make
travel choices. Component
Definition
Redundancy
The presence of duplicate services and routes
Reliability
The degree to which road disruptions impact an
individual’s ability to reach a critical resource
Recoverability
The time it takes for functionality to return to its
pre-flooded conditions 2.4. Defining network accessibility and
resiliency There is a vast amount of literature in the transportation field
regarding accessibility disruptions to critical facilities (Horner and
Widener, 2011; Islam and Aktar, 2011; Kocatepe et al., 2018; Boakye
et al., 2022). Generally, these accessibility studies either aim to
quantify how well a network performs or identify critical points
and “hot spots” such as areas with the highest economic impact
(Yamano et al., 2007), vulnerability (Elalem and Pal, 2015), or
risk (Zubair et al., 2006; Thacker et al., 2017). Determining hot
spot areas that are likely to flood can aid in identifying where
network performances are likely to degrade (Jalayer et al., 2014;
Pedrozo-Acuña et al., 2017; Wang et al., 2019). The simplest
method to quantify network performance is through the use of
network centrality metrics (e.g., degree, closeness, or betweenness)
or their derivatives (Borgatti, 2005; Brandes, 2008) to describe
network performance and subsequently relating performance to
accessibility. However, without considering the context of the
network disruption including placement (i.e., which roads are
closing where), travel patterns (i.e., how does traffic shift on
the routes that individuals are likely to take), or social needs
(i.e., does the most vulnerable population need more assistance
with food, or healthcare), traditional centrality and hot spot
methodologies can fail to identify meaningful critical points in
the network (Coles et al., 2017). To account for these limitations,
we utilize resiliency metrics and quantify the strength of critical
resource accessibility to investigate how it changes throughout a
flood event. g
cTheoretical design maximum of road, passenger car units per hour per lane (TRB, 2010). h of 3.7 m.
road, passenger car units per hour per lane (TRB, 2010). y
bAssuming a standard road width of 3.7 m. aAs defined by OpenStreetMap convention.
bAssuming a standard road width of 3.7 m.
cTheoretical design maximum of road passenger car units per hour per lane (TRB 2010) bAssuming a standard road width of 3.7 m.
cTheoretical design maximum of road, passenger car units per hour per lane (TRB, 2010). bAssuming a standard road width of 3.7 m.
cTheoretical design maximum of road, passenger car units per hour per lane (TRB, 2010). bAssuming a standard road width of 3.7 m.
cTheoretical design maximum of road passenger car units per hour per lane (TRB 2010) 2.3.1. The link performance function and
inundation disruptions Furthermore, numerous metrics have already been
formulated to describe the components of resiliency (Carlier
and Lucet, 1996; Watts and Strogatz, 1998; Cardillo et al.,
2006; Derrible and Kennedy, 2010; Li et al., 2011; Wu et al.,
2011; Wang et al., 2017; Xu et al., 2018; Oehlers and Fabian,
2021). Lim et al. (2022) break resiliency into three components
(reliability, redundancy, and recoverability), which we have re-
defined for the context of our network accessibility model
(Table 1). Network scale resiliency, and the processes involved
in improving it or mitigating impacts to it, are defined
differently than household scale resiliency. Scale dependent
definitions allow for stakeholders to better identify impact
discrepancies based on the specific factors that are important
to them. et al., 2017). Frontiers in Water 04 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 FIGURE 1
Austin, Texas study area. Residential parcels are shown in tan and critical resource parcels are colored. FIGURE 1
Austin, Texas study area. Residential parcels are shown in tan and critical resource parcels are colored. TABLE 2 Road link classifications and their associated parameters. Classa
Description
Speed (kmph)
Lanes (oneway)
Width (m)b
Capacity (pcu/hr/ln)c
Motorway
Interstate
120
4
14.8
2,300
Motorway link
On-ramps and interchanges
120
1
3.7
2,300
Trunk
Other major motorways
120
4
14.8
2,300
Trunk link
On-ramps and interchanges
120
1
3.7
2,300
Primary
Highways or major arterial road
65
3
11.1
1,700
Primary link
Slip lanes
65
1
3.7
1,700
Secondary
Sub-arterial roads, connectors
50
2
7.4
1,500
Secondary link
Slip lanes
50
1
3.7
1,500
Tertiary
Neighborhood connector roads
50
2
7.4
1,000
Tertiary link
Slip lanes
50
1
3.7
1,000
Other
Residential, minor, and unclassified
40
2
7.4
600 05 Frontiers in Water frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 FIGURE 2
Austin, Texas social vulnerability index, social status (SS), and economic status (ES) indicators at the Census block group boundary using the 2015
American Community Survey 5-Year Estimates. SVI (A) is a factor analysis of relevant sociodemographic variables. SS (B) and ES (C) are the first and
second most prevalent factors from the factor analysis. FIGURE 2
Austin, Texas social vulnerability index, social status (SS), and economic status (ES) indicators at the Census block group boundary using the 2015
American Community Survey 5-Year Estimates. SVI (A) is a factor analysis of relevant sociodemographic variables. SS (B) and ES (C) are the first and
second most prevalent factors from the factor analysis. 3.2. Critical resources and data sources We leveraged OpenStreetMap data using the open-source
Python tools OSMnx (Boeing, 2017) and NetworkX (Hagberg
et al., 2008) to obtain, handle, and manipulate the location of
critical resources and the road network topology. Open source
data can occasionally have incorrect and inconsistent information. Furthermore, gaps can be present in the attributes of road
information (e.g., speed limit, number of lanes, road classification). While these drawbacks exist, OpenStreetMap has become a pivotal
data source within public, private, and research communities due
to the amount and geographic extent of the data (Johnson et al.,
2022). To address these limitations, special consideration went
into ensuring location accuracy and filling gaps in missing data
values. We checked critical resource location layers individually
for accuracy and they required only minimal corrections. The
road network attributes that our model requires include speed,
number of lanes, road width, and capacity. Speed and the number
of lanes are sometimes reported in OpenStreetMap but not always
and to unknown accuracy. However, OpenStreetMap does have
a consistent classification scheme of all of its roadways, and the
geographic centerlines are predominantly accurate upon visual
inspection. To reduce the impact of inconsistent data reporting
of the required attributes, we implemented a relate table based
on common national standards to efficiently fill gaps within the
data. Table 2 summarizes the road characteristics we used to fill in
missing data within the road network when needed. We assumed
everything we extracted from OpenStreetMap was accurate and
visually inspected for major errors. The only road characteristic that
is completely overwritten is the speed limit. Speed limit is sparsely
reported in OpenStreetMap and we determined it was more
accurate to relate to a completely standardized set of speed limits. Parcel information is not currently available in OpenStreetMap
and we therefore acquired it from the Texas Natural Resources 4.1. Inundation and social vulnerability data We utilized a near-real-time inland compound (fluvial and
pluvial) inundation estimate of the Memorial Day flood from
previous research and we refer the reader to Preisser et al. (2022) for more information on the methods and results. To
summarize, we used outputs from NOAA’s National Water Model
to map fluvial inundation using GeoFlood (Zheng et al., 2018), an
implementation of the HAND method (Nobre et al., 2011) utilizing
lidar scale topographic data, and pluvial inundation using Fill-
Spill-Merge (Barnes et al., 2021), a topographic depression routing
algorithm. The inundation layers used in this study all have a spatial
resolution of 1-meter. (4) The link performance function, tij(xij), or more specifically
the BPR function (Equation 5), shows the relationship between a
link’s travel time, tij, the link’s traffic flow rate, xij, and the links
functional or practical capacity, uij. The shaping parameters, α and
β, determine the rate at which congestion impacts travel times and
are often set to 0.15 and 4 respectively. As the flow rate approaches
0, the travel time across the link approaches the congestion free
travel time, t0
ij. Under normal operating conditions, the congestion
free travel time is equal to the speed limit of the link multiplied
by the length of the link. We rely on the original BPR function
due to its minimal input requirements and simple mathematical
form compared to alternative equations (Davidson, 1966; Spiess,
1990; Akçelik, 1991; Mtoi and Moses, 2014). When impacted by
ponded water, the speed limit is reduced to the maximum safe
driving speed, v(w) (Equation 6). The newly calculated speed limit
is multiplied by the link’s length to determine the maximum safe
congestion free travel time. We calculate social vulnerability using a factor analysis
approach on 27 variables from the U.S. Census Bureau’s American
Community Survey 5-Year Estimates from 2011–2015 at the
block group boundary (Bixler et al., 2021; Preisser et al.,
2022). Our SVI calculation is an adapted methodology first
developed by Cutter et al. (2003), which utilizes a principal
component analysis to similarly reduce the dimensionality
of input sociodemographic variables (Supplementary Section 1). Along with the SVI (Figure 2A), we used the two most
influential factors as Social Status (Figure 2B) and Economic Status
(Figure 2C) indicators to highlight how more specific indicators
may capture more inequality compared to generalized indices. 3.1. Study area Our study area is Austin, Texas, which is considered one of
the fastest-growing cities in the USA, having recently surpassed a
total population of 1 million people within the city and 2 million
within the metropolitan area. Austin is geographically split by
the Colorado River, which runs from west to east through the
city. We specifically focus on the formally defined neighborhood
boundary of Austin that is north of the Colorado River as
it contains the majority of new developments, major creeks,
main downtown areas, and population groups within Austin
(Figure 1). Our study area is approximately 250-km2 and has
a population of 300,000. Concurrently with rapid urbanization,
Austin is seeing an increase in the occurrence of 1% annual
exceedance probability storms, having experienced three in a 5-
year window (2013 Halloween Day flood, 2015 Memorial Day
flood, and the 2018 Hill Country flood). We use the 2015
Memorial Day flood (25 May 2015) in our analysis, as locals
refer to this as being the worst flood in recent Austin history. In 2015, Texas saw intense rainfall events from April through
May, causing state and local emergency response agencies to be
active throughout the entire month of May and the majority of
June (Schumann et al., 2016). On Memorial Day, starting at 19:00
Coordinated Universal Time (UTC), it began to rain in Austin,
TX, resulting in 5.2 in. (13.2 cm) of cumulative precipitation in
the succeeding 5 h. This value is the second-highest amount of
precipitation in a single day in Austin, Texas since 2002 and the
eighth-highest amount since 1927, which is the farthest back that
uninterrupted records for this region extend. All stream reaches
in this study area had their peak instantaneous flow rates around
22:00 UTC. Frontiers in Water frontiersin.org 06 Preisser et al. 10.3389/frwa.2023.1278205 10.3389/frwa.2023.1278205 goes into a node must exit that node (Equation 3), and no negative
flows, where a link cannot have a negative number of travelers
(Equation 4). 3.1. Study area tij(xij) refers to link performance function (Equation
5), xij is a link’s flow on link (i, j) in the set of links, A, r and s
are the origins and destinations that exist in the set of all nodes,
Z, hπ is the number of travelers on path π from (r, s) on the set
of all origin destination pairs 5, δπ
ij is the number of times path
π uses link (i, j), and drs is the sum of the number of travelers on
every path (r, s). Information System. Parcel data are available for the majority of
counties/states in the US for free from local government agencies
and are typically updated annually. Our final network contained 14,057 nodes, 36,027 edges, and
49,612 residential parcels. We identified eight critical resources
to examine including grocery stores (37 locations), hospitals (5),
pharmacies (25), fire stations (20), police stations (6), emergency
medical service stations (11), gas stations (112), and convenience
stores (78). We assume residential parcels that share a node with a
critical resource to be within walking distance while all others must
traverse the road network to access that resource. min
x,h
X
(i,j)∈A
Z xij
(i,j)∈A
tij(xij)dx
(1)
s.t. xij =
X
π∈5
hπδπ
ij
∀(i, j) ∈A
(2)
drs =
X
π∈5rs
hπ
∀(r, s) ∈Z2
(3)
hπ ≥0
∀π ∈5
(4) (1) Frontiers in Water 4.1. Inundation and social vulnerability data The
Social Status factor’s main contributing Census variables are the
people per unit and the percentages of the population that identify
as Hispanic, have less than a high school equivalent education,
have no health insurance, speak english as a second language, work
in extractive/construction industries, are below the poverty line,
and are a female headed household. The Economic Status factor’s
main contributing Census variables are per capita income, median
housing value, and the percentage of the households that makes
over $250,000 annually. tij(xij) = t0
ij
1 + α
xij
uij
β! (5) (5) The maximum safe driving speed on a link (km/hr) is a function
of the known flood depth on that link, w (mm) (Equation 6). Speed is reduced to 0 km/hr, allowing no vehicular travel, at depths
greater than 150 mm (Pregnolato et al., 2017). We utilize the more
aggressive standard and its related depth-disruption equation for
this study to account for the worst case scenarios (Pregnolato et al.,
2017; Arrighi et al., 2019; Tsang and Scott, 2020). v(w) = 0.003864w2 −1.1592w + 86.94
(6) (6) frontiersin.org 4.3. Solution methodology The user equilibrium optimization problem (Equation 1),
which states that all used routes between each origin and
destination pair have an equal and minimal travel time, is subject
to three constraints: flow conservation, where link flow must equal
path flow (Equation 2), no vehicles left behind, where all flow that The broad framework for solving all traffic assignment
problems can be simplified into four steps. First, given a
network with known edge costs, determine the fastest path
for each OD pair. Next, based on the previously determined
flow paths, recalculate the cost on each edge using the link 07 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 of individual and network scale metrics, summed within each Census block group to compare against sociodemographic data. TABLE 3 Description of individual and network scale metrics, summed within each Census block group to compare against sociodemographic data. `````````
`
Scale
Criteria
Reliability
Redundancy
Recoverability
Network
Sum of closed roads
Number of modified edge disjoint paths
Time for network reliability to return to 75%
of pre-flood functionality
Individual
Total travel time to reach one
of every resource type
Sum of maximum allowable travel time divided by
shortest path travel times for each location
Time for individual reliability to return to
50% of pre-flood functionality
FIGURE 3
Austin, Texas time series of total modeled closed roads caused from fluvial, pluvial, and compound flooding. A road is considered closed and
impassable if it has over 15-cm of ponded water. `````````
`
Scale
Criteria
Reliability
Redundancy
Recoverability
Network
Sum of closed roads
Number of modified edge disjoint paths
Time for network reliability to return to 75%
of pre-flood functionality
Individual
Total travel time to reach one
of every resource type
Sum of maximum allowable travel time divided by
shortest path travel times for each location
Time for individual reliability to return to
50% of pre-flood functionality FIGURE 3
Austin, Texas time series of total modeled closed roads caused from fluvial, pluvial, and compound flooding. A road is considered closed and
impassable if it has over 15-cm of ponded water. FIGURE 3
Austin, Texas time series of total modeled closed roads caused from fluvial, pluvial, and compound flooding. A road is considered closed and
impassable if it has over 15-cm of ponded water. pair, κrs. performance function. With the new edge costs, shift travelers
from slower paths to faster paths. 4.4. Termination criteria AEC =
P
(i,j)∈A tij(xij)xij −P
(r,s)∈Z2 κrsdrs
P
rs∈Z2 drs
= TSTT −SPTT
P
rs∈Z2 drs
(9) Due to the nature of convex optimization, an exact solution
may not be easily calculated and we therefore need a termination
criteria to identify when our solution is “good enough” to be
considered at equilibrium. To do this, we define the two system
states: Total System Travel Time (TSTT) and Shortest Path Travel
Time (SPTT). TSTT is the total cost across the network using the
estimated traffic assignment, xij (Equation 7). SPTT is the cost
across the network if all travelers were assigned to the shortest
paths, x∗
ij, based on the previously calculated link costs tij(xij)
(Equation 8). SPTT can also be defined as the sum of the number
of travelers between each origin-destination pair, drs, multiplied
by the shortest path travel time between the origin-destination (9) Frontiers in Water 4.3. Solution methodology Finally, return to the initial
step until equilibrium is met and all travelers are on their
fastest path. With multiple algorithms available to solve the user
equilibrium optimization problem, we chose to use a gradient
projection, or path-based, algorithm for its faster convergence
speeds (Jayakrishnan et al., 1994). Path-based algorithms break
a network down into a list of the utilized paths connecting
OD pairs to more efficiently shift travelers between slower
and faster routes compared to older link-based algorithms
(Frank and Wolfe, 1956). TSTT =
X
(i,j)∈A
tij(xij)xij
(7)
SPTT =
X
(i,j)∈A
tij(xij)x∗
ij =
X
(r,s)∈Z2
κrsdrs
(8) (7) (8) To determine when a solution is close enough, we calculate
the Average Excess Cost, or AEC (Bar-Gera, 2002). The AEC
represents the average difference between the travel time on
each traveler’s actual path and the travel time on the shortest
path available to them, having units of time (Equation 9). We
consider convergence when the AEC is less than or equal to 0.01
seconds. An exact solution to the traffic assignment problem is
found when TSTT is equal to SPTT, otherwise TSTT will always
be larger. frontiersin.org 4.5. Calculating resiliency metrics We chose to adapt the resiliency definition matrix from
Lim et al. (2022) because of their emphasis on measuring and
defining resiliency at multiple scales. The goal of analyzing
these components at the network at individual scales is to:
(1) provide insight on network performance characteristics that 08 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 IGURE 4
Austin, Texas inundated road network (A) and the resultant trafc assignment solution (B) at peak flood conditions during the Memorial Day flood
22:00 25 May 2015). Network redundancy (C), network reliability (D), household redundancy (E), and household reliability (F) show the spatial
istribution of metric values across the study area at peak flood conditions. better inform city and regional response efforts and (2)
4 5 1 Redundancy FIGURE 4
Austin, Texas inundated road network (A) and the resultant trafc assignment solution (B) at peak flood conditions during the Memorial Day flood
(22:00 25 May 2015). Network redundancy (C), network reliability (D), household redundancy (E), and household reliability (F) show the spatial
distribution of metric values across the study area at peak flood conditions. FIGURE 4
Austin, Texas inundated road network (A) and the resultant trafc assignment solution (B) at peak flood conditions during the Memorial Day flood
(22:00 25 May 2015). Network redundancy (C), network reliability (D), household redundancy (E), and household reliability (F) show the spatial
distribution of metric values across the study area at peak flood conditions. Frontiers in Water frontiersin.org 4.6. Measuring equality and equity with
resiliency metrics We calculated resiliency metrics using hourly inundation
estimates between 18:00 UTC (25 May 2015) and 17:00 UTC (26
May 2015). Rainfall began to fall around 19:00 UTC, and therefore
the network before this time is at pre-flood conditions. Peak-
flood conditions (i.e., largest compound inundation extent) occur
at 22:00 UTC, which coincides with the estimated peak number of
road closures (Figure 3). To determine each metric at each time
step, we overlay the road network with the inundation estimate
(Figure 4A), run the traffic assignment algorithm (Figure 4B), and
calculate the resultant network redundancy (Figure 4C), network
reliability (Figure 4D), household redundancy (Figure 4E), and
household reliability (Figure 4F) metrics. FIGURE 5
Austin, Texas network redundancy Lorenz curve at peak-flood
conditions during the Memorial Day flood (22:00 25 May 2015). Block group network redundancy is weighted by the population per
housing unit (i.e., density) and normalized from 0 to 1. FIGURE 5
Austin, Texas network redundancy Lorenz curve at peak-flood
conditions during the Memorial Day flood (22:00 25 May 2015). Block group network redundancy is weighted by the population per
housing unit (i.e., density) and normalized from 0 to 1. In order to quantify equality, we use Lorenz curves and
calculate the associated Gini coefficients, which were originally
developed to measure income inequality (Morgan, 1962). A typical
Lorenz curve plots the percentile ranking of households’ net worth
on the x-axis and the percentage of cumulative income on the
y-axis. In a perfectly equitable society, the Lorenz curve would
match a 1:1 line. The Gini coefficient is a measure of deviation
from the perfectly equitable society (Gini = 0), where a value of –1
and 1 are perfect inequity, favoring the bottom and top net worth
of households respectively. Lorenz curves are gaining a renewed
interest in measuring inequality and have recently been applied
to other flood risk studies (Sanders et al., 2022; Yarveysi et al.,
2023). For this application, the x-axis of the Lorenz curve is the
social vulnerability (or social/economic status) index percentile
and the y-axis is the specific variable being measured for each
metric. To maintain similarity between Lorenz curves for ease
of readability, we normalize (0–1) all y-axis variables and reflect
necessary variables to ensure that a Gini coefficient greater than 0
represents inequality benefiting the least vulnerable. 4.5.1. Redundancy can better inform city and regional response efforts and (2)
describe high-resolution household impacts that complement
high-resolution inundation estimates. Based on the resiliency
component definitions (Table 1), we create a metric for each
component at the network and individual scale (Table 3). We
aggregate each metric to the underlying Census block group
in order to compare them with an SVI and other relevant
sociodemographic indicators. We calculate network redundancy scores using a modified edge
disjoint paths. A node’s edge disjoint paths value is the number
of alternative routes that exist between that node and a specified
destination that have no overlapping edges. Because of the sparse
nature of road networks, it often only takes the removal of one or
two edges to disconnect an origin to a destination (e.g., a house
that lives on a residential road only has two directions to travel). 09 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 considered recovered using various thresholds are all nearly
identical (Supplementary Section 2). considered recovered using various thresholds are all nearly
identical (Supplementary Section 2). FIGURE 5
Austin, Texas network redundancy Lorenz curve at peak-flood
conditions during the Memorial Day flood (22:00 25 May 2015). Block group network redundancy is weighted by the population per
housing unit (i.e., density) and normalized from 0 to 1. 4.6. Measuring equality and equity with
resiliency metrics Furthermore,
we weight each y-axis variable by the people per unit Census
variable (i.e., average number of people living in a house) to account
for population density discrepancies. We also calculate the quartile
burden, which is equal to the normalized cumulative sum of the
metric under investigation for that percentile of the population with
Q1 representing the least vulnerable and Q4 the most vulnerable
quarter of the population. Therefore, we use a neighbors-of-neighbors approach and calculate
the total number of disjoint paths from all of the neighbors of the
neighbors (i.e., two network links away neighbors) of the origin
and destination (Lhomme et al., 2013). Household redundancy
scores are equal to the sum of OD travel times for each household
to reach each location of each resource divided by a maximum
allowable travel time (15-min), if the travel time is less than the
maximum allowable travel time. For both redundancy scores, a
higher value represents a more redundant connection for an origin
and that resource. 4.5.2. Reliability Network reliability scores are the total number of closed roads
within each block group. Household reliability scores are the sum of
the total travel time for a household to travel to the nearest available
option for each resource type. We give unreachable resources a
representatively large travel time to represent the cost of not being
able to access that resource. For this study, we set that value to
4 times the maximum travel time across the study area to access
that resource. It is important to note that by itself, Lorenz curves and Gini
coefficients measure equality because they examine the distribution
of a variable across a population. However, in response to a
flood event, equity may be a more substantive measure because
communities feel the impacts of flood events differently. For
example, if two households experience the same amount of
flooding, but one is more vulnerable due to an underlying condition
(e.g., is food insecure, has to go to a hospital for treatment regularly,
lives in an area susceptible to crime, etc.), then the impacts of
the flood are not felt equally. Therefore, we also present the same
resiliency metrics weighted by the SVI, social status, and economic
status indices to highlight the existence of flood impact inequities. Frontiers in Water 5.1.2. Reliability It is not clearly defined the exact degree to which sociodemographic
vulnerability affects an individual. To account for this uncertainty
in determining hazard impact equity, we use multiple weighting
schemes based on a range of potential thresholds. Equation 10
produces a weighting factor for each metric. We calculated each
block group’s weight by first determining its indicator (SVI, SS,
or ES) rank, with the least vulnerable block group having a rank
of 0 and the most vulnerable block group having a rank equal to
the number of observations (nobs). p is the percentage weight, or
the degree to which an individual’s sociodemographic vulnerability
influences their ability to respond. The least vulnerable block
group’s weight is equal to 1 −p, while the most vulnerable
block group’s weight is equal to 1 + p, and every block group in
between has a weight value equally spaced between the minimum
and maximum. Before rainfall begins (18:00), the network reliability burden lies
on the least vulnerable half of the population for fluvial flooding (G
= –0.15), but lies on the more vulnerable half of the population
for pluvial flooding (G = 0.11). This pre-rainfall inequality can be
attributed to the base conditions that the study area is experiencing
as a result of days of saturated conditions prior to the event of
interest. The compound flooding network reliability burden is
therefore in between the two, and appears to be more equally
distributed (G = –0.02). A shift occurs at peak flood conditions
(22:00) and Q4 carries the highest network reliability burden for
compound (35%), fluvial (37%), and pluvial (35%) flooding. The
Gini coefficients for compound, fluvial, and pluvial flooding all
increase by 0.13, 0.23, and 0.04 respectively. Pluvial flooding always
impacts the more vulnerable half of the population throughout the
duration of the flood event, with the Gini coefficient remaining
above 0.11. Post-peak-flood, the burden of fluvial flooding returns
to the least vulnerable half of the population, predominantly on
Q2 (33–41% of the burden depending on time), suggesting that
fluvial flooding in these block groups is more persistent and recedes
at a slower rate compared to other block groups. Due to the
near opposite impacts of fluvial and pluvial flooding, compound
flooding has a more equally distributed impact, with a Gini
coefficient of less than 0.06 at all times except for the 2 h pre- and
post-peak-flood. 5.1.2. Reliability While the compounding events of a flood may
result in a more equal distribution of impacts, the underlying flood
sources distinctly impact population groups differently. weight = (1 −p) + (rank)(2 ∗p)
nobs
(10)
ts weight = (1 −p) + (rank)(2 ∗p)
nobs
(10) (10) 4.5.3. Recoverability Network and household recoverability metrics are the time
it takes the reliability metrics to return to 75 and 50%
respectively, of their pre-flood condition values. We chose these
threshold percentages due to a large number of block groups
being considered recovered at these values. Different threshold
percentages produce nearly the same recoverability Lorenz curves
since these plots measure the relative distribution of burdens
and the trajectory of the number of block groups that are 10 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 10.3389/frwa.2023.1278205 Preisser et al. 5.1.3. Recoverability Network recoverability shows the most unequal distribution
when compared against pluvial flooding (G = 0.12), closer to equal
for fluvial flooding (G = 0.06), and in between for compound
flooding (G = 0.1) (Figure 7). Q4 carries the greatest network
recoverability for compound (30%), fluvial (31%), and pluvial
(31%) flooding, with Q3 carrying a similarly high burden for
compound (29%) and pluvial flooding (29%). Q2 carries the second
highest fluvial burden (30%). The high burdens associated with Q4
pluvial flooding and Q2 fluvial flooding coincide with the network
redundancy and reliability behaviors. 5.1.1. Redundancy Our estimated network redundancy at peak-flood conditions
shows a slightly unequal distribution when only considering
pluvial flooding (G = 0.09), a near equal distribution when only
considering fluvial flooding (G = –0.01), and compound flooding
in between the two (G = 0.03) (Figure 5). Q2 (the second least
vulnerable quarter of the population) and Q4 (the most vulnerable
quarter of population) carry the most network redundancy burden
across all of the flood source scenarios. The gap in network
redundancy between the quarters of the population that carry the
most and least burden is 15, 12, and 14 percentage points for
compound, fluvial, and pluvial flooding respectively. 5. Results We present network resiliency results while considering
different flood sources (fluvial, pluvial, and compound) to address
how regulators might have to respond differently based on the
prevailing flood type. Additionally, we present individual resiliency
results while considering the holistic SVI as well as the Economic
Status (ES) and Social Status (SS) indicators, to draw attention to
different measures of socio-demographic variables. Frontiers in Water frontiersin.org 5.2.1. Redundancy during this time, while Q1 goes from carrying the most to the
least burden. the most vulnerable quarter of the population consistently having
to travel further to access critical resources. Burden values return
to their near pre-flood conditions within 6 h post-peak flood, with
Gini coefficients only having slight fluctuations and burdens staying
relatively unchanged. 5.2.1. Redundancy Household redundancy at pre-flood conditions is near perfect
equality when compared against SVI (G = –0.02), and is further
unequal for ES (G = –0.04) and SS (G = –0.14) (Figure 8). Additionally, Q1 carries the highest household redundancy burden
when compared against SVI (27%), SS (30%), and ES (30%). Negative G values further show that the least vulnerable portion
of the population carries the higher burden during pre-flood
conditions. However, Gini coefficients and burdens shift across
all indices to the most vulnerable half of the population at peak
flood conditions. SVI, SS, and ES Gini coefficients all increase by
more than 0.30 when comparing pre-peak to peak-flood conditions. Additionally, the Q4 SVI, SS, and ES burdens all nearly double While we calculated network redundancy for each time step,
there was little to no change from one observation to the next. This result suggests that either this particular storm does not
have a significant impact on the number of available routes for
households to access resources, or that the storm is maintaining
an equal impact across the study area. The latter is less likely as
the subsequent results show more substantial unequal impacts over
time. The former is more likely because urban areas are typically
characterized by highly connected road networks, suggesting
that network route redundancy is not the reason for resource
accessibility discrepancies (Supplementary Section 3). 11 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 FIGURE 6
Austin, Texas network reliability during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Network reliability is calculated
every hour and shown in 4-h increments for brevity. Block group network reliability is weighted by the population per housing unit (i.e., density) and
normalized from 0 to 1. FIGURE 6
Austin, Texas network reliability during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Network reliability is calculated
every hour and shown in 4-h increments for brevity. Block group network reliability is weighted by the population per housing unit (i.e., density) and
normalized from 0 to 1 FIGURE 6
Austin, Texas network reliability during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Network reliability is calculated
every hour and shown in 4-h increments for brevity. Block group network reliability is weighted by the population per housing unit (i.e., density) and
normalized from 0 to 1. 6. Discussion 6. Discussion
6.1. Disproportional distribution of burdens
across scales, flood types, and indicators 6.1. Disproportional distribution of burdens
across scales, flood types, and indicators Every metric shows a disproportional distribution of the effects
of flooding on an individual’s ability to access critical resources. At peak flood conditions, Q4 carries the highest burden regardless
of flood type and vulnerability indicator (Figures 5–10). The
only exceptions are network redundancy under the influences
of compound and fluvial flooding (second highest burden) and
household redundancy when compared against social status (most
volatile, burden doubles when compared to pre-flood conditions). Concurrently, Q1 regularly carries the lowest burden during peak-
flood conditions. At the network scale, Q1 consistently carries
the smallest burden for pluvial and compound flooding, and
the second lowest for fluvial. At the household scale, Q1 carries
two to four times less burden when compared to Q4 across all
vulnerability indicators. FIGURE 7
Austin, Texas network recoverability during the Memorial Day flood
(25 May 2015). Block group network recoverability is weighted by
the population per housing unit (i.e., density) and normalized from 0
to 1. Network metrics highlight the duality of fluvial and pluvial
flooding (Figures 5–7). While fluvial flooding typically impacts
the least vulnerable half of the population, pluvial flooding
typically impacts the most vulnerable half of the population. Therefore, compound flooding appears to be relatively more
equally distributed. While the numbers of roads closed by pluvial
and fluvial flooding at peak-flood conditions are within 5% of each
other (Figure 3), there are higher magnitude inequalities across all
household metrics (Figures 8–10). This result suggests that while
compound flooding may appear to affect the network equally, its
impacts at the household level are not, further justifying the need
to analyze hazard events at multiple scales simultaneously. showing that throughout the flood event burden is predominantly
transferred to the most vulnerable quarter of the population. This
result suggests the Q4 household reliability is more susceptible to
changes compared to other parts of the population. In conjunction
with this, Q1 household reliability burdens across indices never
increase from the pre-flood conditions, with the one exception of
SVI which increases by only 1–2 percentage points 10–12 h after
peak-flood. Over the entire flood event, SVI and ES are relatively
similar in terms of Gini coefficients and the distribution of burdens. 5.2.3. Recoverability Household recoverability continues to show the same trends,
with burdens being distributed unequally when compared against
SVI (G = 0.11), SS (G = 0.16), and ES (G = 0.12) (Figure 10). Q4 and Q1 carry the highest and lowest household recoverability
burdens respectively. Frontiers in Water 6. Discussion On the contrary, SS has a Gini coefficient that is between two and
three times as large, which can be attributed to the minimal burden
that Q1 carries which never exceeds 10%. This result highlights how
different vulnerability and socioeconomic indicators show different
levels of inequality based on what they specifically measure. Household
metrics
are
complementary
to
each
other,
showing a disproportionate burden distribution regardless of the
vulnerability indicator (Figures 8–10). Social status shows the most
disproportionality because it has the highest Gini coefficients with
respect to household reliability and recoverability and is the most
volatile with respect to household redundancy. The observable
volatility in household redundancy and network reliability is likely
a factor of the large number and the subsequent decrease of flooded
roads caused by fluvial flooding at and immediately after peak-flood
conditions (Figure 3). Therefore, more persistent flooding from
pluvial sources is what likely causes the longer lasting inequality
issues. Across the event we observe metrics returning close to their
pre-flood conditions 6 h after peak-flood occurs. While this was a
relatively short storm event, it is necessary to understand persistent
pluvial flooding’s role in affecting communities immediately after a
flood event. While the majority of roads have reopened within 18-h
post-peak flood conditions, Lorenz curves and Gini coefficients
only show relative disproportionality and burdens. For this specific
storm, there is still ponded water persisting along roadways and
while not deep enough to close roads, will still influence travel
time. Remaining ponded water along roadways is another source
of inequity as longer travel times to critical resources can be the frontiersin.org 5.2.2. Reliability Q1 and Q3 household reliability burdens strictly decrease when
comparing conditions between the pre-flood values to 6 h post-
peak, while Q2 burdens experience a mixture of slightly increasing
and decreasing values. Q4 burdens only increase during this time, Household reliability at initial conditions is unequal for SVI (G
= 0.1), SS (G = 0.23), and ES (G = 0.11) (Figure 9). Concurrently,
Q4 carries the highest burden for SVI (34%), SS (38%), and ES
(32%). This inequality is persistent throughout the flood event, with 12 Frontiers in Water frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 10%. The average difference in burden that Q4 carries over Q1
across indices, metrics, and percentage weights is equal to 41
percentage points. FIGURE 7
Austin, Texas network recoverability during the Memorial Day flood
(25 May 2015). Block group network recoverability is weighted by
the population per housing unit (i.e., density) and normalized from 0
to 1. 5.3. Household equity We calculate household equity at peak flood conditions using
percentage weights of 25, 50, and 100% (Figure 11). As expected,
each metric becomes more unequally distributed as the percentage
weight increases. Q4 burdens approach 50–60% for the majority
of scenarios across indices, metrics, and percentage weights. At
the same time, Q1 burdens are predominantly near or below 13 frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 FIGURE 8
Austin, Texas household redundancy during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Household redundancy is
calculated every hour and shown in 4-h increments for brevity. Block group household redundancy is weighted by the population per housing unit
(i.e., density) and normalized from 0 to 1. FIGURE 8
Austin, Texas household redundancy during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Household redundancy is
calculated every hour and shown in 4-h increments for brevity. Block group household redundancy is weighted by the population per housing unit
(i.e., density) and normalized from 0 to 1. FIGURE 8
Austin, Texas household redundancy during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Household redundancy is
calculated every hour and shown in 4-h increments for brevity. Block group household redundancy is weighted by the population per housing unit
(i.e., density) and normalized from 0 to 1. et al., 2012), researchers have identified that stakeholders need
flood dynamics information (where and when floods will occur)
in order to make informed decisions (Rollason et al., 2018)
and are willing to accept a higher degree of uncertainty in
order to receive more timely information (McCarthy et al.,
2007). The misalignment between recent advancements in flood
inundation research and these needs has led to the slower
adoption of knowledge by flood management stakeholders,
generating a push across disciplines to move beyond the “hot
spots and hot moments” framework to better understand the difference in life and death (e.g., longer travel times to hospitals
can be a serious threat and is not just an inconvenience) (Ingenfeld
et al., 2018; Clark et al., 2022). Frontiers in Water Frontiers in Water 6.3. Applicability for improving disaster
preparedness and future work When we factor in the degree to which being vulnerable
to floods reduces an individual’s ability to cope with its
effects, the disproportionality only increases (Figure 11). While
researchers have identified the inequitable impacts of flooding and
other environmental disasters (Cutter et al., 2003; Chakraborty
et al., 2019; Moulds et al., 2021; Wing et al., 2022), the
exact combination of what sociodemographic variables that
make an individual more at risk and to what degree (i.e.,
the
equity
rank
weight)
are
highly
variable. A
moderate
influence of 25% (Toland et al., 2023) exacerbates burdens
such that Q4 carries on average 4 times as much burden
as Q1. By analyzing multiple vulnerability indicators with
multiple rank weights, we can draw attention to the social
status variables that are more disparate in Austin during
this particular hazard event which can aid in further storm
management planning. The model we have developed is solely built on open-
source data, which fall into three main categories: infrastructure
(road and resource locations), inundation, and socioeconomic
data. Infrastructure data retrieved from OpenStreetMap are
already available for a large portion of the world (Barrington-
Leigh
and
Millard-Ball,
2017). While
there
are
certainly
gaps in data availability in some nations and rural areas,
OpenStreetMap continues to expand its global reach. There
will
always
be
issues
with
accuracy
with
crowdsourced
road
network
and
resource
data,
but
strict
data
quality
policies
continue
to
raise
the
reliability
and
usability
of
OpenStreetMap data. Resource location data are also easily
verifiable for each study location and require minimal levels of
local knowledge. Our framework can accept any inundation layer or road closure
information to estimate network disruptions. Users can opt to
use existing inundation estimates that they have available. Our
specific pluvial and fluvial inundation layers are reproducible
anywhere mid- or high- resolution digital elevation models exist. Lower resolution elevation data ( 30-meters) can also be used,
with the understanding that modeling urban flooding with such
data comes with its own uncertainties and weaknesses. Our
inundation layers are created using the open source tools GeoFlood
(Zheng et al., 2018) and Fill-Spill-Merge (Barnes et al., 2021)
that estimate fluvial and pluvial flooding respectively (Preisser
et al., 2022). 6.2. The most vulnerable are the least
resilient Despite a large portion of flood risk communication studies
existing only in the context of theoretical frameworks (Kellens 14 Frontiers in Water frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 FIGURE 9
Austin, Texas household reliability during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Household reliability is calculated
every hour and shown in 4-h increments for brevity. Block group household reliability is weighted by the population per housing unit (i.e., density)
and normalized from 0 to 1. ousehold reliability during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Household reliability is calculate
d shown in 4-h increments for brevity. Block group household reliability is weighted by the population per housing unit (i.e., density)
d from 0 to 1. FIGURE 9
Austin, Texas household reliability during the Memorial Day flood (25 May 2015) and shown here in 4-h increments. Household reliability is calculated
every hour and shown in 4-h increments for brevity. Block group household reliability is weighted by the population per housing unit (i.e., density)
and normalized from 0 to 1. Our high temporal and spatial analysis of resource accessibility
shows that the most vulnerable quarter of the population are the
least resilient to the effects of a flood. For example, Q4 household
redundancy burdens double during peak flood conditions, while
Q1 burdens are halved (Figure 8). Similarly at the network level,
a temporal analysis captures the shifting nature of burdens,
with Gini coefficients increasing and decreasing rapidly around
peak-flood conditions, highlighting the necessity to analyze the temporal and spatial characteristics of events as they develop,
occur, and unfold (Bernhardt et al., 2017; Coles et al., 2017). Additionally, there are established needs for flood impact models
to consider transportation infrastructure disruptions (Yarveysi
et al., 2023), as well as for models with high speeds and
flexibility in order for multiple stakeholders to adopt new methods
in existing flood risk management systems (Leskens et al.,
2014). temporal and spatial characteristics of events as they develop,
occur, and unfold (Bernhardt et al., 2017; Coles et al., 2017). Additionally, there are established needs for flood impact models
to consider transportation infrastructure disruptions (Yarveysi
et al., 2023), as well as for models with high speeds and
flexibility in order for multiple stakeholders to adopt new methods
in existing flood risk management systems (Leskens et al.,
2014). Frontiers in Water 15 frontiersin.org Preisser et al. 6.2. The most vulnerable are the least
resilient 10.3389/frwa.2023.1278205 temporal consequences of a flood event (Figure 6). Furthermore,
by identifying the specific quarters of the population that are
most vulnerable, we are better able to capture discrepancies
amongst the total population. One specific example of this is the
household reliability metric when compared against social status
at 0:00 26/06/2015 (Figure 9). If we only examined halves of the
population, we would witness the most vulnerable half carrying
just over twice as much burden. However, comparing Q4 to Q1
we see that the most vulnerable quarter carries over five times as
much burden compared the least vulnerable quarter. These more
targeted results can better allow emergency managers to respond
with greater efficiency and precision. FIGURE 10
Austin, Texas household recoverability during the Memorial Day
flood (25 May 2015). Block group household recoverability is
weighted by the population per housing unit (i.e., density) and
normalized from 0 to 1. Equality is not necessarily the goal when determining the
impact of a natural hazard. For example, a hazard could affect
every individual equally (G = 0), but this would be a less desirable
solution than if only a handful of individuals were impacted (G ̸= 0)
(Logan et al., 2021). While a Gini coefficient between 0.3-0.4 is
typically considered a reasonable gap when strictly using income
data, evidence suggests that the threshold is less when examining
inequalities in flood risk and vulnerability (Sanders et al., 2022;
Yarveysi et al., 2023). Our peak Gini coefficients for household
redundancy (SVI at peak flooding, G = 0.32, Q4 = 47%) and
household reliability (SS 4 h post peak flooding, G = 0.30, Q4 =
45%) are two examples representing steep disproportionalities in
the distribution of impacts. While the Gini coefficient is a valuable
tool to quickly identify inequality, it is still necessary to account for
the magnitude of impacts and the disproportionate effects of that
burden to understand how to respond equitably (Osberg, 2016). FIGURE 10
Austin, Texas household recoverability during the Memorial Day
flood (25 May 2015). Block group household recoverability is
weighted by the population per housing unit (i.e., density) and
normalized from 0 to 1. frontiersin.org Frontiers in Water 6.3. Applicability for improving disaster
preparedness and future work This process can be replicated anywhere in the
United States using data from NOAA’s National Water Model
(NWM), which contains the necessary stream flow and ponded
water data going back to the 1980s to produce the relevant The exclusion of pluvial flooding from most emergency flood
mapping
sources
is
another
source
of
inequality/inequity
(Grahn
and
Nyberg,
2017). Pluvial
flooding
specifically
leads
to
ponded
water
on
impervious
surfaces,
such
as
roadways
and
intersections,
that
would
otherwise
not
be
identified
as
being
inundated
using
common
flood
risk
maps (Preisser et al., 2022). Our results show that pluvial
flooding doubles the number of closed roads at peak flood
conditions
and
predominantly
impacts
more
vulnerable
communities. If we utilized inundation maps that only included
fluvial flooding, our network and household metrics would
drastically
underrepresent
the
disproportional
distribution
of
burdens,
perpetuating
unequal
and
inequitable
flood
risk exposures. 16 Frontiers in Water frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 FIGURE 11
Austin, Texas household redundancy, reliability, and recoverability metrics during the Memorial Day flood at peak flood conditions (22:00 25 May
2015) while under the influence of 25, 50, or 100% indicator rank weight. Rank weights are the degree to which equality Lorenz curves are weighted
by the block group indicator ranks. FIGURE 11
Austin, Texas household redundancy, reliability, and recoverability metrics during the Memorial Day flood at peak flood conditions (22:00 25 May
2015) while under the influence of 25, 50, or 100% indicator rank weight. Rank weights are the degree to which equality Lorenz curves are weighted
by the block group indicator ranks. inundation estimates. These tools can also be run without
NWM data and only require estimated/observed runoffdepths
and stream flow values and can therefore be applied across
the globe. influence inequities, the resiliency metrics we computed highlight
inequalities which can directly aid emergency managers in the pre-
placement of supplies and personel before a flood event occurs. Communities across the United States are employing resource
hubs, or “resiliency hubs,” as a way to better prepare for disasters
(Anderson et al., 2017). While studying the performance of
infrastructure networks during disasters is not new (Kameshwar
et al., 2019), there has been limited use of transportation
planning in resiliency hub placement and design (Ciriaco and
Wong, 2022). Frontiers in Water 6.3. Applicability for improving disaster
preparedness and future work Furthermore, household metrics can be utilized
by individuals in their own emergency planning to gain a
more holistic picture of how they may or may not be able to
access necessary resources. The application of our framework to
community and regional planning can directly provide information Socioeconomic data from the 5-Year American Community
Survey are already available for the entire United States from
2009–2021 and will continue to be released in the foreseeable
future. While socioeconomic data may be less accessible in
other parts of the world, similar layers of vulnerability are
still commonly produced by other nations. While the Gini
coefficients and Lorenz curves would not be possible without
underlying vulnerability information, our model will still quantify
household and neighborhood resource accessibility disparities. Despite the unknown degree to which sociodemographic variables 17 frontiersin.org 10.3389/frwa.2023.1278205 Preisser et al. Formal
analysis,
Investigation,
Supervision,
Writing—
original draft, Writing—review and editing. RB: Supervision,
Writing—review and editing. SB: Supervision, Writing—review
and editing. Formal
analysis,
Investigation,
Supervision,
Writing—
original draft, Writing—review and editing. RB: Supervision,
Writing—review and editing. SB: Supervision, Writing—review
and editing. about gaps in resource coverage, which can aid in data-driven
decision-making processes. Acknowledgments We thank the reviewers and editor for providing valuable
comments that have improved the clarity and contents of this
paper. 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 MP:
Conceptualization,
Data
curation,
Formal
analysis,
Investigation, Methodology, Software, Visualization, Writing—
original draft, Writing—review and editing. PP: Conceptualization, The Supplementary Material for this article can be found
online at: https://www.frontiersin.org/articles/10.3389/frwa.2023. 1278205/full#supplementary-material Data availability statement All data used in this analysis are publicly available and
obtained
from
their
respective
sources,
including
NOAA,
USGS, TNRIS, OpenStreetMap, and the U.S. Census Bureau. The GeoFlood and Fill -Spill -Merge codes can be found on
their
respective
GitHub
pages
(https://github.com/r-barnes/
Barnes2020-FillSpillMerge,
Barnes,
2022;
https://github.com/
passaH2O/GeoFlood, Passalacqua, 2010). All associated codes that
we used in this study can be retrieved from https://doi.org/10. 5281/zenodo.8350297. We refer users to our GitHub page for the
most recent versions of our tools https://github.com/mdp0023/
network_analysis. 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. Funding We created a model that solves the user equilibrium traffic
assignment problem that routes every household to their nearest
critical resources while under the influence of a flood event. Our model’s capabilities to calculate hourly inundation impact
at the household level, utilizing only open-source data and low-
computational resources (i.e., without the use of high performance
computers or GPUs), is a step towards a more accessible method
for measuring the near-real time effects of floods on transportation
networks in the context. Our method is capable of discerning
the dynamic nature of resource accessibility throughout time that
would otherwise go unnoticed when only considering worse-
case scenario flood extent maps. Our matrix of metrics creates a
holistic picture of individual and network scale results which is
able to capture the multiple components of resiliency. In terms
of resource accessibility and in the context of our study area
Austin, Texas, we identified that the most vulnerable households
are the most susceptible to the effects of a flood event, the least
vulnerable carry the smallest burden, and that small inequalities
can become large inequities when considering the degree to
which being more vulnerable impacts one’s ability to cope with
a hazard. The
author(s)
declare
financial
support
was
received
for
the
research,
authorship,
and/or
publication
of
this
article. Funding
was
provided
by
the
National
Science
Foundation
Graduate
Research
Fellowship
(NSFGRFP,
grant no. DGE-1610403), the Future Investigators in NASA
Earth and Space Science and Technology (NASA FINESST,
grant
no. 21-EARTH21-0264),
and
PlanetTexas2050,
a
research
grand
challenge
at
the
University
of
Texas
at Austin. Akhavan, A., Phillips, N. E., Du, J., Chen, J., Sadeghinasr, B., and Wang,
Q.
(2019).
Accessibility
inequality
in
houston.
IEEE
Sens.
Lett.
3,
1–4.
doi: 10.1109/LSENS.2018.2882806 Anderson, K., Blanchard, S. D., Cheah, D., and Levitt, D. (2017). Incorporating
equity and resiliency in municipal transportation planning: Case study of mobility hubs
in Oakland, California. Transpor. Res. Rec. 2653, 65–74. doi: 10.3141/2653-08
Anguelovski, I., Shi, L., Chu, E., Gallagher, D., Goh, K., Lamb, Z., et al. (2016). Equity
impacts of urban land use planning for climate adaptation. J. Plann. Educ. Res. 36,
333–348. doi: 10.1177/0739456X16645166 Akçelik, R. (1991). Travel time functions for transport planning purposes:
Davidson’s function, its time dependent form and alternative travel time function.
Austr. Road Res. 21, 49–59. Frontiers in Water Anderson, K., Blanchard, S. D., Cheah, D., and Levitt, D. (2017). Incorporating
equity and resiliency in municipal transportation planning: Case study of mobility hubs
in Oakland, California. Transpor. Res. Rec. 2653, 65–74. doi: 10.3141/2653-08 Anguelovski, I., Shi, L., Chu, E., Gallagher, D., Goh, K., Lamb, Z., et al. (2016). Equity
impacts of urban land use planning for climate adaptation. J. Plann. Educ. Res. 36,
333–348. doi: 10.1177/0739456X16645166 References Akçelik, R. (1991). Travel time functions for transport planning purposes:
Davidson’s function, its time dependent form and alternative travel time function. Austr. Road Res. 21, 49–59. 18 Frontiers in Water frontiersin.org 10.3389/frwa.2023.1278205 Preisser et al. Cummins, S. (2002). “Food deserts"–evidence and assumption in health policy
making. BMJ 325, 436–438. doi: 10.1136/bmj.325.7361.436 Arrighi, C., Pregnolato, M., and Castelli, F. (2021). Indirect flood impacts and
cascade risk across interdependent linear infrastructures. Nat. Hazar. Earth Syst. Sci. 21, 1955–1969. doi: 10.5194/nhess-21-1955-2021 Cutter, S. L., Boruff, B. J., and Shirley, W. L. (2003). Social vulnerability
to environmental hazards. Soc. Sci. Quart. 84, 242–261. doi: 10.1111/1540-6237. 8402002 Arrighi, C., Pregnolato, M., Dawson, R. J., and Castelli, F. (2019). Preparedness
against
mobility
disruption
by
floods. Sci. Total
Environ. 654,
1010–1022. doi: 10.1016/j.scitotenv.2018.11.191 Dargin, J., Berk, A., and Mostafavi, A. (2020). Assessment of household-level food-
energy-water nexus vulnerability during disasters. Sustain. Cities Soc. 62, 102366. doi: 10.1016/j.scs.2020.102366 Bakkensen, L. A., Fox-Lent, C., Read, L. K., and Linkov, I. (2016). Validating
resilience and vulnerability indices in the context of natural disasters. Risk Analy. 37,
982–1004. doi: 10.1111/risa.12677 Davidson, K. B. (1966). “A flow travel time relationship for use in transportation
planning,” in Australian Road Research Board (ARRB) Conference, 3rd (Sydney). Barbosa, H., Hazarie, S., Dickinson, B., Bassolas, A., Frank, A., Kautz, H., et al. (2021). Uncovering the socioeconomic facets of human mobility. Sci. Rep. 11, 3616. doi: 10.1038/s41598-021-87407-4 Dawson, R. J., Peppe, R., and Wang, M. (2011). An agent-based model
for
risk-based
flood
incident
management. Nat. Hazards
59,
167–189. doi: 10.1007/s11069-011-9745-4 Bar-Gera, H. (2002). Origin-based algorithm for the traffic assignment problem. Transp. Sci. 36, 398–417. doi: 10.1287/trsc.36.4.398.549 Derrible, S., and Kennedy, C. (2010). The complexity and robustness of metro
networks. Phys. A. 389, 3678–3691. doi: 10.1016/j.physa.2010.04.008 Barnes, R., Callaghan, K. L., and Wickert, A. D. (2021). Computing water flow
through complex landscapes part 3: Fill spill–merge: flow routing in depression
hierarchies. Earth Surf. Dyn. 9, 105–121. doi: 10.5194/esurf-9-105-2021 Donald, B. (2013). Food retail and access after the crash: rethinking the food desert
problem. J. Econ. Geogr. 13, 231–237. doi: 10.1093/jeg/lbs064 Barrington-Leigh,
C.,
and
Millard-Ball,
A. (2017). The
world’s
user-
generated road map is more than 80% complete. PLoS ONE 12, e0180698. doi: 10.1371/journal.pone.0180698 Elalem, S., and Pal, I. (2015). Mapping the vulnerability hotspots over Hindu-
Kush Himalaya region to flooding disasters. Weather Clim. Extr. 8, 46–58. doi: 10.1016/j.wace.2014.12.001 Beaumont, J., Lang, T., Leather, S., and Mucklow, C. (1995). References Report From the Policy
Sub-Group to the Nutrition Task Force Low Income Project Team of the Department of
Health. Radlett, Hertfordshire: Institute of Grocery Distribution. FEMA (2022). Flood: Do not drive in floodwaters. Available online at: https://
community.fema.gov/ProtectiveActions/s/article/Flood-Vehicle-Do-Not-Drive-in-
Floodwaters-Turn-Around-Don-t-Drown (accessed August 14, 2023). Beckmann, M. J., McGuire, C. B., and Winsten, C. B. (1955). Studies in the
Economics of Transportation. Santa Monica, CA: RAND Corporation. Fischer, A. P., and Frazier, T. G. (2017). Social vulnerability to climate change in
temperate forest areas: New measures of exposure, sensitivity, and adaptive capacity. Ann. Am. Assoc. Geogr. 108, 658–678. doi: 10.1080/24694452.2017.1387046 Bernhardt, E. S., Blaszczak, J. R., Ficken, C. D., Fork, M. L., Kaiser, K. E., and
Seybold, E. C. (2017). Control points in ecosystems: Moving beyond the hot spot hot
moment concept. Ecosystems 20, 665–682. doi: 10.1007/s10021-016-0103-y Fitzpatrick, K. M., Willis, D. E., Spialek, M. L., and English, E. (2020). Food
insecurity in the post-hurricane harvey setting: Risks and resources in the midst of
uncertainty. Int. J. Environ. Res. Public Health 17, 8424. doi: 10.3390/ijerph17228424 Bixler, R. P., Yang, E., Richter, S. M., and Coudert, M. (2021). Boundary
crossing for urban community resilience: A social vulnerability and multi-hazard
approach in Austin, Texas, USA. Int. J. Disaster Risk Reduct. 66, 102613. doi: 10.1016/j.ijdrr.2021.102613 Flanagan, B. E., Gregory, E. W., Hallisey, E. J., Heitgerd, J. L., and Lewis, B. (2011). A social vulnerability index for disaster management. J. Homel. Secur. Emer. Manage. 8, 1792. doi: 10.2202/1547-7355.1792 Boakye, J., Guidotti, R., Gardoni, P., and Murphy, C. (2022). The role of
transportation infrastructure on the impact of natural hazards on communities. Reliab. Eng. Syst. Safety 219, 108184. doi: 10.1016/j.ress.2021.108184 Foster, K. A. (2012). “In search of regional resilience,” Urban and Regional Policy
and its effects: Building Resilient Regions 24–59. Frank, M., and Wolfe, P. (1956). An algorithm for quadratic programming. Naval
Res. Logist. Quart. 3, 95–110. doi: 10.1002/nav.3800030109 Boeing, G. (2017). OSMnx: New methods for acquiring, constructing, analyzing,
and visualizing complex street networks. Comput. Environ. Urban Syst. 65, 126–139. doi: 10.1016/j.compenvurbsys.2017.05.004 Füssel, H.-M. (2010). How inequitable is the global distribution of responsibility,
capability, and vulnerability to climate change: A comprehensive indicator-based
assessment. Global Environ. Change 20, 597–611. doi: 10.1016/j.gloenvcha.2010.07.009 Borgatti, S. P. (2005). Centrality and network flow. Soc. Netw 27, 55–71. doi: 10.1016/j.socnet.2004.11.008 Gangwal, U., and Dong, S. (2022). Critical facility accessibility rapid failure early-
warning detection and redundancy mapping in urban flooding. Reliab. Eng. Syst. References Safety
224, 108555. doi: 10.1016/j.ress.2022.108555 Boscoe, F. P., Liu, B., Lafantasie, J., Niu, L., and Lee, F. F. (2022). Estimating
uncertainty in a socioeconomic index derived from the American community survey. SSM Popul. Health 18, 101078. doi: 10.1016/j.ssmph.2022.101078 Ghosh-Dastidar, M., Hunter, G., Collins, R. L., Zenk, S. N., Cummins, S., Beckman,
R., et al. (2017). Does opening a supermarket in a food desert change the food
environment? Health Place 46, 249–256. doi: 10.1016/j.healthplace.2017.06.002 Brandes, U. (2008). On variants of shortest-path betweenness centrality and their
generic computation. Soc. Netw. 30, 136–145. doi: 10.1016/j.socnet.2007.11.001 Bureau of Public Roads. (1964). Traffic Assignment Manual. Washington, DC: US
Department of Commerce Urban Planning Division. Gil, J., and Steinbach, P. (2008). “From flood risk to indirect flood impact: evaluation
of street network performance for effective management, response and repair,” in WIT
Transactions on Ecology and the Environment (WIT Press). doi: 10.2495/FRIAR080321 Cardillo,
A.,
Scellato,
S.,
Latora,
V.,
and
Porta,
S. (2006). Structural
properties of planar graphs of urban street patterns. Phys. Rev. E 73, 066107. doi: 10.1103/PhysRevE.73.066107 Gori, A., Gidaris, I., Elliott, J. R., Padgett, J., Loughran, K., Bedient, P., et
al. (2020). Accessibility and recovery assessment of houston’s roadway network
due to fluvial flooding during hurricane Harvey. Nat. Hazards Rev. 21, 355. doi: 10.1061/(ASCE)NH.1527-6996.0000355 Carlier, J., and Lucet, C. (1996). A decomposition algorithm for network reliability
evaluation. Discr. Appl. Mathem. 65, 141–156. doi: 10.1016/0166-218X(95)00032-M Grahn, T., and Nyberg, L. (2017). Assessment of pluvial flood exposure
and vulnerability of residential areas. Int. J. Disaster Risk Reduc. 21, 367–375. doi: 10.1016/j.ijdrr.2017.01.016 Chakraborty, J., Collins, T. W., and Grineski, S. E. (2019). Exploring the
environmental justice implications of hurricane Harvey flooding in greater Houston,
Texas. Am. J. Public Health 109, 244–250. doi: 10.2105/AJPH.2018.304846 Cho, J., and Yoon, Y. (2015). “GIS-based analysis on vulnerability of ambulance
response coverage to traffic condition: A case study of seoul,” in 2015 IEEE
18th
International
Conference
on
Intelligent
Transportation
Systems
(IEEE). doi: 10.1109/ITSC.2015.230 Green, D., Yu, D., Pattison, I., Wilby, R., Bosher, L., Patel, R., et al. (2017). City-
scale accessibility of emergency responders operating during flood events. Nat. Hazards
Earth Syst. Sci. 17, 1–16. doi: 10.5194/nhess-17-1-2017 Hagberg, A., Swart, P., and Chult, D. S. (2008). Exploring network structure,
dynamics, and function using networkx. Office of Science and Technical Information. Ciriaco, T. G., and Wong, S. D. (2022). Review of resilience hubs and
associated transportation needs. Transp. Res. Interdisc. Perspect. 16, 100697. References doi: 10.1108/17595901011026463 Kellens, W., Terpstra, T., and Maeyer, P. D. (2012). Perception and communication
of flood risks: A systematic review of empirical research. Risk Analy. 33, 24–49. doi: 10.1111/j.1539-6924.2012.01844.x Osberg, L. (2016). On the limitations of some current usages of the gini index. Rev. Income Wealth 63, 574–584. doi: 10.1111/roiw.12256 Kocatepe, A., Ulak, M. B., Kakareko, G., Ozguven, E. E., Jung, S., and Arghandeh,
R. (2018). Measuring the accessibility of critical facilities in the presence of hurricane-
related roadway closures and an approach for predicting future roadway disruptions. Nat. Hazards 95, 615–635. doi: 10.1007/s11069-018-3507-5 Ouyang, M. (2014). Review on modeling and simulation of interdependent
critical
infrastructure
systems. Reliab. Eng. Syst. Safety
121,
43–60. doi: 10.1016/j.ress.2013.06.040 Koetse, M. J., and Rietveld, P. (2009). The impact of climate change and weather
on transport: An overview of empirical findings. Transp. Res. Part D. 14, 205–221. doi: 10.1016/j.trd.2008.12.004 Peacock, W. G., Brody, S., Seitz, W. A., Merrell, W. J., Vedlitz, A., Zahran, S., et al. (2010). “Advancing the resilience of coastal localities: Developing, implementing and
sustaining the use of coastal resilience indicators,” in Hazard Reduction and Recovery
Center. Kramer, M., Terheiden, K., and Wieprecht, S. (2016). Safety criteria for the
trafficability of inundated roads in urban floodings. Int. J. Disaster Risk Reduct. 17,
77–84. doi: 10.1016/j.ijdrr.2016.04.003 Pearson,
M.,
and
Hamilton,
K. (2014). Investigating
driver
willingness
to
drive
through
flooded
waterways. Acc. Anal. Prev. 72,
382–390. doi: 10.1016/j.aap.2014.07.018 Kurth, D. L., van den Hout, A., and Ives, B. (1996). Implementation of highway
capacity manual–based volume-delay functions in regional traffic assignment process. Transp. Res. Rec. 1556, 27–36. doi: 10.1177/0361198196155600105 Pedrozo-Acu na, A., Moreno, G., Mejia-Estrada, P. I., Paredes-Victoria, P., Bre
na-Naranjo, J., and Meza, C. (2017). Integrated approach to determine highway
flooding and critical points of drainage. Transp. Res. Part D. 50, 182–191. doi: 10.1016/j.trd.2016.11.004 Leskens, J., Brugnach, M., Hoekstra, A., and Schuurmans, W. (2014). Why are
decisions in flood disaster management so poorly supported by information from flood
models? Environ. Model. Softw. 53, 53–61. doi: 10.1016/j.envsoft.2013.11.003 Pregnolato, M., Ford, A., Wilkinson, S. M., and Dawson, R. J. (2017). The impact of
flooding on road transport: a depth-disruption function. Transp. Res. Part D. 55, 67–81. doi: 10.1016/j.trd.2017.06.020 Lhomme, S., Serre, D., Diab, Y., and Laganier, R. (2013). Analyzing resilience of
urban networks: a preliminary step towards more flood resilient cities. Nat. Hazards
Earth Syst. Sci. 13, 221–230. doi: 10.5194/nhess-13-221-2013 Preisser, M., Passalacqua, P., Bixler, R. References doi: 10.1016/j.trip.2022.100697 Hasan,
S.,
and
Foliente,
G. (2015). Modeling
infrastructure
system
interdependencies and socioeconomic impacts of failure in extreme events: emerging
challenges. Nat. Hazards 78, 2143–2168. doi: 10.1007/s11069-015-1814-7 Clark, S. S., Peterson, S. K., Shelly, M. A., and Jeffers, R. F. (2022). Developing
an equity-focused metric for quantifying the social burden of infrastructure
disruptions. Sustain. Resil. Infrastr. 8,
356–369. doi:
10.1080/23789689.2022. 2157116 Hooper, E., Chapman, L., and Quinn, A. (2012). Investigating the impact of
precipitation on vehicle speeds on UK motorways. Meteorol. Applic. 21, 194–201. doi: 10.1002/met.1348 Coles, D., Yu, D., Wilby, R. L., Green, D., and Herring, Z. (2017). Beyond “flood
hotspots:” Modeling emergency service accessibility during flooding in York, UK. J. Hydrol. 546, 419–436. doi: 10.1016/j.jhydrol.2016.12.013 Horner, M. W., and Widener, M. J. (2011). The effects of transportation network
failure on people’s accessibility to hurricane disaster relief goods: a modeling
approach and application to a Florida case study. Nat. Hazards 59, 1619–1634. doi: 10.1007/s11069-011-9855-z Collins, T. W., Grineski, S. E., Chakraborty, J., and Flores, A. B. (2019). Environmental injustice and hurricane harvey: A household-level study of socially
disparate flood exposures in greater Houston, Texas, USA. Environ. Res. 179, 108772. doi: 10.1016/j.envres.2019.108772 Hosseini, S., Barker, K., and Ramirez-Marquez, J. E. (2016). A review of
definitions and measures of system resilience. Reliab. Eng. Syst. Safety 145, 47–61. doi: 10.1016/j.ress.2015.08.006 19 Frontiers in Water frontiersin.org Preisser et al. 10.3389/frwa.2023.1278205 Preisser et al. 10.3389/frwa.2023.1278205 Ingenfeld, J., Wolbring, T., and Bless, H. (2018). Commuting and life satisfaction
revisited: Evidence on a non-linear relationship. J. Happiness Stud. 20, 2677–2709. doi: 10.1007/s10902-018-0064-2 Moses, R., Mtoi, E., Ruegg, S., and McBean, H. (2013). Development of speed models
for improving travel forecasting and highway performance evaluation. Technical report,
US Federal Highway Administration. Available online at: https://rosap.ntl.bts.gov/
view/dot/40540 (accessed August 14, 2023). Islam,
M.,
and
Aktar,
S. (2011). Measuring
physical
accessibility
to
health facilities–a case study on khulna city. World Health Popul. 12, 22195. doi: 10.12927/whp.2011.22195 Moulds, S., Buytaert, W., Templeton, M. R., and Kanu, I. (2021). Modeling the
impacts of urban flood risk management on social inequality. Water Resour. Res. 57,
24. doi: 10.1029/2020WR029024 Jalayer, F., Risi, R. D., Paola, F. D., Giugni, M., Manfredi, G., Gasparini, P., et al. (2014). Probabilistic GIS-based method for delineation of urban flooding risk hotspots. Nat. Hazards. 73, 975–1001. doi: 10.1007/s11069-014-1119-2 Mtoi, E. T., and Moses, R. (2014). References Calibration and evaluation of link congestion
functions: Applying intrinsic sensitivity of link speed as a practical consideration to
heterogeneous facility types within urban network. J. Transp. Technol. 4, 141–149. doi: 10.4236/jtts.2014.42014 Jasour, Z. Y., Reilly, A. C., Tonn, G. L., and Ferreira, C. M. (2022). Roadway flooding
as a bellwether for household retreat in rural, coastal regions vulnerable to sea-level rise. Clim. Risk Manag. 36, 100425. doi: 10.1016/j.crm.2022.100425 Najafi, M. R., Zhang, Y., and Martyn, N. (2021). A flood risk assessment framework
for interdependent infrastructure systems in coastal environments. Sustain. Cities Soc. 64, 102516. doi: 10.1016/j.scs.2020.102516 Jayakrishnan, R., Tsai, W. T., Prashker, J. N., and Rajadhyaksha, S. (1994). A faster
path-based algorithm for traffic assignment. Working paper Nelson, D. R., Adger, W. N., and Brown, K. (2007). Adaptation to environmental
change: Contributions of a resilience framework. Ann. Rev. Environ. Resour. 32,
395–419. doi: 10.1146/annurev.energy.32.051807.090348 Johnson, J. M., Narock, T., Singh-Mohudpur, J., Fils, D., Clarke, K. C., Saksena, S., et
al. (2022). Knowledge graphs to support real-time flood impact evaluation. AI Magaz. 43, 40–45. doi: 10.1002/aaai.12035 Nelson, K. S., Abkowitz, M. D., and Camp, J. V. (2015). A method for creating high
resolution maps of social vulnerability in the context of environmental hazards. Appl. Geogr. 63, 89–100. doi: 10.1016/j.apgeog.2015.06.011 Kameshwar, S., Cox, D. T., Barbosa, A. R., Farokhnia, K., Park, H., Alam,
M. S., et al. (2019). Probabilistic decision-support framework for community
resilience:
Incorporating
multi-hazards,
infrastructure
interdependencies,
and
resilience goals in a Bayesian network. Reliab. Eng. Syst. Safety 191, 106568. doi: 10.1016/j.ress.2019.106568 Nobre, A., Cuartas, L., Hodnett, M., Rennó, C., Rodrigues, G., Silveira, A., et al. (2011). Height above the nearest drainage–a hydrologically relevant new terrain model. J. Hydrol. 404, 13–29. doi: 10.1016/j.jhydrol.2011.03.051 Kapucu, N., and Garayev, V. (2012). Designing, managing, and sustaining
functionally collaborative emergency management networks. Am. Rev.Public Admin. 43, 312–330. doi: 10.1177/0275074012444719 NWS (2022). Turn around don’t drown. Available online at: https://www.weather. gov/safety/flood-turn-around-dont-drown (accessed August 14, 2023). Karakoc, D. B., Barker, K., Zobel, C. W., and Almoghathawi, Y. (2020). Social
vulnerability and equity perspectives on interdependent infrastructure network
component importance. Sustain. Cities Soc. 57, 102072. doi: 10.1016/j.scs.2020.102072 Oehlers, M., and Fabian, B. (2021). Graph metrics for network robustness–a survey. Mathematics 9, 895. doi: 10.3390/math9080895 Oh, E. H., Deshmukh, A., and Hastak, M. (2010). Disaster impact analysis based
on inter-relationship of critical infrastructure and associated industries. Int. J. Disaster
Resil. Built Environ. 1, 25–49. References P., and Hofmann, J. (2022). Intersecting near-
real time fluvial and pluvial inundation estimates with sociodemographic vulnerability
to quantify a household flood impact index. Hydrol. Earth Syst. Sci. 26, 3941–3964. doi: 10.5194/hess-26-3941-2022 Li, C., Wang, H., de Haan, W., Stam, C. J., and Mieghem, P. V. (2011). The correlation of metrics in complex networks with applications in functional
brain networks. J. Stat. Mech. 2011, P11018. doi: 10.1088/1742-5468/2011/11/
P11018 Pulcinella, J. A., Winguth, A. M. E., Allen, D. J., and Gangadhar, N. D. (2019). Analysis of flood vulnerability and transit availability with a changing climate in Harris
county, Texas. Transp. Res. Rec. 2673, 258–266. doi: 10.1177/0361198119839346 Lim, S., Kim, T., and Song, J. (2022). System-reliability-based disaster resilience
analysis: Framework and applications to structural systems. Struct. Safety 96, 102202. doi: 10.1016/j.strusafe.2022.102202 Pyatkova, K., Chen, A. S., Djordjevi´c, S., Butler, D., Vojinovi´c, Z., Abebe, Y. A., et
al. (2018). “Flood impacts on road transportation using microscopic traffic modelling
techniques,” in Lecture Notes in Mobility (Cham: Springer International Publishing),
115–126. doi: 10.1007/978-3-319-33616-9_8 Liu, Y., Sui, Z., Kang, C., and Gao, Y. (2014). Uncovering patterns of inter-urban
trip and spatial interaction from social media check-in data. PLoS ONE 9, e86026. doi: 10.1371/journal.pone.0086026 Rinaldi, S., Peerenboom, J., and Kelly, T. (2001). Identifying, understanding, and
analyzing critical infrastructure interdependencies. IEEE Control Syst. 21, 11–25. doi: 10.1109/37.969131 Logan, T., Anderson, M., Williams, T., and Conrow, L. (2021). Measuring
inequalities
in
urban
systems:
an
approach
for
evaluating
the
distribution
of
amenities
and
burdens. Comput. Environ. Urban
Syst. 86,
101590. doi: 10.1016/j.compenvurbsys.2020.101590 Rollason, E., Bracken, L. J., Hardy, R. J., and Large, A. R. G. (2018). Rethinking
flood risk communication. Nat. Hazards 92, 1665–1686. doi: 10.1007/s11069-018-
3273-4 Lu, L., Wang, X., Ouyang, Y., Roningen, J., Myers, N., and Calfas, G. (2018). Vulnerability of interdependent urban infrastructure networks: equilibrium after
failure propagation and cascading impacts. Comput. Aided Civil Infrastr. Eng. 33,
300–315. doi: 10.1111/mice.12347 Rosenheim, N., Guidotti, R., Gardoni, P., and Peacock, W. G. (2019). Integration of detailed household and housing unit characteristic data with critical
infrastructure for post-hazard resilience modeling. Sustain. Resilient Infrastr. 6,
385–401. doi: 10.1080/23789689.2019.1681821 McCarthy, S., Tunstall, S., Parker, D., Faulkner, H., and Howe, J. (2007). Risk
communication in emergency response to a simulated extreme flood. Environ. Hazards
7, 179–192. doi: 10.1016/j.envhaz.2007.06.003 Rufat, S., Tate, E., Emrich, C. T., and Antolini, F. (2019). How valid
are
social
vulnerability
models? Ann. Am. Assoc. Geogr. 109,
1131–1153. References doi: 10.1080/24694452.2018.1535887 Morgan, J. (1962). The anatomy of income distribution. Rev. Econ. Stat. 44, 270. doi: 10.2307/1926398 Frontiers in Water 20 frontiersin.org 10.3389/frwa.2023.1278205 Preisser et al. Preisser et al. Watts, D. J., and Strogatz, S. H. (1998). Collective dynamics of ‘small-world’
networks. Nature 393, 440–442. doi: 10.1038/30918 Sanders, B. F., Schubert, J. E., Kahl, D. T., Mach, K. J., Brady, D., AghaKouchak, A.,
et al. (2022). Large and inequitable flood risks in Los Angeles, California. Nat. Sustain. 6, 47–57. doi: 10.1038/s41893-022-00977-7 Whelan, A., Wrigley, N., Warm, D., and Cannings, E. (2002). Life in a food desert. Urban Stud. 39, 2083–2100. doi: 10.1080/0042098022000011371 Schumann, G. J.-P., Frye, S., Wells, G., Adler, R., Brakenridge, R., Bolten, J., et al. (2016). Unlocking the full potential of earth observation during the 2015 Texas flood
disaster. Water Resour. Res. 52, 3288–3293. doi: 10.1002/2015WR018428 Widener, M. J. (2018). Spatial access to food: Retiring the food desert
metaphor. Physiol. Behav. 193,
257–260. doi:
10.1016/j.physbeh.2018. 02.032 Sohn, J. (2006). Evaluating the significance of highway network links under
the flood damage: An accessibility approach. Transp. Res. Part A. 40, 491–506. doi: 10.1016/j.tra.2005.08.006 Wing, O. E. J., Lehman, W., Bates, P. D., Sampson, C. C., Quinn, N., Smith, A. M., et
al. (2022). Inequitable patterns of us flood risk in the anthropocene. Nat. Clim. Change
12, 156–162. doi: 10.1038/s41558-021-01265-6 Spiess, H. (1990). Conical volume-delay functions. Transp. Sci. 24, 153–158. doi: 10.1287/trsc.24.2.153 Wi´sniewski, S., Borowska-Stefa´nska, M., Kowalski, M., and Sapi´nska, P. (2020). Vulnerability of the accessibility to grocery shopping in the event of flooding. Transp. Res. Part D. 87, 102510. doi: 10.1016/j.trd.2020.102510 Tate, E., Rahman, M. A., Emrich, C. T., and Sampson, C. C. (2021). Flood
exposure and social vulnerability in the United States. Nat. Hazards 106, 435–457. doi: 10.1007/s11069-020-04470-2 Wu, J., Barahona, M., Tan, Y.-J., and Deng, H.-Z. (2011). Spectral measure
of structural robustness in complex networks. IEEE Trans. Syst. Hum. Cyber. 41,
1244–1252. doi: 10.1109/TSMCA.2011.2116117 Tellman, B., Schank, C., Schwarz, B., Howe, P. D., and de Sherbinin, A. (2020). Using disaster outcomes to validate components of social vulnerability to floods: Flood
deaths and property damage across the USA. Sustainability 12, 6006. doi: 10.3390/su121
56006 Xu, X., Chen, A., Jansuwan, S., Yang, C., and Ryu, S. (2018). Transportation network
redundancy: Complementary measures and computational methods. Transp. Res. B. 114, 68–85. doi: 10.1016/j.trb.2018.05.014 Thacker,
S.,
Barr,
S.,
Pant,
R.,
Hall,
J. W.,
and
Alderson,
D. (2017). Zubair, L., Ralapanawe, V., Tennakoon, U., Yahiya, Z., and Perera, R. (2006).
“Natural disaster risks in Sri Lanka: Mapping hazards and risk hotspots,” in Natural
Disaster Hotspots Case Studies, ed. M. Arnold (Washington DC: World Bank), 109. References Geographic hotspots of critical national infrastructure. Risk Anal. 37, 2490–2505. doi: 10.1111/risa.12840 Yamano, N., Kajitani, Y., and Shumuta, Y. (2007). Modeling the regional economic
loss of natural disasters: the search for economic hotspots. Econ. Syst. Res. 19, 163–181. doi: 10.1080/09535310701330191 Toland, J. C., Wein, A. M., Wu, A.-M., and Spearing, L. A. (2023). A conceptual
framework for estimation of initial emergency food and water resource requirements
in disasters. Int. J. Disaster Risk Red. 90, 103661. doi: 10.1016/j.ijdrr.2023.103661 Yarveysi, F., Alipour, A., Moftakhari, H., Jafarzadegan, K., and Moradkhani,
H. (2023). Block-level vulnerability assessment reveals disproportionate impacts of
natural hazards across the conterminous united states. Nat. Commun. 14, 4222. doi: 10.1038/s41467-023-39853-z TRB (2010). Highway Capacity Manual. Washington, DC: Transportation Research
Board, National Research Council 1207. Tsang, M., and Scott, D. M. (2020). An integrated approach to modeling the impact
of floods on emergency services: A case study of Calgary, Alberta. J. Transp. Geogr. 86,
102774. doi: 10.1016/j.jtrangeo.2020.102774 Yin, J., Yu, D., Yin, Z., Liu, M., and He, Q. (2016). Evaluating the impact
and risk of pluvial flash flood on intra-urban road network: a case study in the
city center of shanghai, china. J. Hydrol. 537, 138–145. doi: 10.1016/j.jhydrol.2016. 03.037 Tsapakis,
I.,
Cheng,
T.,
and
Bolbol,
A. (2013). Impact
of
weather
conditions on macroscopic urban travel times. J. Transp. Geogr. 28, 204–211. doi: 10.1016/j.jtrangeo.2012.11.003 Zheng, X., Maidment, D. R., Tarboton, D. G., Liu, Y. Y., and Passalacqua,
P. (2018). GeoFlood: Large-scale flood inundation mapping based on high-
resolution terrain analysis. Water Resour. Res. 54, 10-013. doi: 10.1029/2018WR
023457 UNDP (2010). Human development report 2010: the real wealth of nations -
pathways to human development. Technical report, New York. Zhou, H., Wang, J., Wan, J., and Jia, H. (2009). Resilience to natural
hazards: a geographic perspective. Nat. Hazards 53, 21–41. doi: 10.1007/s11069-009-
9407-y Wang, W., Yang, S., Stanley, H. E., and Gao, J. (2019). Local floods
induce large-scale abrupt failures of road networks. Nat. Commun. 10, 2114. doi: 10.1038/s41467-019-10063-w Zubair, L., Ralapanawe, V., Tennakoon, U., Yahiya, Z., and Perera, R. (2006). “Natural disaster risks in Sri Lanka: Mapping hazards and risk hotspots,” in Natural
Disaster Hotspots Case Studies, ed. M. Arnold (Washington DC: World Bank), 109. Wang, X., Koç, Y., Derrible, S., Ahmad, S. N., Pino, W. J., and Kooij, R. E. (2017). Multi-criteria robustness analysis of metro networks. Phys. A. 474, 19–31. doi: 10.1016/j.physa.2017.01.072 Frontiers in Water 21 21 Frontiers in Water frontiersin.org
|
https://openalex.org/W4320893518
|
https://acp.copernicus.org/preprints/acp-2022-686/acp-2022-686.pdf
|
English
| null |
Authors response to the reviewers
| null | 2,023
|
cc-by
| 48,702
|
Correspondence: Maria Tsivlidou (maria.tsivlidou@gmail.com) South China is the only Asian site where O3 peaks in the LT (75 ppb at 2.5 km), due to
local fires (30 %) in addition to the local (52 %) and regional (15 %) AN emissions. The highest amount of transported CO in
the tropics originates from Africa. The main transport pathway is from the dry-season African regions towards the wet-season October and 86 % in April). The second highest O3 and CO maxima are observed over Asia. Local or regional Asian AN
10
emissions cause the CO maximum in the LT (0.5 km) in January, and the O3 maximum in the free troposphere (at 6 km) in
the post-monsoon season (April). South China is the only Asian site where O3 peaks in the LT (75 ppb at 2.5 km), due to
local fires (30 %) in addition to the local (52 %) and regional (15 %) AN emissions. The highest amount of transported CO in
the tropics originates from Africa. The main transport pathway is from the dry-season African regions towards the wet-season October and 86 % in April). The second highest O3 and CO maxima are observed over Asia. Local or regional Asian AN
10
emissions cause the CO maximum in the LT (0.5 km) in January, and the O3 maximum in the free troposphere (at 6 km) in
the post-monsoon season (April). South China is the only Asian site where O3 peaks in the LT (75 ppb at 2.5 km), due to
local fires (30 %) in addition to the local (52 %) and regional (15 %) AN emissions. The highest amount of transported CO in
the tropics originates from Africa. The main transport pathway is from the dry-season African regions towards the wet-season ones. Contributions from the NH Africa are found over Arabia and Eastern Africa (up to 70 %), and India (40 % in the mid
15
(MT) and 60% in the upper (UT) troposphere) during the dry season. Transport towards NH South America is found all year
long, with significant contributions in the MT and UT (30–40 % over Caracas on annual basis). In contrast, the impact of the
Asian emissions in the LT and MT is limited on a local or regional scale. Export of polluted Asian air masses is important in
the UT during the Asian summer monsoon and post-monsoon seasons, when convection is active. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Correspondence: Maria Tsivlidou (maria.tsivlidou@gmail.com) Correspondence: Maria Tsivlidou (maria.tsivlidou@gmail.com) Abstract. The characteristics and seasonal variability of the tropical tropospheric distributions of ozone (O3) and carbon
monoxide (CO) were analysed based on in situ measurements provided by the In-service Aircraft for a Global Observing
System (IAGOS) program since 1994 and 2002 respectively, combined with observations from the Infrared Atmospheric
Sounding (IASI) instrument on board the Met-op A satellite since 2008. The SOFT-IO model, which couples back trajectories Abstract. The characteristics and seasonal variability of the tropical tropospheric distributions of ozone (O3) and carbon
monoxide (CO) were analysed based on in situ measurements provided by the In-service Aircraft for a Global Observing
System (IAGOS) program since 1994 and 2002 respectively, combined with observations from the Infrared Atmospheric
Sounding (IASI) instrument on board the Met-op A satellite since 2008. The SOFT-IO model, which couples back trajectories
with CO emissions inventories, was used to explore the origins and sources of the tropical CO observed by IAGOS. The highest
5
tropical O3 and CO maxima occur over Northern Hemisphere (NH) Africa in the low troposphere (LT) (80 ppb and 850 ppb
respectively at 2.5 km over Lagos) during the dry season (January). Despite the active local fires, local anthropogenic (AN)
emissions (60 %) are dominant for the CO, and consequently the O3 maxima. The importance of the local AN emissions
are highlighted over Central Africa, as they cause a persistent polluted surface layer during the transition seasons (40 % in
October and 86 % in April). The second highest O3 and CO maxima are observed over Asia. Local or regional Asian AN
10
emissions cause the CO maximum in the LT (0.5 km) in January, and the O3 maximum in the free troposphere (at 6 km) in
the post-monsoon season (April). South China is the only Asian site where O3 peaks in the LT (75 ppb at 2.5 km), due to
local fires (30 %) in addition to the local (52 %) and regional (15 %) AN emissions. The highest amount of transported CO in
the tropics originates from Africa. The main transport pathway is from the dry-season African regions towards the wet-season
ones. Contributions from the NH Africa are found over Arabia and Eastern Africa (up to 70 %), and India (40 % in the mid
15
(MT) and 60% in the upper (UT) troposphere) during the dry season. Tropical tropospheric ozone and carbon monoxide distributions:
characteristics, origins and control factors, as seen by IAGOS and
IASI Maria Tsivlidou1, Bastien Sauvage1,*, Brice Barret1,*, Pawel Wolff2, Hannah Clark3,
Yasmine Bennouna1, Romain Blot1, Damien Boulanger2, Philippe Nédélec1, Eric Le Flochmoën1, and
Valérie Thouret1 Maria Tsivlidou1, Bastien Sauvage1,*, Brice Barret1,*, Pawel Wolff2, Hannah Clark3,
Yasmine Bennouna1, Romain Blot1, Damien Boulanger2, Philippe Nédélec1, Eric Le Flochmoën1, and
Valérie Thouret1 1Laboratoire d’Aérologie (LAERO), Université Toulouse III – Paul Sabatier, CNRS, Toulouse, France
2Observatoire Midi-Pyrénées (OMP-SEDOO), Université Toulouse III - Paul Sabatier, CNRS, Toulouse, France
3IAGOS-AISBL, 98 Rue du Trône, Brussels, Belgium
*These authors contributed equally to this work. 1Laboratoire d’Aérologie (LAERO), Université Toulouse III – Paul Sabatier, CNRS, Toulouse, France
2Observatoire Midi-Pyrénées (OMP-SEDOO), Université Toulouse III - Paul Sabatier, CNRS, Toulouse, France
3IAGOS-AISBL, 98 Rue du Trône, Brussels, Belgium
*These authors contributed equally to this work. Correspondence: Maria Tsivlidou (maria.tsivlidou@gmail.com) Transport towards NH South America is found all year
long, with significant contributions in the MT and UT (30–40 % over Caracas on annual basis). In contrast, the impact of the
Asian emissions in the LT and MT is limited on a local or regional scale. Export of polluted Asian air masses is important in
the UT during the Asian summer monsoon and post-monsoon seasons, when convection is active. The AN Asian contributions
are mostly found over Arabia and Eastern Africa (up to 80 %) during the Asian summer monsoon. During the post-monsoon,
20
CO impacted by the Indonesian fires (resp. SouthEast Asian AN emissions) are transported towards Eastern Africa (64% and
16%) due to the Tropical Easterly Jet. The lowest O3 and CO levels are observed over South America, due to less strong local with CO emissions inventories, was used to explore the origins and sources of the tropical CO observed by IAGOS. The highest
5
tropical O3 and CO maxima occur over Northern Hemisphere (NH) Africa in the low troposphere (LT) (80 ppb and 850 ppb
respectively at 2.5 km over Lagos) during the dry season (January). Despite the active local fires, local anthropogenic (AN)
emissions (60 %) are dominant for the CO, and consequently the O3 maxima. The importance of the local AN emissions
are highlighted over Central Africa, as they cause a persistent polluted surface layer during the transition seasons (40 % in 5 with CO emissions inventories, was used to explore the origins and sources of the tropical CO observed by IAGOS. The highest
5
tropical O3 and CO maxima occur over Northern Hemisphere (NH) Africa in the low troposphere (LT) (80 ppb and 850 ppb
respectively at 2.5 km over Lagos) during the dry season (January). Despite the active local fires, local anthropogenic (AN)
emissions (60 %) are dominant for the CO, and consequently the O3 maxima. The importance of the local AN emissions
are highlighted over Central Africa, as they cause a persistent polluted surface layer during the transition seasons (40 % in October and 86 % in April). The second highest O3 and CO maxima are observed over Asia. Local or regional Asian AN
10
emissions cause the CO maximum in the LT (0.5 km) in January, and the O3 maximum in the free troposphere (at 6 km) in
the post-monsoon season (April). Correspondence: Maria Tsivlidou (maria.tsivlidou@gmail.com) The AN Asian contributions are mostly found over Arabia and Eastern Africa (up to 80 %) during the Asian summer monsoon. During the post-monsoon,
20
CO impacted by the Indonesian fires (resp. SouthEast Asian AN emissions) are transported towards Eastern Africa (64% and
16%) due to the Tropical Easterly Jet. The lowest O3 and CO levels are observed over South America, due to less strong local 1 1 emissions in comparison to Asia and Africa. The only important CO and O3 enhancement is observed in the MT during the
local fires (October), when O3 and precursors impacted by the local AN and fire emissions are trapped in an anticyclone and
transported towards South Africa (5–10 ppb from SH and NH South America respectively). 25
https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. emissions in comparison to Asia and Africa. The only important CO and O3 enhancement is observed in the MT during the
local fires (October), when O3 and precursors impacted by the local AN and fire emissions are trapped in an anticyclone and
transported towards South Africa (5–10 ppb from SH and NH South America respectively). 25 25 1
Introduction Recent studies (Gaudel et al., 2018, 2020; Zhang et al., 2016) have shown increasing tropospheric O3 burden in the second hemispheric level (Edwards et al., 2006). CO impacts the oxidation capacity of the atmosphere by being the major sink of OH
35
radicals in non polluted atmosphere (Lelieveld et al., 2016), and the climate by producing greenhouse gases, such as CO2 and
O3, during its oxidation (Myhre et al., 2013). The primary (resp. secondary) sources of CO include anthropogenic and biomass
burning emissions (resp. oxidation of VOCs). Recent studies (Gaudel et al., 2018, 2020; Zhang et al., 2016) have shown increasing tropospheric O3 burden in the second Recent studies (Gaudel et al., 2018, 2020; Zhang et al., 2016) have shown increasing tropospheric O3 burden in the second
half of the 20th century mostly due to increase of precursors in the tropical regions. However, the global O3 distribution
40
and sources of precursors remain uncertain due to inadequate observations in the remote free troposphere, especially over
developing countries in the tropics (Gaudel et al., 2018; Tarasick et al., 2019). The tropical region is of particular interest regarding tropospheric O3 and CO. It combines: i) intense photochemistry due half of the 20th century mostly due to increase of precursors in the tropical regions. However, the global O3 distribution
40
and sources of precursors remain uncertain due to inadequate observations in the remote free troposphere, especially over
developing countries in the tropics (Gaudel et al., 2018; Tarasick et al., 2019). The tropical region is of particular interest regarding tropospheric O3 and CO. It combines: i) intense photochemistry due
to high UV radiation and humidity, ii) large active natural sources of CO and other O3 precursors through biomass burning half of the 20th century mostly due to increase of precursors in the tropical regions. However, the global O3 distribution
40
and sources of precursors remain uncertain due to inadequate observations in the remote free troposphere, especially over
developing countries in the tropics (Gaudel et al., 2018; Tarasick et al., 2019). The tropical region is of particular interest regarding tropospheric O3 and CO. 1
Introduction Tropospheric ozone (O3) and carbon monoxide (CO) are key components in the atmosphere. O3 has a significant impact on
human health close to the surface (Curtis et al., 2006; Jerrett et al., 2009) and on climate by being a powerful greenhouse gas (Gauss et al., 2003; IPCC, 2021). O3 is a secondary pollutant produced by photochemical oxidation of precursors such as CO
30
and volatile organic compounds (VOCs) in the presence of nitrogen oxides (NOx) (Logan et al., 1981). Its distribution is con-
trolled by: stratospheric transport (Stevenson et al., 2013); transport processes at intercontinental and hemispheric scale (Wild
et al., 2004); emissions of precursors (natural and anthropogenic) and destruction processes (photochemical and depositional)
(Monks et al., 2015). Due to its longer lifetime, CO is considered a powerful pollution tracer of combustion products at a (Gauss et al., 2003; IPCC, 2021). O3 is a secondary pollutant produced by photochemical oxidation of precursors such as CO
30
and volatile organic compounds (VOCs) in the presence of nitrogen oxides (NOx) (Logan et al., 1981). Its distribution is con-
trolled by: stratospheric transport (Stevenson et al., 2013); transport processes at intercontinental and hemispheric scale (Wild
et al., 2004); emissions of precursors (natural and anthropogenic) and destruction processes (photochemical and depositional)
(Monks et al., 2015). Due to its longer lifetime, CO is considered a powerful pollution tracer of combustion products at a 30 hemispheric level (Edwards et al., 2006). CO impacts the oxidation capacity of the atmosphere by being the major sink of OH
35
radicals in non polluted atmosphere (Lelieveld et al., 2016), and the climate by producing greenhouse gases, such as CO2 and
O3, during its oxidation (Myhre et al., 2013). The primary (resp. secondary) sources of CO include anthropogenic and biomass
burning emissions (resp. oxidation of VOCs). R
di
(G
d l
l 2018 2020 Zh
l 2016) h
h
i
i
h i O b
d
i
h
d hemispheric level (Edwards et al., 2006). CO impacts the oxidation capacity of the atmosphere by being the major sink of OH
35
radicals in non polluted atmosphere (Lelieveld et al., 2016), and the climate by producing greenhouse gases, such as CO2 and
O3, during its oxidation (Myhre et al., 2013). The primary (resp. secondary) sources of CO include anthropogenic and biomass
burning emissions (resp. oxidation of VOCs). 1
Introduction It combines: i) intense photochemistry due
to high UV radiation and humidity, ii) large active natural sources of CO and other O3 precursors through biomass burning (Ziemke et al., 2009), biogenic (Aghedo et al., 2007) and lighting emissions (Sauvage et al., 2007b, c), iii) increasing an-
45
thropogenic emission due to rapid industrialisation (Granier et al., 2011; Duncan et al., 2016), iv) large ozone net production
potential because deep convection can transport surface emissions to higher altitudes, where their lifetime is increased due to
lack of surface deposition and dilution with unpolluted background (Pickering et al., 1995) and v) dynamic processes capable
of redistributing chemical species in a regional and global scale (Zhang et al., 2016). Thus, the tropics are a region where O3 (Ziemke et al., 2009), biogenic (Aghedo et al., 2007) and lighting emissions (Sauvage et al., 2007b, c), iii) increasing an-
45
thropogenic emission due to rapid industrialisation (Granier et al., 2011; Duncan et al., 2016), iv) large ozone net production
potential because deep convection can transport surface emissions to higher altitudes, where their lifetime is increased due to
lack of surface deposition and dilution with unpolluted background (Pickering et al., 1995) and v) dynamic processes capable
of redistributing chemical species in a regional and global scale (Zhang et al., 2016). Thus, the tropics are a region where O3 production is favoured. 50
Satellite observations from the OMI and MLS sensors (Ziemke et al., 2019) and simulations from the GEOS-Chem chemical
transport model (Zhang et al., 2016, 2021) display the highest O3 burden increase in the tropical region - mostly over India,
East Asia and SouthEast Asia. Most studies tend to confirm an increase of O3 in the tropics but they are mostly based on model production is favoured. 50
Satellite observations from the OMI and MLS sensors (Ziemke et al., 2019) and simulations from the GEOS-Chem chemical
transport model (Zhang et al., 2016, 2021) display the highest O3 burden increase in the tropical region - mostly over India,
East Asia and SouthEast Asia. Most studies tend to confirm an increase of O3 in the tropics but they are mostly based on model 2 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. simulations, sparse ground observations or satellite data with little consistency, and it is not clear what can cause such O3
increase. 1
Introduction In addition, it is difficult to provide additional constraints regarding the relation between O3 and CO in the tropics, due
65
to a lack of simultaneous CO in situ observations. The IAGOS (In-service Aircraft for a Global Observing System; (Marenco et al., 1998; Petzold et al., 2015)(Thouret et al.,
2022) program has provided continuous and consistent O3 (Thouret et al., 1998; Blot et al., 2021) and CO (Nédélec et al.,
2015) observations over the tropics for the last 26 and 18 years respectively. It measures vertical profiles over remote (e.g. sphere. In addition, it is difficult to provide additional constraints regarding the relation between O3 and CO in the tropics, due
65
to a lack of simultaneous CO in situ observations. The IAGOS (In-service Aircraft for a Global Observing System; (Marenco et al., 1998; Petzold et al., 2015)(Thouret et al.,
2022) program has provided continuous and consistent O3 (Thouret et al., 1998; Blot et al., 2021) and CO (Nédélec et al.,
2015) observations over the tropics for the last 26 and 18 years respectively. It measures vertical profiles over remote (e.g. Madras) and megacities (e.g. Lagos, Hong Kong), along with the lower part of the upper tropical troposphere. Previous studies
70
have documented the tropical composition over Africa (Sauvage et al., 2005, 2007a, d; Lannuque et al., 2021), South America
(Yamasoe et al., 2015) and South Asia (Sahu et al., 2014; Sheel et al., 2014). However, they are focused on specific regions of
the tropics and have limited temporal coverage, especially for CO as fewer measurements were available at this time. Thus, the
O3 and CO distributions and their interlocking in the entire tropics are still not well documented. Madras) and megacities (e.g. Lagos, Hong Kong), along with the lower part of the upper tropical troposphere. Previous studies
70
have documented the tropical composition over Africa (Sauvage et al., 2005, 2007a, d; Lannuque et al., 2021), South America
(Yamasoe et al., 2015) and South Asia (Sahu et al., 2014; Sheel et al., 2014). However, they are focused on specific regions of
the tropics and have limited temporal coverage, especially for CO as fewer measurements were available at this time. Thus, the
O3 and CO distributions and their interlocking in the entire tropics are still not well documented. 1
Introduction The SOFT-IO model (Sauvage et al., 2017) has been developed to supplement the analysis of the IAGOS dataset by esti-
75
mating anthropogenic (AN) and biomass burning (BB) contributions to the observed CO measurements. These measurements,
along with the SOFT-IO output allow us to trace the CO origin, and establish connections with O3 origin over the tropics. Further, global distributions provided by Infrared Atmospheric Sounding Interferometer (IASI)-Software for a Fast Retrieval
of IASI Data (SOFRID) (Barret et al., 2011; De Wachter et al., 2012) retrievals since 2008 complement the O3 and CO distri- The SOFT-IO model (Sauvage et al., 2017) has been developed to supplement the analysis of the IAGOS dataset by esti-
75
mating anthropogenic (AN) and biomass burning (BB) contributions to the observed CO measurements. These measurements,
along with the SOFT-IO output allow us to trace the CO origin, and establish connections with O3 origin over the tropics. Further, global distributions provided by Infrared Atmospheric Sounding Interferometer (IASI)-Software for a Fast Retrieval
of IASI Data (SOFRID) (Barret et al., 2011; De Wachter et al., 2012) retrievals since 2008 complement the O3 and CO distri- butions provided by IAGOS. They allow us to understand the spatial extent of pollution plumes, and explore intercontinental
80
transport patterns. In this article we take advantage of the unique IAGOS database to (i) document the characteristics and seasonal variability
of these two atmospheric species over the whole tropical band for the last decade for the first time, (ii) explore the origin of the
observed CO anomalies, (iii) investigate transport processes driving the CO and O3 distribution in the tropics. butions provided by IAGOS. They allow us to understand the spatial extent of pollution plumes, and explore intercontinental
80
transport patterns. In this article we take advantage of the unique IAGOS database to (i) document the characteristics and seasonal variability
of these two atmospheric species over the whole tropical band for the last decade for the first time, (ii) explore the origin of the
observed CO anomalies, (iii) investigate transport processes driving the CO and O3 distribution in the tropics. The observational (IAGOS and IASI) and model based (SOFT-IO) datasets, and methodology are introduced in Sect. 2. In
85
Section 3, the IAGOS observations are analysed to document O3/CO vertical profiles, along with the UT composition over the
tropics. In addition, the sources of observed CO are explored with SOFT-IO. 1
Introduction Indeed, the trends are attributed to different factors such as biomass burning (Heue et al., 2016), dynamics (Lu et al.,
55
2019; Thompson et al., 2021) or anthropogenic (Zhang et al., 2016; Gaudel et al., 2020). Thus, further investigation based on
in situ observations is required in order to better constraint models and satellite retrievals, and reduce the uncertainties in the
quantification of O3 and CO trends and source attribution over the tropics. p
g
y
3
increase. Indeed, the trends are attributed to different factors such as biomass burning (Heue et al., 2016), dynamics (Lu et al.,
55
2019; Thompson et al., 2021) or anthropogenic (Zhang et al., 2016; Gaudel et al., 2020). Thus, further investigation based on
in situ observations is required in order to better constraint models and satellite retrievals, and reduce the uncertainties in the
quantification of O3 and CO trends and source attribution over the tropics. Measurements of tropical O3 and CO are available by satellite observations, but they have a coarse vertical resolution (e.g. 55 Measurements of tropical O3 and CO are available by satellite observations, but they have a coarse vertical resolution (e.g. Barret et al., 2008; Thompson et al., 2001). Several field campaigns have been carried out in the tropics. However, they pro-
60
vide sparse measurements in terms of temporal and spatial coverage. The Southern Hemisphere ADditional OZone Sounding
(SHADOZ) program (Thompson et al., 2003a) provides long-term O3 observations over the tropics using ozonesondes since
1998. Even though these measurements offered a better understanding on vertical distribution of tropical O3, they are mostly
limited to remote observing sites such as Ascension and Reunion island, and they under-represent the tropical upper tropo- Barret et al., 2008; Thompson et al., 2001). Several field campaigns have been carried out in the tropics. However, they pro-
60
vide sparse measurements in terms of temporal and spatial coverage. The Southern Hemisphere ADditional OZone Sounding
(SHADOZ) program (Thompson et al., 2003a) provides long-term O3 observations over the tropics using ozonesondes since
1998. Even though these measurements offered a better understanding on vertical distribution of tropical O3, they are mostly
limited to remote observing sites such as Ascension and Reunion island, and they under-represent the tropical upper tropo- g
y
p
p
pp
p
sphere. 1
Introduction The observational (IAGOS and IASI) and model based (SOFT-IO) datasets, and methodology are introduced in Sect. 2. In
85
Section 3, the IAGOS observations are analysed to document O3/CO vertical profiles, along with the UT composition over the
tropics. In addition, the sources of observed CO are explored with SOFT-IO. 3 3 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. 2.1
IAGOS observations 2002) in the frame of the IAGOS Research Infrastructure
100
and its predecessor MOZAIC (Marenco et al., 1998) program, based on the same instrument technologies. Good consistency
in the measurements between the two programs (hereafter referred to as IAGOS) (Nédélec et al., 2015; Blot et al., 2021)
leads to IAGOS temporal coverage of 26 (resp. almost 20) years for O3 (resp. CO). IAGOS data provides robust O3 and
CO climatologies, allowing studies of long-term trends (e.g. Cohen et al., 2018) along with validation of chemistry transport O3 (resp. CO) observations have been collected since 1994 (resp. 2002) in the frame of the IAGOS Research Infrastructure
100
and its predecessor MOZAIC (Marenco et al., 1998) program, based on the same instrument technologies. Good consistency
in the measurements between the two programs (hereafter referred to as IAGOS) (Nédélec et al., 2015; Blot et al., 2021)
leads to IAGOS temporal coverage of 26 (resp. almost 20) years for O3 (resp. CO). IAGOS data provides robust O3 and
CO climatologies, allowing studies of long-term trends (e.g. Cohen et al., 2018) along with validation of chemistry transport 100 models (e.g. Sauvage et al., 2007b; Gressent et al., 2016) and satellite data retrievals (e.g. De Wachter et al., 2012) on a global
105
scale. To complement the IAGOS observations, we use the potential vorticity (PV) field, which is part of the ancillary data
(https://doi.org/10.25326/3) from the IAGOS database. The PV is calculated from the European Centre for Medium-Range
Weather Forecast’s (ECMWF) operational fields (horizontal resolution 1◦, time resolution 3 hours), interpolated along IAGOS
trajectories. models (e.g. Sauvage et al., 2007b; Gressent et al., 2016) and satellite data retrievals (e.g. De Wachter et al., 2012) on a global
105
scale. To complement the IAGOS observations, we use the potential vorticity (PV) field, which is part of the ancillary data
(https://doi.org/10.25326/3) from the IAGOS database. The PV is calculated from the European Centre for Medium-Range
Weather Forecast’s (ECMWF) operational fields (horizontal resolution 1◦, time resolution 3 hours), interpolated along IAGOS
trajectories. 2.1
IAGOS observations The Research Infrastructure IAGOS (Petzold et al., 2015; Thouret et al., 2022) provides in situ measurements of trace gases
90
(O3, CO, water vapour, NOy between 2001 and 2005 (e.g. Gressent et al., 2014), and more recently NOx, CH4, CO2 and
cloud particles, see https://www.iagos.org/iagos-data/) and meteorological parameters (temperature and winds), using equipped
commercial aircraft. Full description of the instruments can be found in Nédélec et al. (2015). O3 (resp. CO) is measured using
a dual-beam ultraviolet absorption monitor (infrared analyser) with an accuracy of 2 ppb (resp. 5 ppb), a precision of 2 % The Research Infrastructure IAGOS (Petzold et al., 2015; Thouret et al., 2022) provides in situ measurements of trace gases
90
(O3, CO, water vapour, NOy between 2001 and 2005 (e.g. Gressent et al., 2014), and more recently NOx, CH4, CO2 and
cloud particles, see https://www.iagos.org/iagos-data/) and meteorological parameters (temperature and winds), using equipped
commercial aircraft. Full description of the instruments can be found in Nédélec et al. (2015). O3 (resp. CO) is measured using
a dual-beam ultraviolet absorption monitor (infrared analyser) with an accuracy of 2 ppb (resp. 5 ppb), a precision of 2 % The Research Infrastructure IAGOS (Petzold et al., 2015; Thouret et al., 2022) provides in situ measurements of trace gases
90
(O3, CO, water vapour, NOy between 2001 and 2005 (e.g. Gressent et al., 2014), and more recently NOx, CH4, CO2 and
cloud particles, see https://www.iagos.org/iagos-data/) and meteorological parameters (temperature and winds), using equipped
commercial aircraft. Full description of the instruments can be found in Nédélec et al. (2015). O3 (resp. CO) is measured using
a dual-beam ultraviolet absorption monitor (infrared analyser) with an accuracy of 2 ppb (resp. 5 ppb), a precision of 2 % (resp. 5 %) and a time resolution of 4 (resp. 30) seconds (Thouret et al., 1998; Nedelec et al., 2003). IAGOS measures vertical
95
profiles during ascend and descend phases, and the upper troposphere (between 9 and 12 km; 300–185 hPa) during cruise
phases. Considering the aircraft speed (7–8 m s−1 during ascent/descent; 900 km h−1 during cruise), the time resolution of the
instruments corresponds to a vertical resolution of 30 m (resp. 225 m), and a horizontal resolution of 1 km (resp. 7.5 km) for
O3 (resp. CO). O3 (resp. CO) observations have been collected since 1994 (resp. 2.1.1
Data treatment
110 Besides, the clusters can be useful for validation of models with a coarse horizontal resolution, because
they represent a wider area as resolved by the models, which are not expected to capture small-scale variations in the ozone because RSE depends not only on the number of measurements, but also on the O3 (CO) variability which is high over the
130
tropics (Thompson et al., 2003b). For each site with an adequate number of flights per month, we consider an individual profile
of O3 (CO). Otherwise, we combine sites in clusters (see Table 1), in order to increase the amount of data and get significant
climatological profiles. Besides, the clusters can be useful for validation of models with a coarse horizontal resolution, because
they represent a wider area as resolved by the models, which are not expected to capture small-scale variations in the ozone field (e.g. Emmons et al., 2010). For clustering, the sites should be: i) in relatively close distance from each other, ii) governed
135
by similar meteorological conditions, and iii) display similar characteristics in the vertical distribution of O3 (CO) (see Sect. 3.2). The meteorological conditions in the tropics are peculiar, with different seasonal patterns depending on the region. For field (e.g. Emmons et al., 2010). For clustering, the sites should be: i) in relatively close distance from each other, ii) governed
135
by similar meteorological conditions, and iii) display similar characteristics in the vertical distribution of O3 (CO) (see Sect. 3.2). The meteorological conditions in the tropics are peculiar, with different seasonal patterns depending on the region. For
instance, in Africa the main seasons are two (dry and wet) with two intermediate seasons passing from wet to dry and vice instance, in Africa the main seasons are two (dry and wet) with two intermediate seasons passing from wet to dry and vice
versa (Sauvage et al., 2005; Lannuque et al., 2021). On the other hand, in Asia the seasons are defined by the Asian monsoon
140
phases: Asian summer monsoon (wet season); Asian winter monsoon (dry season) and post monsoon. Thus, we considered it
more appropriate for our analysis to deviate from the classical definition of the seasons, which fits better to studies concerning
higher latitudes. Instead, we analyse the O3/CO profiles and horizontal distributions over intermediate months of the tropical
seasons (January, April, July and October), to highlight seasonal patterns. 2.1.1
Data treatment
110 The tropical zone can be defined in several ways, such as by meteorological characteristics (e.g. location of the subtropical
jets), climatic elements (e.g. precipitation rates) or by the geographical extent. Following the latter way, in the Tropospheric
Ozone Assessment Report, Phase II (TOAR-II; https://igacproject.org/activities/TOAR/TOAR-II) Ozone and Precursors in the
Tropics working group, the tropics are defined between 20◦S and 20◦N. In our study, we consider the extended area between The tropical zone can be defined in several ways, such as by meteorological characteristics (e.g. location of the subtropical
jets), climatic elements (e.g. precipitation rates) or by the geographical extent. Following the latter way, in the Tropospheric
Ozone Assessment Report, Phase II (TOAR-II; https://igacproject.org/activities/TOAR/TOAR-II) Ozone and Precursors in the
Tropics working group, the tropics are defined between 20◦S and 20◦N. In our study, we consider the extended area between 25◦S and 25◦N, in order to investigate interactions of pollution and the transport of air masses between the tropics and the
115
subtropics. IAGOS observations are used to document O3/CO vertical profiles and the (lower part of) UT . Only tropospheric
measurements are taken into account, by applying a PV filter of 2 PV units (pvu) for each measurement during cruise phase,
and for the measurements between 20–25◦N/S during ascend/descend. The UT climatologies are derived by averaging the
cruise data (300–185 hPa) on a 2 x 2.5◦grid, for the period 1994–2020 (resp. 2002–2020) for O3 (resp. CO). For the same time periods, the climatologies over the vertical are derived by averaging the data into 10 hPa pressure bins from the surface
120 4 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. up to the upper limit of the profile. The upper limit is based on a distance criteria of a 300-km radius around the IAGOS
observational site, similar to Petetin et al. (2016). This way we reduce uncertainties due to possible horizontal heterogeneity in
the measurements, as the aircraft keeps moving in the horizontal plane during ascent and descent. The cut-off radius is set in
alignment to a coarser global model resolution, in order to limit the potential heterogeneity inside a single grid box. up to the upper limit of the profile. The upper limit is based on a distance criteria of a 300-km radius around the IAGOS
observational site, similar to Petetin et al. (2016). 2.1.1
Data treatment
110 This way we reduce uncertainties due to possible horizontal heterogeneity in
the measurements, as the aircraft keeps moving in the horizontal plane during ascent and descent. The cut-off radius is set in
alignment to a coarser global model resolution, in order to limit the potential heterogeneity inside a single grid box. To determine a reliable climatological profile, we need to assess the statistical significance of the data. Similar to Logan
125
(1999) and Sauvage et al. (2005), we compute the relative standard error (RSE) of the O3 (CO) monthly mean, versus the
number of flights per month. The RSE is defined as the fraction between the standard error (SE =
σ
√
N , with σ the square
root of the sample variance and N the number of flights) and the O3 (CO) monthly mean. The minimum number of flights
required for statistical significance corresponds to the number above which RSE ≤10 %. We choose RSE less than 10 %, To determine a reliable climatological profile, we need to assess the statistical significance of the data. Similar to Logan
125
(1999) and Sauvage et al. (2005), we compute the relative standard error (RSE) of the O3 (CO) monthly mean, versus the
number of flights per month. The RSE is defined as the fraction between the standard error (SE =
σ
√
N , with σ the square
root of the sample variance and N the number of flights) and the O3 (CO) monthly mean. The minimum number of flights
required for statistical significance corresponds to the number above which RSE ≤10 %. We choose RSE less than 10 %, 125 because RSE depends not only on the number of measurements, but also on the O3 (CO) variability which is high over the
130
tropics (Thompson et al., 2003b). For each site with an adequate number of flights per month, we consider an individual profile
of O3 (CO). Otherwise, we combine sites in clusters (see Table 1), in order to increase the amount of data and get significant
climatological profiles. 2.2
SOFT-IO model
145 The SOFT-IO (SOft attribution using FlexparT and carbon monoxide emission inventories for In-situ Observation database)
tool (Sauvage et al., 2017; http://dx.doi.org/10.25326/2) has been developed to investigate the origin of the observed IAGOS-
CO, by coupling FLEXPART 20-days backward transport simulations with emission inventories. For each point of IAGOS
trajectory, SOFT-IO estimates the CO contribution coming from 14 different geographical regions (see Fig. 1), for AN and BB The SOFT-IO (SOft attribution using FlexparT and carbon monoxide emission inventories for In-situ Observation database)
tool (Sauvage et al., 2017; http://dx.doi.org/10.25326/2) has been developed to investigate the origin of the observed IAGOS-
CO, by coupling FLEXPART 20-days backward transport simulations with emission inventories. For each point of IAGOS
trajectory, SOFT-IO estimates the CO contribution coming from 14 different geographical regions (see Fig. 1), for AN and BB The SOFT-IO (SOft attribution using FlexparT and carbon monoxide emission inventories for In-situ Observation database)
tool (Sauvage et al., 2017; http://dx.doi.org/10.25326/2) has been developed to investigate the origin of the observed IAGOS-
CO, by coupling FLEXPART 20-days backward transport simulations with emission inventories. For each point of IAGOS
trajectory, SOFT-IO estimates the CO contribution coming from 14 different geographical regions (see Fig. 1), for AN and BB origin separately. We use Community Emissions Data System (CEDS2) AN emissions (McDuffie et al., 2020) and the Global
150
Fire Assimilation System (GFAS) BB emissions (Kaiser et al., 2012) which include fire injection heights, to discriminate
sources of CO anomalies over different regions of interest. For the calculations, the AN (resp. BB) emissions are updated on a
monthly (resp. daily) basis. 5 5 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Table 1. Description of individual sites and clusters used in this study. The location of the sites is displayed in Fig. 1
. 2.2
SOFT-IO model
145 Individual sites/Clusters
IAGOS sites
South America
South Brazil
Rio de Janeiro (Brazil), São Paulo (Brazil)
Caracas
Caracas (Venezuela)
Bogota
Bogota (Colombia)
NH Africa
Lagos
Lagos (Nigeria)
Sahel
Abuja (Nigeria), Ouagadougou (Uganda), Niamey (Niger)
Gulf of Guinea
Lome (Togo), Yaounde (Cameroon), Douala (Cameroon),
Libreville (Gabon), Accra (Ghana), Cotonou (Benin), Port Harcourt (Nigeria),
Abidjan (Ivory Coast), Malabo (Equatorial Guinea)
SH Africa
Central Africa
Luanda (Angola), Kinshasa (Democratic Republic of Congo), Brazzaville (Congo)
Windhoek
Windhoek (Namibia)
Arabia
AbuDhabi
Abu Dhabi (United Arab Emirates), Muscat (Oman)
and Eastern Africa
Khartoum
Khartoum (Sudan)
(AEA)
Addis Ababa
Addis Ababa (Ethiopia)
Jeddah
Jeddah (Saudi Arabia)
Asia
South China
Hong Kong (China), Guangzhou (China), Xiamen (China)
Gulf of Thailand
Kuala Lumpur (Malaysia), Singapore ( Singapore)
Madras
Madras (India)
Hyderabad
Hyderabad (India)
Mumbai
Mumbai (India)
Manila
Manila (Philippines)
Bangkok
Bangkok (Thailand)
Ho Chi Minh City
Ho Chi Minh City (Vietnam) Description of individual sites and clusters used in this study. The location of the sites is displayed in Fig. 1 SOFT-IO estimates the contribution to CO anomalies emitted by primary sources during the last 2 SOFT-IO estimates the contribution to CO anomalies emitted by primary sources during the last 20 days, while it does not
calculate the background CO. The background CO can be emitted by primary sources older than 20 days, and by secondary
55
sources such as oxidation of methane and non-methane volatile organic compounds. The meteorological fields are based on 1◦
x 1◦ECMWF analysis and forecast with a time resolution of 6 and 3h respectively. Several studies (e g Cussac et al 2020; Lannuque et al 2021; Petetin et al 2018) have used SOFT IO to track back the SOFT IO estimates the contribution to CO anomalies emitted by primary sources during the last 20 days, while it does not
calculate the background CO. The background CO can be emitted by primary sources older than 20 days, and by secondary
155
sources such as oxidation of methane and non-methane volatile organic compounds. The meteorological fields are based on 1◦
x 1◦ECMWF analysis and forecast with a time resolution of 6 and 3h respectively. Several studies (e.g. Cussac et al., 2020; Lannuque et al., 2021; Petetin et al., 2018) have used SOFT-IO to track back the
sources of CO measured by IAGOS Sauvage et al (2017) validated SOFT-IO performance against IAGOS CO observations calculate the background CO. 2.2
SOFT-IO model
145 For this reason, it is computed as the monthly
165
climatological median CO of a remote area away from polluted regions, in the upper troposphere (300–185 hPa, during the
whole study period 2002–2020). 2.2
SOFT-IO model
145 The background CO can be emitted by primary sources older than 20 days, and by secondary
155
sources such as oxidation of methane and non-methane volatile organic compounds. The meteorological fields are based on 1◦
x 1◦ECMWF analysis and forecast with a time resolution of 6 and 3h respectively. Several studies (e.g. Cussac et al., 2020; Lannuque et al., 2021; Petetin et al., 2018) have used SOFT-IO to track back the
sources of CO measured by IAGOS. Sauvage et al. (2017) validated SOFT-IO performance against IAGOS CO observations for several regions and tropospheric levels. Results show SOFT-IO’s capability to detect more than 95 % of the observed CO
160
anomalies over most of the regions, without any strong dependence on altitude or region of the CO plume. SOFT-IO captures
the intensity of CO anomalies with bias lower than 10–15 ppb for most of the regions and tropospheric levels. The bias is higher
in extreme pollution events and might be related to uncertainties in the emissions inventories. In our study, CO anomalies are
defined as the positive difference between the observed and the background CO mixing ratio. Background CO mixing ratio 6 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Figure 1. Locations of tropical sites served by IAGOS, and geographical source regions used in SOFT-IO model. BONA: Boreal North
America; TENA: Temperate North America; CEAM: Central America; NHSA: Northern Hemisphere South America; SHSA: Southern
Hemisphere South America; EURO: Europe; MIDE: Middle East; NHAF: Northern Hemisphere Africa; SHAF: Southern Hemisphere
Africa; BOAS: Boreal Asia; CEAS: Central Asia; SEAS: Southeast Asia; EQAS: Equatorial Asia; AUST: Australia and New Zealand. Figure 1. Locations of tropical sites served by IAGOS, and geographical source regions used in SOFT-IO model. BONA: Boreal North
America; TENA: Temperate North America; CEAM: Central America; NHSA: Northern Hemisphere South America; SHSA: Southern
Hemisphere South America; EURO: Europe; MIDE: Middle East; NHAF: Northern Hemisphere Africa; SHAF: Southern Hemisphere
Africa; BOAS: Boreal Asia; CEAS: Central Asia; SEAS: Southeast Asia; EQAS: Equatorial Asia; AUST: Australia and New Zealand. represents a reference value, not affected by surface emission or pollution events. For this reason, it is computed as the monthly
165
climatological median CO of a remote area away from polluted regions, in the upper troposphere (300–185 hPa, during the
whole study period 2002–2020). represents a reference value, not affected by surface emission or pollution events. 2.3
IASI-SOFRID observations correlation coefficients of 0.85 (0.70)). At Windhoek, SOFRID-CO is biased low in the lower (resp. upper)
troposphere by 13 ± 20 % (resp. 4 ± 12 %). We use monthly averaged SOFRID-CO and O3 retrievals on a 1◦x 1◦grid from 2008–2019. We focus on pressure levels
corresponding approximately to the independent pieces of information, and on daytime measurements when larger thermal CO over southern Africa (Windhoek) and European mid-latitudes (Frankfurt) in lower (resp. upper) troposphere relative to
185
IAGOS data (resp. correlation coefficients of 0.85 (0.70)). At Windhoek, SOFRID-CO is biased low in the lower (resp. upper)
troposphere by 13 ± 20 % (resp. 4 ± 12 %). We use monthly averaged SOFRID-CO and O3 retrievals on a 1◦x 1◦grid from 2008–2019. We focus on pressure levels IAGOS data (resp. correlation coefficients of 0.85 (0.70)). At Windhoek, SOFRID-CO is biased low in the lower (resp. upper)
troposphere by 13 ± 20 % (resp. 4 ± 12 %). We use monthly averaged SOFRID-CO and O3 retrievals on a 1◦x 1◦grid from 2008–2019. We focus on pressure levels
corresponding approximately to the independent pieces of information, and on daytime measurements when larger thermal We use monthly averaged SOFRID-CO and O3 retrievals on a 1◦x 1◦grid from 2008–2019. We focus on pressure levels
corresponding approximately to the independent pieces of information, and on daytime measurements when larger thermal We use monthly averaged SOFRID-CO and O3 retrievals on a 1◦x 1◦grid from 2008–2019. We focus on pressure levels
corresponding approximately to the independent pieces of information, and on daytime measurements when larger thermal
contrast between the surface and the atmosphere results in increased sensitivity of the instrument (Clerbaux et al., 2009). 190 contrast between the surface and the atmosphere results in increased sensitivity of the instrument (Clerbaux et al., 2009). 190 3.1
O3 and CO over the Northern and Southern Tropics Figure 2 displays the tropical lower troposphere (LT) IASI CO (a) and middle troposphere (MT) O3 (b) annual distributions
averaged over the 2008–2019 period. The pressure ranges differ for CO and O3 because they are adjusted to the sensitivity
of the instrument for each compound (see Sect. 2.3). For O3, the stripes along the 10◦latitude bands are due to the use of a
195
dynamical a priori profile (Sect. 2.3), resulting in discontinuities between adjacent latitude bands with different a priori profiles. Figure 2 displays the tropical lower troposphere (LT) IASI CO (a) and middle troposphere (MT) O3 (b) annual distributions
averaged over the 2008–2019 period. The pressure ranges differ for CO and O3 because they are adjusted to the sensitivity of the instrument for each compound (see Sect. 2.3). For O3, the stripes along the 10◦latitude bands are due to the use of a
195
dynamical a priori profile (Sect. 2.3), resulting in discontinuities between adjacent latitude bands with different a priori profiles. Nevertheless, the stripes are a minor issue, as the use of a dynamical a priori profile largely improves the retrieved O3 profiles
in terms of variability and correlation in most latitude bands, relative to the previous version which uses a single a priori profile
(Barret et al., 2020). of the instrument for each compound (see Sect. 2.3). For O3, the stripes along the 10◦latitude bands are due to the use of a
195
dynamical a priori profile (Sect. 2.3), resulting in discontinuities between adjacent latitude bands with different a priori profiles. Nevertheless, the stripes are a minor issue, as the use of a dynamical a priori profile largely improves the retrieved O3 profiles
in terms of variability and correlation in most latitude bands, relative to the previous version which uses a single a priori profile
(Barret et al., 2020). Northern Tropical CO and O3 mixing ratios are generally higher than those in the SH (Fig. 2 and Table 2). Geographically,
200
the largest CO (165 ppb) and O3 (60 ppb) maxima are found over Northern Africa (Table 2), followed by comparable CO and
O3 mixing ratios over Southern Africa and East Asia (145–150 ppb of CO and 50 ppb of O3) (Table 2). The smallest magnitude
of O3 and CO maxima are observed over South America. Northern Tropical CO and O3 mixing ratios are generally higher than those in the SH (Fig. 2 and Table 2). 2.3
IASI-SOFRID observations The IASI sensor onboard MetOp-A (launched in 2006) has a 12 km footprint at nadir and a 2200 The IASI sensor onboard MetOp-A (launched in 2006) has a 12 km footprint at nadir and a 2200 km swath allowing an overpass twice daily at 9:30 and 21:30 local solar time. IASI provides information for the atmospheric composition e.g. content of trace
170
gases such as O3 (Eremenko et al., 2008; Barret et al., 2011; Boynard et al., 2016), CO (George et al., 2009; De Wachter et al.,
2012) and N2O (Barret et al., 2021). We use O3 (v3.5) and CO (v2.1 up to 2014, and v2.2 up to 2019) IASI retrievals performed
with SOFRID (Barret et al., 2020; De Wachter et al., 2012). SOFRID-O3 v3.5 retrievals use a dynamical a priori profile based on latitude, season and the tropopause height (Barret twice daily at 9:30 and 21:30 local solar time. IASI provides information for the atmospheric composition e.g. content of trace
170
gases such as O3 (Eremenko et al., 2008; Barret et al., 2011; Boynard et al., 2016), CO (George et al., 2009; De Wachter et al.,
2012) and N2O (Barret et al., 2021). We use O3 (v3.5) and CO (v2.1 up to 2014, and v2.2 up to 2019) IASI retrievals performed
with SOFRID (Barret et al., 2020; De Wachter et al., 2012). SOFRID-O3 v3.5 retrievals use a dynamical a priori profile based on latitude, season and the tropopause height (Barret et al., 2020). In the tropics, where the surface temperature, thermal contrast and tropopause height are the highest, SOFRID-
175
O3 retrievals allow two independent pieces of information, one in the troposphere and one in the UTLS (Barret et al., 2020). Comparisons with ozonesonde measurements for the period 2007–2017, showed that SOFRID-O3 is biased low in the tropical
troposphere and UTLS, by 3 ± 16 % and 12 ± 33 % respectively in the Northern Tropics (0–30◦N), and by 8 ± 14 % and 7 7 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. 21 ± 30 % in the Southern Tropics (0–30◦S) (Barret et al., 2020). Comparisons between SOFRID-O3 retrievals using a single 21 ± 30 % in the Southern Tropics (0–30◦S) (Barret et al., 2020). 2.3
IASI-SOFRID observations Comparisons between SOFRID-O3 retrievals using a single
a priori profile and a dynamical a priori profile showed improvements (e.g a general increase in the correlation coefficients
180
and the amplitude of the retrieved variability) mostly in the troposphere. The change of the a priori profile leads to minor
differences in the UTLS, indicating the highest sensitivity of IASI to this layer (Barret et al., 2020). For SOFRID-CO v(2 1 and 2 2 after 2014) two independent pieces of information are provided in the lower (surface– p
(
) (
,
)
p
3
g
g
a priori profile and a dynamical a priori profile showed improvements (e.g a general increase in the correlation coefficients
180
and the amplitude of the retrieved variability) mostly in the troposphere. The change of the a priori profile leads to minor
differences in the UTLS, indicating the highest sensitivity of IASI to this layer (Barret et al., 2020). For SOFRID-CO v(2.1 and 2.2 after 2014), two independent pieces of information are provided in the lower (surface–
480 hPa) and upper (480–225 hPa) troposphere (De Wachter et al., 2012). IASI correctly captures the seasonal variability of a priori profile and a dynamical a priori profile showed improvements (e.g a general increase in the correlation coefficients
180
and the amplitude of the retrieved variability) mostly in the troposphere. The change of the a priori profile leads to minor
differences in the UTLS, indicating the highest sensitivity of IASI to this layer (Barret et al., 2020). For SOFRID-CO v(2.1 and 2.2 after 2014), two independent pieces of information are provided in the lower (surface–
480 hPa) and upper (480–225 hPa) troposphere (De Wachter et al., 2012). IASI correctly captures the seasonal variability of ,
g
g
y
y
(
,
)
For SOFRID-CO v(2.1 and 2.2 after 2014), two independent pieces of information are provided in the lower (surface–
480 hPa) and upper (480–225 hPa) troposphere (De Wachter et al., 2012). IASI correctly captures the seasonal variability of CO over southern Africa (Windhoek) and European mid-latitudes (Frankfurt) in lower (resp. upper) troposphere relative to
185
IAGOS data (resp. correlation coefficients of 0.85 (0.70)). At Windhoek, SOFRID-CO is biased low in the lower (resp. upper)
troposphere by 13 ± 20 % (resp. 4 ± 12 %). CO over southern Africa (Windhoek) and European mid-latitudes (Frankfurt) in lower (resp. upper) troposphere relative to
185
IAGOS data (resp. 3.1
O3 and CO over the Northern and Southern Tropics hemispheres show strong seasonal variability, as a consequence of the annual shift of the Intertropical Convergence Zone
205
(ITCZ), and the alternance of the rainy and dry seasons. In contrast, AN emissions are located mostly in the NH and have
weaker seasonal variability. The differences in CO abundances between the two hemispheres could be related to the spatial
distribution of the AN emissions, and the seasonality of the fires. The main emissions of SH CO are the annual dry-season
fires, while NH CO is related to the larger population and AN activities (Fig. S2) (Edwards et al., 2004). The CO, and consequently the O3 maxima over Northern Africa could be related to the strong AN emissions over the
210
Western African coast (Fig. S2a–d). During the dry season, local BB emissions are also active, and could contribute to the
CO and O3 maxima (Fig. S1a). High CO and O3 over East Asia are likely related to anthropogenic emissions (Fig. S2a–d),
in contrast to the SH regions (Southern Africa and South America) where the local dry-season BB emissions are significantly
stronger than AN (Fig. S1c–d). The CO, and consequently the O3 maxima over Northern Africa could be related to the strong AN emissions over the
210
Western African coast (Fig. S2a–d). During the dry season, local BB emissions are also active, and could contribute to the
CO and O3 maxima (Fig. S1a). High CO and O3 over East Asia are likely related to anthropogenic emissions (Fig. S2a–d),
in contrast to the SH regions (Southern Africa and South America) where the local dry-season BB emissions are significantly
stronger than AN (Fig. S1c–d). The persistent African CO and O3 maxima are exported over the South Atlantic (Fig. 2a–b), contributing to the wave-one
215
O3 pattern. The wave-one is associated with systematic high O3 (60–65 ppb) above the South Atlantic and low O3 (30–40 ppb)
above western Pacific. Similar asymmetry in the O3 pattern is observed in the NH, but with smaller magnitude because both
sides of equatorial Pacific show similarly low O3 abundance, while O3 above the North Atlantic is lower than above the South
Atlantic (10–15 ppb difference on average) (Fig. 2b). The persistent African CO and O3 maxima are exported over the South Atlantic (Fig. 2a–b), contributing to the wave-one
215
O3 pattern. 3.1
O3 and CO over the Northern and Southern Tropics Geographically,
200
the largest CO (165 ppb) and O3 (60 ppb) maxima are found over Northern Africa (Table 2), followed by comparable CO and
O3 mixing ratios over Southern Africa and East Asia (145–150 ppb of CO and 50 ppb of O3) (Table 2). The smallest magnitude
of O3 and CO maxima are observed over South America. Table 2. Annual mean LT CO and O3 mixing ratio (in ppb) over the Northern Tropics (0–25◦N), Southern Tropics (0–25◦S), Northern
Africa (10◦W–12.5◦E; 0–12.5◦N), Southern Africa (10–35◦E; 2.5–20◦S), East Asia (92.5–110◦E; 10–27◦N) and South America (35–
50◦W; 0–20◦S) based on IASI data (Fig. 2). Table 2. Annual mean LT CO and O3 mixing ratio (in ppb) over the Northern Tropics (0–25◦N), Southern Tropics (0–25◦S), Northern
Africa (10◦W–12.5◦E; 0–12.5◦N), Southern Africa (10–35◦E; 2.5–20◦S), East Asia (92.5–110◦E; 10–27◦N) and South America (35–
50◦W; 0–20◦S) based on IASI data (Fig. 2). NH
SH
Northern Africa
Southern Africa
East Asia
South America
CO
115
100
165
145
150
110
O3
75
45
60
50
50
45 8 8 Figure 2. IASI LT CO (between 900–700 hPa) (a) and MT O3 (between 600–400 hPa) (b) mixing ratios averaged from 2008 to 2019 on a
1x1 grid. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Figure 2. IASI LT CO (between 900–700 hPa) (a) and MT O3 (between 600–400 hPa) (b) mixing ratios averaged from 2008 to 2019 on a
1x1 grid. Figure 2. IASI LT CO (between 900–700 hPa) (a) and MT O3 (between 600–400 hPa) (b) mixing ratios averaged from 2008 to 2019 on a
1x1 grid. Figures S1 and S2 show the monthly mean CO flux due to BB and AN emissions respectively g
yl
p
y
hemispheres show strong seasonal variability, as a consequence of the annual shift of the Intertropical Convergence Zone
205
(ITCZ), and the alternance of the rainy and dry seasons. In contrast, AN emissions are located mostly in the NH and have
weaker seasonal variability. The differences in CO abundances between the two hemispheres could be related to the spatial
distribution of the AN emissions, and the seasonality of the fires. The main emissions of SH CO are the annual dry-season
fires, while NH CO is related to the larger population and AN activities (Fig. S2) (Edwards et al., 2004). 3.1
O3 and CO over the Northern and Southern Tropics The wave-one is associated with systematic high O3 (60–65 ppb) above the South Atlantic and low O3 (30–40 ppb)
above western Pacific. Similar asymmetry in the O3 pattern is observed in the NH, but with smaller magnitude because both
sides of equatorial Pacific show similarly low O3 abundance, while O3 above the North Atlantic is lower than above the South
Atlantic (10–15 ppb difference on average) (Fig. 2b). In this Section we have shown that the CO and O3 maxima over the Northern and Southern Tropics are related to AN and
220
BB emissions, as well as transport in the tropical troposphere. We will therefore focus on the following questions: what are
the contributions of the AN and BB emissions to the O3 and CO abundances in the tropics? Are regional or local emissions In this Section we have shown that the CO and O3 maxima over the Northern and Southern Tropics are related to AN and
220
BB emissions, as well as transport in the tropical troposphere. We will therefore focus on the following questions: what are
the contributions of the AN and BB emissions to the O3 and CO abundances in the tropics? Are regional or local emissions 9 9 responsible for the O3 and CO observed enhancements? To answer these questions, in the next section we analyse the O3 and
CO tropical profiles to quantify their persistent and repetitive characteristics. Using the SOFT-IO tool, we aim to establish
connections between these characteristics and local or regional AN and BB emissions. 225
https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. responsible for the O3 and CO observed enhancements? To answer these questions, in the next section we analyse the O3 and
CO tropical profiles to quantify their persistent and repetitive characteristics. Using the SOFT-IO tool, we aim to establish
connections between these characteristics and local or regional AN and BB emissions. 225 3.2
Regional characteristics of tropical O3 and CO In this Section, we focus on the tropical CO and O3 distributions based on IAGOS and IASI data. The combination of the high
vertical resolution of IAGOS (Figs. 4, 6, 7, 8 panels 1 and 2), and the high spatial and temporal coverage of IASI 2-D global
distributions (Fig. 3 a–l), allows us to investigate in detail data-sparse regions like the tropics, and monitor their atmospheric composition. 230
The results shown in Fig. 3 (a–d) motivated our choice in combining IAGOS sites in clusters when it is necessary to increase
the number of measurements. The LT CO maxima, like over the Gulf of Guinea, cover a wide area. Thus, cities located
close to each other are likely to experience similar air masses. According to the wind maps they are also affected by similar
meteorological conditions (Fig. S3). Figures 4, 6, 7, 8 (panels 1 and 2) display the monthly average vertical distributions of O3 and CO based on IAGOS data,
235
since 1994 and 2002 respectively, for the African, Asian, South American, Arabian and Eastern African clusters. Panels 3
to 5 represent the mean contribution to these CO mixing ratios from AN and BB emissions as estimated by SOFT-IO, with
information about their geographical origin (see Sect. 2.2 and Fig. 1). To better understand O3 and CO anomalies, Fig. 5
displays the CO contributions in three tropospheric layers related to different dynamical regimes: lower troposphere below 750 Figures 4, 6, 7, 8 (panels 1 and 2) display the monthly average vertical distributions of O3 and CO based on IAGOS data,
235
since 1994 and 2002 respectively, for the African, Asian, South American, Arabian and Eastern African clusters. Panels 3
to 5 represent the mean contribution to these CO mixing ratios from AN and BB emissions as estimated by SOFT-IO, with
information about their geographical origin (see Sect. 2.2 and Fig. 1). To better understand O3 and CO anomalies, Fig. 5
displays the CO contributions in three tropospheric layers related to different dynamical regimes: lower troposphere below 750 hPa corresponding roughly to planetary boundary layer (PBL); mid troposphere above up to 300 hPa, and upper troposphere
240
above up to 200 hPa corresponding to the beginning of maximum convective detrainment. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) The striking feature of CO and O3 over the NH African clusters (Sahel, Gulf of Guinea and Lagos) is the LT maxima during
the dry season (January) (Fig. 4 panels 1–2). CO maximises close to the surface, with larger mixing ratios over Lagos (850 the dry season (January) (Fig. 4 panels 1–2). CO maximises close to the surface, with larger mixing ratios over Lagos (850
ppb) than Sahel (500 ppb) and Gulf of Guinea (400 ppb), mainly due to local AN emissions (58 % over Lagos and Sahel)(Figs. 245
4 panel 3a; A1 panel 1a; 5a; A2a), despite the active local fires (Fig. S1a). This is consistent with the increasing AN emissions
(Liousse et al., 2014) and decreasing BB area extend (Hickman et al., 2021) over northern Africa. The O3 gradient close to the
surface (Fig. 4 panels 1a–1c) is likely related to surface deposition and titration by highly concentrated nitrogen oxide (NO)
(Monks, 2005) which is expected along with high CO emissions. The O3 maximum and the elevated CO levels (exceeding ppb) than Sahel (500 ppb) and Gulf of Guinea (400 ppb), mainly due to local AN emissions (58 % over Lagos and Sahel)(Figs. 245
4 panel 3a; A1 panel 1a; 5a; A2a), despite the active local fires (Fig. S1a). This is consistent with the increasing AN emissions
(Liousse et al., 2014) and decreasing BB area extend (Hickman et al., 2021) over northern Africa. The O3 gradient close to the
surface (Fig. 4 panels 1a–1c) is likely related to surface deposition and titration by highly concentrated nitrogen oxide (NO)
(Monks, 2005) which is expected along with high CO emissions. The O3 maximum and the elevated CO levels (exceeding ppb) than Sahel (500 ppb) and Gulf of Guinea (400 ppb), mainly due to local AN emissions (58 % over Lagos and Sahel)(Figs. 245
4 panel 3a; A1 panel 1a; 5a; A2a), despite the active local fires (Fig. S1a). This is consistent with the increasing AN emissions
(Liousse et al., 2014) and decreasing BB area extend (Hickman et al., 2021) over northern Africa. The O3 gradient close to the
surface (Fig. 4 panels 1a–1c) is likely related to surface deposition and titration by highly concentrated nitrogen oxide (NO)
(Monks, 2005) which is expected along with high CO emissions. 3.2
Regional characteristics of tropical O3 and CO hPa corresponding roughly to planetary boundary layer (PBL); mid troposphere above up to 300 hPa, and upper troposphere
240
above up to 200 hPa corresponding to the beginning of maximum convective detrainment. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) The shadowed part corresponds to ±1 on
andard deviation. The location of the clusters and sites is displayed in Fig. 1. Vertical distribution of CO contributions (in ppb), average
er all the positive CO anomalies observed in the IAGOS vertical profile (panels 3 to 5). The geographic origin of CO emissions is indicate
the different colours, with the hatched part showing AN contribution, and the non-hatched part BB contribution. Note that the sourc
gion where the site belongs to is indicated by the colour of the box Figure 4. IAGOS monthly mean O3 (panel 1) and CO (panel 2) vertical distributions for the African clusters and sites. The an
numbers correspond to the number of flights per month, given in the same colour as in the legend. The shadowed part corresponds to
standard deviation. The location of the clusters and sites is displayed in Fig. 1. Vertical distribution of CO contributions (in ppb), a Figure 4. IAGOS monthly mean O3 (panel 1) and CO (panel 2) vertical distributions for the African clusters and sites. The annotated
numbers correspond to the number of flights per month, given in the same colour as in the legend. The shadowed part corresponds to ±1 one
standard deviation. The location of the clusters and sites is displayed in Fig. 1. Vertical distribution of CO contributions (in ppb), averaged
over all the positive CO anomalies observed in the IAGOS vertical profile (panels 3 to 5). The geographic origin of CO emissions is indicated
by the different colours, with the hatched part showing AN contribution, and the non-hatched part BB contribution. Note that the source
region where the site belongs to is indicated by the colour of the box. Figure 4. IAGOS monthly mean O3 (panel 1) and CO (panel 2) vertical distributions for the African clusters and sites. The annotated
numbers correspond to the number of flights per month, given in the same colour as in the legend. The shadowed part corresponds to ±1 one
standard deviation. The location of the clusters and sites is displayed in Fig. 1. Vertical distribution of CO contributions (in ppb), averaged
over all the positive CO anomalies observed in the IAGOS vertical profile (panels 3 to 5). The geographic origin of CO emissions is indicated
by the different colours, with the hatched part showing AN contribution, and the non-hatched part BB contribution. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) The O3 maximum and the elevated CO levels (exceeding 300–500 ppb) at 2.5 km over the three clusters, likely indicate chemically processed air masses where O3 has been produced
250
by precursors. The air masses above the Gulf of Guinea and Sahel are transported from the continent (Fig. S3a) by the north-
easterly Harmattan flow (Sauvage et al., 2005). AN emissions are the dominant source of CO at 2.5 km over Lagos and Sahel
(Figs. 4 panel 3a and A1 panel 3a). The enhanced O3 and CO are confined in the LT due to the stability of the Harmattan flow
and Saharan anticyclone which prevent vertical mixing (Sauvage et al., 2005). The stability is due to a temperature inversion 300–500 ppb) at 2.5 km over the three clusters, likely indicate chemically processed air masses where O3 has been produced
250
by precursors. The air masses above the Gulf of Guinea and Sahel are transported from the continent (Fig. S3a) by the north-
easterly Harmattan flow (Sauvage et al., 2005). AN emissions are the dominant source of CO at 2.5 km over Lagos and Sahel
(Figs. 4 panel 3a and A1 panel 3a). The enhanced O3 and CO are confined in the LT due to the stability of the Harmattan flow
and Saharan anticyclone which prevent vertical mixing (Sauvage et al., 2005). The stability is due to a temperature inversion 10 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. ure 3. Monthly mean LT CO distributions (a–d), MT O3 distributions (e–h), UT CO distributions based on IASI (i–l) and IAGOS (q–t),
O3 distributions based on IASI (m–p) and IAGOS (u–x). Figure 3. Monthly mean LT CO distributions (a–d), MT O3 distributions (e–h), UT CO distributions based on IASI (i–l) and IAGOS (q–t),
UT O3 distributions based on IASI (m–p) and IAGOS (u–x). 11 11 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. gure 4. IAGOS monthly mean O3 (panel 1) and CO (panel 2) vertical distributions for the African clusters and sites. The annotate
mbers correspond to the number of flights per month, given in the same colour as in the legend. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) Note that the source
region where the site belongs to is indicated by the colour of the box. which characterises the trade current, as moist cooler air above the surface is capped by dry warmer air above, resulting from
255
advection by the Harmattan flow or subsidence in the anticyclone. which characterises the trade current, as moist cooler air above the surface is capped by dry warmer air above, resulting from
255
advection by the Harmattan flow or subsidence in the anticyclone. Elevated LT CO levels (below 4 km) are observed all year long over the NH African clusters (Fig. 4 panels 2a–2c) except
October. During the transition from the NH dry to wet season (April) when the fires are suppressed (Fig. S1b), CO mainly
comes from local AN emissions (Figs. 4 panel 3b; A1 panels 1b and 2b), located over Ethiopia and Nigeria (Fig. S2b). The
f
h
SOFT IO
ib
i
l
80
b
f CO
l
l AN
i i
(Fi
4
l 3b A1
l 1b
d 2b) which characterises the trade current, as moist cooler air above the surface is capped by dry warmer air above, resulting from
255
advection by the Harmattan flow or subsidence in the anticyclone. Elevated LT CO levels (below 4 km) are observed all year long over the NH African clusters (Fig. 4 panels 2a–2c) except
October. During the transition from the NH dry to wet season (April) when the fires are suppressed (Fig. S1b), CO mainly
comes from local AN emissions (Figs. 4 panel 3b; A1 panels 1b and 2b), located over Ethiopia and Nigeria (Fig. S2b). The
fact that SOFT-IO attributes approximately 80 ppbv of CO to local AN emissions (Figs. 4 panel 3b; A1 panels 1b and 2b),
260 fact that SOFT-IO attributes approximately 80 ppbv of CO to local AN emissions (Figs. 4 panel 3b; A1 panels 1b and 2b),
260 12 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Figure 5. Mean SOFT-IO contributions (in ppb), averaged over all the positive CO anomalies for the tropical sites (Caracas, Lagos, Central
Africa, South China and Bangkok) for low (a), mid (b) and upper (c) troposphere. The geographic CO origin of CO is indicated by the
colours, for the AN (hatched) and BB (unhatched) contributions. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) 4a–c) indicates
possible O3 formation during the transport of the aforementioned emissions towards Sahel and the Gulf of Guinea. A small
O3 enhancement is also detected by IASI in the mid-troposphere (400–600 hPa) over west Africa (Fig. 3f). During the dry
265
season, nitrogen is accumulated in soils (Jaeglé et al., 2004). The beginning of rains activates the bacterial nitrification leading
to significant release of NO which is rapidly converted into NO2 via oxidative processes. Thus, enhanced NOx concentrations
also contribute to the O3 increase over NH Africa in April (Saunois et al., 2009). The O3 enhancement is larger over Sahel
relative to Lagos and the Gulf of Guinea (Fig. 4 panel 1a–c) because of higher NO2 concentrations above dry savannas (Sahel)
compared to wet savannas and forests (Southern Western Africa) (Adon et al 2010) After excess nitrogen is consumed the
270 O3 enhancement is also detected by IASI in the mid-troposphere (400–600 hPa) over west Africa (Fig. 3f). During the dry
265
season, nitrogen is accumulated in soils (Jaeglé et al., 2004). The beginning of rains activates the bacterial nitrification leading
to significant release of NO which is rapidly converted into NO2 via oxidative processes. Thus, enhanced NOx concentrations
also contribute to the O3 increase over NH Africa in April (Saunois et al., 2009). The O3 enhancement is larger over Sahel
relative to Lagos and the Gulf of Guinea (Fig. 4 panel 1a–c) because of higher NO2 concentrations above dry savannas (Sahel) O3 enhancement is also detected by IASI in the mid-troposphere (400–600 hPa) over west Africa (Fig. 3f). During the dry
265
season, nitrogen is accumulated in soils (Jaeglé et al., 2004). The beginning of rains activates the bacterial nitrification leading
to significant release of NO which is rapidly converted into NO2 via oxidative processes. Thus, enhanced NOx concentrations
also contribute to the O3 increase over NH Africa in April (Saunois et al., 2009). The O3 enhancement is larger over Sahel
relative to Lagos and the Gulf of Guinea (Fig. 4 panel 1a–c) because of higher NO2 concentrations above dry savannas (Sahel) compared to wet savannas and forests (Southern Western Africa) (Adon et al., 2010). After excess nitrogen is consumed, the
270
wet-season NO emissions decrease, contributing less to the local O3 (Adon et al., 2010). 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) During the NH wet season (July), CO close to the surface over Lagos is mostly attributed to southern African (SHAF)
emissions (70 ppb) (Fig. 5a). This result is clearly consistent with IASI LT CO July distribution (Fig. 3c) which suggests
transport from the fire region where the highest concentrations are detected towards the Gulf of Guinea and southern West compared to wet savannas and forests (Southern Western Africa) (Adon et al., 2010). After excess nitrogen is consumed, the
270
wet-season NO emissions decrease, contributing less to the local O3 (Adon et al., 2010). During the NH wet season (July), CO close to the surface over Lagos is mostly attributed to southern African (SHAF)
emissions (70 ppb) (Fig. 5a). This result is clearly consistent with IASI LT CO July distribution (Fig. 3c) which suggests
transport from the fire region where the highest concentrations are detected towards the Gulf of Guinea and southern West compared to wet savannas and forests (Southern Western Africa) (Adon et al., 2010). After excess nitrogen is consumed, the
270
wet-season NO emissions decrease, contributing less to the local O3 (Adon et al., 2010). During the NH wet season (July), CO close to the surface over Lagos is mostly attributed to southern African (SHAF)
emissions (70 ppb) (Fig. 5a). This result is clearly consistent with IASI LT CO July distribution (Fig. 3c) which suggests
transport from the fire region where the highest concentrations are detected towards the Gulf of Guinea and southern West Africa. The contribution of SHAF emissions is relatively constant from the surface to about 5 km (Fig. 4 panel 3c). This
275
suggests transport of chemical mature air masses from the SH African fires towards Lagos, via the south easterly trade winds
turning to the monsoon westerly flow (Sauvage et al., 2007a; Barret et al., 2010). The lower O3 mixing ratio close to the surface
is likely attributed to rapid deposition to forested areas and photochemical destruction in the moist monsoon air (Reeves et al.,
2010). Similar to Lagos, CO over the Gulf of Guinea and Sahel originate from local AN and SHAF BB emissions (Fig. A1 Africa. The contribution of SHAF emissions is relatively constant from the surface to about 5 km (Fig. 4 panel 3c). 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) This
275
suggests transport of chemical mature air masses from the SH African fires towards Lagos, via the south easterly trade winds
turning to the monsoon westerly flow (Sauvage et al., 2007a; Barret et al., 2010). The lower O3 mixing ratio close to the surface
is likely attributed to rapid deposition to forested areas and photochemical destruction in the moist monsoon air (Reeves et al.,
2010). Similar to Lagos, CO over the Gulf of Guinea and Sahel originate from local AN and SHAF BB emissions (Fig. A1 panels 1c and 2c). 280
Below about 4km, the annual O3 minimum occurs in October over the three clusters (Fig. 4 panel 1a–c). The CO maximum
mixing ratio below 1 km is due to local AN emissions (Figs. 4 panel 3d; A1 panels 1d and 2d). In contrast with the other
months, the CO mixing ratio above the surface maximum decreases sharply with altitude showing low CO concentrations from
2 km to 12 km. Indeed, in October, the monsoon flow has disappeared and West Africa is impacted by the north easterly trade panels 1c and 2c). 280
Below about 4km, the annual O3 minimum occurs in October over the three clusters (Fig. 4 panel 1a–c). The CO maximum
mixing ratio below 1 km is due to local AN emissions (Figs. 4 panel 3d; A1 panels 1d and 2d). In contrast with the other
months, the CO mixing ratio above the surface maximum decreases sharply with altitude showing low CO concentrations from
2 km to 12 km. Indeed, in October, the monsoon flow has disappeared and West Africa is impacted by the north easterly trade winds which block the transport of air masses impacted by BB from SHAF as is clearly visible on the LT CO distribution from
285
IASI (Fig. 3d). This is confirmed by the predominant local (NHAF) origin of CO over Lagos which is almost not impacted
by SHAF BB in October (Fig. 4 panel 3d). The similar O3 profile close to the surface with the one in July (Fig. 4 panel 1c),
indicates significant ozone chemical and depositional sinks as in July. The influence of the moist air over Lagos and Guinea
Gulf responsible for the photochemical destruction of O3 below 2.5 km is confirmed by high levels of RH (Fig. not shown). 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) A small
O3 enhancement is also detected by IASI in the mid-troposphere (400–600 hPa) over west Africa (Fig. 3f). During the dry
265
season, nitrogen is accumulated in soils (Jaeglé et al., 2004). The beginning of rains activates the bacterial nitrification leading
to significant release of NO which is rapidly converted into NO2 via oxidative processes. Thus, enhanced NOx concentrations
also contribute to the O3 increase over NH Africa in April (Saunois et al., 2009). The O3 enhancement is larger over Sahel
relative to Lagos and the Gulf of Guinea (Fig. 4 panel 1a–c) because of higher NO2 concentrations above dry savannas (Sahel)
compared to wet savannas and forests (Southern Western Africa) (Adon et al., 2010). After excess nitrogen is consumed, the
270
wet-season NO emissions decrease, contributing less to the local O3 (Adon et al., 2010). while the observed anomaly reaches 200–250 ppbv, indicates underestimation of the NHAF AN emissions. Nevertheless, these
high CO concentrations in April are detected by IASI in the LT (Fig. 3b) over the whole of West Africa indicating the large-
scale extent of the impact of these emissions. The enhanced LT O3 over the three clusters in April (Figs. 4a–c) indicates
possible O3 formation during the transport of the aforementioned emissions towards Sahel and the Gulf of Guinea. A small while the observed anomaly reaches 200–250 ppbv, indicates underestimation of the NHAF AN emissions. Nevertheless, these
high CO concentrations in April are detected by IASI in the LT (Fig. 3b) over the whole of West Africa indicating the large-
scale extent of the impact of these emissions. The enhanced LT O3 over the three clusters in April (Figs. 4a–c) indicates
possible O3 formation during the transport of the aforementioned emissions towards Sahel and the Gulf of Guinea. A small while the observed anomaly reaches 200–250 ppbv, indicates underestimation of the NHAF AN emissions. Nevertheless, these
high CO concentrations in April are detected by IASI in the LT (Fig. 3b) over the whole of West Africa indicating the large-
scale extent of the impact of these emissions. The enhanced LT O3 over the three clusters in April (Figs. 4a–c) indicates
possible O3 formation during the transport of the aforementioned emissions towards Sahel and the Gulf of Guinea. A small scale extent of the impact of these emissions. The enhanced LT O3 over the three clusters in April (Figs. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) winds which block the transport of air masses impacted by BB from SHAF as is clearly visible on the LT CO distribution from
285
IASI (Fig. 3d). This is confirmed by the predominant local (NHAF) origin of CO over Lagos which is almost not impacted
by SHAF BB in October (Fig. 4 panel 3d). The similar O3 profile close to the surface with the one in July (Fig. 4 panel 1c),
indicates significant ozone chemical and depositional sinks as in July. The influence of the moist air over Lagos and Guinea
Gulf responsible for the photochemical destruction of O3 below 2.5 km is confirmed by high levels of RH (Fig. not shown). winds which block the transport of air masses impacted by BB from SHAF as is clearly visible on the LT CO distribution from
285
IASI (Fig. 3d). This is confirmed by the predominant local (NHAF) origin of CO over Lagos which is almost not impacted
by SHAF BB in October (Fig. 4 panel 3d). The similar O3 profile close to the surface with the one in July (Fig. 4 panel 1c),
indicates significant ozone chemical and depositional sinks as in July. The influence of the moist air over Lagos and Guinea
Gulf responsible for the photochemical destruction of O3 below 2.5 km is confirmed by high levels of RH (Fig. not shown). The classical increase of O3 from the surface to the MT in October (and July) is because the role of photochemistry changes
290
from a net sink to a net source of ozone above 6km, depending on the NOx concentration (Jacob et al., 1996). In the tropics,
photochemical O3 destruction dominates the lower troposphere (Archibald et al., 2020), where water vapour concentrations
are high, and in highly polluted regions where there is direct removal by titration with NO (Monks et al., 2015). The vegetation
can also act as a rapid sink for O3 via dry deposition (Cros et al., 2000). The lack of these sinks in the free troposphere, coupled The classical increase of O3 from the surface to the MT in October (and July) is because the role of photochemistry changes
290
from a net sink to a net source of ozone above 6km, depending on the NOx concentration (Jacob et al., 1996). 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) Each pie corresponds to a different month and each group of four pies refer
to a different site (see panel b). Figure 5. Mean SOFT-IO contributions (in ppb), averaged over all the positive CO anomalies for the tropical sites (Caracas, Lagos, Central
Africa, South China and Bangkok) for low (a), mid (b) and upper (c) troposphere. The geographic CO origin of CO is indicated by the
colours, for the AN (hatched) and BB (unhatched) contributions. Each pie corresponds to a different month and each group of four pies refer
to a different site (see panel b). Figure 5. Mean SOFT-IO contributions (in ppb), averaged over all the positive CO anomalies for the tropical sites (Caracas, Lagos, Central
Africa, South China and Bangkok) for low (a), mid (b) and upper (c) troposphere. The geographic CO origin of CO is indicated by the
colours, for the AN (hatched) and BB (unhatched) contributions. Each pie corresponds to a different month and each group of four pies refer
to a different site (see panel b). 13 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. while the observed anomaly reaches 200–250 ppbv, indicates underestimation of the NHAF AN emissions. Nevertheless, these
high CO concentrations in April are detected by IASI in the LT (Fig. 3b) over the whole of West Africa indicating the large-
scale extent of the impact of these emissions. The enhanced LT O3 over the three clusters in April (Figs. 4a–c) indicates
possible O3 formation during the transport of the aforementioned emissions towards Sahel and the Gulf of Guinea. A small
O3 enhancement is also detected by IASI in the mid-troposphere (400–600 hPa) over west Africa (Fig. 3f). During the dry
265
season, nitrogen is accumulated in soils (Jaeglé et al., 2004). The beginning of rains activates the bacterial nitrification leading
to significant release of NO which is rapidly converted into NO2 via oxidative processes. Thus, enhanced NOx concentrations while the observed anomaly reaches 200–250 ppbv, indicates underestimation of the NHAF AN emissions. Nevertheless, these
high CO concentrations in April are detected by IASI in the LT (Fig. 3b) over the whole of West Africa indicating the large-
scale extent of the impact of these emissions. The enhanced LT O3 over the three clusters in April (Figs. 4a–c) indicates
possible O3 formation during the transport of the aforementioned emissions towards Sahel and the Gulf of Guinea. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) In the tropics,
photochemical O3 destruction dominates the lower troposphere (Archibald et al., 2020), where water vapour concentrations
are high, and in highly polluted regions where there is direct removal by titration with NO (Monks et al., 2015). The vegetation
can also act as a rapid sink for O3 via dry deposition (Cros et al., 2000). The lack of these sinks in the free troposphere, coupled 14 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. with lower water vapour concentrations leads to an increase of O3 with altitude (Archibald et al., 2020). Lightning can also
295
increase O3 mixing ratios in the MT and UT (Barret et al., 2010). O3 and CO distribution over Central Africa in the SH dry season (July) is very similar to NH Africa in the respective dry
season (Fig. 4 panels 1d and 2d). CO is characterised by two distinct maxima close to 400 ppb close to the surface and between
2 and 4 km, exclusively due to local emissions (SHAF) (Fig. 4 panel 4c). This is visible on the IASI LT CO distribution with with lower water vapour concentrations leads to an increase of O3 with altitude (Archibald et al., 2020). Lightning can also
295
increase O3 mixing ratios in the MT and UT (Barret et al., 2010). with lower water vapour concentrations leads to an increase of O3 with altitude (Archibald et al., 2020). Lightning can also
295
increase O3 mixing ratios in the MT and UT (Barret et al., 2010). O3 and CO distribution over Central Africa in the SH dry season (July) is very similar to NH Africa in the respective dry
season (Fig. 4 panels 1d and 2d). CO is characterised by two distinct maxima close to 400 ppb close to the surface and between
2 and 4 km, exclusively due to local emissions (SHAF) (Fig. 4 panel 4c). This is visible on the IASI LT CO distribution with a strong isolated maximum over the whole central African region (Fig. 3c). The contribution of local fires is lower close to the
300
surface (80 ppb) than in the upper layer (280 ppb). The O3 gradient close to the surface is due to influence by the southern
monsoon flow (Sauvage et al., 2005) (high RH below 1.5 km; Fig. not shown). CO emitted above the fires (over Angola, Zambia
and Dem.Rep. of Congo Fig. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) This means that SHAF AN emissions are likely
underestimated. Above 1km, in the absence of fire contributions, CO remains constant with 100 ppb which is the annual
minimum, and the O3 profile is characterised by a steep gradient and the lowest annual concentrations. IASI LT CO distribution
(Fig. 3b) indicates that the CO minimum measured by IAGOS above 1km over Central Africa in April extends over the whole
central and southern Africa The maximum close to the surface is indeed not detectable by IASI
320 It is due to local AN emissions (SHAF) (Fig. 4 panel 4b). The measured CO maxima reaches 350 ppb, while SOFT-IO
315
attributes 40 ppb above the background levels to the aforementioned sources. This means that SHAF AN emissions are likely
underestimated. Above 1km, in the absence of fire contributions, CO remains constant with 100 ppb which is the annual
minimum, and the O3 profile is characterised by a steep gradient and the lowest annual concentrations. IASI LT CO distribution
(Fig. 3b) indicates that the CO minimum measured by IAGOS above 1km over Central Africa in April extends over the whole central and southern Africa. The maximum close to the surface is indeed not detectable by IASI. 320
At Windhoek, O3 and CO maximise in October after SH dry season (July) (Fig. 4 panels 1e and 2e). This CO peak has the
smallest magnitude among the African clusters (150 ppb at 4 km), while O3 peak is among the largest, reaching 80 ppb in the
UT (11.5 km). The LT CO anomalies over Windhoek in October are mainly caused by local BB emissions (68 % BB versus 12 % AN) central and southern Africa. The maximum close to the surface is indeed not detectable by IASI. 320
At Windhoek, O3 and CO maximise in October after SH dry season (July) (Fig. 4 panels 1e and 2e). This CO peak has the
smallest magnitude among the African clusters (150 ppb at 4 km), while O3 peak is among the largest, reaching 80 ppb in the
UT (11.5 km). The LT CO anomalies over Windhoek in October are mainly caused by local BB emissions (68 % BB versus 12 % AN)
(Fig. A2a). Interestingly, the contribution from the local fires is larger than in July (by 7 ppb in the LT; Fig. 4 panel 5c),
325
when the peak of the fire emissions occurs (Fig. S1c–d). 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) S1c) is transported towards the IASI CO maximum over Central Africa via the south easterly
winds (Fig. 3c). During the transport O3 is formed (Sauvage et al., 2005, 2007a). As in NH Africa, O3 and CO enhancements a strong isolated maximum over the whole central African region (Fig. 3c). The contribution of local fires is lower close to the
300
surface (80 ppb) than in the upper layer (280 ppb). The O3 gradient close to the surface is due to influence by the southern
monsoon flow (Sauvage et al., 2005) (high RH below 1.5 km; Fig. not shown). CO emitted above the fires (over Angola, Zambia
and Dem.Rep. of Congo Fig. S1c) is transported towards the IASI CO maximum over Central Africa via the south easterly
winds (Fig. 3c). During the transport O3 is formed (Sauvage et al., 2005, 2007a). As in NH Africa, O3 and CO enhancements over Central Africa in the dry season are confined below 4 km, because of the stability of the layers below 5 km due to strong
305
temperature inversions. In October, 3 maxima at the surface, 2 and 4 km visible over Central Africa are due to local emissions (SHAF AN and BB). The lower CO concentrations between the surface and 2 km is probably resulting from the enhancement of the contribution of
these emissions with altitude (Fig. 4 panel 4d). In January the vertical distribution of CO is characterised by two maxima, at the surface and at 2km. Below 1 km, the main contributions are local AN, and BB NHAF emissions. The contribution from the
310
NHAF fires intensifies and becomes the only important one between 2 and 4 km. During transport from northern Africa, the
air masses impacted by BB emissions are chemically processed resulting in the formation of an O3 secondary maximum of 50
ppb coincident with the CO maximum (Fig. 4 panel 1d and 2d) as described in Sauvage et al. (2005). Interestingly, the annual CO surface maximum in Central Africa Occurs in April, before the beginning of the SH fires. Interestingly, the annual CO surface maximum in Central Africa Occurs in April, before the beginning of the SH fires. It is due to local AN emissions (SHAF) (Fig. 4 panel 4b). The measured CO maxima reaches 350 ppb, while SOFT-IO
315
attributes 40 ppb above the background levels to the aforementioned sources. 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) 4 panel 1d)
highlighting that the stronger seasonal variability of O3 in the mid and upper troposphere in SH than NH Africa is due to the intense lightning activity in the SH. The IASI UT O3 distribution clearly shows that the O3 maximum covers the entire region
340
from South America to Africa south of the Equator (Fig. 3l). The annual minimum of O3 and CO over Windhoek occurs in April (Fig. 4 panels 1e and 2e), the transition period from SH
wet to dry season, when the local fires are suppressed (Fig. S1b). The CO mixing ratio is less than 100 ppb over the whole
tropospheric column and comes from local AN emissions. In comparison to Central Africa, Windhoek is less influenced by intense lightning activity in the SH. The IASI UT O3 distribution clearly shows that the O3 maximum covers the entire region
340
from South America to Africa south of the Equator (Fig. 3l). The annual minimum of O3 and CO over Windhoek occurs in April (Fig. 4 panels 1e and 2e), the transition period from SH
wet to dry season, when the local fires are suppressed (Fig. S1b). The CO mixing ratio is less than 100 ppb over the whole
tropospheric column and comes from local AN emissions. In comparison to Central Africa, Windhoek is less influenced by The annual minimum of O3 and CO over Windhoek occurs in April (Fig. 4 panels 1e and 2e), the transition period from SH
wet to dry season, when the local fires are suppressed (Fig. S1b). The CO mixing ratio is less than 100 ppb over the whole
tropospheric column and comes from local AN emissions. In comparison to Central Africa, Windhoek is less influenced by
SHAF emissions due to its remote location away from sources (Petetin et al
2018) The O3 minimum of less than 30 ppb
345 SHAF emissions due to its remote location away from sources (Petetin et al., 2018). The O3 minimum of less than 30
345
probably results from titration by NO above the surface. SHAF emissions due to its remote location away from sources (Petetin et al., 2018). The O3 minimum of less than 30 ppb
345
probably results from titration by NO above the surface. 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) These high CO concentrations in October are detected by IASI in
the LT (Fig. 3d) over the whole of South Africa reflecting the large extent of the impact of these emissions. Using MOPPIT
CO and MODIS fire count data, Edwards et al. (2006) also noticed the time lag between the peak of the fires and the CO
concentration over South Africa. They attributed the lag to smoldering fires at the end of the burning season. The CO emissions, (Fig. A2a). Interestingly, the contribution from the local fires is larger than in July (by 7 ppb in the LT; Fig. 4 panel 5c),
325
when the peak of the fire emissions occurs (Fig. S1c–d). These high CO concentrations in October are detected by IASI in
the LT (Fig. 3d) over the whole of South Africa reflecting the large extent of the impact of these emissions. Using MOPPIT
CO and MODIS fire count data, Edwards et al. (2006) also noticed the time lag between the peak of the fires and the CO
concentration over South Africa. They attributed the lag to smoldering fires at the end of the burning season. The CO emissions, (Fig. A2a). Interestingly, the contribution from the local fires is larger than in July (by 7 ppb in the LT; Fig. 4 panel 5c),
325
when the peak of the fire emissions occurs (Fig. S1c–d). These high CO concentrations in October are detected by IASI in
the LT (Fig. 3d) over the whole of South Africa reflecting the large extent of the impact of these emissions. Using MOPPIT
CO and MODIS fire count data, Edwards et al. (2006) also noticed the time lag between the peak of the fires and the CO
concentration over South Africa. They attributed the lag to smoldering fires at the end of the burning season. The CO emissions, 15 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. and thus the concentrations, are larger over the savanna fires during October, because of the low combustion efficiency of the
330
smoldering fires resulting in increased CO emissions factors (Zheng et al., 2018b). In addition, there is non-negligible influence
from Southern Hemisphere South America (SHSA) emissions (20 % mostly BB)(Figs. 4 panel 5d and A2a). The SHSA BB
contribution increases with height (30 % contribution in MT and 50 % in UT) contributing to the O3 maximum observed in the
UT (Fig. 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China Over the Asian clusters, the CO profiles display the highest mixing ratios in the surface layer (be 6 panel 2). The annual maximum occurs in January (except over Manila and the Gulf of Thailand) due to the lowest boundary
350
layer height during winter. The winter surface CO maximum ranges from 300 ppb over oceanic sites (Madras) to 700 ppb over
megacities (Ho Chi Minh and Mumbai), and is mainly attributed to local or regional AN emissions (Figs. 6 panels 3a to 5a; A1
panels 3a to 5a). Over the Indian and South China clusters in January, local emissions (SEAS and CEAS resp.) are dominant,
with contributions in the range of 85 to 95 % (Figs. 6 panel 3a and 4a; A1 panel 3a and 4a and 5a). The impact of these Chinese 6 panel 2). The annual maximum occurs in January (except over Manila and the Gulf of Thailand) due to the lowest boundary
350
layer height during winter. The winter surface CO maximum ranges from 300 ppb over oceanic sites (Madras) to 700 ppb over
megacities (Ho Chi Minh and Mumbai), and is mainly attributed to local or regional AN emissions (Figs. 6 panels 3a to 5a; A1
panels 3a to 5a). Over the Indian and South China clusters in January, local emissions (SEAS and CEAS resp.) are dominant,
with contributions in the range of 85 to 95 % (Figs. 6 panel 3a and 4a; A1 panel 3a and 4a and 5a). The impact of these Chinese 6 panel 2). The annual maximum occurs in January (except over Manila and the Gulf of Thailand) due to the lowest boundary
350
layer height during winter. The winter surface CO maximum ranges from 300 ppb over oceanic sites (Madras) to 700 ppb over
megacities (Ho Chi Minh and Mumbai), and is mainly attributed to local or regional AN emissions (Figs. 6 panels 3a to 5a; A1
panels 3a to 5a). Over the Indian and South China clusters in January, local emissions (SEAS and CEAS resp.) are dominant,
with contributions in the range of 85 to 95 % (Figs. 6 panel 3a and 4a; A1 panel 3a and 4a and 5a). 3.2.1
Africa (NH Africa: Lagos -Nigeria-, Sahel and Gulf of Guinea; SH Africa: Central Africa, Windhoek-Namibia-) A2b and c) (Sauvage et al., 2006). The absence of a strong CO maximum at the height of the O3 maximum suggests and thus the concentrations, are larger over the savanna fires during October, because of the low combustion efficiency of the
330
smoldering fires resulting in increased CO emissions factors (Zheng et al., 2018b). In addition, there is non-negligible influence
from Southern Hemisphere South America (SHSA) emissions (20 % mostly BB)(Figs. 4 panel 5d and A2a). The SHSA BB
contribution increases with height (30 % contribution in MT and 50 % in UT) contributing to the O3 maximum observed in the
UT (Fig. A2b and c) (Sauvage et al., 2006). The absence of a strong CO maximum at the height of the O3 maximum suggests an additional source of O3 over Windhoek’s UT. As already mentioned (Sect. 3.1), the high O3 over South Africa is associated
335
with the South Atlantic O3 maximum which intensifies in October due to the strong LiNOx production over southern Africa
and south America (Sauvage et al., 2007b, c). It is noteworthy that an O3 enhancement of 80 ppb is also observed over Central Africa at 8 km in October (Fig. 4 panel 1d)
highlighting that the stronger seasonal variability of O3 in the mid and upper troposphere in SH than NH Africa is due to the an additional source of O3 over Windhoek’s UT. As already mentioned (Sect. 3.1), the high O3 over South Africa is associated
335
with the South Atlantic O3 maximum which intensifies in October due to the strong LiNOx production over southern Africa
and south America (Sauvage et al., 2007b, c). It is noteworthy that an O3 enhancement of 80 ppb is also observed over Central Africa at 8 km in October (Fig. 4 panel 1d)
highlighting that the stronger seasonal variability of O3 in the mid and upper troposphere in SH than NH Africa is due to the an additional source of O3 over Windhoek’s UT. As already mentioned (Sect. 3.1), the high O3 over South Africa is associated
335
with the South Atlantic O3 maximum which intensifies in October due to the strong LiNOx production over southern Africa
and south America (Sauvage et al., 2007b, c). It is noteworthy that an O3 enhancement of 80 ppb is also observed over Central Africa at 8 km in October (Fig. 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China The impact of these Chinese emissions (CEAS) is not limited to a local scale, as they dominate the LT CO anomalies over the rest of the Asian clusters
355
(except Bangkok) with contributions in the range of 52 % (over the Gulf of Thailand) to 75 % (over Manila) (Figs. 5a, A2a and
A3a). Their advection is favoured due to the northeasterly trade winds. Bangkok is also impacted by CEAS emissions (42 %),
but the local AN (45 %) and BB (10 %) contributions are more important (Fig. 5a). In winter, elevated CO mixing ratios below 2.5 km are related to O3 enhancements (Figs. 6 panel 1). During winter the emissions (CEAS) is not limited to a local scale, as they dominate the LT CO anomalies over the rest of the Asian clusters
355
(except Bangkok) with contributions in the range of 52 % (over the Gulf of Thailand) to 75 % (over Manila) (Figs. 5a, A2a and
A3a). Their advection is favoured due to the northeasterly trade winds. Bangkok is also impacted by CEAS emissions (42 %),
but the local AN (45 %) and BB (10 %) contributions are more important (Fig. 5a). In winter, elevated CO mixing ratios below 2.5 km are related to O3 enhancements (Figs. 6 panel 1). During winter the chemical ageing of the air masses in the LT is favoured by: i) the confinement of the CO-rich air masses due to the large-
360
scale subsidence preventing upward vertical motions (Lelieveld et al., 2001) and ii) the cloud free conditions promoting O3
formation. This O3 enhancement has been described in Barret et al. (2011) for South Asia during the post monsoon based on
IASI O3 data for 2008. It is also visible on the climatological IASI MT O3 map (Fig. 3f). The accumulation of CO and O3 in 16 igure 6. Same as Fig. 4 for the Asian clusters. ttps://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Figure 6. Same as Fig. 4 for the Asian clusters. Figure 6 Same as Fig 4 for the Asian clusters Figure 6. Same as Fig. 4 for the Asian clusters. Figure 6. Same as Fig. 4 for the Asian clusters. the LT over the Asian clusters, is observed in lower altitudes than in the NH African ones (see Sect. 3.2.1). 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China This is due to the
lower PBL height in DJF over tropical Asia than Africa as suggested by Kalmus et al. (2022). 5 the LT over the Asian clusters, is observed in lower altitudes than in the NH African ones (see Sect. 3.2.1). This is due to the lower PBL height in DJF over tropical Asia than Africa as suggested by Kalmus et al. (2022). 365
During the pre monsoon season (April) CO and O3 are both enhanced above the PBL and below 4 to 6 km over most sites
of the Asian clusters. Local AN emissions control the CO anomalies over the majority of the Asian sites (Figs. 6 panels 3b–5b;
A1 panels 3b–7b), while spring SEAS fires significantly impact South China and Bangkok, but also Ho Chi Minh City and
Manila. The contributions of the SEAS fires in this cluster are in a range of 20 and 30 % in the LT and MT (Figs. 5a and b; During the pre monsoon season (April) CO and O3 are both enhanced above the PBL and below 4 to 6 km over most sites
of the Asian clusters. Local AN emissions control the CO anomalies over the majority of the Asian sites (Figs. 6 panels 3b–5b;
A1 panels 3b–7b), while spring SEAS fires significantly impact South China and Bangkok, but also Ho Chi Minh City and
Manila. The contributions of the SEAS fires in this cluster are in a range of 20 and 30 % in the LT and MT (Figs. 5a and b;
A3a and b). In spring, the fires are mostly located above East Asia and especially the region of Myanmar, Northern Thailand
370
and Laos (Fig. S1b) and the corresponding large CO concentrations are captured by IASI (Fig. 3b). The westward LT and Manila. The contributions of the SEAS fires in this cluster are in a range of 20 and 30 % in the LT and MT (Figs. 5a and b;
A3a and b). In spring, the fires are mostly located above East Asia and especially the region of Myanmar, Northern Thailand
370
and Laos (Fig. S1b) and the corresponding large CO concentrations are captured by IASI (Fig. 3b). The westward LT and A3a and b). In spring, the fires are mostly located above East Asia and especially the region of Myanmar, Northern Thailand
370
and Laos (Fig. 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China The UT CO maximum above the fires is also
captured by IASI and IAGOS UT data (Figs. 3l; 3p and S1d). Based on MLS CO data, Livesey et al. (2013) also found an UT CO maximum over Indonesia and attributed it to episodically strong convection, in agreement with the low outgoing longwave
395
radiation at Fig. 3p. In contrast, the UT and MT O3 distribution show a SE-NW gradient (Figs. 3l and 3h) with lower O3-levels
over the Maritime continent and the southern Indian Ocean and higher ones over India and the Arabian sea. This was reported
by Barret et al. (2011) as a result of convection over the first region and subsidence of precursor enriched air masses over the
second one. CO maximum over Indonesia and attributed it to episodically strong convection, in agreement with the low outgoing longwave
395
radiation at Fig. 3p. In contrast, the UT and MT O3 distribution show a SE-NW gradient (Figs. 3l and 3h) with lower O3-levels
over the Maritime continent and the southern Indian Ocean and higher ones over India and the Arabian sea. This was reported
by Barret et al. (2011) as a result of convection over the first region and subsidence of precursor enriched air masses over the
second one. The LT O3 and CO mixing ratios over the Asian clusters minimise during the summer monsoon (July) (Fig. 6 panels 1–2). 400
The reversal of the north-easterly trades to the monsoon flow (Fig. S3c) results in advection of O3- and CO-poor air masses
from the Indian ocean towards Asia. The lowest O3 levels close to the surface are observed over Mumbai due to the stronger
oceanic influence (high relative humidity close to the surface compared to the other clusters, Fig. not shown). Furthermore,
convective clouds result in cloudy conditions, and rain scavenges O3 precursors resulting in lower O3 production than in clear The LT O3 and CO mixing ratios over the Asian clusters minimise during the summer monsoon (July) (Fig. 6 panels 1–2). 400
The reversal of the north-easterly trades to the monsoon flow (Fig. S3c) results in advection of O3- and CO-poor air masses
from the Indian ocean towards Asia. The lowest O3 levels close to the surface are observed over Mumbai due to the stronger
oceanic influence (high relative humidity close to the surface compared to the other clusters, Fig. not shown). 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China S1b) and the corresponding large CO concentrations are captured by IASI (Fig. 3b). The westward LT and 17 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. MT winds above the fires explain the BB outflow towards South China and the Pacific ocean (Figs. 3b and S3b and S3f). The
enhanced MT O3 is attributable to the intense solar radiation associated with the important amounts of precursors from AN
and BB emissions which were previously evidenced. This is in agreement with the observed O3 maximum in spring over South China (e.g. Dufour et al. (2010) using IASI data) and Bangkok (Sahu et al. (2013) using IAGOS data). Using observational
375
(IAGOS and IASI) and model (Model for OZone And Related chemical Tracers-version-4 model) data, Yarragunta et al. (2019)
found that local AN emissions are responsible for the CO and O3 abundances over South India during the pre-monsoon season. This is in accordance with the SOFT-IO contributions over the Indian clusters (Figs. 6 panels 3b; A1 panels 3b and 4b; A3a). However, it is worth noticing that CO anomalies over Mumbai are also caused by transport of AN emissions from MIDE (36 China (e.g. Dufour et al. (2010) using IASI data) and Bangkok (Sahu et al. (2013) using IAGOS data). Using observational
375
(IAGOS and IASI) and model (Model for OZone And Related chemical Tracers-version-4 model) data, Yarragunta et al. (2019)
found that local AN emissions are responsible for the CO and O3 abundances over South India during the pre-monsoon season. This is in accordance with the SOFT-IO contributions over the Indian clusters (Figs. 6 panels 3b; A1 panels 3b and 4b; A3a). However, it is worth noticing that CO anomalies over Mumbai are also caused by transport of AN emissions from MIDE (36 China (e.g. Dufour et al. (2010) using IASI data) and Bangkok (Sahu et al. (2013) using IAGOS data). Using observational
375
(IAGOS and IASI) and model (Model for OZone And Related chemical Tracers-version-4 model) data, Yarragunta et al. (2019)
found that local AN emissions are responsible for the CO and O3 abundances over South India during the pre-monsoon season. This is in accordance with the SOFT-IO contributions over the Indian clusters (Figs. 6 panels 3b; A1 panels 3b and 4b; A3a). 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China Interestingly,
385
the CO mixing ratio at 6–12 km is approximately 200 ppb over the Gulf of Thailand cluster, the highest CO abundance in
the MT and UT among the Asian clusters. IASI CO data (Fig. 3d) and wind fields (Fig. S3d) show that the LT CO-rich air
masses impacted by the fires (Fig. S1d) are advected towards the SE Asian coast (South China, Gulf of Thailand, Bangkok
and Manila), as confirmed by the SOFT-IO contributions (10 % EQAS contribution on average) in addition to the local AN S1). The Gulf of Thailand cluster is the most affected, from the surface (600 ppb), to the UT (Fig. 6 panel 1e). Interestingly,
385
the CO mixing ratio at 6–12 km is approximately 200 ppb over the Gulf of Thailand cluster, the highest CO abundance in
the MT and UT among the Asian clusters. IASI CO data (Fig. 3d) and wind fields (Fig. S3d) show that the LT CO-rich air
masses impacted by the fires (Fig. S1d) are advected towards the SE Asian coast (South China, Gulf of Thailand, Bangkok
and Manila), as confirmed by the SOFT-IO contributions (10 % EQAS contribution on average) in addition to the local AN influence (Figs. 6 panels 4d and 5d; A1 panels 6d and 7d; 5a; A2a and A3a). The collocated O3 enhancement (below 2 km)
390
over the SEAsian coastal clusters (Figs. 6 pane 1c–1e) indicates O3 production by BB and AN precursors. The contribution of the EQAS BB intensifies in the UT in October, reaching 40–57 % over the SE Asian coastal clusters,
and 33 % (resp. 50%) over Hyderabad (resp. Madras) (Figs. 5c; A2c and A3c). The UT CO maximum above the fires is also
captured by IASI and IAGOS UT data (Figs. 3l; 3p and S1d). Based on MLS CO data, Livesey et al. (2013) also found an UT influence (Figs. 6 panels 4d and 5d; A1 panels 6d and 7d; 5a; A2a and A3a). The collocated O3 enhancement (below 2 km)
390
over the SEAsian coastal clusters (Figs. 6 pane 1c–1e) indicates O3 production by BB and AN precursors. The contribution of the EQAS BB intensifies in the UT in October, reaching 40–57 % over the SE Asian coastal clusters,
and 33 % (resp. 50%) over Hyderabad (resp. Madras) (Figs. 5c; A2c and A3c). 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China However, it is worth noticing that CO anomalies over Mumbai are also caused by transport of AN emissions from MIDE (36 %) in the LT, and NHAF (30 %) in the MT (Fig. A3a and b). In the UT, where the transport of the air masses is favoured, the
380
impact of NHAF emissions dominates over Mumbai (54 %) and Hyderabad (50 %). The UT CO and O3 transport from NHAF
towards the Arabian sea and South India is also captured by the IASI maps (Figs. 3j and 3n), indicating O3 photochemical
production during the transport. The BB contribution is also important during the post monsoon season (October) because of active fires over Indonesia (Fig %) in the LT, and NHAF (30 %) in the MT (Fig. A3a and b). In the UT, where the transport of the air masses is favoured, the
380
impact of NHAF emissions dominates over Mumbai (54 %) and Hyderabad (50 %). The UT CO and O3 transport from NHAF
towards the Arabian sea and South India is also captured by the IASI maps (Figs. 3j and 3n), indicating O3 photochemical
production during the transport. The BB contribution is also important during the post monsoon season (October) because of active fires over Indonesia (Fig. p
g
p
(
)i
(
g
S1). The Gulf of Thailand cluster is the most affected, from the surface (600 ppb), to the UT (Fig. 6 panel 1e). Interestingly,
385
the CO mixing ratio at 6–12 km is approximately 200 ppb over the Gulf of Thailand cluster, the highest CO abundance in
the MT and UT among the Asian clusters. IASI CO data (Fig. 3d) and wind fields (Fig. S3d) show that the LT CO-rich air
masses impacted by the fires (Fig. S1d) are advected towards the SE Asian coast (South China, Gulf of Thailand, Bangkok
and Manila), as confirmed by the SOFT-IO contributions (10 % EQAS contribution on average) in addition to the local AN
influence (Figs. 6 panels 4d and 5d; A1 panels 6d and 7d; 5a; A2a and A3a). The collocated O3 enhancement (below 2 km)
390 S1). The Gulf of Thailand cluster is the most affected, from the surface (600 ppb), to the UT (Fig. 6 panel 1e). 3.2.2
Asia: Mumbai, Hyderabad, Madras-India-, Ho Chi Minh City-Vietnam-, Manila-Philippines-,
Bangkok-Thailand-, Gulf of Thailand, South China Furthermore,
convective clouds result in cloudy conditions, and rain scavenges O3 precursors resulting in lower O3 production than in clear The LT O3 and CO mixing ratios over the Asian clusters minimise during the summer monsoon (July) (Fig. 6 panels 1–2). 400
The reversal of the north-easterly trades to the monsoon flow (Fig. S3c) results in advection of O3- and CO-poor air masses
from the Indian ocean towards Asia. The lowest O3 levels close to the surface are observed over Mumbai due to the stronger
oceanic influence (high relative humidity close to the surface compared to the other clusters, Fig. not shown). Furthermore,
convective clouds result in cloudy conditions, and rain scavenges O3 precursors resulting in lower O3 production than in clear sky conditions (Mari et al., 2000; Safieddine et al., 2016). The steep CO gradient close to the surface (below 1 km) clearly
405
indicates the convective uplift of polluted PBL air masses towards the UT. The resulting enhancement of CO in the UT within sky conditions (Mari et al., 2000; Safieddine et al., 2016). The steep CO gradient close to the surface (below 1 km) clearly
405
indicates the convective uplift of polluted PBL air masses towards the UT. The resulting enhancement of CO in the UT within 18 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. the AMA analysed in Park et al. (2008) and Barret et al. (2016) is clear from IASI (Fig. 3k). In contrast, the positive south-
north O3 gradient between the Maritime continent and north SAsia and Middle East (Figs. 3o and w) is associated with: i) the
photochemical ageing of air masses while they are recirculating towards Middle East, allowing sufficient O3 production during
transport (Lawrence and Lelieveld, 2010) and ii) the high insolation over Middle East favouring O3 photochemical production
0
((Barret et al., 2016). 410 3.2.3
South America: Caracas -Venezuela-, Bogota -Colombia- and SBrazil As IAGOS over SBrazil below 6 km, the IASI distributions over tropical South America (Fig. 3 e to h) display lower
430
tropospheric O3 in January and April than in July and October. From SOFT-IO we can see that, over SBrazil in October, CO enhancement below 1 km is caused by local AN (52 %) and BB
(44 %) emissions (Fig. 7 panel 5d). In the MT and the UT, the BB contribution exceeds 80 % because of the strong convection
moving over the BB regions (Liu et al., 2010). This is also indicated by low outgoing longwave radiation (Fig. 3l) which is used April). As IAGOS over SBrazil below 6 km, the IASI distributions over tropical South America (Fig. 3 e to h) display lower
430
tropospheric O3 in January and April than in July and October. From SOFT-IO we can see that, over SBrazil in October, CO enhancement below 1 km is caused by local AN (52 %) and BB
(44 %) emissions (Fig. 7 panel 5d). In the MT and the UT, the BB contribution exceeds 80 % because of the strong convection
moving over the BB regions (Liu et al., 2010). This is also indicated by low outgoing longwave radiation (Fig. 3l) which is used as a convection proxy (Park et al., 2007). The uplifted BB products are trapped in an anticyclonic circulation developed over
435
Central South America (Fig. S3l). CO from SHSA fires are transported over Bogota, at the edge of the anticyclone, but does
not reach Caracas which lies outside of the anticyclone (Fig. 7 panels 3d and 4d). Their photochemical processing contributes
to the seasonal O3 enhancement over South America which is the western part of the wave-one pattern (Thompson et al.,
2003b; Sauvage et al., 2006). This is highlighted by the collocation of IASI UT CO (Fig. 3l) and O3 (Fig. 3p) maxima within as a convection proxy (Park et al., 2007). The uplifted BB products are trapped in an anticyclonic circulation developed over
435
Central South America (Fig. S3l). CO from SHSA fires are transported over Bogota, at the edge of the anticyclone, but does
not reach Caracas which lies outside of the anticyclone (Fig. 7 panels 3d and 4d). Their photochemical processing contributes
to the seasonal O3 enhancement over South America which is the western part of the wave-one pattern (Thompson et al.,
2003b; Sauvage et al., 2006). 3.2.3
South America: Caracas -Venezuela-, Bogota -Colombia- and SBrazil The O3 profiles over South America generally display the classical increase from the surface to the MT (Fig. 7 panel 1). The a.s.s.(Fig. 7 panel 2). The CO mixing ratios decrease below 100 ppb above the polluted layers all year long, with exception of
420
South Brazil, where a first maximum (150–200 ppb) occurs in the MT (2–4 km) and a second one (200–250 ppb) is observed
above 8 km in October. IASI clearly detects the MT (Fig. 3d) and UT (Fig. 3p) maxima over most of tropical south America
in October. The O3 profiles over South America generally display the classical increase from the surface to the MT (Fig. 7 panel 1). The The O3 profiles over South America generally display the classical increase from the surface to the MT (Fig. 7 panel 1). The
increase of O3 with altitude is attributed to the lack of depositional and chemical sinks in the FT, in combination with lower
425
water vapour concentrations, and lightning emissions, as discussed in Sec. 3.2.1. The O3 profiles over South America generally display the classical increase from the surface to the MT (Fig. 7 panel 1). The
increase of O3 with altitude is attributed to the lack of depositional and chemical sinks in the FT, in combination with lower
425
water vapour concentrations, and lightning emissions, as discussed in Sec. 3.2.1. Over Caracas, tropospheric CO is maximum in April (250 ppbv) and the profile displays one maximum of O3 (40 ppb) in the
LT and one in the MT (50 ppb). Over Bogota and SBrazil O3 is maximum in October over the whole troposphere with mixing
ratios reaching 45 and 60 ppb in the UT. For Bogota (resp. SBrazil) the tropospheric O3 annual minimum occurs in July (resp. increase of O3 with altitude is attributed to the lack of depositional and chemical sinks in the FT, in combination with lower
425
water vapour concentrations, and lightning emissions, as discussed in Sec. 3.2.1. Over Caracas, tropospheric CO is maximum in April (250 ppbv) and the profile displays one maximum of O3 (40 ppb) in the
LT and one in the MT (50 ppb). Over Bogota and SBrazil O3 is maximum in October over the whole troposphere with mixing
ratios reaching 45 and 60 ppb in the UT. For Bogota (resp. SBrazil) the tropospheric O3 annual minimum occurs in July (resp. April). 3.2.3
South America: Caracas -Venezuela-, Bogota -Colombia- and SBrazil Over Caracas and Bogota, the concentrations of CO in the troposphere are maxima in April and minima in January, while the
highest concentrations occur in October over SBrazil (Fig. 7 panel 2). In April, CO concentrations exceed 400 ppb over Bogota
below 1 km above the surface, and 200 ppb up to 2 km over Caracas. The CO concentrations detected by IASI over northern
15 Over Caracas and Bogota, the concentrations of CO in the troposphere are maxima in April and minima in January, while the
highest concentrations occur in October over SBrazil (Fig. 7 panel 2). In April, CO concentrations exceed 400 ppb over Bogota below 1 km above the surface, and 200 ppb up to 2 km over Caracas. The CO concentrations detected by IASI over northern
415
Venezuela and Colombia are also maxima in April (Fig. 3b). This is clearly related to the large vertical extent of the high
concentrations which improves the detection by IASI. In terms of CO, Bogota is the most polluted cluster over South America
throughout the year. CO
i
b l
300
b (
180
b)
(
C
d S
il) b l
1k below 1 km above the surface, and 200 ppb up to 2 km over Caracas. The CO concentrations detected by IASI over northern
415
Venezuela and Colombia are also maxima in April (Fig. 3b). This is clearly related to the large vertical extent of the high
concentrations which improves the detection by IASI. In terms of CO, Bogota is the most polluted cluster over South America
throughout the year. In January, CO concentrations are below 300 ppb (resp. 180 ppb) over Bogota (resp. Caracas and SBrazil) below 1km concentrations which improves the detection by IASI. In terms of CO, Bogota is the most polluted cluster over South America
throughout the year. In January, CO concentrations are below 300 ppb (resp. 180 ppb) over Bogota (resp. Caracas and SBrazil) below 1km a.s.s.(Fig. 7 panel 2). The CO mixing ratios decrease below 100 ppb above the polluted layers all year long, with exception of
420
South Brazil, where a first maximum (150–200 ppb) occurs in the MT (2–4 km) and a second one (200–250 ppb) is observed
above 8 km in October. IASI clearly detects the MT (Fig. 3d) and UT (Fig. 3p) maxima over most of tropical south America
in October. 3.2.3
South America: Caracas -Venezuela-, Bogota -Colombia- and SBrazil This is highlighted by the collocation of IASI UT CO (Fig. 3l) and O3 (Fig. 3p) maxima within 19 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. . Same as Fig. 4 for the South American clusters. Figure 7. Same as Fig. 4 for the South American clusters. 20 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. the anticyclone. Nevertheless, as described by Sauvage et al. (2007c) the lightning activity over South America and Africa in
440
October is the most important cause of the O3 wave-one pattern. Below 1km, the annual CO maximum over SBrazil in April is due to local AN emissions (Fig. 7 panel 5b) located over the
southern part of Brazil (Fig. S2b). The observed CO enhancement reaches approximately 350 ppb (Fig. 7c), while SOFT-IO
attributes 65 ppb above the background levels to the aforementioned emissions. This indicates that SHSA AN emissions are the anticyclone. Nevertheless, as described by Sauvage et al. (2007c) the lightning activity over South America and Africa in
440
October is the most important cause of the O3 wave-one pattern. the anticyclone. Nevertheless, as described by Sauvage et al. (2007c) the lightning activity over South America and Africa in
440
October is the most important cause of the O3 wave-one pattern. Below 1km, the annual CO maximum over SBrazil in April is due to local AN emissions (Fig. 7 panel 5b) located over the
southern part of Brazil (Fig. S2b). The observed CO enhancement reaches approximately 350 ppb (Fig. 7c), while SOFT-IO
attributes 65 ppb above the background levels to the aforementioned emissions. This indicates that SHSA AN emissions are southern part of Brazil (Fig. S2b). The observed CO enhancement reaches approximately 350 ppb (Fig. 7c), while SOFT-IO
attributes 65 ppb above the background levels to the aforementioned emissions. This indicates that SHSA AN emissions are
underestimated by the SOFT-IO calculations. The observed CO enhancement at 1.5 km is a new CO feature compared to
445
Yamasoe et al. (2015) that studied CO climatology over SBrazil for the period 1994–2013. The CO enhancement is due to
additional data that were collected for the year 2014. SOFT-IO shows increased local AN contributions for March–April–May
2014 relative to the previous years. 3.2.3
South America: Caracas -Venezuela-, Bogota -Colombia- and SBrazil This is in agreement with the CEDS inventory, which shows a peak in AN emissions over
South Brazil (18–29◦S and 35–52◦W) for the year 2014, mostly coming from the transportation sector (Fig. not shown). underestimated by the SOFT-IO calculations. The observed CO enhancement at 1.5 km is a new CO feature compared to
445
Yamasoe et al. (2015) that studied CO climatology over SBrazil for the period 1994–2013. The CO enhancement is due to
additional data that were collected for the year 2014. SOFT-IO shows increased local AN contributions for March–April–May
2014 relative to the previous years. This is in agreement with the CEDS inventory, which shows a peak in AN emissions over
South Brazil (18–29◦S and 35–52◦W) for the year 2014, mostly coming from the transportation sector (Fig. not shown). underestimated by the SOFT-IO calculations. The observed CO enhancement at 1.5 km is a new CO feature compared to
445
Yamasoe et al. (2015) that studied CO climatology over SBrazil for the period 1994–2013. The CO enhancement is due to
additional data that were collected for the year 2014. SOFT-IO shows increased local AN contributions for March–April–May
2014 relative to the previous years. This is in agreement with the CEDS inventory, which shows a peak in AN emissions over
South Brazil (18–29◦S and 35–52◦W) for the year 2014, mostly coming from the transportation sector (Fig. not shown). Over Caracas, the annual CO maximum below 2 km in April mostly comes from local AN (35 %) and BB (32 %) emissions
450
(NHSA) (Figs. A2, and 7 panel 5b). This local origin of emissions is corroborated by the elevated IASI LT CO mixing ratios
(Fig. 3b) collocated with the strong AN emissions above Colombia and Venezuela, and active fires above the latter (Figs. S1b
and S2b). Transport also plays an important role with 20 % of the anomalies caused by BB NHAF emissions (Fig. 5a). The O3
maximum collocated with the CO one at 2 km (Fig. 7 panels 1a and 2a), indicates O3 production during transport of NHAF air Over Caracas, the annual CO maximum below 2 km in April mostly comes from local AN (35 %) and BB (32 %) emissions
450
(NHSA) (Figs. A2, and 7 panel 5b). This local origin of emissions is corroborated by the elevated IASI LT CO mixing ratios
(Fig. 3.2.3
South America: Caracas -Venezuela-, Bogota -Colombia- and SBrazil Emissions from Africa are also contributing to LT CO in Bogota with 15 % in July (SHAF and NHAF) and 27 % in January (NHAF). 465
In contrast to Caracas, emissions from SHSA also contribute to LT CO anomalies over Bogota, with 31% in July and 10 % in
October. from Africa are also contributing to LT CO in Bogota with 15 % in July (SHAF and NHAF) and 27 % in January (NHAF). 465
In contrast to Caracas, emissions from SHSA also contribute to LT CO anomalies over Bogota, with 31% in July and 10 % in
October. 3.2.3
South America: Caracas -Venezuela-, Bogota -Colombia- and SBrazil 3b) collocated with the strong AN emissions above Colombia and Venezuela, and active fires above the latter (Figs. S1b
and S2b). Transport also plays an important role with 20 % of the anomalies caused by BB NHAF emissions (Fig. 5a). The O3
maximum collocated with the CO one at 2 km (Fig. 7 panels 1a and 2a), indicates O3 production during transport of NHAF air masses impacted by BB. The second O3 maximum above 5 km is also noticed by Yamasoe et al. (2015). Using the GEOS-chem
455
model, they identified local anthropogenic sources followed by lightning, as the main sources of O3 precursors over Caracas
in April. In addition, the O3 maximum at around 6 km in October was attributed to local anthropogenic sources and lighting
from Africa. This transport pathway from Africa to Caracas in October is confirmed by SOFT-IO (Fig. 7 panel 3d). It is interesting to note that the CO mixing ratio between 2 and 4 km over Caracas is elevated (≥150 ppb) compared g
g
(≥
pp )
p
to the free tropospheric background (≈100 ppb) all year long. The January–July and October maxima are lower than the
460
April one with dominant CO sources being local AN and African (SHAF or NHAF depending on the season) emissions with
contributions of 30 % each. In January there is also a small (15 %) influence from AN central and equatorial Asian emissions
(CEAS and EQAS). In Bogota, local (71 %) and NHAF (26 %) emissions control the CO annual maxima close to the surface
in April, (Fig. 7 panel 4b). During the rest of the year, local AN emissions (≥60 %) control the LT CO anomalies. Emissions to the free tropospheric background (≈100 ppb) all year long. The January–July and October maxima are lower than the
460
April one with dominant CO sources being local AN and African (SHAF or NHAF depending on the season) emissions with
contributions of 30 % each. In January there is also a small (15 %) influence from AN central and equatorial Asian emissions
(CEAS and EQAS). In Bogota, local (71 %) and NHAF (26 %) emissions control the CO annual maxima close to the surface
in April, (Fig. 7 panel 4b). During the rest of the year, local AN emissions (≥60 %) control the LT CO anomalies. O3-rich and CO-poor air masses, reflecting a stronger stratospheric influence. Nevertheles
480 3.2.4
Arabia and Eastern Africa (AEA): Khartoum -Sudan-, Addis Ababa -Ethiopia-, Jeddah -Saudi Arabia-, Abu
Dhabi The surface maximum is larger over Addis Ababa (700 ppb in July) and Khartoum (350 ppb in April),
than in Jeddah and AbuDhabi (<250 ppb). Over the East African sites (Khartoum and Addis Ababa), a layer of enhanced CO the O3 production within uplifted CO-rich air masses, transported away from the ITCZ by the upper branches of the Hadley
500
cell (Lannuque et al., 2021). One common characteristic among the AEA clusters is the elevated CO mixing ratio in the surface layer (below 1km) all year
long (Fig. 8 panel 2). The surface maximum is larger over Addis Ababa (700 ppb in July) and Khartoum (350 ppb in April),
than in Jeddah and AbuDhabi (<250 ppb). Over the East African sites (Khartoum and Addis Ababa), a layer of enhanced CO is observed in the FT, in January and April. This winter to spring high CO layer in the FT over Eastern Africa is detected by
505
IASI which clearly shows that it does not reach Arabia (Fig. 3a–b). IASI data (Fig. 3i–l) also displays little annual UT CO
variability over this region. In January, the surface CO maximum is mostly controlled by local AN emissions over the AEA clusters (Figs. 8 panels 3a
to 6a). Above the surface layer, strong Ethiopian AN emissions (Fig. S2) control the CO anomalies over Addis Ababa with is observed in the FT, in January and April. This winter to spring high CO layer in the FT over Eastern Africa is detected by
505
IASI which clearly shows that it does not reach Arabia (Fig. 3a–b). IASI data (Fig. 3i–l) also displays little annual UT CO
variability over this region. In January, the surface CO maximum is mostly controlled by local AN emissions over the AEA clusters (Figs. 8 panels 3a
to 6a). Above the surface layer, strong Ethiopian AN emissions (Fig. S2) control the CO anomalies over Addis Ababa with contribution of 71 % in the LT and 58 % in the MT (Fig. A2a). Influence from the NHAF fires is also evident (12 % in the
510
LT and 20 % in the MT) (Fig. A2a). The impact from the NHAF fires intensifies over Khartoum and Jeddah between 2 and 4
km with contributions of 58 % and 53 % respectively (Fig. A2a). 3.2.4
Arabia and Eastern Africa (AEA): Khartoum -Sudan-, Addis Ababa -Ethiopia-, Jeddah -Saudi Arabia-, Abu
Dhabi In July, the Middle East summer O3 maximum is also partly related to subsidence of AMA air masses which brings O3 485 BB emissions over Abu Dhabi and to a lesser extent over Khartoum (Fig. 8 panels 3b and 6b). The contribution of American
485
sources over Abu Dhabi indicates eastward transport, which is not present in the rest of the AEA clusters. Due to its northern
position, Abu Dhabi is affected by the subtropical westerly jet in the UT. In contrast the rest of the AEA clusters are affected
by the tropical easterly jet which brings CO from Asian regions. In July the Middle East summer O maximum is also partly related to subsidence of AMA air masses which brings O In July, the Middle East summer O3 maximum is also partly related to subsidence of AMA air masses which brings O3
produced from South Asian AN and LiNOx emissions (Barret et al., 2016). The polluted air masses from South and SouthEast
490
Asia uplifted by monsoon deep convection are trapped in the AMA which extends westward to Northeast Africa and the Middle
East (Barret et al., 2016; Park et al., 2007). Over Khartoum and Jeddah (resp. Addis Ababa and AbuDhabi) 20 ppb (resp. 10
ppb) of CO originates from SEAS at 6–12 km. The impact of the SEAS emissions is stronger over Jeddah (78 %) than over
Khartoum (60 %) and Addis Ababa (46 %) (Fig. A2c). Addis Ababa and Khartoum, further to the south, are outside of the In July, the Middle East summer O3 maximum is also partly related to subsidence of AMA air masses which brings O3
produced from South Asian AN and LiNOx emissions (Barret et al., 2016). The polluted air masses from South and SouthEast
490
Asia uplifted by monsoon deep convection are trapped in the AMA which extends westward to Northeast Africa and the Middle
East (Barret et al., 2016; Park et al., 2007). Over Khartoum and Jeddah (resp. Addis Ababa and AbuDhabi) 20 ppb (resp. 10
ppb) of CO originates from SEAS at 6–12 km. The impact of the SEAS emissions is stronger over Jeddah (78 %) than over
Khartoum (60 %) and Addis Ababa (46 %) (Fig. A2c). Addis Ababa and Khartoum, further to the south, are outside of the produced from South Asian AN and LiNOx emissions (Barret et al., 2016). 3.2.4
Arabia and Eastern Africa (AEA): Khartoum -Sudan-, Addis Ababa -Ethiopia-, Jeddah -Saudi Arabia-, Abu
Dhabi The polluted air masses from South and SouthEast
490
Asia uplifted by monsoon deep convection are trapped in the AMA which extends westward to Northeast Africa and the Middle
East (Barret et al., 2016; Park et al., 2007). Over Khartoum and Jeddah (resp. Addis Ababa and AbuDhabi) 20 ppb (resp. 10
ppb) of CO originates from SEAS at 6–12 km. The impact of the SEAS emissions is stronger over Jeddah (78 %) than over
Khartoum (60 %) and Addis Ababa (46 %) (Fig. A2c). Addis Ababa and Khartoum, further to the south, are outside of the AMA and therefore characterised by lower levels of O3 in the UT (Fig. 8 panel 1). Furthermore, the O3 minimum over Addis
495
Ababa (45–50 ppb) is related to the ITCZ located between 5◦N and 10◦N during the NH wet season (Lannuque et al., 2021). The UT O3 enhancement over Arabia and the Arabian sea, and the transition to lower concentrations south of the tip of Arabia
are also clear with the IASI map (Fig. 3c). The O3 minimum over Africa is caused by uplift of local African O3-poor air
masses from the surface in the ITCZ (Fig. 3c). The increase of O3 northwards (such as over Khartoum with 60 ppb) is due to AMA and therefore characterised by lower levels of O3 in the UT (Fig. 8 panel 1). Furthermore, the O3 minimum over Addis
495
Ababa (45–50 ppb) is related to the ITCZ located between 5◦N and 10◦N during the NH wet season (Lannuque et al., 2021). The UT O3 enhancement over Arabia and the Arabian sea, and the transition to lower concentrations south of the tip of Arabia
are also clear with the IASI map (Fig. 3c). The O3 minimum over Africa is caused by uplift of local African O3-poor air
masses from the surface in the ITCZ (Fig. 3c). The increase of O3 northwards (such as over Khartoum with 60 ppb) is due to the O3 production within uplifted CO-rich air masses, transported away from the ITCZ by the upper branches of the Hadley
500
cell (Lannuque et al., 2021). One common characteristic among the AEA clusters is the elevated CO mixing ratio in the surface layer (below 1km) all year
long (Fig. 8 panel 2). 3.2.4
Arabia and Eastern Africa (AEA): Khartoum -Sudan-, Addis Ababa -Ethiopia-, Jeddah -Saudi Arabia-, Abu
Dhabi The striking feature of the AEA clusters is the elevated O3 in the free troposphere (FT) (70 ppb on average centered at around
470
8 km) for all the clusters during April and for the northern clusters of Jeddah and Abu Dhabi during July (Fig. 8 panel 1 a–d). The particularly low CO mixing ratio accompanying the O3 enhancements around 8 km over the AEA clusters (Fig. 8 panel The striking feature of the AEA clusters is the elevated O3 in the free troposphere (FT) (70 ppb on average centered at around
470
8 km) for all the clusters during April and for the northern clusters of Jeddah and Abu Dhabi during July (Fig. 8 panel 1 a–d). The particularly low CO mixing ratio accompanying the O3 enhancements around 8 km over the AEA clusters (Fig. 8 panel 21 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. re 8. Same as Fig. 4 for the Arabian and Eastern African clusters. Figure 8. Same as Fig. 4 for the Arabian and Eastern African clusters. 2a–d) points to a dynamical origin of O3. The O3 enhancements over the 4 sites of AEA and the anticorellation with CO, are
also detected by IASI in the UT and MT (Fig. 3j, k, n and o). Tropopause foldings in the vicinity of the subtropical jet stream are associated with downward transport of stratospheric
475
ozone (Stohl et al., 2003; Lelieveld et al., 2009; Safieddine et al., 2014) resulting in a tropospheric O3 enhancement. The O3
flux from the stratosphere to the troposphere in the vicinity of the NH subtropical jet peaks during spring and summer (Tang
et al., 2011). This is in agreement with Cohen et al. (2018) that found the maximum O3 to CO ratio over the Arabian peninsula
during spring and summer (their Fig. A1), using IAGOS data for the period 1994 to 2013. This indicates higher occurrence of 475 22 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. are detected by IASI over the Arabian sea similarly to Jia et al. (2017) based on TOC from OMI/MLS. Jia et al. (2017) attributed
these O3 enhancements to emissions from India (50 %), with smaller contributions from the Middle East and Africa (30 %). 3.2.4
Arabia and Eastern Africa (AEA): Khartoum -Sudan-, Addis Ababa -Ethiopia-, Jeddah -Saudi Arabia-, Abu
Dhabi This is in agreement with SOFT-IO, which shows a significant contribution from SEAS over Jeddah (29 %) and a lower one
over Addis Ababa (7%) (Figs. 8 panels 4b and 5b, and A2a). SOFT-IO also attributes large contributions from NHAF AN and
BB emissions over Abu Dhabi and to a lesser extent over Khartoum (Fig. 8 panels 3b and 6b). The contribution of American
485
sources over Abu Dhabi indicates eastward transport, which is not present in the rest of the AEA clusters. Due to its northern
position, Abu Dhabi is affected by the subtropical westerly jet in the UT. In contrast the rest of the AEA clusters are affected
by the tropical easterly jet which brings CO from Asian regions are detected by IASI over the Arabian sea similarly to Jia et al. (2017) based on TOC from OMI/MLS. Jia et al. (2017) attributed
these O3 enhancements to emissions from India (50 %), with smaller contributions from the Middle East and Africa (30 %). This is in agreement with SOFT-IO, which shows a significant contribution from SEAS over Jeddah (29 %) and a lower one
over Addis Ababa (7%) (Figs. 8 panels 4b and 5b, and A2a). SOFT-IO also attributes large contributions from NHAF AN and are detected by IASI over the Arabian sea similarly to Jia et al. (2017) based on TOC from OMI/MLS. Jia et al. (2017) attributed
these O3 enhancements to emissions from India (50 %), with smaller contributions from the Middle East and Africa (30 %). This is in agreement with SOFT-IO, which shows a significant contribution from SEAS over Jeddah (29 %) and a lower one
over Addis Ababa (7%) (Figs. 8 panels 4b and 5b, and A2a). SOFT-IO also attributes large contributions from NHAF AN and BB emissions over Abu Dhabi and to a lesser extent over Khartoum (Fig. 8 panels 3b and 6b). The contribution of American
485
sources over Abu Dhabi indicates eastward transport, which is not present in the rest of the AEA clusters. Due to its northern
position, Abu Dhabi is affected by the subtropical westerly jet in the UT. In contrast the rest of the AEA clusters are affected
by the tropical easterly jet which brings CO from Asian regions. 3.2.4
Arabia and Eastern Africa (AEA): Khartoum -Sudan-, Addis Ababa -Ethiopia-, Jeddah -Saudi Arabia-, Abu
Dhabi The effect of the NHAF emissions towards eastern Africa
(Khartoum and Addis Ababa) and Jeddah is also detected by IASI (Fig. 3a), which shows a negative eastward CO gradient. As expected, the fire contribution is stronger in the western African clusters such as Lagos, due to the prevailing north easterly
winds (Fig. S3a) (see Sect. 3.2.1). The co-occurring O3 enhancement over Khartoum and Jeddah below 4 km reflects O3
515 23 formation during transport from the fires (Fig. 8 panels 1b and 1d). The small enhancement of O3 is also captured by IASI in
https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. formation during transport from the fires (Fig. 8 panels 1b and 1d). The small enhancement of O3 is also captured by IASI in
the MT (Fig. 3e). air masses from SHAF fires are the dominant source of CO (Fig. 8 panel 6c). The combination of local AN (70 %) and SHAF
BB (23 %) emissions is responsible for the annual CO maximum at the surface over Addis Ababa in July (Figs. 8 panel 5c,
520
and A2a). Interestingly, the impact of the SHAF fires below 4km over Khartoum and Addis Ababa is stronger than the impact
of local fires during the respective dry season (Figs. 8 panels 5ac and 6ac). The O3 enhancement below 4 km over the Jeddah,
Khartoum and Addis Ababa indicates O3 production during the transport of CO-rich air masses impacted by the SHAF fires
(Fig. 8 panels 1 j to l). In contrast, over Abu Dhabi the O3 enhancement in the FT (Fig. 8 panel 1a) is likely related to transport BB (23 %) emissions is responsible for the annual CO maximum at the surface over Addis Ababa in July (Figs. 8 panel 5c,
520
and A2a). Interestingly, the impact of the SHAF fires below 4km over Khartoum and Addis Ababa is stronger than the impact
of local fires during the respective dry season (Figs. 8 panels 5ac and 6ac). The O3 enhancement below 4 km over the Jeddah,
Khartoum and Addis Ababa indicates O3 production during the transport of CO-rich air masses impacted by the SHAF fires
(Fig. 8 panels 1 j to l). In contrast, over Abu Dhabi the O3 enhancement in the FT (Fig. 3.2.4
Arabia and Eastern Africa (AEA): Khartoum -Sudan-, Addis Ababa -Ethiopia-, Jeddah -Saudi Arabia-, Abu
Dhabi The O3-rich air masses are further transported towards Eastern Africa by the prevailing northeasterlies (Fig. S3h) as
documented by the predominant SEAS origin of FT CO over the AEA sites (Figs. 8 panels 3d and 6d). highlighted the MT O3 enhancement over northern India and the northern part of the Arabian sea during the post-monsoon
535
season. The O3-rich air masses are further transported towards Eastern Africa by the prevailing northeasterlies (Fig. S3h) as
documented by the predominant SEAS origin of FT CO over the AEA sites (Figs. 8 panels 3d and 6d). 3.2.4
Arabia and Eastern Africa (AEA): Khartoum -Sudan-, Addis Ababa -Ethiopia-, Jeddah -Saudi Arabia-, Abu
Dhabi 8 panel 1a) is likely related to transport of CO-rich air masses from the MIDE and BOAS regions (Fig. 8 panel 3c). 525
In October, long range transport from Asia (SEAS AN and EQAS BB) plays a significant role in CO anomalies over the
AEA sites (Figs. 8 panels 3d–6d), especially over Addis Ababa and Jeddah. In the LT, the northeasterlies (Fig. S3d), transport
CO-rich air masses from Asia towards eastern Africa. This transport of CO from Asia over the Arabian sea is well captured by
IASI (Fig. 3d). of CO rich air masses from the MIDE and BOAS regions (Fig. 8 panel 3c). 525
In October, long range transport from Asia (SEAS AN and EQAS BB) plays a significant role in CO anomalies over the
AEA sites (Figs. 8 panels 3d–6d), especially over Addis Ababa and Jeddah. In the LT, the northeasterlies (Fig. S3d), transport
CO-rich air masses from Asia towards eastern Africa. This transport of CO from Asia over the Arabian sea is well captured by
IASI (Fig. 3d). Above 4km in October, O3 enhancements are observed over the AEA sites especially over Abu Dhabi which is the east-
530
ernmost site of the AEA region (Fig. 8 panel 1). IASI detects a MT O3 increase above the Arabian sea and Northern India
(Fig. 3h). The O3 enhancement in the MT over the Arabian sea detected with ozone soundings during the INDOEX campaign
(1999–2000) has been attributed to Indian sources uplifted over the marine boundary layer by the sea breeze circulation in
Lawrence and Lelieveld (2010). It was further analysed and documented with IASI O3 data by Barret et al. (2011) who already Above 4km in October, O3 enhancements are observed over the AEA sites especially over Abu Dhabi which is the east-
530
ernmost site of the AEA region (Fig. 8 panel 1). IASI detects a MT O3 increase above the Arabian sea and Northern India
(Fig. 3h). The O3 enhancement in the MT over the Arabian sea detected with ozone soundings during the INDOEX campaign
(1999–2000) has been attributed to Indian sources uplifted over the marine boundary layer by the sea breeze circulation in
Lawrence and Lelieveld (2010). It was further analysed and documented with IASI O3 data by Barret et al. (2011) who already highlighted the MT O3 enhancement over northern India and the northern part of the Arabian sea during the post-monsoon
535
season. 3.3
Control factors of tropical O3 and CO In this Section we present the main features of the tropical O3 and CO distributions. Figu In this Section we present the main features of the tropical O3 and CO distributions. Figure 9 displays the annual maxi- In this Section we present the main features of the tropical O3 and CO distributions. Figure 9 displays the annual maxi-
mum/minimum of O3 (a) and CO (b) mixing ratios and their corresponding mean height. The annual maxima/minima are
540
calculated based on monthly averaged mixing ratios over vertical layers with 40 hPa thickness. Figure 10 displays the transport
pathways of CO emissions from the African, South American and Asian source regions, towards the 20 tropical sites in the LT
(a), MT (b) and UT (c). We show the source regions and the months corresponding to the largest amounts of transported CO
(in ppb). Figure 11 displays the AN and BB contribution to CO anomalies (in ppb) over the tropical UT (300–185 hPa). mum/minimum of O3 (a) and CO (b) mixing ratios and their corresponding mean height. The annual maxima/minima are
540
calculated based on monthly averaged mixing ratios over vertical layers with 40 hPa thickness. Figure 10 displays the transport
pathways of CO emissions from the African, South American and Asian source regions, towards the 20 tropical sites in the LT
(a), MT (b) and UT (c). We show the source regions and the months corresponding to the largest amounts of transported CO
(in ppb). Figure 11 displays the AN and BB contribution to CO anomalies (in ppb) over the tropical UT (300–185 hPa). Overall, the CO profiles above all tropical clusters display an annual maximum above the surface layer (approximately at
545
0.5 km) (Fig. 9b). This is also valid for Caracas, Bogota, Windhoek and Addis Ababa which are located at high altitude above
the sea surface (with a mean elevation of 0.9 km, 2.6 km, 1.6 km and 2.3 km respectively). For all the clusters located in the
NH tropics (African, Asian and South American), the CO-polluted boundary layer, is mainly attributed to local AN emissions,
even for clusters such as over West Africa, where BB is expected to be of great importance (Reeves et al., 2010; Mari et al., 24 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Figure 9. 3.3
Control factors of tropical O3 and CO O3 (a) and CO (b) annual maximum (higher bar) and minimum (lower bar) mixing ratio observed over the tropical clusters. The
annotated number on top of each bar indicates the altitude (in km) of the observed annual maximum/minimum mixing ratio. The colour in
the bar indicates the month of the maximum/minimum. Figure 9. O3 (a) and CO (b) annual maximum (higher bar) and minimum (lower bar) mixing ratio observed over the tropical clusters. The
annotated number on top of each bar indicates the altitude (in km) of the observed annual maximum/minimum mixing ratio. The colour in
the bar indicates the month of the maximum/minimum. 2008; Sauvage et al., 2005) (Figs. 5a; A2a; A3a). This finding confirms the key role of the AN emissions in the NH, related to
550
larger population compared to the SH, and enhanced AN urban and industrial activity, as discussed in Edwards et al. (2004). Concerning the SH, the surface-layer pollution is predominantly caused by BB over SH Africa (Central Africa and Windhoek)
during the dry season (Figs. 5, A2), and by AN over the SBrazil (Fig. A2). Interestingly, the CO maxima over the latter occurs
before the burning season. This is in accordance with previous studies suggesting fossil fuels as the main CO source over Sao 2008; Sauvage et al., 2005) (Figs. 5a; A2a; A3a). This finding confirms the key role of the AN emissions in the NH, related to
550
larger population compared to the SH, and enhanced AN urban and industrial activity, as discussed in Edwards et al. (2004). Concerning the SH, the surface-layer pollution is predominantly caused by BB over SH Africa (Central Africa and Windhoek)
during the dry season (Figs. 5, A2), and by AN over the SBrazil (Fig. A2). Interestingly, the CO maxima over the latter occurs
before the burning season. This is in accordance with previous studies suggesting fossil fuels as the main CO source over Sao Paulo and Rio de Janeiro (Alonso et al., 2010), and decreasing BB over South America (Andela et al., 2017; Deeter et al.,
555
2018). The decrease of BB CO emissions is due to the long-term declining deforestation rates, especially over forested areas
(≈54 %) and over savanna and shrublands (≈39 %) (Naus et al., 2022). The importance of the AN emissions is also evident
over Central Africa with non negligible contributions during dry season (10 %) (Fig. 5). 3.3
Control factors of tropical O3 and CO West Africa
Central Africa
East Asia
India
Maritime Continent
South Brazil
AEA
January
6
1
4
3
1.5
1
1.5
April
3
1
11
3.5
1.5
0.5
1
July
2.5
10
3
3
2
1
0.5
October
2.5
3
3
3
6
4
1
Annual
3.5
3.7
5.5
3.1
3
1.5
1 minima are uniform in terms of intensity levels of mixing ratios, close to the CO background leve
and transport over the lifetime of CO. As expected, they occur in the FT, in the absence of the minima are uniform in terms of intensity levels of mixing ratios, close to the CO background levels of 100 ppb, due to mixing
and transport over the lifetime of CO. As expected, they occur in the FT, in the absence of the emissions and where CO is minima are uniform in terms of intensity levels of mixing ratios, close to the CO background levels of 100 ppb, due to mixing
and transport over the lifetime of CO. As expected, they occur in the FT, in the absence of the emissions and where CO is
chemically destroyed. As for the CO maxima, their strong seasonality is related to the seasonality of the surface emissions and
565
the meteorological conditions, which differ over each region. Further discussions on the magnitude and the seasonality of the
CO maxima and minima will follow later. minima are uniform in terms of intensity levels of mixing ratios, close to the CO background levels of 100 ppb, due to mixing
and transport over the lifetime of CO. As expected, they occur in the FT, in the absence of the emissions and where CO is
chemically destroyed. As for the CO maxima, their strong seasonality is related to the seasonality of the surface emissions and
565 chemically destroyed. As for the CO maxima, their strong seasonality is related to the seasonality of the surface emissions and
565
the meteorological conditions, which differ over each region. Further discussions on the magnitude and the seasonality of the
CO maxima and minima will follow later. Because of its complex chemistry, the situation for O3 is more complicated. Africa is the only region where the annual
O3 maximum occurs in the LT (2.5 km) during the dry season (Fig. 9a Sahel, Guinea Gulf, Lagos and Central Africa). 3.3
Control factors of tropical O3 and CO The
co-occurrence of maximum O3 with the maximum in CO over Africa during the local fires indicates stronger dependency of
570
O3 on the surface BB CO emissions for these regions, in agreement with Sauvage et al. (2007b). South China is the only Asian
cluster where the annual O3 maximum is observed in the LT during the active local fires (April), but it is not accompanied
by the annual CO maximum (Fig. 9), suggesting that the ozone maximum has been formed differently. In contrast, over the
other regions, the annual O3 maximum is observed in the FT above 6 km (Fig. 9a). This likely indicates that O3 is formed by Because of its complex chemistry, the situation for O3 is more complicated. Africa is the only region where the annual
O3 maximum occurs in the LT (2.5 km) during the dry season (Fig. 9a Sahel, Guinea Gulf, Lagos and Central Africa). The
co-occurrence of maximum O3 with the maximum in CO over Africa during the local fires indicates stronger dependency of
570
O3 on the surface BB CO emissions for these regions, in agreement with Sauvage et al. (2007b). South China is the only Asian
cluster where the annual O3 maximum is observed in the LT during the active local fires (April), but it is not accompanied
by the annual CO maximum (Fig. 9), suggesting that the ozone maximum has been formed differently. In contrast, over the
other regions, the annual O3 maximum is observed in the FT above 6 km (Fig. 9a). This likely indicates that O3 is formed by photochemical processes, and is associated with larger ozone production efficiency (Sauvage et al., 2007c). In regions such as
575
Arabia (Jeddah and Abu Dhabi), the lack of CO enhancement in the UT indicates dynamical origin of O3 (e.g. stratospheric
influence and transport of O3 and precursors from Asia; see Sec. 3.2.4). In contrast, in regions such SBrazil and Windhoek in
October, the co-occurrence of O3 and CO enhancement in the MT and UT indicates tropospheric origin for O3 (e.g. fires and
LiNOx emissions; Secs. 3.2.1 and 3.2.3). The annual O3 minima for all the tropical clusters are observed close to the surface (below 0.5 km on average) (Fig. 9a). This is related to the chemical and deposition sinks of O3 located in the LT (see Sect. 580
3.2.1 for more details). 3.3
Control factors of tropical O3 and CO Also, the polluted surface layer over
Central Africa is present all year long, with large AN contributions of 40 % and 86 % during the transition seasons, when the fires are suppressed (Fig. 5a). Thus, the impact of the AN emissions is also important in the SH. 560
The CO maxima show strong variations in terms of magnitude and season among the tropical clusters. This is because they
are mostly caused by local emissions with varying intensity and seasonal pattern, depending on the region. In contrast, the CO fires are suppressed (Fig. 5a). Thus, the impact of the AN emissions is also important in the SH. 560
The CO maxima show strong variations in terms of magnitude and season among the tropical clusters. This is because they
are mostly caused by local emissions with varying intensity and seasonal pattern, depending on the region. In contrast, the CO The CO maxima show strong variations in terms of magnitude and season among the tropical clusters. This is because they
are mostly caused by local emissions with varying intensity and seasonal pattern, depending on the region. In contrast, the CO 25 Table 3. Total (AN + BB) CO emission rates (in 10−10 kgm−2 s−1) based on CEDS and GFAS emission inventories over West Africa (10◦
W–12.5◦E; 0–12.5◦N), Central Africa (10–35◦W; 2.5–20◦S), East Asia (92.5–110◦E; 10–27◦N), Maritime Continent (93–121◦E; 10◦
S–10◦N), South Brazil (35–50◦W; 0–20◦S) and Arabia and Eastern Africa (30–60◦E; 5–25◦N). https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Table 3. Total (AN + BB) CO emission rates (in 10−10 kgm−2 s−1) based on CEDS and GFAS emission inventories over West Africa (10◦
W–12.5◦E; 0–12.5◦N), Central Africa (10–35◦W; 2.5–20◦S), East Asia (92.5–110◦E; 10–27◦N), Maritime Continent (93–121◦E; 10◦
S–10◦N), South Brazil (35–50◦W; 0–20◦S) and Arabia and Eastern Africa (30–60◦E; 5–25◦N). 3.3
Control factors of tropical O3 and CO The highest CO and O3 maxima among all the tropical clusters occur over NH Africa in the LT during the dry season
(January) mostly due to local AN emissions. According to IASI (Fig. 3), the CO-rich and O3-rich air masses due to the
African emissions show a large extend along the tropical Equatorial Africa, and accumulate in the LT due to the stability of
the Harmattan winds (Sauvage et al., 2005). Table 3 displays the total (AN and BB) CO emissions rates over several regions of
585
interests based on the sum of CEDS and GFAS emission inventories. Indeed, the O3 and CO maxima co-occur with the highest (below 0.5 km on average) (Fig. 9a). This is related to the chemical and deposition sinks of O3 located in the LT (see Sect. 580
3.2.1 for more details). The highest CO and O3 maxima among all the tropical clusters occur over NH Africa in the LT during the dry season
(January) mostly due to local AN emissions. According to IASI (Fig. 3), the CO-rich and O3-rich air masses due to the
African emissions show a large extend along the tropical Equatorial Africa, and accumulate in the LT due to the stability of the Harmattan winds (Sauvage et al., 2005). Table 3 displays the total (AN and BB) CO emissions rates over several regions of
585
interests based on the sum of CEDS and GFAS emission inventories. Indeed, the O3 and CO maxima co-occur with the highest the Harmattan winds (Sauvage et al., 2005). Table 3 displays the total (AN and BB) CO emissions rates over several regions of
585
interests based on the sum of CEDS and GFAS emission inventories. Indeed, the O3 and CO maxima co-occur with the highest the Harmattan winds (Sauvage et al., 2005). Table 3 displays the total (AN and BB) CO emissions rates over several regions of
585
interests based on the sum of CEDS and GFAS emission inventories. Indeed, the O3 and CO maxima co-occur with the highest 26 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Figure 10. Transport of CO (AN+BB) emissions from the African, South American and Asian source regions towards the 20 tropical sites
taken into account for this study. The colorbar shows the amount of CO transported in ppb. Figure 10. 3.3
Control factors of tropical O3 and CO Transport of CO (AN+BB) emissions from the African, South American and Asian source regions towards the 20 tropical sites
taken into account for this study. The colorbar shows the amount of CO transported in ppb. emissions over Western Africa in January, confirming their strong dependency on the surface emissions. The NOx-limited O3
production regime over Western Africa (Saunois et al., 2009; Zhang et al., 2016) likely explains the O3 maxima when the local
emissions, and thus the NO2 concentration (Jaeglé et al., 2004), intensify in the region. The largest O3 and CO mixing ratio emissions over Western Africa in January, confirming their strong dependency on the surface emissions. The NOx-limited O3
production regime over Western Africa (Saunois et al., 2009; Zhang et al., 2016) likely explains the O3 maxima when the local
emissions, and thus the NO2 concentration (Jaeglé et al., 2004), intensify in the region. The largest O3 and CO mixing ratio over Lagos (Fig. 9) is due to its proximity to the strong Nigerian AN emissions, as confirmed by SOFT-IO (see Sect. 3.2.1). 590
As expected, the impact on CO is higher in the proximity of the emissions, while the CO mixing ratio decreases downwind
(towards Sahel and Gulf of Guinea) (Fig. 9) because of physical processes, such as dilution by mixing and entrainment (Martin
et al., 2017), and CO consumption in O3 build-up in fires (Chatfield et al., 1996). The O3 maxima show smaller variations (of
approximately 10 ppb) among the NH African clusters. In contrast to CO, the O3 enhancement does not strongly depend on the over Lagos (Fig. 9) is due to its proximity to the strong Nigerian AN emissions, as confirmed by SOFT-IO (see Sect. 3.2.1). 590
As expected, the impact on CO is higher in the proximity of the emissions, while the CO mixing ratio decreases downwind
(towards Sahel and Gulf of Guinea) (Fig. 9) because of physical processes, such as dilution by mixing and entrainment (Martin
et al., 2017), and CO consumption in O3 build-up in fires (Chatfield et al., 1996). The O3 maxima show smaller variations (of
approximately 10 ppb) among the NH African clusters. In contrast to CO, the O3 enhancement does not strongly depend on the over Lagos (Fig. 9) is due to its proximity to the strong Nigerian AN emissions, as confirmed by SOFT-IO (see Sect. 3.2.1). 3.3
Control factors of tropical O3 and CO In contrast, Eastern China has had one of the largest decreases in
CO emissions (Hedelius et al., 2021) due to technological changes with improved combustion efficiency and emission control
measures (Zheng et al., 2018a). Using MOPPIT data for the period 2002–2018, Buchholz et al. (2021) found the largest reduction in CO concentrations over China. This reduction is attributed to declines in local CO emissions since 2002, related
615
to replacing residential coal use with electricity and natural gas, and to the implementation of Clean Air Policies (van der A
et al., 2017) around 2010. In India, on the other hand, there are no regulation in the emissions, and this explains the highest CO
mixing ratios among the Asian clusters (Fig. 9). Previous studies have already reported increasing CO emissions over India
from 1996–2015, due to several factors such as increases in residential and agricultural sources (Pandey et al., 2014) and to reduction in CO concentrations over China. This reduction is attributed to declines in local CO emissions since 2002, related
615
to replacing residential coal use with electricity and natural gas, and to the implementation of Clean Air Policies (van der A
et al., 2017) around 2010. In India, on the other hand, there are no regulation in the emissions, and this explains the highest CO
mixing ratios among the Asian clusters (Fig. 9). Previous studies have already reported increasing CO emissions over India
from 1996–2015, due to several factors such as increases in residential and agricultural sources (Pandey et al., 2014) and to
power production and transport activities (Sadavarte and Venkataraman 2014)
620 power production and transport activities (Sadavarte and Venkataraman, 2014). 620
As in NH Africa, the CO-rich air masses accumulated in the LT over the Asian clusters in January result in a secondary
LT O3 maximum. However, these maxima are significantly lower (40–60 ppb) (Sect. 3.2.2) than the NH African ones (65–75
ppb) (Fig. 9a; Sect. 3.2.1), even for clusters with similar LT CO mixing ratios (e.g. Sahel and South China) (Fig. 9a). This is
because: i) the CO emissions are less strong over the Asian clusters, as mentioned before, and ii) the O3 enhancement over Asia is caused by AN-polluted air, while in NH Africa by mixed (AN and BB) polluted air. During the Atom campaign, Bourgeois
625
et al. 3.3
Control factors of tropical O3 and CO 590
As expected, the impact on CO is higher in the proximity of the emissions, while the CO mixing ratio decreases downwind
(towards Sahel and Gulf of Guinea) (Fig. 9) because of physical processes, such as dilution by mixing and entrainment (Martin
et al., 2017), and CO consumption in O3 build-up in fires (Chatfield et al., 1996). The O3 maxima show smaller variations (of
approximately 10 ppb) among the NH African clusters. In contrast to CO, the O3 enhancement does not strongly depend on the 590 proximity to emissions, as it is produced during the transport and chemical ageing of air masses rich in precursors (Sauvage
595
et al., 2007b). The second highest CO and O3 maxima over the tropical regions are observed over Asia (Fig. 9). As in NH Africa, the CO
maximum occurs in January, when the stability of the trade wind results in accumulation of CO-rich air masses in the LT. The
surface-layer CO maximum is attributed to local AN emissions over Indian and South China clusters (85–95 %). In the rest
of the Asian cluster, there are non-negligible contributions from regional AN sources of the Asian cluster in addition to the
600
dominant local ones. According to Table 3, the CO emissions over East Asia and India are lower than the ones over Western proximity to emissions, as it is produced during the transport and chemical ageing of air masses rich in precursors (Sauvage
595
et al., 2007b). The second highest CO and O3 maxima over the tropical regions are observed over Asia (Fig. 9). As in NH Africa, the CO
maximum occurs in January, when the stability of the trade wind results in accumulation of CO-rich air masses in the LT. The
surface-layer CO maximum is attributed to local AN emissions over Indian and South China clusters (85–95 %). In the rest of the Asian cluster, there are non-negligible contributions from regional AN sources of the Asian cluster in addition to the
600
dominant local ones. According to Table 3, the CO emissions over East Asia and India are lower than the ones over Western 27 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Africa in January. This explains the lower CO mixing ratio over Asia than over Lagos. SOFT-IO seems to represent better the
Asian contributions relative to the Africa ones. As mentioned in Sect. 3.3
Control factors of tropical O3 and CO 3.2.1, the AN emissions over NH and SH Africa are
likely underestimated by the SOFT-IO computations (Fig. 4 panels 3b and 4b). This is confirmed by that fact that CO mixing
ratio is higher over Africa than over Asia, in contrast to the CO contributions estimated by SOFT-IO. Thus, the impact of the
605
African AN emissions is likely underestimated. Africa in January. This explains the lower CO mixing ratio over Asia than over Lagos. SOFT-IO seems to represent better the
Asian contributions relative to the Africa ones. As mentioned in Sect. 3.2.1, the AN emissions over NH and SH Africa are
likely underestimated by the SOFT-IO computations (Fig. 4 panels 3b and 4b). This is confirmed by that fact that CO mixing
ratio is higher over Africa than over Asia, in contrast to the CO contributions estimated by SOFT-IO. Thus, the impact of the
605
African AN emissions is likely underestimated. Previous studies have already found concentrations of pollutants in West Africa (e.g. Lagos, Abidjan, Cotonou) comparable
to those observed over Asian megacities (Assamoi and Liousse, 2010; Adon et al., 2016; Sauvage et al., 2007b). Indeed, the
rapid growth over African megacities is responsible for increasing emissions from diffuse and inefficient combustion sources Previous studies have already found concentrations of pollutants in West Africa (e.g. Lagos, Abidjan, Cotonou) comparable
to those observed over Asian megacities (Assamoi and Liousse, 2010; Adon et al., 2016; Sauvage et al., 2007b). Indeed, the
rapid growth over African megacities is responsible for increasing emissions from diffuse and inefficient combustion sources (Marais and Wiedinmyer, 2016). This increase is mostly attributed to the growing residential source mainly for cooking and
610
heating (Zheng et al., 2019), but also to traffic emissions (related to large number of two-stroke vehicles, poor fuel quality and
poorly-maintained engines) (Assamoi and Liousse, 2010). In contrast, Eastern China has had one of the largest decreases in
CO emissions (Hedelius et al., 2021) due to technological changes with improved combustion efficiency and emission control
measures (Zheng et al., 2018a). Using MOPPIT data for the period 2002–2018, Buchholz et al. (2021) found the largest (Marais and Wiedinmyer, 2016). This increase is mostly attributed to the growing residential source mainly for cooking and
610
heating (Zheng et al., 2019), but also to traffic emissions (related to large number of two-stroke vehicles, poor fuel quality and
poorly-maintained engines) (Assamoi and Liousse, 2010). 3.3
Control factors of tropical O3 and CO Because of
this circulation pattern in July, the oceanic influence brings clean air masses over the Asian clusters resulting in an annual
CO minimum during the Asian summer monsoon (Fig. 9). The CO-rich air masses for the surface are uplifted in the upper the seasonality of the emissions. The LT CO is rather linked with seasonal changes in the meteorological circulation. Similarly
645
to East Asia, during January the air masses are transported southward due to the north easterlies, while the reversal of the
winds to southwesterlies in July results in northward transport (Figs. 3 and S3) (Lawrence and Lelieveld, 2010). Because of
this circulation pattern in July, the oceanic influence brings clean air masses over the Asian clusters resulting in an annual
CO minimum during the Asian summer monsoon (Fig. 9). The CO-rich air masses for the surface are uplifted in the upper troposphere due to deep convection over the area (Sect. 3.2.2). 650
As for CO, O3 seasonality is also linked with the seasonality of the meteorological conditions and dynamics over Asia. The
O3 maximum in April is attributed to the intense solar radiation associated with important amount of precursors from mostly
AN emissions, except for South China where BB emissions dominate. The O3 minimum occurs during the asian summer
monsoon (July), because of lower O3 production in the presence of convective clouds relative to clear sky conditions (Sect. troposphere due to deep convection over the area (Sect. 3.2.2). 650
As for CO, O3 seasonality is also linked with the seasonality of the meteorological conditions and dynamics over Asia. The
O3 maximum in April is attributed to the intense solar radiation associated with important amount of precursors from mostly
AN emissions, except for South China where BB emissions dominate. The O3 minimum occurs during the asian summer
monsoon (July), because of lower O3 production in the presence of convective clouds relative to clear sky conditions (Sect. 3.2.2). 655
Despite the CO emissions reductions over South China, the O3 levels remain relatively high (Fig. 9a). This is because the O3
production regime over South China is VOCs-limited (Li et al., 2013), and the total NMVOCs emissions increased in China by
a factor of 3.5 (1997–2017) because of activity increases in the solvent, energy, and industry sectors (Zheng et al., 2018a). As
discussed in Wang et al. 3.3
Control factors of tropical O3 and CO (2017), despite the successful controls of NOx emissions from coal fired power plants since 2010 over 3.2.2). 655
Despite the CO emissions reductions over South China, the O3 levels remain relatively high (Fig. 9a). This is because the O3
production regime over South China is VOCs-limited (Li et al., 2013), and the total NMVOCs emissions increased in China by
a factor of 3.5 (1997–2017) because of activity increases in the solvent, energy, and industry sectors (Zheng et al., 2018a). As
discussed in Wang et al. (2017), despite the successful controls of NOx emissions from coal fired power plants since 2010 over Eastern China, it is recommended to apply controls over VOCs emissions as they control the local O3 distribution. In contrast,
660
over India the O3 production regime is NOx-limited (Kumar et al., 2012), as the local emissions are mostly associated with
incomplete combustion proccesses by biofuel burning, and thus higher NMHC to NOx emission ratio as compared to other
regions of the Northern Hemisphere (Lawrence and Lelieveld, 2010). Concerning Central Africa, the O3 and CO maximum in the LT during the dry season, indicates the strong dependence of the Eastern China, it is recommended to apply controls over VOCs emissions as they control the local O3 distribution. In contrast,
660
over India the O3 production regime is NOx-limited (Kumar et al., 2012), as the local emissions are mostly associated with
incomplete combustion proccesses by biofuel burning, and thus higher NMHC to NOx emission ratio as compared to other
regions of the Northern Hemisphere (Lawrence and Lelieveld, 2010). Concerning Central Africa, the O3 and CO maximum in the LT during the dry season, indicates the strong dependence of the CO and O3 distribution on the surface emissions, as over NH Africa. The CO magnitude over Central Africa is similar to the
665
one over Sahel and Guinea Gulf during the respective dry season, even though the emissions rates are higher over the former
(Table 3). This is because higher amount of CO impacted by the SH African fires is transported towards the NH Africa due to
the trade winds, relative to the respective southward transport during the NH dry season (Fig. 10). In addition, the O3 mixing
ratio is slightly higher over Central Africa (85 ppb) likely indicating rapid photochemical O3 production by BB precursors CO and O3 distribution on the surface emissions, as over NH Africa. 3.3
Control factors of tropical O3 and CO (2021) found that O3 levels are more enhanced in mixed air pollution, because they are associated with greater NOx and
peroxy acyl nitrates (a NOx reservoir compound), and thus increased O3 production, in comparison to BB- or AN-polluted air
alone. This is in agreement with the O3 annual maximum in April over East Asia (Fig. 9a), over clusters such as South China
and Bangkok, which are affected by the local fires. Unlike Africa, the highest emission rates over East Asia and India are observed in April (Table 3). In the absence of the
630
stability of the north easterlies, the air masses are not confined close to the surface like in January, and thus the secondary
CO maxima above the surface is also captured by IASI (Fig. 3f). Over East Asia, the contribution of the local fires is also
present in addition to the local AN emissions. The impact of the fires dominates in clusters such as South China and Bangkok,
and is evident over Manila and Ho Chi Minh City (see Sect. 3.2.2). Interestingly, the NH African fires in January correspond Unlike Africa, the highest emission rates over East Asia and India are observed in April (Table 3). In the absence of the
630
stability of the north easterlies, the air masses are not confined close to the surface like in January, and thus the secondary
CO maxima above the surface is also captured by IASI (Fig. 3f). Over East Asia, the contribution of the local fires is also
present in addition to the local AN emissions. The impact of the fires dominates in clusters such as South China and Bangkok,
and is evident over Manila and Ho Chi Minh City (see Sect. 3.2.2). Interestingly, the NH African fires in January correspond 630 to 72 % of the global burned area, whereas the NH Asian fires only to the 2.5 % (Van der Werf et al., 2010). However,
635
both regions contribute significantly to the global CO concentrations (44 % for Africa and 22 % for Asia) because of more to 72 % of the global burned area, whereas the NH Asian fires only to the 2.5 % (Van der Werf et al., 2010). However,
635
both regions contribute significantly to the global CO concentrations (44 % for Africa and 22 % for Asia) because of more 28 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. 3.3
Control factors of tropical O3 and CO CC BY 4.0 License. complete oxidation, and thus reduced CO production, over grass fires (Africa savannas), relative to fires in forests and peatlands
(deforestation and peatland fires over Asia) (Van der Werf et al., 2010). The large extend of the impact of the NH Asian fires
is displayed in IASI map, with an outflow towards SE Asian coast and the Pacific (Fig. 3f). The stronger winds in April than
in January, which does not favour the accumulation of the pollution, and the eastwards transport pathway (Fig. 10 panel 1 a–b)
40
leads to lower CO mixing ratio in April than January, despite the higher emission rates (Table 3). complete oxidation, and thus reduced CO production, over grass fires (Africa savannas), relative to fires in forests and peatlands
(deforestation and peatland fires over Asia) (Van der Werf et al., 2010). The large extend of the impact of the NH Asian fires
is displayed in IASI map, with an outflow towards SE Asian coast and the Pacific (Fig. 3f). The stronger winds in April than
in January, which does not favour the accumulation of the pollution, and the eastwards transport pathway (Fig. 10 panel 1 a–b)
640
leads to lower CO mixing ratio in April than January, despite the higher emission rates (Table 3). Concerning India, local AN emissions are responsible for the CO enhancement in April, with negligible BB contribution
(Figs. 6 panel 3a and A1 panels 3a and 4a). The CO emissions rates over India are high during the whole year, showing weak
seasonal variability (Table 3). The LT CO distribution over India shows strong seasonal variability which is not explained by 640 Concerning India, local AN emissions are responsible for the CO enhancement in April, with negligible BB contribution
(Figs. 6 panel 3a and A1 panels 3a and 4a). The CO emissions rates over India are high during the whole year, showing weak
seasonal variability (Table 3). The LT CO distribution over India shows strong seasonal variability which is not explained by the seasonality of the emissions. The LT CO is rather linked with seasonal changes in the meteorological circulation. Similarly
645
to East Asia, during January the air masses are transported southward due to the north easterlies, while the reversal of the
winds to southwesterlies in July results in northward transport (Figs. 3 and S3) (Lawrence and Lelieveld, 2010). 3.3
Control factors of tropical O3 and CO The CO magnitude over Central Africa is similar to the
665
one over Sahel and Guinea Gulf during the respective dry season, even though the emissions rates are higher over the former
(Table 3). This is because higher amount of CO impacted by the SH African fires is transported towards the NH Africa due to
the trade winds, relative to the respective southward transport during the NH dry season (Fig. 10). In addition, the O3 mixing
ratio is slightly higher over Central Africa (85 ppb) likely indicating rapid photochemical O3 production by BB precursors (Singh et al., 1996) during the SH fires. Concerning Windhoek, the O3 maximum in the FT (85 ppb at 10 km) (Fig. 9) indicates
670 29 that O3 production is controlled by LiNOx emissions at higher altitude (Sauvage et al., 2007b) during the peak of the lightning
activity over South Africa (Fig. not shown). https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. that O3 production is controlled by LiNOx emissions at higher altitude (Sauvage et al., 2007b) during the peak of the lightning
activity over South Africa (Fig. not shown). The smallest LT CO maximum over the NH are observed over Arabia and East Africa clusters
because of the smallest emissions rates among the tropics (Table 3). The CO emissions over Mid The smallest LT CO maximum over the NH are observed over Arabia and East Africa clusters and South America (Fig. 9)
because of the smallest emissions rates among the tropics (Table 3). The CO emissions over Middle East are mainly related
to electricity generation, water desalination, and industry supplied by oil and gas deposits with cheap but relatively clean fuels
675
(Krotkov et al., 2016). In addition, because of its location between the two highest emittors (Asia and Africa), transport plays
a significant role in CO enhancements over AEA, especially in the MT and UT where long range transport of emissions is
favoured (Figs. 10 panels 1 b–c; 2 a–c and 2b–c). This transport from Asia and Africa over AEA clusters determines the O3
maxima over the AEA clusters (Sect. 3.2.4). 3.3
Control factors of tropical O3 and CO CO sources located over Africa show the maximum influence on the regional tropical CO. The highest impact of the African emissions is found at an inter-hemispheric scale, where CO from the dry-season African regions is transported
685
towards the wet-season African (Fig. 10 panels 1 and 2). As a result, CO contributions of 45–50 ppb (resp. over 50 ppb) from
NHAF (resp. SHAF) is found over SHAF (resp. NHAF) during the respective dry season in the LT and MT. This transport of
precursors results in a secondary O3 maximum, as can be seen by IASI maps (Fig. 3e and g). Impact of the SHAF BB in July is also found in the LT over India with contributions of 5–10 ppb (Fig. 10 panel 2a). of the African emissions is found at an inter-hemispheric scale, where CO from the dry-season African regions is transported
685
towards the wet-season African (Fig. 10 panels 1 and 2). As a result, CO contributions of 45–50 ppb (resp. over 50 ppb) from
NHAF (resp. SHAF) is found over SHAF (resp. NHAF) during the respective dry season in the LT and MT. This transport of
precursors results in a secondary O3 maximum, as can be seen by IASI maps (Fig. 3e and g). Impact of the SHAF BB in July is also found in the LT over India with contributions of 5–10 ppb (Fig. 10 panel 2a). p
y
pp
(
g
p
)
Similarly, NHAF AN and BB contributions in January are found over South America (5–10 ppb in the MT) and India (5–10
690
ppb in the MT and UT) (Fig. 10 panel 1a). The impact of the NHAF emissions towards South America (10–15 ppb in MT;
5–10 ppb in the rest) is increased in April (Fig. not shown) and significantly contributes to the local South American annual
maximum (30 % and 50 % of CO anomalies over Caracas (LT and MT resp.) (Fig. 5a–b). During the transport of the SHAF (resp NHAF) emissions towards the ITCZ location in the North (resp South) Africa the Similarly, NHAF AN and BB contributions in January are found over South America (5–10 ppb in the MT) and India (5–10
690
ppb in the MT and UT) (Fig. 10 panel 1a). The impact of the NHAF emissions towards South America (10–15 ppb in MT;
5–10 ppb in the rest) is increased in April (Fig. 3.3
Control factors of tropical O3 and CO not shown) and significantly contributes to the local South American annual
maximum (30 % and 50 % of CO anomalies over Caracas (LT and MT resp.) (Fig. 5a–b). During the transport of the SHAF (resp. NHAF) emissions towards the ITCZ location in the North (resp. South) Africa, the During the transport of the SHAF (resp. NHAF) emissions towards the ITCZ location in the North (resp. South) Africa, the
air masses reach convective regions and are injected in the North African (resp. South African) upper troposphere (Fig. 11). 695
This explains why the SHAF (resp. NHAF) emissions are dominant in the wet-season hemisphere during July (resp. January)
(Figs. 11 and resp. A6 and A4). Nevertheless, the NHAF contribution in the UT CO anomalies is present on a local scale all
year long, above NH Africa and South Atlantic. During the dry season, the impact of the NHAF emissions is stronger and
extends to a wider area over South America, Middle East, South Asia (Figs. A4 NHAF). air masses reach convective regions and are injected in the North African (resp. South African) upper troposphere (Fig. 11). 695
This explains why the SHAF (resp. NHAF) emissions are dominant in the wet-season hemisphere during July (resp. January)
(Figs. 11 and resp. A6 and A4). Nevertheless, the NHAF contribution in the UT CO anomalies is present on a local scale all
year long, above NH Africa and South Atlantic. During the dry season, the impact of the NHAF emissions is stronger and
extends to a wider area over South America, Middle East, South Asia (Figs. A4 NHAF). The impact of CO emissions from South America is extended over South Africa during October. This is because of the
700
anticyclone over Central South America which traps the CO emitted locally, and transports it towards the east by westerlies
(see Sect. 3.2.3). The highest transport in terms of CO amount from NHSA and SHSA occurs in the MT (10–15 ppb each). IASI
maps show an O3 and CO enhancement over the tropical South Atlantic (Figs. 3 d and h, 3l and p). Thus, the South American
emissions mostly coming from BB (Figs. 11, A7 SHSA and NHSA) contributes to the wave-one pattern. Nevertheless, the The impact of CO emissions from South America is extended over South Africa during October. 3.3
Control factors of tropical O3 and CO Similarly, over NH South America, the local AN contributions are much smaller
th
th
ti
l
l A i
f Af i
i di
ti
l
ll ti
l
l
S
th A
i
th
A i
d Af i
680 to electricity generation, water desalination, and industry supplied by oil and gas deposits with cheap but relatively clean fuels
675
(Krotkov et al., 2016). In addition, because of its location between the two highest emittors (Asia and Africa), transport plays
a significant role in CO enhancements over AEA, especially in the MT and UT where long range transport of emissions is
favoured (Figs. 10 panels 1 b–c; 2 a–c and 2b–c). This transport from Asia and Africa over AEA clusters determines the O3
maxima over the AEA clusters (Sect. 3.2.4). Similarly, over NH South America, the local AN contributions are much smaller 675 than the respective local Asian of African ones, indicating lower pollution levels over South America than Asia and Africa. 680
The O3 maximum is controlled by LiNOx emissions at higher altitudes. From the previous analysis, all the tropical clusters and the associated CO source regions exhibit primarily local influence, in
the proximity of the region where they are emitted. However, CO transport plays also an important role in the CO distribution
over the tropics. CO sources located over Africa show the maximum influence on the regional tropical CO. The highest impact than the respective local Asian of African ones, indicating lower pollution levels over South America than Asia and Africa. 680
The O3 maximum is controlled by LiNOx emissions at higher altitudes. From the previous analysis, all the tropical clusters and the associated CO source regions exhibit primarily local influence, in
the proximity of the region where they are emitted. However, CO transport plays also an important role in the CO distribution
over the tropics. CO sources located over Africa show the maximum influence on the regional tropical CO. The highest impact than the respective local Asian of African ones, indicating lower pollution levels over South America than Asia and Africa. 680
The O3 maximum is controlled by LiNOx emissions at higher altitudes. From the previous analysis, all the tropical clusters and the associated CO source regions exhibit primarily local influence, in
the proximity of the region where they are emitted. However, CO transport plays also an important role in the CO distribution
over the tropics. 3.3
Control factors of tropical O3 and CO 3c and g) are convectively
uplifted in the UT (Figs. 11c and A6), and trapped in the AMA circulation (see Sect. 3.2.2). The impact of the Asian emissions
on the UT CO anomalies is extended over Arabia (25–30 ppb) and Eastern Africa (25–30 ppb) (Figs. 11c; 10 panel 3c and A6
SEAS and CEAS). Interestingly, subsidence of air masses from AMA above Arabia are responsible for an O3 maximum above surface (Fig. S3). 710
During the Asian summer monsoon, the CO-rich (and O3-poor) air masses from the PBL (Fig. 3c and g) are convectively
uplifted in the UT (Figs. 11c and A6), and trapped in the AMA circulation (see Sect. 3.2.2). The impact of the Asian emissions
on the UT CO anomalies is extended over Arabia (25–30 ppb) and Eastern Africa (25–30 ppb) (Figs. 11c; 10 panel 3c and A6
SEAS and CEAS). Interestingly, subsidence of air masses from AMA above Arabia are responsible for an O3 maximum above AEA (Fig. 9a) (Sect. 3.2.4). During the post monsoon season (October), sporadic convection uplifts CO emitted by EQAS fires
715
(Figs. 11g, A7 EQAS) (see Sect. 3.2.2). At the same time, convection over continental Asia uplifts SEAS AN emissions (Figs. 11d and A7 SEAS) in the UT. As a result, CO from the Asian emissions impacts CO anomalies in the UT over Eastern Africa
with EQAS contribution of 15–20 ppb, and SEAS contribution of 5–10 ppb (Fig. not shown). AEA (Fig. 9a) (Sect. 3.2.4). During the post monsoon season (October), sporadic convection uplifts CO emitted by EQAS fires
715
(Figs. 11g, A7 EQAS) (see Sect. 3.2.2). At the same time, convection over continental Asia uplifts SEAS AN emissions (Figs. 11d and A7 SEAS) in the UT. As a result, CO from the Asian emissions impacts CO anomalies in the UT over Eastern Africa
with EQAS contribution of 15–20 ppb, and SEAS contribution of 5–10 ppb (Fig. not shown). 3.3
Control factors of tropical O3 and CO This is because of the
700
anticyclone over Central South America which traps the CO emitted locally, and transports it towards the east by westerlies
(see Sect. 3.2.3). The highest transport in terms of CO amount from NHSA and SHSA occurs in the MT (10–15 ppb each). IASI
maps show an O3 and CO enhancement over the tropical South Atlantic (Figs. 3 d and h, 3l and p). Thus, the South American
emissions mostly coming from BB (Figs. 11, A7 SHSA and NHSA) contributes to the wave-one pattern. Nevertheless, the 30 Figure 11. Mean AN (a–d) and BB (e–h) contributions in ppb over the tropical upper troposphere (300–185 hPa) from 2002–2019. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Figure 11. Mean AN (a–d) and BB (e–h) contributions in ppb over the tropical upper troposphere (300–185 hPa) from 2002–2019. most important source of O3 over the tropical South Atlantic is LiNOx emissions from South America and South Africa, as
705
highlighted by previous studies (Sauvage et al., 2007b, c). The contribution of Asian emissions in the tropical LT is limited to a regional or local scale, as they are mostly impact
neighbour Asian regions (Fig. 10a)(see Sect. 3.2.2 for more details). CO export from Asia is favoured during the Asian summer
monsoon and post monsoon (July and October) in the UT, where the transport is favoured due to stronger winds relative to the most important source of O3 over the tropical South Atlantic is LiNOx emissions from South America and South Africa, as
05
highlighted by previous studies (Sauvage et al., 2007b, c). The contribution of Asian emissions in the tropical LT is limited to a regional or local scale, as they are mostly impact
neighbour Asian regions (Fig. 10a)(see Sect. 3.2.2 for more details). CO export from Asia is favoured during the Asian summer
monsoon and post monsoon (July and October) in the UT, where the transport is favoured due to stronger winds relative to the most important source of O3 over the tropical South Atlantic is LiNOx emissions from South America and South Africa, as
05
highlighted by previous studies (Sauvage et al., 2007b, c). surface (Fig. S3). 710
During the Asian summer monsoon, the CO-rich (and O3-poor) air masses from the PBL (Fig. 4
Summary and conclusions IAGOS O3 and CO observations since 1994 and 2002 respectively, were used in order to analyse vertical profiles over 20
720
tropical sites, along with the (lower part) of the upper tropical troposphere. IAGOS data combined with global 2D distributions
based on IASI-SOFRID O3 and CO retrievals since 2008, were used in order to study the characteristics and seasonal variability
of the tropical tropospheric O3 and CO distributions. IAGOS O3 and CO observations since 1994 and 2002 respectively, were used in order to analyse vertical profiles over 20
720
tropical sites, along with the (lower part) of the upper tropical troposphere. IAGOS data combined with global 2D distributions
based on IASI-SOFRID O3 and CO retrievals since 2008, were used in order to study the characteristics and seasonal variability
of the tropical tropospheric O3 and CO distributions. 31 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. In the LT, the CO anomalies over the tropics are caused by a combination of AN and BB emissions. In the majority of the
clusters, local AN contributions are dominant all year long. The BB contribution increases or dominates over some clusters,
725
when the regional or local fires are active. Local AN emissions have greatest impact over Asia where they account for more
than 80 % of the CO. The BB impact increases over South China (35 % in April), and dominates over the Gulf of Thailand (90
% in October) during the local fires (SEAS and EQAS resp.). Over NH Africa, local AN contributions are in the range of 60–
85 % all year, except July. During the SH dry season, CO impacted by the SHAF fires is transported northwards contributingii significantly to LT CO anomalies over NH Africa (53–66 % over Lagos and Guinea Gulf). Similar impact of the SHAF fires
730
is found over Khartoum in July. In contrast, the rest of the Arabian and Eastern Africa clusters are impacted by local AN
emissions all year long (70–95 %). Over South America, stronger AN contribution are found over the SH (81–94 % over
SBrazil) than in the NH (75–80 % Caracas and Bogota), while the contributions from the local fires are similar (51 % over
Caracas in April and 53 % over SBrazil in October). 4
Summary and conclusions In addition to the African BB, AN SEAS and BB SHSA
contributions are found in the MT and UT. Over Asia, BB from SEAS in April, exceeds the AN contribution over the SE Asian
coast (South China, Manila, Ho Chi Minh City) in the MT. In contrast, the EQAS BB effect is stronger in the UT, extending
745 In the MT and UT, the BB contributions are increased compared to the LT, and their effect dominates over more clusters. 740
Also, the contribution of the transport is more important than in the LT, where mostly local emissions dominate. Over NH
Africa, the BB dominates twice a year, during the NH and SH dry seasons, because of local and SHAF fires respectively. In
SH Africa, as in the LT, BB dominates all year long except April. In addition to the African BB, AN SEAS and BB SHSA
contributions are found in the MT and UT. Over Asia, BB from SEAS in April, exceeds the AN contribution over the SE Asian In the MT and UT, the BB contributions are increased compared to the LT, and their effect dominates over more clusters. 740
Also, the contribution of the transport is more important than in the LT, where mostly local emissions dominate. Over NH
Africa, the BB dominates twice a year, during the NH and SH dry seasons, because of local and SHAF fires respectively. In
SH Africa, as in the LT, BB dominates all year long except April. In addition to the African BB, AN SEAS and BB SHSA
contributions are found in the MT and UT. Over Asia, BB from SEAS in April, exceeds the AN contribution over the SE Asian coast (South China, Manila, Ho Chi Minh City) in the MT. In contrast, the EQAS BB effect is stronger in the UT, extending
745
over SE Asian coast (China, Ho Chi Minh City, Manila) and India (Madras), but also Eastern Africa (Addis Ababa). Over Africa, the O3 and CO maxima are observed in the low troposphere during the respective dry season. The role of the
local AN emissions are more important than previously noted (Reeves et al., 2010; Mari et al., 2008; Sauvage et al., 2005) as:
i) local AN emissions define the O3 and CO anomalies over NH Africa, and ii) the persistent CO-rich surface layer is caused coast (South China, Manila, Ho Chi Minh City) in the MT. 4
Summary and conclusions The highest BB impact is found over SH Africa during the NH and SH dry significantly to LT CO anomalies over NH Africa (53–66 % over Lagos and Guinea Gulf). Similar impact of the SHAF fires
730
is found over Khartoum in July. In contrast, the rest of the Arabian and Eastern Africa clusters are impacted by local AN
emissions all year long (70–95 %). Over South America, stronger AN contribution are found over the SH (81–94 % over
SBrazil) than in the NH (75–80 % Caracas and Bogota), while the contributions from the local fires are similar (51 % over
Caracas in April and 53 % over SBrazil in October). The highest BB impact is found over SH Africa during the NH and SH dry season with contributions of 60 and 90 % respectively. As expected, the local BB dominate the LT CO anomalies during the
735
local fires, however there is important transport from the NHAF. Despite the fact that BB dominates over SH Africa during the
dry seasons, the AN emissions are important during the transition periods (46 and 80 %). Our results highlight the importance
of the AN emissions over the tropics, even in the SH. This is in accordance with the global decreasing trends of BB (Andela
et al., 2017) and the increasing AN emissions (Granier et al., 2011). season with contributions of 60 and 90 % respectively. As expected, the local BB dominate the LT CO anomalies during the
735
local fires, however there is important transport from the NHAF. Despite the fact that BB dominates over SH Africa during the
dry seasons, the AN emissions are important during the transition periods (46 and 80 %). Our results highlight the importance
of the AN emissions over the tropics, even in the SH. This is in accordance with the global decreasing trends of BB (Andela
et al., 2017) and the increasing AN emissions (Granier et al., 2011). In the MT and UT, the BB contributions are increased compared to the LT, and their effect dominates over more clusters. 740
Also, the contribution of the transport is more important than in the LT, where mostly local emissions dominate. Over NH
Africa, the BB dominates twice a year, during the NH and SH dry seasons, because of local and SHAF fires respectively. In
SH Africa, as in the LT, BB dominates all year long except April. 4
Summary and conclusions In contrast, the EQAS BB effect is stronger in the UT, extending
745
over SE Asian coast (China, Ho Chi Minh City, Manila) and India (Madras), but also Eastern Africa (Addis Ababa). Over Africa, the O3 and CO maxima are observed in the low troposphere during the respective dry season. The role of the
local AN emissions are more important than previously noted (Reeves et al., 2010; Mari et al., 2008; Sauvage et al., 2005) as:
i) local AN emissions define the O3 and CO anomalies over NH Africa, and ii) the persistent CO-rich surface layer is caused by local AN emissions (40 and 86 %) in the absence of the local fires. Africa is also the most important tropical region in
750
terms of export of emissions in the tropical troposphere. According to IASI horizontal distributions, the main export pathway
is the inter-hemispheric transport of O3 and precursors from the dry-season African regions to the wet-season ones (≈50 ppb),
confirmed by SOFT-IO contributions. During the dry season, the NHAF (resp. SHAF) fires are the dominant source of CO
over AEA (resp. Khartoum and Jeddah) in the MT and UT, and they also reach India accounting for 5–10 ppb in the MT and UT. Transport of mostly BB emissions from NHAF and SHAF occurs all year round towards northern South America in all
755
tropospheric layers. The highest NHAF regional impact is found over Caracas in the MT and UT (30 % on average). In contrast,
the impact of Asian emissions, is mostly limited on a regional or local scale, especially in the LT and MT. The transport of the
Asian emissions is important only during the Asian summer monsoon in the UT towards Arabia and NH Africa. UT. Transport of mostly BB emissions from NHAF and SHAF occurs all year round towards northern South America in all
755
tropospheric layers. The highest NHAF regional impact is found over Caracas in the MT and UT (30 % on average). In contrast,
the impact of Asian emissions, is mostly limited on a regional or local scale, especially in the LT and MT. The transport of the
Asian emissions is important only during the Asian summer monsoon in the UT towards Arabia and NH Africa. 32 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. 4
Summary and conclusions The
BB contribution is important during April and significantly contributes to O3 and CO anomalies over South China. According to IASI, the BB impact extends over the tropical Pacific. The impact of the AN Asian emissions is important only in the UT
770
during the Asian monsoon and post monsoon season (July and October). According to IASI, the polluted air masses from
the surface are uplifted in the UT in July and are trapped in the AMA. These air masses are transported over Arabia and
Northern Africa (CO contributions of 25–30 ppb) causing the annual O3 maxima due to subsidence and high isolation over
the regions. This highlights the importance of long range transport for the air quality in the UT over Arabia, which shows the to IASI, the BB impact extends over the tropical Pacific. The impact of the AN Asian emissions is important only in the UT
770
during the Asian monsoon and post monsoon season (July and October). According to IASI, the polluted air masses from
the surface are uplifted in the UT in July and are trapped in the AMA. These air masses are transported over Arabia and
Northern Africa (CO contributions of 25–30 ppb) causing the annual O3 maxima due to subsidence and high isolation over
the regions. This highlights the importance of long range transport for the air quality in the UT over Arabia, which shows the lowest CO local contribution and the highest O3 levels among the tropical clusters. The CO transport towards Eastern Africa
775
in the UT by the Tropical Easterly Jet, is found in October when the air masses impacted by the Indonesian fires, and the AN
continental source are uplifted in the UT, and transported towards Eastern Africa (CO contributions of 15–20 ppb and 5–10
ppb respectively). Last over South America the local CO contributions at the surface level are as low as over Arabia and Eastern Asia During lowest CO local contribution and the highest O3 levels among the tropical clusters. The CO transport towards Eastern Africa
775
in the UT by the Tropical Easterly Jet, is found in October when the air masses impacted by the Indonesian fires, and the AN
continental source are uplifted in the UT, and transported towards Eastern Africa (CO contributions of 15–20 ppb and 5–10
ppb respectively). 4
Summary and conclusions The highest abundances of the O3 (75 ppb) and CO mixing ratio (800 ppb) among the tropical clusters are found over
Northern Hemisphere Africa at about 2.5 km altitude. This is largely a result of the local AN emissions as suggested by the
760
co-occurrence of the peaks of O3 and CO in the LT. In contrast over Asia, the second most polluted region, the distributions
are mostly controlled by meteorological conditions associated with the Asian monsoon phase. The CO maximum occurs in the
LT during January, due to the stability of the northeasterlies which confine the CO-rich air masses to the LT. In contrast, annual
maximum of O3 occurs during the pre monsoon season (April) when the increased solar radiation favours O3 production. During the Asian summer monsoon, O3 and CO mixing ratio minimize in the low troposphere because of : i) transport of clean
765
oceanic air above continental Asia, ii) reduced photochemical O3 production due to cloudy conditions, and iii) convective uplift
of CO-rich air masses from the surface towards the Asian upper troposphere. Over Asia, the LT and MT CO and O3 anomalies are mostly impacted by regional or local Asian emissions of AN origin. The
BB contribution is important during April and significantly contributes to O3 and CO anomalies over South China. According During the Asian summer monsoon, O3 and CO mixing ratio minimize in the low troposphere because of : i) transport of clean
765
oceanic air above continental Asia, ii) reduced photochemical O3 production due to cloudy conditions, and iii) convective uplift
of CO-rich air masses from the surface towards the Asian upper troposphere. Over Asia, the LT and MT CO and O3 anomalies are mostly impacted by regional or local Asian emissions of AN origin. The
BB contribution is important during April and significantly contributes to O3 and CO anomalies over South China. According During the Asian summer monsoon, O3 and CO mixing ratio minimize in the low troposphere because of : i) transport of clean
765
oceanic air above continental Asia, ii) reduced photochemical O3 production due to cloudy conditions, and iii) convective uplift
of CO-rich air masses from the surface towards the Asian upper troposphere. Over Asia, the LT and MT CO and O3 anomalies are mostly impacted by regional or local Asian emissions of AN origin. 4
Summary and conclusions Last, over South America the local CO contributions at the surface level are as low as over Arabia and Eastern Asia. During ast, ove Sout
e ca t e oca CO co t but o s at t e su ace eve a e as ow as ove
ab a a d
aste
s a. u
g
the dry season (October), when the convection moves over the South American fires, CO and precursors are trapped in an
780
anticyclonic circulation developed over Central South America, resulting in the annual local maxima of O3 and CO. The
transatlantic transport of O3 and precursors over the Atlantic can be seen by IASI and this contributes to the O3 wave-one
pattern (Sauvage et al., 2007c). This is confirmed by SOFT-IO which calculates contribution of 10–15 ppb from SHSA and
10–15 ppb NHSA, in the altitude of the anticyclone (MT). the dry season (October), when the convection moves over the South American fires, CO and precursors are trapped in an
780
anticyclonic circulation developed over Central South America, resulting in the annual local maxima of O3 and CO. The
transatlantic transport of O3 and precursors over the Atlantic can be seen by IASI and this contributes to the O3 wave-one
pattern (Sauvage et al., 2007c). This is confirmed by SOFT-IO which calculates contribution of 10–15 ppb from SHSA and
10–15 ppb NHSA, in the altitude of the anticyclone (MT). Overall, the importance of anthropogenic emissions is highlighted over the tropics, not only in the NH but also in SH. 785
The interconnections among the tropical regions, especially transport of O3 and precursors originating from Africa, makes it
necessary to assess the pollution on a local scale in order to improve air quality on a local and region scale over the tropics. Overall, the importance of anthropogenic emissions is highlighted over the tropics, not only in the NH but also in SH. 785
The interconnections among the tropical regions, especially transport of O3 and precursors originating from Africa, makes it
necessary to assess the pollution on a local scale in order to improve air quality on a local and region scale over the tropics. 33 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Appendix A: SOFT-IO CO contributions A1
Vertical profiles Figure A1. Same as Fig. 4
Summary and conclusions 4 (panel 3) for CO contributions over Sahel (1), Gulf of Guinea (2), Madras (3), Hyderabad (4), Ho Chi Minh City
(5), Gulf of Thailand (6) and Manila (7). Figure A1. Same as Fig. 4 (panel 3) for CO contributions over Sahel (1), Gulf of Guinea (2), Madras (3), Hyderabad (4), Ho Chi Minh C
(5), Gulf of Thailand (6) and Manila (7). Figure A1. Same as Fig. 4 (panel 3) for CO contributions over Sahel (1), Gulf of Guinea (2), Madras (3), Hyderabad (4), Ho Chi Minh City
(5), Gulf of Thailand (6) and Manila (7). (5), Gulf of Thailand (6) and Manila (7). (5), Gulf of Thailand (6) and Manila (7). 34 34 A1
Low, mid and upper troposphere
790
https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. A1
Low, mid and upper troposphere
790 A1
Low, mid and upper troposphere
790 Figure A2. Same as Fig. 5 for CO contributions over Windhoek, Addis Ababa, Khartoum, Jeddah and Gulf of Thailand. 2. Same as Fig. 5 for CO contributions over Windhoek, Addis Ababa, Khartoum, Jeddah and Gulf of Thailand 35 Figure A3. Same as Fig. 5 for CO contributions over Madras, Mumbai, Hyderabad, Ho Chi Minh City and Manila. 3. Same as Fig. 5 for CO contributions over Madras, Mumbai, Hyderabad, Ho Chi Minh City and Manila. Figure A3. Same as Fig. 5 for CO contributions over Madras, Mumbai, Hyderabad, Ho Chi Minh 36 A2
Upper troposphere
Figure A4. Mean CO contribution (in ppb) per source region in the tropical UT (300–185 hPa) averaged from 2002–2019 for January
hatched part indicates BB as the dominant source of CO. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. A2
Upper troposphere Figure A4. Mean CO contribution (in ppb) per source region in the tropical UT (300–185 hPa) averaged from 2002–2019 for January. The
hatched part indicates BB as the dominant source of CO. 37 37 Figure A5. Same as Fig. A4 for April. Figure A5. Same as Fig. A4 for April. 38 ps://doi.org/10.5194/acp-2022-686
eprint. Discussion started: 13 October 2022
Author(s) 2022. CC BY 4.0 License. Figure A6. Same as Fig. A4 for July. Figure A6. Same as Fig. A4 for July. 39 39 Figure A7. Same as Fig. A4 for October. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Figure A7. Same as Fig. A4 for October. 40 Data availability. The IAGOS data are available on the IAGOS data portal (https://doi.org/10.25326/20). The SOFT-IO v1.0 products are
part of the ancillary products of IAGOS central database (https://doi.org/10.25326/2; https://doi.org/10.25326/3). The SOFRID-O3 data are
freely available on the IASI-SOFRID website (http://thredds.sedoo.fr/iasi-sofrid-o3-co/, last access: 8 June 2022; SEDOO, 2014). https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Data availability. The IAGOS data are available on the IAGOS data portal (https://doi.org/10.25326/20). The SOFT-IO v1.0 products are
part of the ancillary products of IAGOS central database (https://doi.org/10.25326/2; https://doi.org/10.25326/3). The SOFRID-O3 data are
freely available on the IASI-SOFRID website (http://thredds.sedoo.fr/iasi-sofrid-o3-co/, last access: 8 June 2022; SEDOO, 2014). Data availability. The IAGOS data are available on the IAGOS data portal (https://doi.org/10.25326/20). The SOFT-IO v1.0 products are
part of the ancillary products of IAGOS central database (https://doi.org/10.25326/2; https://doi.org/10.25326/3). The SOFRID-O3 data are
freely available on the IASI-SOFRID website (http://thredds.sedoo.fr/iasi-sofrid-o3-co/, last access: 8 June 2022; SEDOO, 2014). Author contributions. MT, BS and BB designed the research. All the co-authors contributed to acquisition of data. MT analysed the data. 795
MT, BS and BB interpreted the data. MT drafted the article. MT, BS and BB revised the article. VT and HC commented the article. Author contributions. MT, BS and BB designed the research. All the co-authors contributed to acquisition of data. MT analysed the data. 795
MT, BS and BB interpreted the data. MT drafted the article. MT, BS and BB revised the article. VT and HC commented the article. Competing interests. The authors declare that they have no conflict of interest. Competing interests. The authors declare that they have no conflict of interest. References C., Giglio, L., Chen, Y., van der Werf, G. R., Kasibhatla, P. S., DeFries, R. S., Collatz, G., Hantson, S., Kloster, S., Andela, N., Morton, D. C., Giglio, L., Chen, Y., van der Werf, G. R., Kasibhatla, P. S., DeFries, R. S., Collatz, G., Hantson, S., Kloster, S., Andela, N., Morton, D. C., Giglio, L., Chen, Y., van der Werf, G. R., Kasibhatla, P. S., DeFries, R. S., Colla et al.: A human-driven decline in global burned area, Science, 356, 1356–1362, https://doi.org/10.1126/science.aal4108, 2017. 820
Archibald, A., Neu, J., Elshorbany, Y., Cooper, O., Young, P., Akiyoshi, H., Cox, R., Coyle, M., Derwent, R., Deushi, M., et al.: Tropospheric
Ozone Assessment ReportA critical review of changes in the tropospheric ozone burden and budget from 1850 to 2100, Elementa: Science
of the Anthropocene, 8, https://doi.org/10.1525/elementa.2020.034, 2020. Assamoi, E.-M. and Liousse, C.: A new inventory for two-wheel vehicle emissions in West Africa for 2002, Atmospheric Environment, 44, et al.: A human-driven decline in global burned area, Science, 356, 1356–1362, https://doi.org/10.1126/science.aal4108, 2017. 820 n-driven decline in global burned area, Science, 356, 1356–1362, https://doi.org/10.1126/science.aal4108, 201 Archibald, A., Neu, J., Elshorbany, Y., Cooper, O., Young, P., Akiyoshi, H., Cox, R., Coyle, M., Derwent, R., Deushi, M., et al.: Tropospheric
Ozone Assessment ReportA critical review of changes in the tropospheric ozone burden and budget from 1850 to 2100, Elementa: Science
of the Anthropocene, 8, https://doi.org/10.1525/elementa.2020.034, 2020. of the Anthropocene, 8, https://doi.org/10.1525/elementa.2020.034, 2020. Assamoi, E.-M. and Liousse, C.: A new inventory for two-wheel vehicle emissions in West Africa for 2002, Atmospheric Environment, 44,
3985–3996 https://doi org/10 1016/j atmosenv 2010 06 048 2010
825 Assamoi, E.-M. and Liousse, C.: A new inventory for two-wheel vehicle emissions in West Africa for 2002, Atmospheric Environment, 44,
3985–3996, https://doi.org/10.1016/j.atmosenv.2010.06.048, 2010. 825 3985–3996, https://doi.org/10.1016/j.atmosenv.2010.06.048, 2010. 825
Barret, B., Ricaud, P., Mari, C., Attié, J.-L., Bousserez, N., Josse, B., Le Flochmoën, E., Livesey, N., Massart, S., Peuch, V.-H., et al.:
Transport pathways of CO in the African upper troposphere during the monsoon season: a study based upon the assimilation of spaceborne
observations, Atmospheric Chemistry and Physics, 8, 3231–3246, https://doi.org/10.5194/acp-8-3231-2008, 2008. Competing interests. The authors declare that they have no conflict of interest. Acknowledgements. We acknowledge the strong support of the European Commission, Airbus and the airlines (Deutsche Lufthansa, Air
France, Austrian, Air Namimbia, Cathay Pacific, Iberia, China Airlines and Hawaiian Airlines) that have carried the MOZAIC or IAGOS
equipment and performed the maintenance since 1994. IAGOS has been funded by the European Union projects IAGOS–DS and IA-
800
GOS–ERI. Additionally, IAGOS has been funded by INSU-CNRS (France), Météo-France, Université Paul Sabatier (Toulouse, France) and
Research Center Jülich (FZJ, Jülich, Germany). The IAGOS database is supported in France by AERIS (https://www.aeris-data.fr). IASI is a
joint mission of EUMETSAT and the Centre National d’Etudes Spatiales (CNES, France). The authors acknowledge the CNES for financial
support for the IASI activities. i
equipment and performed the maintenance since 1994. IAGOS has been funded by the European Union projects IAGOS–DS and IA-
800
GOS–ERI. Additionally, IAGOS has been funded by INSU-CNRS (France), Météo-France, Université Paul Sabatier (Toulouse, France) and
Research Center Jülich (FZJ, Jülich, Germany). The IAGOS database is supported in France by AERIS (https://www.aeris-data.fr). IASI is a
joint mission of EUMETSAT and the Centre National d’Etudes Spatiales (CNES, France). The authors acknowledge the CNES for financial
support for the IASI activities. Financial support. This research has been supported by Bonus Stratégique programme at Université Paul Sabatier Toulouse III who funded
805
the first author’s doctoral position. Financial support. This research has been supported by Bonus Stratégique programme at Université Paul Sabatier Toulouse III who funded
805
the first author’s doctoral position. Financial support. This research has been supported by Bonus Stratégique programme at Université Paul Sabatier Toulouse III who funded
805
the first author’s doctoral position. 41 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. References Barret, B., Williams, J., Bouarar, I., Yang, X., Josse, B., Law, K., Pham, M., Le Flochmoën, E., Liousse, C., Peuch, V., et al.: Impact of West Barret, B., Ricaud, P., Mari, C., Attié, J.-L., Bousserez, N., Josse, B., Le Flochmoën, E., Livesey, N., Massart, S., Peuch, V.-H., et al.:
Transport pathways of CO in the African upper troposphere during the monsoon season: a study based upon the assimilation of spaceborne
observations, Atmospheric Chemistry and Physics, 8, 3231–3246, https://doi.org/10.5194/acp-8-3231-2008, 2008. Barret, B., Williams, J., Bouarar, I., Yang, X., Josse, B., Law, K., Pham, M., Le Flochmoën, E., Liousse, C., Peuch, V., et al.: Impact of West Barret, B., Williams, J., Bouarar, I., Yang, X., Josse, B., Law, K., Pham, M., Le Flochmoën, E., Liousse, C., Peuch, V., et al.: Impact of West
African Monsoon convective transport and lightning NO x production upon the upper tropospheric composition: a multi-model study,
830
Atmospheric Chemistry and Physics, 10, 5719–5738, https://doi.org/10.5194/acp-10-5719-2010, 2010. Barret, B., Williams, J., Bouarar, I., Yang, X., Josse, B., Law, K., Pham, M., Le Flochmoën, E., Liousse, C African Monsoon convective transport and lightning NO x production upon the upper tropospheric composition: a multi-model study,
830
Atmospheric Chemistry and Physics, 10, 5719–5738, https://doi.org/10.5194/acp-10-5719-2010, 2010. Barret, B., Le Flochmoen, E., Sauvage, B., Pavelin, E., Matricardi, M., and Cammas, J.-P.: The detection of post-monsoon tropospheric
ozone variability over south Asia using IASI data, Atmospheric Chemistry and Physics, 11, 9533–9548, https://doi.org/10.5194/acp-11-
9533-2011, 2011. 830 Barret, B., Le Flochmoen, E., Sauvage, B., Pavelin, E., Matricardi, M., and Cammas, J.-P.: The detection of post-monsoon tropospheric
ozone variability over south Asia using IASI data, Atmospheric Chemistry and Physics, 11, 9533–9548, https://doi.org/10.5194/acp-11-
9533-2011, 2011. Barret, B., Sauvage, B., Bennouna, Y., and Le Flochmoen, E.: Upper-tropospheric CO and O 3 budget during the Asian summer monsoon,
835
Atmospheric Chemistry and Physics, 16, 9129–9147, https://doi.org/10.5194/acp-16-9129-2016, 2016. Barret, B., Sauvage, B., Bennouna, Y., and Le Flochmoen, E.: Upper-tropospheric CO and O 3 budget during the Asian summer monsoon,
835
Atmospheric Chemistry and Physics, 16, 9129–9147, https://doi.org/10.5194/acp-16-9129-2016, 2016. References Adon, M., Galy-Lacaux, C., Yoboué, V., Delon, C., Lacaux, J., Castera, P., Gardrat, E., Pienaar, J., Al Ourabi, H., Laouali, D., et al.: Long
term measurements of sulfur dioxide, nitrogen dioxide, ammonia, nitric acid and ozone in Africa using passive samplers, Atmospheric
Chemistry and Physics, 10, 7467–7487, https://doi.org/10.5194/acp-10-7467-2010, 2010. 0 Adon, M., Galy-Lacaux, C., Yoboué, V., Delon, C., Lacaux, J., Castera, P., Gardrat, E., Pienaar, J., Al Ourabi, H., Laouali, D., et al.: Long
term measurements of sulfur dioxide, nitrogen dioxide, ammonia, nitric acid and ozone in Africa using passive samplers, Atmospheric 810 Chemistry and Physics, 10, 7467–7487, https://doi.org/10.5194/acp-10-7467-2010, 2010. 0
Adon, M., Yoboué, V., Galy-Lacaux, C., Liousse, C., Diop, B., Gardrat, E., Ndiaye, S. A., Jarnot, C., et al.: Measure-
ments of NO2, SO2, NH3, HNO3 and O3 in West African urban environments, Atmospheric Environment, 135, 31–40,
https://doi.org/10.1016/j.atmosenv.2016.03.050, 2016. Aghedo, A. M., Schultz, M. G., and Rast, S.: The influence of African air pollution on regional and global tropospheric ozone, Atmospheric Adon, M., Yoboué, V., Galy-Lacaux, C., Liousse, C., Diop, B., Gardrat, E., Ndiaye, S. A., Jarnot, C., et al.: Measure-
ments of NO2, SO2, NH3, HNO3 and O3 in West African urban environments, Atmospheric Environment, 135, 31–40,
https://doi.org/10.1016/j.atmosenv.2016.03.050, 2016. Aghedo, A. M., Schultz, M. G., and Rast, S.: The influence of African air pollution on regional and global tropospheric ozone, Atmospheric
Chemistry and Physics, 7, 1193–1212, https://doi.org/10.1016/j.atmosenv.2016.03.050, 2007. 815 Aghedo, A. M., Schultz, M. G., and Rast, S.: The influence of African air pollution on regional and globa 815 Chemistry and Physics, 7, 1193–1212, https://doi.org/10.1016/j.atmosenv.2016.03.050, 2007. 815
Alonso, M. F., Longo, K. M., Freitas, S. R., da Fonseca, R. M., Marécal, V., Pirre, M., and Klenner, L. G.: An urban emissions inventory for
South America and its application in numerical modeling of atmospheric chemical composition at local and regional scales, Atmospheric
Environment, 44, 5072–5083, https://doi.org/10.1016/j.atmosenv.2010.09.013, 2010. Andela, N., Morton, D. C., Giglio, L., Chen, Y., van der Werf, G. R., Kasibhatla, P. S., DeFries, R. S., Collatz, G., Hantson, S., Kloster, S., Alonso, M. F., Longo, K. M., Freitas, S. R., da Fonseca, R. M., Marécal, V., Pirre, M., and Klenner, L. G.: An urban emissions inventory for
South America and its application in numerical modeling of atmospheric chemical composition at local and regional scales, Atmospheric
Environment, 44, 5072–5083, https://doi.org/10.1016/j.atmosenv.2010.09.013, 2010. Environment, 44, 5072 5083, https://doi.org/10.1016/j.atmosenv.2010.09.013, 2010. Andela, N., Morton, D. References E., Goutail, F., Bureau, J., Safieddine, S., Lerot, C., Hadji-Lazaro, J., Wespes, C., Pommereau,
J.-P., et al.: Seven years of IASI ozone retrievals from FORLI: validation with independent total column and vertical profile measurements, 845 et al.: Large contribution of biomass burning emissions to ozone throughout the global remote troposphere, Proceedings of the National
845
Academy of Sciences, 118, e2109628 118, https://doi.org/10.1073/pnas.2109628118, 2021. Boynard, A., Hurtmans, D., Koukouli, M. E., Goutail, F., Bureau, J., Safieddine, S., Lerot, C., Hadji-Lazaro, J., Wespes, C., Pommereau,
J.-P., et al.: Seven years of IASI ozone retrievals from FORLI: validation with independent total column and vertical profile measurements,
Atmospheric Measurement Techniques, 9, 4327–4353, https://doi.org/10.5194/amt-9-4327-2016, 2016. Boynard, A., Hurtmans, D., Koukouli, M. E., Goutail, F., Bureau, J., Safieddine, S., Lerot, C., Hadji-Lazaro, J., Wespes, C., Pommereau,
J.-P., et al.: Seven years of IASI ozone retrievals from FORLI: validation with independent total column and vertical profile measurements,
Atmospheric Measurement Techniques, 9, 4327–4353, https://doi.org/10.5194/amt-9-4327-2016, 2016. Buchholz, R. R., Worden, H. M., Park, M., Francis, G., Deeter, M. N., Edwards, D. P., Emmons, L. K., Gaubert, B., Gille, J., Martínez-
850
Alonso, S., et al.: Air pollution trends measured from Terra: CO and AOD over industrial, fire-prone, and background regions, Remote
Sensing of Environment, 256, 112 275, https://doi.org/10.1016/j.rse.2020.112275, 2021. Chatfield, R. B., Vastano, J. A., Singh, H., and Sachse, G.: A general model of how fire emissions and chemistry produce African/oceanic Buchholz, R. R., Worden, H. M., Park, M., Francis, G., Deeter, M. N., Edwards, D. P., Emmons, L. K., Gaubert, B., Gille, J., Martínez-
850
Alonso, S., et al.: Air pollution trends measured from Terra: CO and AOD over industrial, fire-prone, and background regions, Remote
Sensing of Environment, 256, 112 275, https://doi.org/10.1016/j.rse.2020.112275, 2021. Chatfield, R. B., Vastano, J. A., Singh, H., and Sachse, G.: A general model of how fire emissions and chemistry produce African/oceanic
plumes (O3, CO, PAN, smoke) in TRACE A, Journal of Geophysical Research: Atmospheres, 101, 24 279–24 306, 1996. ,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
Alonso, S., et al.: Air pollution trends measured from Terra: CO and AOD over industrial, fire-prone, and background regions, Remote
Sensing of Environment, 256, 112 275, https://doi.org/10.1016/j.rse.2020.112275, 2021. g
p
g
j
Chatfield, R. B., Vastano, J. References De Wachter E Barret B Le Flochmoën E Pavelin E Matricardi M Clerbaux C Hadji-Lazaro J George M Hurtmans D Coheur Cussac, M., Marécal, V., Thouret, V., Josse, B., and Sauvage, B.: The impact of biomass burning on upper tropospheric carbon
monoxide: a study using MOCAGE global model and IAGOS airborne data, Atmospheric Chemistry and Physics, 20, 9393–9417,
https://doi.org/10.5194/acp-20-9393-2020, 2020. De Wachter, E., Barret, B., Le Flochmoën, E., Pavelin, E., Matricardi, M., Clerbaux, C., Hadji-Lazaro, J., De Wachter, E., Barret, B., Le Flochmoën, E., Pavelin, E., Matricardi, M., Clerbaux, C., Hadji-Lazaro, J., George, M., Hurtmans, D., Coheur,
P.-F., et al.: Retrieval of MetOp-A/IASI CO profiles and validation with MOZAIC data, Atmospheric Measurement Techniques, 5, 2843–
870
2857, https://doi.org/10.5194/amt-5-2843-2012, 2012. P.-F., et al.: Retrieval of MetOp-A/IASI CO profiles and validation with MOZAIC data, Atmospheric Measurement Techniques, 5, 2843–
870
2857, https://doi.org/10.5194/amt-5-2843-2012, 2012. Deeter, M., Martínez-Alonso, S., Andreae, M. O., and Schlager, H.: Satellite-based analysis of CO seasonal and interannual variability over
the Amazon Basin, Journal of Geophysical Research: Atmospheres, 123, 5641–5656, https://doi.org/10.1029/2018JD028425, 2018. Dufour G
Eremenko M
Orphal J
and Flaud J M : IASI observations of seasonal and day to day variations of tropospheric ozone P.-F., et al.: Retrieval of MetOp-A/IASI CO profiles and validation with MOZAIC data, Atmospheric Measurement Techniques, 5, 2843–
870
2857, https://doi.org/10.5194/amt-5-2843-2012, 2012. 2857, https://doi.org/10.5194/amt-5-2843-2012, 2012. Deeter, M., Martínez-Alonso, S., Andreae, M. O., and Schlager, H.: Satellite-based analysis of CO seasonal and interannual variability over
the Amazon Basin, Journal of Geophysical Research: Atmospheres, 123, 5641–5656, https://doi.org/10.1029/2018JD028425, 2018. Dufour, G., Eremenko, M., Orphal, J., and Flaud, J.-M.: IASI observations of seasonal and day-to-day variations of tropospheric ozone Deeter, M., Martínez-Alonso, S., Andreae, M. O., and Schlager, H.: Satellite-based analysis of CO seasonal and interannual variability over
the Amazon Basin, Journal of Geophysical Research: Atmospheres, 123, 5641–5656, https://doi.org/10.1029/2018JD028425, 2018. Dufour, G., Eremenko, M., Orphal, J., and Flaud, J.-M.: IASI observations of seasonal and day-to-day variations of tropospheric ozone
over three highly populated areas of China: Beijing, Shanghai, and Hong Kong, Atmospheric Chemistry and Physics, 10, 3787–3801,
875
https://doi.org/10.5194/acp-10-3787-2010, 2010. 875 over three highly populated areas of China: Beijing, Shanghai, and Hong Kong, Atmospheric Chemistry and Physics, 10, 3787–3801,
875
https://doi.org/10.5194/acp-10-3787-2010, 2010. Duncan, B. N., Lamsal, L. N., Thompson, A. M., Yoshida, Y., Lu, Z., Streets, D. G., Hurwitz, M. M., and Pickering, K. References A., Singh, H., and Sachse, G.: A general model of how fire emissions and chemistry produce African/oceanic
plumes (O3, CO, PAN, smoke) in TRACE A, Journal of Geophysical Research: Atmospheres, 101, 24 279–24 306, 1996. PAN, smoke) in TRACE A, Journal of Geophysical Research: Atmospheres, 101, 24 279–24 306, 1996. Clerbaux, C., Boynard, A., Clarisse, L., George, M., Hadji-Lazaro, J., Herbin, H., Hurtmans, D., Pommier, M., Razavi, A., Turquety, S.,
855
et al.: Monitoring of atmospheric composition using the thermal infrared IASI/MetOp sounder, Atmospheric Chemistry and Physics, 9,
6041–6054, https://doi.org/10.5194/acp-9-6041-2009, 2009. Clerbaux, C., Boynard, A., Clarisse, L., George, M., Hadji-Lazaro, J., Herbin, H., Hurtmans, D., Pommier, M., Razavi, A., Turquety, S.,
855
et al.: Monitoring of atmospheric composition using the thermal infrared IASI/MetOp sounder, Atmospheric Chemistry and Physics, 9,
6041–6054, https://doi.org/10.5194/acp-9-6041-2009, 2009. Cohen, Y., Petetin, H., Thouret, V., Marécal, V., Josse, B., Clark, H., Sauvage, B., Fontaine, A., Athier, G., Blot, R., et al.: Climatology and
long-term evolution of ozone and carbon monoxide in the upper troposphere–lower stratosphere (UTLS) at northern midlatitudes, as seen ,
,
y
,
,
,
,
g ,
,
j
,
,
,
,
,
,
,
,
,
,
q
y,
,
et al.: Monitoring of atmospheric composition using the thermal infrared IASI/MetOp sounder, Atmospheric Chemistry and Physics, 9,
6041–6054, https://doi.org/10.5194/acp-9-6041-2009, 2009. Cohen, Y., Petetin, H., Thouret, V., Marécal, V., Josse, B., Clark, H., Sauvage, B., Fontaine, A., Athier, G., Blot, R., et al.: Climatology and
long-term evolution of ozone and carbon monoxide in the upper troposphere–lower stratosphere (UTLS) at northern midlatitudes, as seen by IAGOS from 1995 to 2013, Atmospheric Chemistry and Physics, 18, 5415–5453, https://doi.org/10.5194/acp-18-5415-2018, 2018. 860
Cros, B., Delon, C., Affre, C., Marion, T., Druilhet, A., Perros, P., and Lopez, A.: Sources and sinks of ozone in savanna and forest ar-
eas during EXPRESSO: Airborne turbulent flux measurements, Journal of Geophysical Research: Atmospheres, 105, 29 347–29 358,
https://doi.org/10.1029/2000JD900451, 2000. Curtis, L., Rea, W., Smith-Willis, P., Fenyves, E., and Pan, Y.: Adverse health effects of outdoor air pollutants, Environment international,
32, 815–830, https://doi.org/10.1016/j.envint.2006.03.012, 2006. 865 32, 815–830, https://doi.org/10.1016/j.envint.2006.03.012, 2006. 865
Cussac, M., Marécal, V., Thouret, V., Josse, B., and Sauvage, B.: The impact of biomass burning on upper tropospheric carbon
monoxide: a study using MOCAGE global model and IAGOS airborne data, Atmospheric Chemistry and Physics, 20, 9393–9417,
https://doi.org/10.5194/acp-20-9393-2020, 2020. References Barret, B., Emili, E., and Le Flochmoen, E.: A tropopause-related climatological a priori profile for IASI-SOFRID ozone retrievals: improve-
d
lid i
A
h i M
T
h i
13 5237 5257 h
//d i
/10 5194/
13 5237 2020 2020 Barret, B., Sauvage, B., Bennouna, Y., and Le Flochmoen, E.: Upper-tropospheric CO and O 3 budget during the Asian summer monsoon,
835
Atmospheric Chemistry and Physics, 16, 9129–9147, https://doi.org/10.5194/acp-16-9129-2016, 2016. Barret, B., Emili, E., and Le Flochmoen, E.: A tropopause-related climatological a priori profile for IASI-SOFRID ozone retrievals: improve-
ments and validation, Atmospheric Measurement Techniques, 13, 5237–5257, https://doi.org/10.5194/amt-13-5237-2020, 2020. Barret, B., Gouzenes, Y., Le Flochmoen, E., and Ferrant, S.: Retrieval of Metop-A/IASI N2O profiles and validation with NDACC FTIR Barret, B., Emili, E., and Le Flochmoen, E.: A tropopause-related climatological a priori profile for IASI-SOFRID ozone retrievals: improve-
ments and validation, Atmospheric Measurement Techniques, 13, 5237–5257, https://doi.org/10.5194/amt-13-5237-2020, 2020. Barret, B., Gouzenes, Y., Le Flochmoen, E., and Ferrant, S.: Retrieval of Metop-A/IASI N2O profiles and validation with NDACC FTIR
data, Atmosphere, 12, 219, https://doi.org/10.3390/atmos12020219, 2021. 840 Blot, R., Nedelec, P., Boulanger, D., Wolff, P., Sauvage, B., Cousin, J.-M., Athier, G., Zahn, A., Obersteiner, F., Scharffe, D., et al.: Internal
consistency of the IAGOS ozone and carbon monoxide measurements for the last 25 years, Atmospheric Measurement Techniques, 14,
3935–3951, https://doi.org/10.5194/amt-14-3935-2021, 2021. 42 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Bourgeois, I., Peischl, J., Neuman, J. A., Brown, S. S., Thompson, C. R., Aikin, K. C., Allen, H. M., Angot, H., Apel, E. C., Baublitz, C. B.,
et al.: Large contribution of biomass burning emissions to ozone throughout the global remote troposphere, Proceedings of the National
845
Academy of Sciences, 118, e2109628 118, https://doi.org/10.1073/pnas.2109628118, 2021. Bourgeois, I., Peischl, J., Neuman, J. A., Brown, S. S., Thompson, C. R., Aikin, K. C., Allen, H. M., Angot, H., Apel, E. C., Baublitz, C. B.,
et al.: Large contribution of biomass burning emissions to ozone throughout the global remote troposphere, Proceedings of the National
845
Academy of Sciences, 118, e2109628 118, https://doi.org/10.1073/pnas.2109628118, 2021. Boynard, A., Hurtmans, D., Koukouli, M. References George, M., Clerbaux, C., Hurtmans, D., Turquety, S., Coheur, P.-F., Pommier, M., Hadji-Lazaro, J., Edwards, D., Worden, H., Luo, M.,
et al.: Carbon monoxide distributions from the IASI/METOP mission: evaluation with other space-borne remote sensors, Atmospheric
Chemistry and Physics, 9, 8317–8330, https://doi.org/10.5194/acp-9-8317-2009, 2009. George, M., Clerbaux, C., Hurtmans, D., Turquety, S., Coheur, P.-F., Pommier, M., Hadji-Lazaro, J., Edwards, D., Worden, H., Luo, M.,
et al.: Carbon monoxide distributions from the IASI/METOP mission: evaluation with other space-borne remote sensors, Atmospheric
Chemistry and Physics, 9, 8317–8330, https://doi.org/10.5194/acp-9-8317-2009, 2009. Granier, C., Bessagnet, B., Bond, T., D’Angiola, A., Denier van der Gon, H., Frost, G. J., Heil, A., Kaiser, J. W., Kinne, S., Klimont, Z., et al.:
905
Evolution of anthropogenic and biomass burning emissions of air pollutants at global and regional scales during the 1980–2010 period,
Climatic change, 109, 163–190, https://doi.org/10.1007/s10584-011-0154-1, 2011. Gressent, A., Sauvage, B., Defer, E., Pätz, H. W., Thomas, K., Holle, R., Cammas, J.-P., Nédélec, P., Boulanger, D., Thouret, V., et al.:
Lightning NOx influence on large-scale NOy and O3 plumes observed over the northern mid-latitudes, Tellus B: Chemical and Physical Granier, C., Bessagnet, B., Bond, T., D’Angiola, A., Denier van der Gon, H., Frost, G. J., Heil, A., Kaiser, J. W., Kinne, S., Klimont, Z., et al.:
905
Evolution of anthropogenic and biomass burning emissions of air pollutants at global and regional scales during the 1980–2010 period,
Climatic change, 109, 163–190, https://doi.org/10.1007/s10584-011-0154-1, 2011. p g
g
p
g
g
g
p
Climatic change, 109, 163–190, https://doi.org/10.1007/s10584-011-0154-1, 2011. Gressent, A., Sauvage, B., Defer, E., Pätz, H. W., Thomas, K., Holle, R., Cammas, J.-P., Nédélec, P., Boulanger, D., Thouret, V., et al.:
Lightning NOx influence on large-scale NOy and O3 plumes observed over the northern mid-latitudes, Tellus B: Chemical and Physical
Meteorology 66 25 544 https://doi org/10 3402/tellusb v66 25544 2014
910 Gressent, A., Sauvage, B., Defer, E., Pätz, H. W., Thomas, K., Holle, R., Cammas, J.-P., Nédélec, P., Boulanger, D., Thouret, V., et al.:
Lightning NOx influence on large-scale NOy and O3 plumes observed over the northern mid-latitudes, Tellus B: Chemical and Physical Gressent, A., Sauvage, B., Defer, E., Pätz, H. W., Thomas, K., Holle, R., Cammas, J.-P., Nédélec, P., Boulanger, D., Thouret, V., et al.:
Lightning NOx influence on large-scale NOy and O3 plumes observed over the northern mid-latitudes, Tellus B: Chemical and Physical
Meteorology, 66, 25 544, https://doi.org/10.3402/tellusb.v66.25544, 2014. 910 910 Meteorology, 66, 25 544, https://doi.org/10.3402/tellusb.v66.25544, 2014. References G
d l A C
O R A
ll t G B
t B B
d A B
J Cl b
C C h
P F C
t
J C
E
t l T over Europe during the heat wave in July 2007 observed from infrared nadir spectra recorded by IASI, Geophysical Research Letters, 35,
890
https://doi.org/10.1029/2008GL034803, 2008. Gaudel, A., Cooper, O. R., Ancellet, G., Barret, B., Boynard, A., Burrows, J., Clerbaux, C., Coheur, P.-F., Cuesta, J., Cuevas, E., et al.: Tro-
pospheric Ozone Assessment Report: Present-day distribution and trends of tropospheric ozone relevant to climate and global atmospheric
chemistry model evaluation, Elementa: science of the anthropocene, 6, https://doi.org/10.1525/elementa.291, 2018. 890 Gaudel, A., Cooper, O. R., Ancellet, G., Barret, B., Boynard, A., Burrows, J., Clerbaux, C., Coheur, P.-F., Cuesta, J., Cuevas, E., et al.: Tro-
pospheric Ozone Assessment Report: Present-day distribution and trends of tropospheric ozone relevant to climate and global atmospheric
chemistry model evaluation, Elementa: science of the anthropocene, 6, https://doi.org/10.1525/elementa.291, 2018. Gaudel, A., Cooper, O. R., Chang, K.-L., Bourgeois, I., Ziemke, J. R., Strode, S. A., Oman, L. D., Sellitto, P., Nédélec, P., Blot, R., et al.:
895
Aircraft observations since the 1990s reveal increases of tropospheric ozone at multiple locations across the Northern Hemisphere, Science
Advances, 6, eaba8272, https://doi.org/10.1525/elementa.291, 2020. Gaudel, A., Cooper, O. R., Chang, K.-L., Bourgeois, I., Ziemke, J. R., Strode, S. A., Oman, L. D., Sellitto, P., Nédélec, P., Blot, R., et al.:
895
Aircraft observations since the 1990s reveal increases of tropospheric ozone at multiple locations across the Northern Hemisphere, Science
Advances, 6, eaba8272, https://doi.org/10.1525/elementa.291, 2020. Gauss, M., Myhre, G., Pitari, G., Prather, M., Isaksen, I., Berntsen, T., Brasseur, G., Dentener, F., Derwent, R., Hauglustaine, D., et al.:
M uller, JF, Plantevin, P., Pyle, JA, Rogers, HL, Stevenson, DS, Sundet, JK, van Weele, M., and Wild, O.: Radiative forcing in the 21st uss, M., Myhre, G., Pitari, G., Prather, M., Isaksen, I., Berntsen, T., Brasseur, G., Dentener, F., Derwent, R M uller, JF, Plantevin, P., Pyle, JA, Rogers, HL, Stevenson, DS, Sundet, JK, van Weele, M., and Wild, O.: Radiative forcing in the 21st
century due to ozone changes in the troposphere and the lower stratosphere, J. Geophys. Res, 108, https://doi.org/10.1029/2002JD002624,
900
2003. century due to ozone changes in the troposphere and the lower stratosphere, J. Geophys. Res, 108, https://doi.org/10.1029/2002JD002624,
900
2003. References Edwards, D., Emmons, L., Gille, J., Chu, A., Attié, J.-L., Giglio, L., Wood, S., Haywood, J., Deeter, M., Massie, S., et al.:
Satellite-observed pollution from Southern Hemisphere biomass burning, Journal of Geophysical Research: Atmospheres, 111,
https://doi.org/10.1029/2005JD006655, 2006. 885
Emmons, L. K., Walters, S., Hess, P. G., Lamarque, J.-F., Pfister, G. G., Fillmore, D., Granier, C., Guenther, A., Kinnison, D., Laepple, T.,
et al.: Description and evaluation of the Model for Ozone and Related chemical Tracers, version 4 (MOZART-4), Geoscientific Model
Development, 3, 43–67, https://doi.org/10.5194/gmd-3-43-2010, 2010. Eremenko, M., Dufour, G., Foret, G., Keim, C., Orphal, J., Beekmann, M., Bergametti, G., and Flaud, J.-M.: Tropospheric ozone distributions Edwards, D., Emmons, L., Gille, J., Chu, A., Attié, J.-L., Giglio, L., Wood, S., Haywood, J., Deeter, M., Massie, S., et al.:
Satellite-observed pollution from Southern Hemisphere biomass burning, Journal of Geophysical Research: Atmospheres, 111,
https://doi.org/10.1029/2005JD006655, 2006. 85 885 p
g
,
Emmons, L. K., Walters, S., Hess, P. G., Lamarque, J.-F., Pfister, G. G., Fillmore, D., Granier, C., Guenther, A., Kinnison, D., Laepple, T.,
et al.: Description and evaluation of the Model for Ozone and Related chemical Tracers, version 4 (MOZART-4), Geoscientific Model
Development, 3, 43–67, https://doi.org/10.5194/gmd-3-43-2010, 2010. Eremenko, M., Dufour, G., Foret, G., Keim, C., Orphal, J., Beekmann, M., Bergametti, G., and Flaud, J.-M.: Tropospheric ozone distributions Emmons, L. K., Walters, S., Hess, P. G., Lamarque, J.-F., Pfister, G. G., Fillmore, D., Granier, C., Guenther, A., Kinnison, D., Laepple, T.,
et al.: Description and evaluation of the Model for Ozone and Related chemical Tracers, version 4 (MOZART-4), Geoscientific Model
Development, 3, 43–67, https://doi.org/10.5194/gmd-3-43-2010, 2010. Development, 3, 43–67, https://doi.org/10.5194/gmd-3-43-2010, 2010. Eremenko, M., Dufour, G., Foret, G., Keim, C., Orphal, J., Beekmann, M., Bergametti, G., and Flaud, J.-M.: Tropospheric ozone distributions Eremenko, M., Dufour, G., Foret, G., Keim, C., Orphal, J., Beekmann, M., Bergametti, G., and Flaud, J.-M.: Tropospheric ozone distributions
over Europe during the heat wave in July 2007 observed from infrared nadir spectra recorded by IASI, Geophysical Research Letters, 35,
890
https://doi.org/10.1029/2008GL034803, 2008. over Europe during the heat wave in July 2007 observed from infrared nadir spectra recorded by IASI, Geophysical Research Letters, 35,
890
https://doi.org/10.1029/2008GL034803, 2008. Hedelius, J. K., Toon, G. C., Buchholz, R. R., Iraci, L. T., Podolske, J. R., Roehl, C. M., Wennberg, P. O., Worden, H. M., and Wunch,
D.: Regional and urban column CO trends and anomalies as observed by MOPITT over 16 years, Journal of Geophysical Research:
915
Atmospheres, 126, e2020JD033 967, https://doi.org/10.1029/2020JD033967, 2021. References E.: A space-
based, high-resolution view of notable changes in urban NOx pollution around the world (2005–2014), Journal of Geophysical Research:
Atmospheres, 121, 976–996, https://doi.org/10.1002/2015JD024121, 2016. 43 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Edwards, D., Emmons, L., Hauglustaine, D., Chu, D., Gille, J., Kaufman, Y., Pétron, G., Yurganov, L., Giglio, L., Deeter, M., et al.: Ob-
880
servations of carbon monoxide and aerosols from the Terra satellite: Northern Hemisphere variability, Journal of Geophysical Research:
Atmospheres, 109, https://doi.org/10.1029/2004JD004727, 2004. Edwards, D., Emmons, L., Hauglustaine, D., Chu, D., Gille, J., Kaufman, Y., Pétron, G., Yurganov, L., Giglio, L., Deeter, M., et al.: Ob-
880
servations of carbon monoxide and aerosols from the Terra satellite: Northern Hemisphere variability, Journal of Geophysical Research:
Atmospheres, 109, https://doi.org/10.1029/2004JD004727, 2004. Edwards, D., Emmons, L., Gille, J., Chu, A., Attié, J.-L., Giglio, L., Wood, S., Haywood, J., Deeter, M., Massie, S., et al.:
Satellite-observed pollution from Southern Hemisphere biomass burning, Journal of Geophysical Research: Atmospheres, 111,
https://doi.org/10.1029/2005JD006655, 2006. 885
Emmons, L. K., Walters, S., Hess, P. G., Lamarque, J.-F., Pfister, G. G., Fillmore, D., Granier, C., Guenther, A., Kinnison, D., Laepple, T.,
et al.: Description and evaluation of the Model for Ozone and Related chemical Tracers, version 4 (MOZART-4), Geoscientific Model
Development, 3, 43–67, https://doi.org/10.5194/gmd-3-43-2010, 2010. Eremenko, M., Dufour, G., Foret, G., Keim, C., Orphal, J., Beekmann, M., Bergametti, G., and Flaud, J.-M.: Tropospheric ozone distributions
over Europe during the heat wave in July 2007 observed from infrared nadir spectra recorded by IASI, Geophysical Research Letters, 35,
890
https://doi.org/10.1029/2008GL034803, 2008. Gaudel, A., Cooper, O. R., Ancellet, G., Barret, B., Boynard, A., Burrows, J., Clerbaux, C., Coheur, P.-F., Cuesta, J., Cuevas, E., et al.: Tro-
pospheric Ozone Assessment Report: Present-day distribution and trends of tropospheric ozone relevant to climate and global atmospheric
chemistry model evaluation, Elementa: science of the anthropocene, 6, https://doi.org/10.1525/elementa.291, 2018. Edwards, D., Emmons, L., Hauglustaine, D., Chu, D., Gille, J., Kaufman, Y., Pétron, G., Yurganov, L., Giglio, L., Deeter, M., et al.: Ob-
880
servations of carbon monoxide and aerosols from the Terra satellite: Northern Hemisphere variability, Journal of Geophysical Research:
Atmospheres, 109, https://doi.org/10.1029/2004JD004727, 2004. References N., et al.: Aura OMI observations of regional SO 2 and NO 2 pollution changes from 2005 to 2015, Atmospheric Chemistry and
940
Physics, 16, 4605–4629, https://doi.org/10.5194/acp-16-4605-2016, 2016. Kumar, R., Naja, M., Pfister, G., Barth, M., Wiedinmyer, C., and Brasseur, G.: Simulations over South Asia using the Weather Research and B. N., et al.: Aura OMI observations of regional SO 2 and NO 2 pollution changes from 2005 to 2015, Atmospheric Chemistry and
940
Physics, 16, 4605–4629, https://doi.org/10.5194/acp-16-4605-2016, 2016. Kumar, R., Naja, M., Pfister, G., Barth, M., Wiedinmyer, C., and Brasseur, G.: Simulations over South Asia using the Weather Research and
Forecasting model with Chemistry (WRF-Chem): chemistry evaluation and initial results, Geoscientific Model Development, 5, 619–648,
https://doi.org/10.5194/gmd-5-619-2012, 2012. Kumar, R., Naja, M., Pfister, G., Barth, M., Wiedinmyer, C., and Brasseur, G.: Simulations over South Asia using the Weather Research and
Forecasting model with Chemistry (WRF-Chem): chemistry evaluation and initial results, Geoscientific Model Development, 5, 619–648,
https://doi.org/10.5194/gmd-5-619-2012, 2012. Lannuque, V., Sauvage, B., Barret, B., Clark, H., Athier, G., Boulanger, D., Cammas, J.-P., Cousin, J.-M., Fontaine, A., Le Flochmoën, E.,
945
et al.: Origins and characterization of CO and O 3 in the African upper troposphere, Atmospheric chemistry and physics, 21, 14 535–
14 555, https://doi.org/10.5194/acp-21-14535-2021, 2021. Lannuque, V., Sauvage, B., Barret, B., Clark, H., Athier, G., Boulanger, D., Cammas, J.-P., Cousin, J.-M., Fontaine, A., Le Flochmoën, E.,
945
et al.: Origins and characterization of CO and O 3 in the African upper troposphere, Atmospheric chemistry and physics, 21, 14 535–
14 555, https://doi.org/10.5194/acp-21-14535-2021, 2021. Lawrence, M. and Lelieveld, J.: Atmospheric pollutant outflow from southern Asia: a review, Atmospheric Chemistry and Physics, 10,
11 017 11 096 https://doi org/10 5194/acp 10 11017 2010 2010 14 555, https://doi.org/10.5194/acp 21 14535 2021, 2021. Lawrence, M. and Lelieveld, J.: Atmospheric pollutant outflow from southern Asia: a review, Atmospheric Chemistry and Physics, 10,
11 017–11 096, https://doi.org/10.5194/acp-10-11017-2010, 2010. Lelieveld, J., Hoor, P., Jöckel, P., Pozzer, A., Hadjinicolaou, P., Cammas, J.-P., and Beirle, S.: Severe ozone air pollution in the Persian Gulf
950
region, Atmospheric Chemistry and Physics, 9, 1393–1406, https://doi.org/10.5194/acp-9-1393-2009, 2009. Lelieveld, J., Hoor, P., Jöckel, P., Pozzer, A., Hadjinicolaou, P., Cammas, J.-P., and Beirle, S.: Severe ozone air pollution in the Persian Gulf
950
region, Atmospheric Chemistry and Physics, 9, 1393–1406, https://doi.org/10.5194/acp-9-1393-2009, 2009. References E.,
920
et al.: Changes in biomass burning, wetland extent, or agriculture drive atmospheric NH 3 trends in select African regions, Atmospheric
Chemistry and Physics, 21, 16 277–16 291, https://doi.org/10.5194/acp-21-16277-2021, 2021. IPCC: Climate change 2021: The physical science basis, Tech. rep., http://www.ipcc.ch/report/ar6/wg1/, 2021. Jacob, D. J., Heikes, E., Fan, S.-M., Logan, J. A., Mauzerall, D., Bradshaw, J., Singh, H., Gregory, G., Talbot, R., Blake, D., et al.: Origin
of ozone and NOx in the tropical troposphere: A photochemical analysis of aircraft observations over the South Atlantic basin, Journal of
925
Geophysical Research: Atmospheres, 101, 24 235–24 250, https://doi.org/10.1029/96JD00336, 1996. Jaeglé, L., Martin, R., Chance, K., Steinberger, L., Kurosu, T., Jacob, D. J., Modi, A., Yoboué, V., Sigha-Nkamdjou, L., and Galy-
Lacaux C : Satellite mapping of rain-induced nitric oxide emissions from soils Journal of Geophysical Research: Atmospheres 109 Jacob, D. J., Heikes, E., Fan, S.-M., Logan, J. A., Mauzerall, D., Bradshaw, J., Singh, H., Gregory, G., Talbot, R., Blake, D., et al.: Origin
of ozone and NOx in the tropical troposphere: A photochemical analysis of aircraft observations over the South Atlantic basin, Journal of
925
Geophysical Research: Atmospheres, 101, 24 235–24 250, https://doi.org/10.1029/96JD00336, 1996. Jaeglé, L., Martin, R., Chance, K., Steinberger, L., Kurosu, T., Jacob, D. J., Modi, A., Yoboué, V., Sigha-Nkamdjou, L., and Galy-
Lacaux, C.: Satellite mapping of rain-induced nitric oxide emissions from soils, Journal of Geophysical Research: Atmospheres, 109,
https://doi.org/10.1029/2004JD004787, 2004. Jerrett, M., Burnett, R. T., Pope III, C. A., Ito, K., Thurston, G., Krewski, D., Shi, Y., Calle, E., and Thun, M.: Long-term ozone exposure
930
and mortality, New England Journal of Medicine, 360, 1085–1095, https://doi.org/10.1056/NEJMoa0803894, 2009. Jerrett, M., Burnett, R. T., Pope III, C. A., Ito, K., Thurston, G., Krewski, D., Shi, Y., Calle, E., and Thun, M.: Long-term ozone exposure
930
and mortality, New England Journal of Medicine, 360, 1085–1095, https://doi.org/10.1056/NEJMoa0803894, 2009. Jia, J., Ladstätter-Weißenmayer, A., Hou, X., Rozanov, A., and Burrows, J. P.: Tropospheric ozone maxima observed over the Arabian Sea
d
i
th
At
h i Ch
i t
d Ph
i
17 4915 4930 htt
//d i
/10 5194/
17 4915 2017 2017 Jerrett, M., Burnett, R. T., Pope III, C. A., Ito, K., Thurston, G., Krewski, D., Shi, Y., Calle, E., and Thun, M.: Long-term ozone exposure
930
and mortality, New England Journal of Medicine, 360, 1085–1095, https://doi.org/10.1056/NEJMoa0803894, 2009. Jia, J., Ladstätter-Weißenmayer, A., Hou, X., Rozanov, A., and Burrows, J. References 910
Gressent, A., Sauvage, B., Cariolle, D., Evans, M., Leriche, M., Mari, C., and Thouret, V.: Modeling lightning-NO x chemistry on a sub-grid
scale in a global chemical transport model, Atmospheric Chemistry and Physics, 16, 5867–5889, https://doi.org/10.5194/acp-16-5867-
2016, 2016. Hedelius, J. K., Toon, G. C., Buchholz, R. R., Iraci, L. T., Podolske, J. R., Roehl, C. M., Wennberg, P. O., Worden, H. M., and Wunch, Gressent, A., Sauvage, B., Cariolle, D., Evans, M., Leriche, M., Mari, C., and Thouret, V.: Modeling lightning-NO x chemistry on a sub-grid
scale in a global chemical transport model, Atmospheric Chemistry and Physics, 16, 5867–5889, https://doi.org/10.5194/acp-16-5867-
2016, 2016. D.: Regional and urban column CO trends and anomalies as observed by MOPITT over 16 years, Journal of Geophysical Research:
915
Atmospheres, 126, e2020JD033 967, https://doi.org/10.1029/2020JD033967, 2021. 44 44 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Heue, K.-P., Coldewey-Egbers, M., Delcloo, A., Lerot, C., Loyola, D., Valks, P., and Van Roozendael, M.: Trends of tropical tropospheric
ozone from 20 years of European satellite measurements and perspectives for the Sentinel-5 Precursor, Atmospheric Measurement Tech-
niques, 9, 5037–5051, https://doi.org/10.5194/amt-9-5037-2016, 2016. Hickman, J. E., Andela, N., Dammers, E., Clarisse, L., Coheur, P.-F., Van Damme, M., Di Vittorio, C. A., Ossohou, M., Bauer, S. E.,
920
et al.: Changes in biomass burning, wetland extent, or agriculture drive atmospheric NH 3 trends in select African regions, Atmospheric
Chemistry and Physics, 21, 16 277–16 291, https://doi.org/10.5194/acp-21-16277-2021, 2021. IPCC: Climate change 2021: The physical science basis, Tech. rep., http://www.ipcc.ch/report/ar6/wg1/, 2021. Jacob, D. J., Heikes, E., Fan, S.-M., Logan, J. A., Mauzerall, D., Bradshaw, J., Singh, H., Gregory, G., Talbot, R., Blake, D., et al.: Origin
of ozone and NOx in the tropical troposphere: A photochemical analysis of aircraft observations over the South Atlantic basin, Journal of
925
Geophysical Research: Atmospheres, 101, 24 235–24 250, https://doi.org/10.1029/96JD00336, 1996. Jaeglé, L., Martin, R., Chance, K., Steinberger, L., Kurosu, T., Jacob, D. J., Modi, A., Yoboué, V., Sigha-Nkamdjou, L., and Galy-
Lacaux, C.: Satellite mapping of rain-induced nitric oxide emissions from soils, Journal of Geophysical Research: Atmospheres, 109,
https://doi.org/10.1029/2004JD004787, 2004. Hickman, J. E., Andela, N., Dammers, E., Clarisse, L., Coheur, P.-F., Van Damme, M., Di Vittorio, C. A., Ossohou, M., Bauer, S. References P.: Tropospheric ozone maxima observed over the Arabian Sea
during the pre-monsoon, Atmospheric Chemistry and Physics, 17, 4915–4930, https://doi.org/10.5194/acp-17-4915-2017, 2017. Kaiser, J., Heil, A., Andreae, M., Benedetti, A., Chubarova, N., Jones, L., Morcrette, J.-J., Razinger, M., Schultz, M., Suttie, M., et al.: -Weißenmayer, A., Hou, X., Rozanov, A., and Burrows, J. P.: Tropospheric ozone maxima observed over the Jia, J., Ladstätter-Weißenmayer, A., Hou, X., Rozanov, A., and Burrows, J. P.: Tropospheric ozone maxima observed over the Arabian Sea
during the pre-monsoon, Atmospheric Chemistry and Physics, 17, 4915–4930, https://doi.org/10.5194/acp-17-4915-2017, 2017. during the pre-monsoon, Atmospheric Chemistry and Physics, 17, 4915–4930, https://doi.org/10.5194/acp-17-4915-2017, 2017. nsoon, Atmospheric Chemistry and Physics, 17, 4915–4930, https://doi.org/10.5194/acp-17-4915-2017, 2017 Kaiser, J., Heil, A., Andreae, M., Benedetti, A., Chubarova, N., Jones, L., Morcrette, J.-J., Razinger, M., Schultz, M., Suttie, M., et al.:
Biomass burning emissions estimated with a global fire assimilation system based on observed fire radiative power, Biogeosciences, 9,
935
527–554, https://doi.org/10.5194/bg-9-527-2012, 2012. Biomass burning emissions estimated with a global fire assimilation system based on observed fire radiative power, Biogeosciences, 9,
935
527–554, https://doi.org/10.5194/bg-9-527-2012, 2012. Kalmus, P., Ao, C. O., Wang, K.-N., Manzi, M. P., and Teixeira, J.: A high-resolution planetary boundary layer height seasonal climatology Biomass burning emissions estimated with a global fire assimilation system based on observed fire radiative power, Biogeosciences, 9,
935
527–554, https://doi.org/10.5194/bg-9-527-2012, 2012. Kalmus, P., Ao, C. O., Wang, K.-N., Manzi, M. P., and Teixeira, J.: A high-resolution planetary boundary layer height seasonal climatology
from GNSS radio occultations, Remote Sensing of Environment, 276, 113 037, https://doi.org/10.1016/j.rse.2022.113037, 2022. Kalmus, P., Ao, C. O., Wang, K.-N., Manzi, M. P., and Teixeira, J.: A high-resolution planetary boundary layer height seasonal climatology
from GNSS radio occultations, Remote Sensing of Environment, 276, 113 037, https://doi.org/10.1016/j.rse.2022.113037, 2022. Krotkov, N. A., McLinden, C. A., Li, C., Lamsal, L. N., Celarier, E. A., Marchenko, S. V., Swartz, W. H., Bucsela, E. J., Joiner, J., Duncan, Krotkov, N. A., McLinden, C. A., Li, C., Lamsal, L. N., Celarier, E. A., Marchenko, S. V., Swartz, W. H., Bucsela, E. J., Joiner, J., Duncan,
B. N., et al.: Aura OMI observations of regional SO 2 and NO 2 pollution changes from 2005 to 2015, Atmospheric Chemistry and
940
Physics, 16, 4605–4629, https://doi.org/10.5194/acp-16-4605-2016, 2016. ,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
B. References K., Fung, J. C., Zheng, J., and Liu, S.: Importance of NOx control for peak ozone reduction in the Pearl River Delta region,
Journal of Geophysical Research: Atmospheres, 118, 9428–9443, https://doi.org/10.1002/jgrd.50659, 2013. ,
,
,
,
g,
,
g,
,
,
p
p
Journal of Geophysical Research: Atmospheres, 118, 9428–9443, https://doi.org/10.1002/jgrd.50659, 201 Liousse, C., Assamoi, E., Criqui, P., Granier, C., and Rosset, R.: Explosive growth in African combustion emissions from 2005 to 2030,
Environmental Research Letters, 9, 035 003, https://doi.org/10.1088/1748-9326/9/3/035003, 2014. 60 Environmental Research Letters, 9, 035 003, https://doi.org/10.1088/1748-9326/9/3/035003, 2014. 960
Liu, J., Logan, J. A., Jones, D., Livesey, N., Megretskaia, I., Carouge, C., and Nedelec, P.: Analysis of CO in the tropical troposphere using
Aura satellite data and the GEOS-Chem model: insights into transport characteristics of the GEOS meteorological products, Atmospheric
Chemistry and Physics, 10, 12 207–12 232, https://doi.org/10.5194/acp-10-12207-2010, 2010. Livesey, N., Logan, J., Santee, M., Waters, J., Doherty, R., Read, W., Froidevaux, L., and Jiang, J.: Interrelated variations of O 3, CO and Liu, J., Logan, J. A., Jones, D., Livesey, N., Megretskaia, I., Carouge, C., and Nedelec, P.: Analysis of CO in the tropical troposphere using
Aura satellite data and the GEOS-Chem model: insights into transport characteristics of the GEOS meteorological products, Atmospheric
Chemistry and Physics, 10, 12 207–12 232, https://doi.org/10.5194/acp-10-12207-2010, 2010. Livesey, N., Logan, J., Santee, M., Waters, J., Doherty, R., Read, W., Froidevaux, L., and Jiang, J.: Interrelated variations of O 3, CO and
deep convection in the tropical/subtropical upper troposphere observed by the Aura Microwave Limb Sounder (MLS) during 2004–2011,
965
Atmospheric Chemistry and Physics, 13, 579–598, https://doi.org/10.5194/acp-13-579-2013, 2013. Logan, J. A.: An analysis of ozonesonde data for the troposphere: Recommendations for testing 3-D models and develop- y,
,
g
,
,
,
,
,
,
y,
,
,
,
,
,
g,
,
deep convection in the tropical/subtropical upper troposphere observed by the Aura Microwave Limb Sounder (MLS) during 2004–2011,
965
Atmospheric Chemistry and Physics, 13, 579–598, https://doi.org/10.5194/acp-13-579-2013, 2013. Logan, J. A.: An analysis of ozonesonde data for the troposphere: Recommendations for testing 3-D models and develop-
ment of a gridded climatology for tropospheric ozone, Journal of Geophysical Research: Atmospheres, 104, 16 115–16 149,
https://doi.org/10.1029/1998JD100096, 1999. Logan, J. A.: An analysis of ozonesonde data for the troposphere: Recommendations for testing 3-D models and develop-
ment of a gridded climatology for tropospheric ozone, Journal of Geophysical Research: Atmospheres, 104, 16 115–16 149,
https://doi.org/10.1029/1998JD100096, 1999. References Logan, J. A., Prather, M. J., Wofsy, S. C., and McElroy, M. B.: Tropospheric chemistry: A global perspective, Journal of Geophysical
970
Research: Oceans, 86, 7210–7254, https://doi.org/10.1029/JC086iC08p07210, 1981. Lu, X., Zhang, L., Zhao, Y., Jacob, D. J., Hu, Y., Hu, L., Gao, M., Liu, X., Petropavlovskikh, I., McClure-Begley, A., et al.: Surface and Logan, J. A., Prather, M. J., Wofsy, S. C., and McElroy, M. B.: Tropospheric chemistry: A global perspective, Journal of Geophysical
970
Research: Oceans, 86, 7210–7254, https://doi.org/10.1029/JC086iC08p07210, 1981. Logan, J. A., Prather, M. J., Wofsy, S. C., and McElroy, M. B.: Tropospheric chemistry: A global perspective, Journal of Geophysical
970
Research: Oceans, 86, 7210–7254, https://doi.org/10.1029/JC086iC08p07210, 1981. Lu, X., Zhang, L., Zhao, Y., Jacob, D. J., Hu, Y., Hu, L., Gao, M., Liu, X., Petropavlovskikh, I., McClure-Begley, A., et al.: Surface and
tropospheric ozone trends in the Southern Hemisphere since 1990: possible linkages to poleward expansion of the Hadley circulation,
Science Bulletin, 64, 400–409, https://doi.org/10.1016/j.scib.2018.12.021, 2019. Lu, X., Zhang, L., Zhao, Y., Jacob, D. J., Hu, Y., Hu, L., Gao, M., Liu, X., Petropavlovskikh, I., McClure-Begley, A., et al.: Surface and
tropospheric ozone trends in the Southern Hemisphere since 1990: possible linkages to poleward expansion of the Hadley circulation,
Science Bulletin, 64, 400–409, https://doi.org/10.1016/j.scib.2018.12.021, 2019. Marais, E. A. and Wiedinmyer, C.: Air quality impact of diffuse and inefficient combustion emissions in Africa (DICE-Africa), Environmental
975
science & technology, 50, 10 739–10 745, https://doi.org/10.1021/acs.est.6b02602, 2016. Marenco, A., Thouret, V., Nédélec, P., Smit, H., Helten, M., Kley, D., Karcher, F., Simon, P., Law, K., Pyle, J., et al.: Measurement of
ozone and water vapor by Airbus in-service aircraft: The MOZAIC airborne program, An overview, Journal of Geophysical Research:
Atmospheres, 103, 25 631–25 642, https://doi.org/10.1029/98JD00977, 1998. Marais, E. A. and Wiedinmyer, C.: Air quality impact of diffuse and inefficient combustion emissions in Africa (DICE-Africa), Environmental
975
science & technology, 50, 10 739–10 745, https://doi.org/10.1021/acs.est.6b02602, 2016. Marais, E. A. and Wiedinmyer, C.: Air quality impact of diffuse and inefficient combustion emissions in Africa (DICE-Africa), Environmental
975
science & technology, 50, 10 739–10 745, https://doi.org/10.1021/acs.est.6b02602, 2016. References Marenco, A., Thouret, V., Nédélec, P., Smit, H., Helten, M., Kley, D., Karcher, F., Simon, P., Law, K., Pyle, J., et al.: Measurement of Marenco, A., Thouret, V., Nédélec, P., Smit, H., Helten, M., Kley, D., Karcher, F., Simon, P., Law, K., Pyle, J., et al.: Measurement of
ozone and water vapor by Airbus in-service aircraft: The MOZAIC airborne program, An overview, Journal of Geophysical Research:
Atmospheres, 103, 25 631–25 642, https://doi.org/10.1029/98JD00977, 1998. Mari, C., Jacob, D. J., and Bechtold, P.: Transport and scavenging of soluble gases in a deep convective cloud, Journal of Geophysical
980
Research: Atmospheres, 105, 22 255–22 267, https://doi.org/10.1029/2000JD900211, 2000. Mari, C., Cailley, G., Corre, L., Saunois, M., Attié, J., Thouret, V., and Stohl, A.: Tracing biomass burning plumes from the Southern Hemi-
sphere during the AMMA 2006 wet season experiment, Atmospheric Chemistry and Physics, 8, 3951–3961, https://doi.org/10.5194/acp-
8-3951-2008, 2008. Mari, C., Jacob, D. J., and Bechtold, P.: Transport and scavenging of soluble gases in a deep convective cloud, Journal of Geophysical
980
Research: Atmospheres, 105, 22 255–22 267, https://doi.org/10.1029/2000JD900211, 2000. Mari, C., Cailley, G., Corre, L., Saunois, M., Attié, J., Thouret, V., and Stohl, A.: Tracing biomass burning plumes from the Southern Hemi-
sphere during the AMMA 2006 wet season experiment, Atmospheric Chemistry and Physics, 8, 3951–3961, https://doi.org/10.5194/acp-
8-3951-2008, 2008. Martin, S. T., Artaxo, P., Machado, L., Manzi, A. O., Souza, R. d., Schumacher, C., Wang, J., Biscaro, T., Brito, J., Calheiros, A., et al.:
985
The Green Ocean Amazon experiment (GoAmazon2014/5) observes pollution affecting gases, aerosols, clouds, and rainfall over the rain
forest, Bulletin of the American Meteorological Society, 98, 981–997, https://doi.org/10.1175/BAMS-D-15-00221.1, 2017. Martin, S. T., Artaxo, P., Machado, L., Manzi, A. O., Souza, R. d., Schumacher, C., Wang, J., Biscaro, T., Brito, J., Calheiros, A., et al.:
985
The Green Ocean Amazon experiment (GoAmazon2014/5) observes pollution affecting gases, aerosols, clouds, and rainfall over the rain
forest, Bulletin of the American Meteorological Society, 98, 981–997, https://doi.org/10.1175/BAMS-D-15-00221.1, 2017. McDuffie, E. E., Smith, S. J., O’Rourke, P., Tibrewal, K., Venkataraman, C., Marais, E. A., Zheng, B., Crippa, M., Brauer, M., and Mar-
tin, R. V.: A global anthropogenic emission inventory of atmospheric pollutants from sector-and fuel-specific sources (1970–2017): an
application of the Community Emissions Data System (CEDS), Earth System Science Data, 12, 3413–3442, https://doi.org/10.5194/essd-
990
12-3413-2020, 2020. forest, Bulletin of the American Meteorological Society, 98, 981 997, https://doi.org/10.1175/BAMS D 15 00221.1, 2017. McDuffie, E. References Lelieveld, J., Gromov, S., Pozzer, A., and Taraborrelli, D.: Global tropospheric hydroxyl distribution, budget and reactivity, Atmospheric Lelieveld, J., Hoor, P., Jöckel, P., Pozzer, A., Hadjinicolaou, P., Cammas, J.-P., and Beirle, S.: Severe ozone air pollution in the Persian Gulf
950
region, Atmospheric Chemistry and Physics, 9, 1393–1406, https://doi.org/10.5194/acp-9-1393-2009, 2009. Lelieveld, J., Gromov, S., Pozzer, A., and Taraborrelli, D.: Global tropospheric hydroxyl distribution, budget and reactivity, Atmospheric
Chemistry and Physics, 16, 12 477–12 493, https://doi.org/10.5194/acp-16-12477-2016, 2016. Lelieveld, J., Gromov, S., Pozzer, A., and Taraborrelli, D.: Global tropospheric hydroxyl distribution, budget and reactivity, Atmospheric
Chemistry and Physics, 16, 12 477–12 493, https://doi.org/10.5194/acp-16-12477-2016, 2016. 45 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Lelieveld, J. o., Crutzen, P., Ramanathan, V., Andreae, M., Brenninkmeijer, C., Campos, T., Cass, G., Dickerson, R., Fischer, H.,
De Gouw, J., et al.: The Indian Ocean experiment: widespread air pollution from South and Southeast Asia, Science, 291, 1031–1036,
5
https://doi.org/10.1126/science.1057103, 2001. Lelieveld, J. o., Crutzen, P., Ramanathan, V., Andreae, M., Brenninkmeijer, C., Campos, T., Cass, G., Dickerson, R., Fischer, H., Lelieveld, J. o., Crutzen, P., Ramanathan, V., Andreae, M., Brenninkmeijer, C., Campos, T., Cass, G., Dickerson, R., Fischer, H.,
De Gouw, J., et al.: The Indian Ocean experiment: widespread air pollution from South and Southeast Asia, Science, 291, 1031–1036,
955
https://doi.org/10.1126/science.1057103, 2001. Li, Y., Lau, A. K., Fung, J. C., Zheng, J., and Liu, S.: Importance of NOx control for peak ozone reduction in the Pearl River Delta region, Lelieveld, J. o., Crutzen, P., Ramanathan, V., Andreae, M., Brenninkmeijer, C., Campos, T., Cass, G Lelieveld, J. o., Crutzen, P., Ramanathan, V., Andreae, M., Brenninkmeijer, C., Campos, T., Cass, G., Dickerson, R., Fischer, H.,
De Gouw, J., et al.: The Indian Ocean experiment: widespread air pollution from South and Southeast Asia, Science, 291, 1031–1036,
955
https://doi.org/10.1126/science.1057103, 2001. Li, Y., Lau, A. K., Fung, J. C., Zheng, J., and Liu, S.: Importance of NOx control for peak ozone reduction in the Pearl River Delta region,
Journal of Geophysical Research: Atmospheres, 118, 9428–9443, https://doi.org/10.1002/jgrd.50659, 2013. Liousse, C., Assamoi, E., Criqui, P., Granier, C., and Rosset, R.: Explosive growth in African combustion emissions from 2005 to 2030, 955 Li, Y., Lau, A. K., Fung, J. C., Zheng, J., and Liu, S.: Importance of NOx control for peak ozone reduction Li, Y., Lau, A. References Nédélec, P., Blot, R., Boulanger, D., Athier, G., Cousin, J.-M., Gautron, B., Petzold, A., Volz-Thomas, A., and Thouret, V.: Instrumentation on
commercial aircraft for monitoring the atmospheric composition on a global scale: the IAGOS system, technical overview of ozone and
carbon monoxide measurements, Tellus B: Chemical and Physical Meteorology, 67, 27 791, https://doi.org/10.3402/tellusb.v67.27791, 2015. 1010
Pandey,
A.,
Sadavarte,
P.,
Rao,
A. B.,
and
Venkataraman,
C.:
Trends
in
multi-pollutant
emissions
from
a
technology-
linked inventory for India: II. Residential, agricultural and informal industry sectors, Atmospheric environment, 99, 341–352,
https://doi.org/10.1016/j.atmosenv.2014.09.080, 2014. Park M Randel W J Gettelman A Massie S T and Jiang J H : Transport above the Asian summer monsoon anticyclone inferred from Pandey,
A.,
Sadavarte,
P.,
Rao,
A. B.,
and
Venkataraman,
C.:
Trends
in
multi-pollutant
emissions
from
a
technology-
linked inventory for India: II. Residential, agricultural and informal industry sectors, Atmospheric environment, 99, 341–352,
https://doi.org/10.1016/j.atmosenv.2014.09.080, 2014. Park, M., Randel, W. J., Gettelman, A., Massie, S. T., and Jiang, J. H.: Transport above the Asian summer monsoon anticyclone inferred from
Aura Microwave Limb Sounder tracers, Journal of Geophysical Research: Atmospheres, 112, https://doi.org/10.1029/2006JD008294,
1015
2007. Park, M., Randel, W. J., Gettelman, A., Massie, S. T., and Jiang, J. H.: Transport above the Asian summer monsoon anticyclone inferred from
Aura Microwave Limb Sounder tracers, Journal of Geophysical Research: Atmospheres, 112, https://doi.org/10.1029/2006JD008294,
1015
2007. Park, M., Randel, W. J., Emmons, L. K., Bernath, P. F., Walker, K. A., and Boone, C. D.: Chemical isolation in the Asian mon- Aura Microwave Limb Sounder tracers, Journal of Geophysical Research: Atmospheres, 112, https://doi.org/10.1029/2006JD008294,
1015
2007. Park, M., Randel, W. J., Emmons, L. K., Bernath, P. F., Walker, K. A., and Boone, C. D.: Chemical isolation in the Asian mon-
soon anticyclone observed in Atmospheric Chemistry Experiment (ACE-FTS) data, Atmospheric Chemistry and Physics, 8, 757–764,
https://doi.org/10.5194/acp-8-757-2008, 2008. Park, M., Randel, W. J., Emmons, L. K., Bernath, P. F., Walker, K. A., and Boone, C. D.: Chemical isolation in the Asian mon-
soon anticyclone observed in Atmospheric Chemistry Experiment (ACE-FTS) data, Atmospheric Chemistry and Physics, 8, 757–764,
https://doi.org/10.5194/acp-8-757-2008, 2008. Petetin, H., Thouret, V., Athier, G., Blot, R., Boulanger, D., Cousin, J.-M., Gaudel, A., Nédélec, P., and Cooper, O.: Diurnal cycle of ozone
1020
throughout the troposphere over Frankfurt as measured by MOZAIC-IAGOS commercial aircraftDiurnal cycle of ozone throughout the
troposphere, Elementa: Science of the Anthropocene, 4, https://doi.org/10.12952/journal.elementa.000129, 2016. References E., Smith, S. J., O’Rourke, P., Tibrewal, K., Venkataraman, C., Marais, E. A., Zheng, B., Crippa, M., Brauer, M., and Mar-
tin, R. V.: A global anthropogenic emission inventory of atmospheric pollutants from sector-and fuel-specific sources (1970–2017): an
application of the Community Emissions Data System (CEDS), Earth System Science Data, 12, 3413–3442, https://doi.org/10.5194/essd-
990
12-3413-2020, 2020. 46 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Monks, P. S.: Gas-phase radical chemistry in the troposphere, Chemical Society Reviews, 34, 376–395, https://doi.org/10.1039/B307982C,
2005. Monks, P. S.: Gas-phase radical chemistry in the troposphere, Chemical Society Reviews, 34, 376–395, https://doi.org/10.1039/B307982C,
2005. Monks, P. S., Archibald, A., Colette, A., Cooper, O., Coyle, M., Derwent, R., Fowler, D., Granier, C., Law, K. S., Mills, G., et al.: Tropospheric
ozone and its precursors from the urban to the global scale from air quality to short-lived climate forcer, Atmospheric Chemistry and
995
Physics, 15, 8889–8973, https://doi.org/10.5194/acp-15-8889-2015, 2015. Myhre, G., Samset, B. H., Schulz, M., Balkanski, Y., Bauer, S., Berntsen, T. K., Bian, H., Bellouin, N., Chin, M., Diehl, T., et al.: Ra-
diative forcing of the direct aerosol effect from AeroCom Phase II simulations, Atmospheric Chemistry and Physics, 13, 1853–1877,
https://doi.org/10.5194/acp-13-1853-2013, 2013. Monks, P. S., Archibald, A., Colette, A., Cooper, O., Coyle, M., Derwent, R., Fowler, D., Granier, C., Law, K. S., Mills, G., et al.: Tropospheric
ozone and its precursors from the urban to the global scale from air quality to short-lived climate forcer, Atmospheric Chemistry and
995
Physics, 15, 8889–8973, https://doi.org/10.5194/acp-15-8889-2015, 2015. Monks, P. S., Archibald, A., Colette, A., Cooper, O., Coyle, M., Derwent, R., Fowler, D., Granier, C., Law, K. S., Mills, G., et al.: Tropospheric
ozone and its precursors from the urban to the global scale from air quality to short-lived climate forcer, Atmospheric Chemistry and
95
Physics, 15, 8889–8973, https://doi.org/10.5194/acp-15-8889-2015, 2015. Myhre, G., Samset, B. H., Schulz, M., Balkanski, Y., Bauer, S., Berntsen, T. K., Bian, H., Bellouin, N., Chin, M., Diehl, T., et al.: Ra- Monks, P. S., Archibald, A., Colette, A., Cooper, O., Coyle, M., Derwent, R., Fowler, D., Granier, C., Law, K. S., Mills, G., et al.: Tropospheric
ozone and its precursors from the urban to the global scale from air quality to short-lived climate forcer, Atmospheric Chemistry and
5
Physics, 15, 8889–8973, https://doi.org/10.5194/acp-15-8889-2015, 2015. References 995 ozone and its precursors from the urban to the global scale from air quality to short lived climate forcer, Atmospheric Chemistry and
995
Physics, 15, 8889–8973, https://doi.org/10.5194/acp-15-8889-2015, 2015. Myhre, G., Samset, B. H., Schulz, M., Balkanski, Y., Bauer, S., Berntsen, T. K., Bian, H., Bellouin, N., Chin, M., Diehl, T., et al.: Ra-
diative forcing of the direct aerosol effect from AeroCom Phase II simulations, Atmospheric Chemistry and Physics, 13, 1853–1877,
https://doi.org/10.5194/acp-13-1853-2013, 2013. Myhre, G., Samset, B. H., Schulz, M., Balkanski, Y., Bauer, S., Berntsen, T. K., Bian, H., Bellouin, N., Chin, M., Diehl, T., et al.: Ra-
diative forcing of the direct aerosol effect from AeroCom Phase II simulations, Atmospheric Chemistry and Physics, 13, 1853–1877,
https://doi.org/10.5194/acp-13-1853-2013, 2013. Naus, S., Domingues, L. G., Krol, M., Luijkx, I. T., Gatti, L. V., Miller, J. B., Gloor, E., Basu, S., Correia, C., Koren, G., et al.: Sixteen years
1000
of MOPITT satellite data strongly constrain Amazon CO fire emissions, European Geoscience Union (EGU) General Assembly 2022, pp. 1–25, https://doi.org/10.5194/egusphere-2022-450, 2022. Nedelec, P., Cammas, J.-P., Thouret, V., Athier, G., Cousin, J.-M., Legrand, C., Abonnel, C., Lecoeur, F., Cayez, G., and Marizy, C.: An
improved infrared carbon monoxide analyser for routine measurements aboard commercial Airbus aircraft: technical validation and first Naus, S., Domingues, L. G., Krol, M., Luijkx, I. T., Gatti, L. V., Miller, J. B., Gloor, E., Basu, S., Correia, C., Koren, G., et al.: Sixteen years
1000
of MOPITT satellite data strongly constrain Amazon CO fire emissions, European Geoscience Union (EGU) General Assembly 2022, pp. 1–25, https://doi.org/10.5194/egusphere-2022-450, 2022. 1–25, https://doi.org/10.5194/egusphere-2022-450, 2022. Nedelec, P., Cammas, J.-P., Thouret, V., Athier, G., Cousin, J.-M., Legrand, C., Abonnel, C., Lecoeur, F., Cayez, G., and Marizy, C.: An
improved infrared carbon monoxide analyser for routine measurements aboard commercial Airbus aircraft: technical validation and first improved infrared carbon monoxide analyser for routine measurements aboard commercial Airbus aircraft: technical validation and first
scientific results of the MOZAIC III programme, Atmospheric Chemistry and Physics, 3, 1551–1564, https://doi.org/10.5194/acp-3-1551-
1005
2003, 2003. scientific results of the MOZAIC III programme, Atmospheric Chemistry and Physics, 3, 1551–1564, https://doi.org/10.5194/acp-3-1551-
1005
2003, 2003. References M.: Vertical transport by convective clouds:
Comparisons of three modeling approaches, Geophysical research letters, 22, 1089–1092, https://doi.org/10.1029/95GL00889, 1995. 030
Reeves, C., Formenti, P., Afif, C., Ancellet, G., Attié, J.-L., Bechara, J., Borbon, A., Cairo, F., Coe, H., Crumeyrolle, S., et al.: Chemical and
aerosol characterisation of the troposphere over West Africa during the monsoon period as part of AMMA, Atmospheric Chemistry and
Physics, 10, 7575–7601, https://doi.org/10.5194/acp-10-7575-2010, 2010. 1030 Reeves, C., Formenti, P., Afif, C., Ancellet, G., Attié, J.-L., Bechara, J., Borbon, A., Cairo, F., Coe, H., Crumeyrolle, S., et al.: Chemical and
aerosol characterisation of the troposphere over West Africa during the monsoon period as part of AMMA, Atmospheric Chemistry and
Physics, 10, 7575–7601, https://doi.org/10.5194/acp-10-7575-2010, 2010. transport sectors, Atmospheric environment, 99, 353–364, https://doi.org/10.1016/j.atmosenv.2014.09.081, 2014. 1035
Safieddine, S., Boynard, A., Coheur, P.-F., Hurtmans, D., Pfister, G., Quennehen, B., Thomas, J. L., Raut, J.-C., Law, K. S., Klimont, Z.,
et al.: Summertime tropospheric ozone assessment over the Mediterranean region using the thermal infrared IASI/MetOp sounder and the
WRF-Chem model, Atmospheric chemistry and physics, 14, 10 119–10 131, https://doi.org/10.5194/acp-14-10119-2014, 2014. Safieddine, S., Boynard, A., Hao, N., Huang, F., Wang, L., Ji, D., Barret, B., Ghude, S. D., Coheur, P.-F., Hurtmans, D., et al.: Tropo- Safieddine, S., Boynard, A., Coheur, P.-F., Hurtmans, D., Pfister, G., Quennehen, B., Thomas, J. L., Raut, J.-C., Law, K. S., Klimont, Z.,
et al.: Summertime tropospheric ozone assessment over the Mediterranean region using the thermal infrared IASI/MetOp sounder and the
WRF-Chem model, Atmospheric chemistry and physics, 14, 10 119–10 131, https://doi.org/10.5194/acp-14-10119-2014, 2014.i Safieddine, S., Boynard, A., Hao, N., Huang, F., Wang, L., Ji, D., Barret, B., Ghude, S. D., Coheur, P.-F., Hurtmans, D., et al.: Tropo-
spheric ozone variability during the East Asian summer monsoon as observed by satellite (IASI), aircraft (MOZAIC) and ground stations,
1040
Atmospheric Chemistry and Physics, 16, 10 489–10 500, https://doi.org/10.5194/acp-16-10489-2016, 2016. spheric ozone variability during the East Asian summer monsoon as observed by satellite (IASI), aircraft (MOZAIC) and ground stations,
1040
Atmospheric Chemistry and Physics, 16, 10 489–10 500, https://doi.org/10.5194/acp-16-10489-2016, 2016. Sahu, L., Sheel, V., Kajino, M., Gunthe, S. S., Thouret, V., Nedelec, P., and Smit, H. G.: Characteristics of tropospheric ozone variability
over an urban site in Southeast Asia: A study based on MOZAIC and MOZART vertical profiles, Journal of Geophysical Research:
Atmospheres, 118, 8729–8747, https://doi.org/10.1002/jgrd.50662, 2013. Sahu, L., Sheel, V., Kajino, M., Gunthe, S. S., Thouret, V., Nedelec, P., and Smit, H. References G.: Characteristics of tropospheric ozone variability
over an urban site in Southeast Asia: A study based on MOZAIC and MOZART vertical profiles, Journal of Geophysical Research:
Atmospheres, 118, 8729–8747, https://doi.org/10.1002/jgrd.50662, 2013. Sahu, L., Sheel, V., Kajino, M., Deushi, M., Gunthe, S. S., Sinha, P., Sauvage, B., Thouret, V., and Smit, H. G.: Seasonal and interannual
1045
variability of tropospheric ozone over an urban site in India: A study based on MOZAIC and CCM vertical profiles over Hyderabad,
Journal of Geophysical Research: Atmospheres, 119, 3615–3641, https://doi.org/10.1002/2013JD021215, 2014. Saunois, M., Reeves, C., Mari, C., Murphy, J., Stewart, D. J., Mills, G., Oram, D., and Purvis, R.: Factors controlling the distribution of
i
th W t Af i
l
t
h
d
i
th AMMA (Af i
M
M ltidi
i li
A
l
i )
t
i Sahu, L., Sheel, V., Kajino, M., Deushi, M., Gunthe, S. S., Sinha, P., Sauvage, B., Thouret, V., and Smit, H. G.: Seasonal and interannual
1045
variability of tropospheric ozone over an urban site in India: A study based on MOZAIC and CCM vertical profiles over Hyderabad,
Journal of Geophysical Research: Atmospheres, 119, 3615–3641, https://doi.org/10.1002/2013JD021215, 2014. variability of tropospheric ozone over an urban site in India: A study based on MOZAIC and CCM vertical profiles over Hyderabad,
Journal of Geophysical Research: Atmospheres, 119, 3615–3641, https://doi.org/10.1002/2013JD021215, 2014. Saunois, M., Reeves, C., Mari, C., Murphy, J., Stewart, D. J., Mills, G., Oram, D., and Purvis, R.: Factors controlling the distribution of
ozone in the West African lower troposphere during the AMMA (African Monsoon Multidisciplinary Analysis) wet season campaign, Saunois, M., Reeves, C., Mari, C., Murphy, J., Stewart, D. J., Mills, G., Oram, D., and Purvis, R.: Factors controlling the distribution of
ozone in the West African lower troposphere during the AMMA (African Monsoon Multidisciplinary Analysis) wet season campaign,
Atmospheric Chemistry and Physics, 9, 6135–6155, https://doi.org/10.5194/acp-9-6135-2009, 2009. 1050 Atmospheric Chemistry and Physics, 9, 6135–6155, https://doi.org/10.5194/acp-9-6135-2009, 2009. 1050
Sauvage, B., Thouret, V., Cammas, J.-P., Gheusi, F., Athier, G., and Nédélec, P.: Tropospheric ozone over Equatorial Africa: regional aspects
from the MOZAIC data, Atmospheric Chemistry and Physics, 5, 311–335, https://doi.org/10.5194/acp-5-311-2005, 2005. References Sauvage, B., Thouret, V., Thompson, A., Witte, J., Cammas, J.-P., Nédélec, P., and Athier, G.: Enhanced view of the “tropical Atlantic ozone
paradox” and “zonal wave one” from the in situ MOZAIC and SHADOZ data, Journal of Geophysical Research: Atmospheres, 111, Sauvage, B., Thouret, V., Cammas, J.-P., Gheusi, F., Athier, G., and Nédélec, P.: Tropospheric ozone over Equatorial Africa: regional aspects
from the MOZAIC data, Atmospheric Chemistry and Physics, 5, 311–335, https://doi.org/10.5194/acp-5-311-2005, 2005. ,
p
y
y
, ,
,
p
g
p
,
Sauvage, B., Thouret, V., Thompson, A., Witte, J., Cammas, J.-P., Nédélec, P., and Athier, G.: Enhanced view of the “tropical Atlantic ozone
paradox” and “zonal wave one” from the in situ MOZAIC and SHADOZ data, Journal of Geophysical Research: Atmospheres, 111,
htt
//d i
/10 1029/2005JD006241 2006
1055 https://doi.org/10.1029/2005JD006241, 2006. 1055
Sauvage, B., Gheusi, F., Thouret, V., Cammas, J.-P., Duron, J., Escobar, J., Mari, C., Mascart, P., and Pont, V.: Medium-range mid-
tropospheric transport of ozone and precursors over Africa: two numerical case studies in dry and wet seasons, Atmospheric Chemistry
and Physics, 7, 5357–5370, https://doi.org/10.5194/acp-7-5357-2007, 2007a. Sauvage, B., Martin, R., Van Donkelaar, A., Liu, X., Chance, K., Jaeglé, L., Palmer, P., Wu, S., and Fu, T.-M.: Remote sensed and in situ con-
straints on processes affecting tropical tropospheric ozone, Atmospheric Chemistry and Physics, 7, 815–838, https://doi.org/10.5194/acp-
1060
7-815-2007, 2007b. g ,
,
,
,
,
,
,
,
,
,
g ,
,
,
,
,
,
,
straints on processes affecting tropical tropospheric ozone, Atmospheric Chemistry and Physics, 7, 815–838, https://doi.org/10.5194/acp-
1060
7-815-2007, 2007b. Sauvage, B., Martin, R. V., Van Donkelaar, A., and Ziemke, J.: Quantification of the factors controlling tropical tropospheric ozone and the
South Atlantic maximum, Journal of Geophysical Research: Atmospheres, 112, https://doi.org/10.1029/2006JD008008, 2007c. Sauvage, B., Thouret, V., Cammas, J.-P., Brioude, J., Nedelec, P., and Mari, C.: Meridional ozone gradients in the African upper troposphere, 1060 p
g
p
p
p
,
p
y
y
, ,
,
p
g
9
p
060
7-815-2007, 2007b. Sauvage, B., Martin, R. V., Van Donkelaar, A., and Ziemke, J.: Quantification of the factors controlling tropical tropospheric ozone and the
South Atlantic maximum, Journal of Geophysical Research: Atmospheres, 112, https://doi.org/10.1029/2006JD008008, 2007c. Sauvage, B., Martin, R. V., Van Donkelaar, A., and Ziemke, J.: Quantification of the factors controlling tropical tropospheric ozone and the
South Atlantic maximum, Journal of Geophysical Research: Atmospheres, 112, https://doi.org/10.1029/2006JD008008, 2007c. References Petetin, H., Thouret, V., Athier, G., Blot, R., Boulanger, D., Cousin, J.-M., Gaudel, A., Nédélec, P., and Cooper, O.: Diurnal cycle of ozone
1020
throughout the troposphere over Frankfurt as measured by MOZAIC-IAGOS commercial aircraftDiurnal cycle of ozone throughout the
troposphere, Elementa: Science of the Anthropocene, 4, https://doi.org/10.12952/journal.elementa.000129, 2016. Petetin, H., Sauvage, B., Parrington, M., Clark, H., Fontaine, A., Athier, G., Blot, R., Boulanger, D., Cousin, J.-M., Nédélec, P., et al.: The
l
f bi
b
i
d i
d f
th t
h i CO
ti
l
fil
d b IAGOS i
ft i 2002 2017 At
h i Petetin, H., Sauvage, B., Parrington, M., Clark, H., Fontaine, A., Athier, G., Blot, R., Boulanger, D., Cousin, J.-M., Nédélec, P., et al.: The
role of biomass burning as derived from the tropospheric CO vertical profiles measured by IAGOS aircraft in 2002–2017, Atmospheric
Ch
i t
d Ph
i
18 17 277 17 306 htt
//d i
/10 5194/
18 17277 2018 2018
1025 Chemistry and Physics, 18, 17 277–17 306, https://doi.org/10.5194/acp-18-17277-2018, 2018. 1025
Petzold, A., Thouret, V., Gerbig, C., Zahn, A., Brenninkmeijer, C. A., Gallagher, M., Hermann, M., Pontaud, M., Ziereis, H., Boulanger,
D., et al.: Global-scale atmosphere monitoring by in-service aircraft–current achievements and future prospects of the European Research
Infrastructure IAGOS, Tellus B: Chemical and Physical Meteorology, 67, 28 452, https://doi.org/10.3402/tellusb.v67.28452, 2015. 47 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Pickering, K. E., Thompson, A. M., Tao, W.-K., Rood, R. B., McNamara, D. P., and Molod, A. M.: Vertical transport by convective clouds:
Comparisons of three modeling approaches, Geophysical research letters, 22, 1089–1092, https://doi.org/10.1029/95GL00889, 1995. 030
Reeves, C., Formenti, P., Afif, C., Ancellet, G., Attié, J.-L., Bechara, J., Borbon, A., Cairo, F., Coe, H., Crumeyrolle, S., et al.: Chemical and
aerosol characterisation of the troposphere over West Africa during the monsoon period as part of AMMA, Atmospheric Chemistry and
Physics, 10, 7575–7601, https://doi.org/10.5194/acp-10-7575-2010, 2010. Pickering, K. E., Thompson, A. M., Tao, W.-K., Rood, R. B., McNamara, D. P., and Molod, A. M.: Vertical transport by convective clouds:
Comparisons of three modeling approaches, Geophysical research letters, 22, 1089–1092, https://doi.org/10.1029/95GL00889, 1995. 0 Pickering, K. E., Thompson, A. M., Tao, W.-K., Rood, R. B., McNamara, D. P., and Molod, A. References Sauvage, B., Thouret, V., Cammas, J.-P., Brioude, J., Nedelec, P., and Mari, C.: Meridional ozone gradients in the African upper troposphere,
Geophysical Research Letters, 34, https://doi.org/10.1029/2006GL028542, 2007d. 1065 Geophysical Research Letters, 34, https://doi.org/10.1029/2006GL028542, 2007d. 1065 1065 Geophysical Research Letters, 34, https://doi.org/10.1029/2006GL028542, 2007d. 1065 48 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Sauvage, B., Fontaine, A., Eckhardt, S., Auby, A., Boulanger, D., Petetin, H., Paugam, R., Athier, G., Cousin, J.-M., Darras, S., et al.: Source
attribution using FLEXPART and carbon monoxide emission inventories: SOFT-IO version 1.0, Atmospheric Chemistry and Physics, 17,
15 271–15 292, https://doi.org/10.5194/acp-17-15271-2017, 2017. Sheel, V., Sahu, L., Kajino, M., Deushi, M., Stein, O., and Nedelec, P.: Seasonal and interannual variability of carbon monoxide based
on MOZAIC observations, MACC reanalysis, and model simulations over an urban site in India, Journal of Geophysical Research:
Atmospheres, 119, 9123–9141, https://doi.org/10.1002/2013JD021425, 2014. Sheel, V., Sahu, L., Kajino, M., Deushi, M., Stein, O., and Nedelec, P.: Seasonal and interannual variability of carbon monoxide based
on MOZAIC observations, MACC reanalysis, and model simulations over an urban site in India, Journal of Geophysical Research:
Atmospheres, 119, 9123–9141, https://doi.org/10.1002/2013JD021425, 2014. 1070 Singh, H., Herlth, D., Kolyer, R., Chatfield, R., Viezee, W., Salas, L., Chen, Y., Bradshaw, J., Sandholm, S., Talbot, R., et al.: Impact of
biomass burning emissions on the composition of the South Atlantic troposphere: Reactive nitrogen and ozone, Journal of Geophysical
Research: Atmospheres, 101, 24 203–24 219, https://doi.org/10.1029/96JD01018, 1996. Stevenson, D., Young, P., Naik, V., Lamarque, J.-F., Shindell, D. T., Voulgarakis, A., Skeie, R. B., Dalsoren, S. B., Myhre, G., Berntsen,
1075
T. K., et al.: Tropospheric ozone changes, radiative forcing and attribution to emissions in the Atmospheric Chemistry and Climate
Model Intercomparison Project (ACCMIP), Atmospheric Chemistry and Physics, 13, 3063–3085, https://doi.org/10.5194/acp-13-3063-
2013, 2013. Stohl, A., Bonasoni, P., Cristofanelli, P., Collins, W., Feichter, J., Frank, A., Forster, C., Gerasopoulos, Stohl, A., Bonasoni, P., Cristofanelli, P., Collins, W., Feichter, J., Frank, A., Forster, C., Gerasopoulos, E., Gäggeler, H., James, P., et al.:
Stratosphere-troposphere exchange: A review, and what we have learned from STACCATO, Journal of Geophysical Research: Atmo-
1080
spheres, 108, https://doi.org/10.1029/2002JD002490, 2003. Stratosphere-troposphere exchange: A review, and what we have learned from STACCATO, Journal of Geophysical Research: Atmo-
1080
spheres, 108, https://doi.org/10.1029/2002JD002490, 2003. References Stratosphere-troposphere exchange: A review, and what we have learned from STACCATO, Journal of Geophysical Research: Atmo-
1080
spheres, 108, https://doi.org/10.1029/2002JD002490, 2003. Tang, Q., Prather, M., and Hsu, J.: Stratosphere-troposphere exchange ozone flux related to deep convection, Geophysical Research Letters,
38, https://doi.org/10.1029/2010GL046039, 2011. p
p
g
Tang, Q., Prather, M., and Hsu, J.: Stratosphere-troposphere exchange ozone flux related to deep convection, Geophysical Research Letters,
38, https://doi.org/10.1029/2010GL046039, 2011. Tarasick, D., Carey-Smith, T., Hocking, W., Moeini, O., He, H., Liu, J., Osman, M., Thompson, A., Johnson, B., Oltmans, S., et al.: Quantify-
ing stratosphere-troposphere transport of ozone using balloon-borne ozonesondes, radar windprofilers and trajectory models, Atmospheric
1085
Environment, 198, 496–509, https://doi.org/10.1016/j.atmosenv.2018.10.040, 2019. y
g
p
Q
y
ing stratosphere-troposphere transport of ozone using balloon-borne ozonesondes, radar windprofilers and trajectory models, Atmospheric
1085
Environment, 198, 496–509, https://doi.org/10.1016/j.atmosenv.2018.10.040, 2019. Thompson, A. M., Witte, J. C., Hudson, R. D., Guo, H., Herman, J. R., and Fujiwara, M.: Tropical tropospheric ozone and biomass burning,
S i
291 2128 2132 htt
//d i
/10 1126/
i
291 5511 2128 2001 ing stratosphere-troposphere transport of ozone using balloon-borne ozonesondes, radar windprofilers and trajectory models, Atmospheric
1085
Environment, 198, 496–509, https://doi.org/10.1016/j.atmosenv.2018.10.040, 2019. Thompson, A. M., Witte, J. C., Hudson, R. D., Guo, H., Herman, J. R., and Fujiwara, M.: Tropical tropospheric ozone and biomass burning,
Science, 291, 2128–2132, https://doi.org/10.1126/science.291.5511.2128, 2001. Thompson, A. M., Witte, J. C., McPeters, R. D., Oltmans, S. J., Schmidlin, F. J., Logan, J. A., Fujiwara, M., Kirchhoff, V. W., Posny, F., Thompson, A. M., Witte, J. C., Hudson, R. D., Guo, H., Herman, J. R., and Fujiwara, M.: Tropical tropospheric ozone and biomass burning,
Science, 291, 2128–2132, https://doi.org/10.1126/science.291.5511.2128, 2001. Thompson, A. M., Witte, J. C., McPeters, R. D., Oltmans, S. J., Schmidlin, F. J., Logan, J. A., Fujiwara, M Thompson, A. M., Witte, J. C., McPeters, R. D., Oltmans, S. J., Schmidlin, F. J., Logan, J. A., Fujiwara, M., Kirchhoff, V. W., Posny, F.,
Coetzee, G. J., et al.: Southern hemisphere additional Ozonesondes (SHADOZ) 1998–2000 tropical ozone climatology 1. Comparison
1090
with Total ozone mapping spectrometer (TOMS) and ground-based measurements, Journal of Geophysical Research: Atmospheres, 108,
https://doi.org/10.1029/2001JD000967, 2003a. Coetzee, G. J., et al.: Southern hemisphere additional Ozonesondes (SHADOZ) 1998–2000 tropical ozone climatology 1. Comparison
1090
with Total ozone mapping spectrometer (TOMS) and ground-based measurements, Journal of Geophysical Research: Atmospheres, 108,
https://doi.org/10.1029/2001JD000967, 2003a. Thompson, A. M., Witte, J. C., Oltmans, S. J., Schmidlin, F. J., Logan, J. References A., Fujiwara, M., Kirchhoff, V. W., Posny, F., Coetzee, G. J.,
Hoegger, B., et al.: Southern Hemisphere Additional Ozonesondes (SHADOZ) 1998–2000 tropical ozone climatology 2. Tropospheric Thompson, A. M., Witte, J. C., Oltmans, S. J., Schmidlin, F. J., Logan, J. A., Fujiwara, M., Kirchhoff, V. W., Posny, F., Coetzee, G. J.,
Hoegger, B., et al.: Southern Hemisphere Additional Ozonesondes (SHADOZ) 1998–2000 tropical ozone climatology 2. Tropospheric
variability and the zonal wave-one, Journal of Geophysical Research: Atmospheres, 108, https://doi.org/10.1029/2002JD002241, 2003b. 1095 Thompson, A. M., Witte, J. C., Oltmans, S. J., Schmidlin, F. J., Logan, J. A., Fujiwara, M., Kirchhoff, V
Hoegger, B., et al.: Southern Hemisphere Additional Ozonesondes (SHADOZ) 1998–2000 tropical ozon variability and the zonal wave-one, Journal of Geophysical Research: Atmospheres, 108, https://doi.org/10.1029/2002JD002241, 2003b. 1095
Thompson, A. M., Stauffer, R. M., Wargan, K., Witte, J. C., Kollonige, D. E., and Ziemke, J. R.: Regional and Seasonal trends in trop-
ical ozone from SHADOZ profiles: Reference for models and satellite products, Journal of Geophysical Research: Atmospheres, 126,
e2021JD034 691, https://doi.org/10.1029/2021JD034691, 2021. Thouret, V., Marenco, A., Logan, J. A., Nédélec, P., and Grouhel, C.: Comparisons of ozone measurements from the MOZAIC air- variability and the zonal wave-one, Journal of Geophysical Research: Atmospheres, 108, https://doi.org/10.1029/2002JD002241, 2003b. 1095
Thompson, A. M., Stauffer, R. M., Wargan, K., Witte, J. C., Kollonige, D. E., and Ziemke, J. R.: Regional and Seasonal trends in trop-
ical ozone from SHADOZ profiles: Reference for models and satellite products, Journal of Geophysical Research: Atmospheres, 126,
e2021JD034 691, https://doi.org/10.1029/2021JD034691, 2021. Thouret, V., Marenco, A., Logan, J. A., Nédélec, P., and Grouhel, C.: Comparisons of ozone measurements from the MOZAIC air-
borne program and the ozone sounding network at eight locations, Journal of Geophysical Research: Atmospheres, 103, 25 695–25 720,
1100
https://doi.org/10.1029/98JD02243, 1998. y
,
p y
p
,
,
p
g
,
Thompson, A. M., Stauffer, R. M., Wargan, K., Witte, J. C., Kollonige, D. E., and Ziemke, J. R.: Regional and Seasonal trends in trop-
ical ozone from SHADOZ profiles: Reference for models and satellite products, Journal of Geophysical Research: Atmospheres, 126,
e2021JD034 691, https://doi.org/10.1029/2021JD034691, 2021. Thouret, V., Marenco, A., Logan, J. A., Nédélec, P., and Grouhel, C.: Comparisons of ozone measurements from the MOZAIC air-
borne program and the ozone sounding network at eight locations, Journal of Geophysical Research: Atmospheres, 103, 25 695–25 720,
1100
https://doi.org/10.1029/98JD02243, 1998. References R., Gaudel, A., Thompson, A. M., Nédélec, P., Ogino, S.-Y., and West, J. J.: Tropospheric ozone change from 1980 to
2010 dominated by equatorward redistribution of emissions, Nature Geoscience, 9, 875–879, https://doi.org/10.1038/ngeo2827, 2016. Zhang, Y., West, J. J., Emmons, L. K., Flemming, J., Jonson, J. E., Lund, M. T., Sekiya, T., Sudo, K., Gaudel, A., Chang, K.-L., et al.:
Contributions of world regions to the global tropospheric ozone burden change from 1980 to 2010, Geophysical Research Letters, 48,
1125
e2020GL089 184, https://doi.org/10.1029/2020GL089184, 2021. Zheng, B., Chevallier, F., Ciais, P., Yin, Y., Deeter, M. N., Worden, H. M., Wang, Y., Zhang, Q., and He, K.: Rapid decline in car-
bon monoxide emissions and export from East Asia between years 2005 and 2016 Environmental Research Letters 13 044 007 Yarragunta, Y., Srivastava, S., Mitra, D., Le Flochmoën, E., Barret, B., Kumar, P., and Chandola, H.: Source attribution of carbon
monoxide and ozone over the Indian subcontinent using MOZART-4 chemistry transport model, Atmospheric Research, 227, 165–177,
1120
https://doi.org/10.1016/j.atmosres.2019.04.019, 2019. Zhang, Y., Cooper, O. R., Gaudel, A., Thompson, A. M., Nédélec, P., Ogino, S.-Y., and West, J. J.: Tropospheric ozone change from 1980 to
2010 dominated by equatorward redistribution of emissions, Nature Geoscience, 9, 875–879, https://doi.org/10.1038/ngeo2827, 2016. Zhang, Y., West, J. J., Emmons, L. K., Flemming, J., Jonson, J. E., Lund, M. T., Sekiya, T., Sudo, K., Gaudel, A., Chang, K.-L., et al.:
Contributions of world regions to the global tropospheric ozone burden change from 1980 to 2010, Geophysical Research Letters, 48,
1125
e2020GL089 184, https://doi.org/10.1029/2020GL089184, 2021. Zheng, B., Chevallier, F., Ciais, P., Yin, Y., Deeter, M. N., Worden, H. M., Wang, Y., Zhang, Q., and He, K.: Rapid decline in car-
bon monoxide emissions and export from East Asia between years 2005 and 2016, Environmental Research Letters, 13, 044 007,
https://doi.org/10.1088/1748-9326/aab2b3, 2018a. Zheng, B., Chevallier, F., Ciais, P., Yin, Y., and Wang, Y.: On the role of the flaming to smoldering transition in the seasonal cycle of African
1130
fire emissions, Geophysical Research Letters, 45, 11–998, https://doi.org/10.1029/2018GL079092, 2018b. Zheng, B., Chevallier, F., Ciais, P., Yin, Y., and Wang, Y.: On the role of the flaming to smoldering transition in the seasonal cycle of African
1130
fire emissions, Geophysical Research Letters, 45, 11–998, https://doi.org/10.1029/2018GL079092, 2018b. Zheng, B., Chevallier, F., Yin, Y., Ciais, P., Fortems-Cheiney, A., Deeter, M. N., Parker, R. J., Wang, Y., Worden, H. References borne program and the ozone sounding network at eight locations, Journal of Geophysical Research: Atmospheres, 103, 25 695–25 720,
1100
https://doi.org/10.1029/98JD02243, 1998. 49 https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/acp-2022-686
Preprint. Discussion started: 13 October 2022
c⃝Author(s) 2022. CC BY 4.0 License. Thouret, V., Clark, H., Petzold, A., Nédélec, P., and Zahn., A.: IAGOS: Monitoring Atmospheric Composition for Air Quality and Climate
by Passenger Aircraft, pp. 1–14, Singapore: Springer Nature Singapore, https://doi.org/https://doi.org/10.1007/978-981-15-2527-8_57-1,
2022. van der A, R. J., Mijling, B., Ding, J., Koukouli, M. E., Liu, F., Li, Q., Mao, H., and Theys, N.: Cleaning up the air: effectiveness of air
1105
quality policy for SO 2 and NO x emissions in China, Atmospheric Chemistry and Physics, 17, 1775–1789, https://doi.org/10.5194/acp-
17-1775-2017, 2017. Van der Werf, G. R., Randerson, J. T., Giglio, L., Collatz, G., Mu, M., Kasibhatla, P. S., Morton, D. C., DeFries, R., Jin, Y. v., and van
Leeuwen, T. T.: Global fire emissions and the contribution of deforestation, savanna, forest, agricultural, and peat fires (1997–2009), Van der Werf, G. R., Randerson, J. T., Giglio, L., Collatz, G., Mu, M., Kasibhatla, P. S., Morton, D. C., DeFries, R., Jin, Y. v., and van
Leeuwen, T. T.: Global fire emissions and the contribution of deforestation, savanna, forest, agricultural, and peat fires (1997–2009),
Atmospheric chemistry and physics, 10, 11 707–11 735, https://doi.org/10.5194/acp-10-11707-2010, 2010. 10 Atmospheric chemistry and physics, 10, 11 707–11 735, https://doi.org/10.5194/acp-10-11707-2010, 2010. 1110
Wang, T., Xue, L., Brimblecombe, P., Lam, Y. F., Li, L., and Zhang, L.: Ozone pollution in China: A review of con-
centrations, meteorological influences, chemical precursors, and effects, Science of the Total Environment, 575, 1582–1596,
https://doi.org/10.1016/j.scitotenv.2016.10.081, 2017. Wild, O., Pochanart, P., and Akimoto, H.: Trans-Eurasian transport of ozone and its precursors, Journal of Geophysical Research: Atmo-
spheres, 109, https://doi.org/10.1029/2003JD004501, 2004. 1115 Yamasoe, M. A., Sauvage, B., Thouret, V., Nédélec, P., Le Flochmoen, E., and Barret, B.: Analysis of tropospheric ozone and carbon
monoxide profiles over South America based on MOZAIC/IAGOS database and model simulations, Tellus B: Chemical and Physical
Meteorology, 67, 27 884, https://doi.org/10.3402/tellusb.v67.27884, 2015. Meteorology, 67, 27 884, https://doi.org/10.3402/tellusb.v67.27884, 2015. Yarragunta, Y., Srivastava, S., Mitra, D., Le Flochmoën, E., Barret, B., Kumar, P., and Chandola, H.: Source attribution of carbon
monoxide and ozone over the Indian subcontinent using MOZART-4 chemistry transport model, Atmospheric Research, 227, 165–177,
1120
https://doi.org/10.1016/j.atmosres.2019.04.019, 2019. Zhang, Y., Cooper, O. References M., and Zhao, Y.: Global
atmospheric carbon monoxide budget 2000–2017 inferred from multi-species atmospheric inversions, Earth System Science Data, 11,
1411–1436, https://doi.org/10.5194/essd-11-1411-2019, 2019. Zheng, B., Chevallier, F., Yin, Y., Ciais, P., Fortems-Cheiney, A., Deeter, M. N., Parker, R. J., Wang, Y., Worden, H. M., and Zhao, Y.: Global
atmospheric carbon monoxide budget 2000–2017 inferred from multi-species atmospheric inversions, Earth System Science Data, 11,
1411–1436, https://doi.org/10.5194/essd-11-1411-2019, 2019. Ziemke, J., Chandra, S., Duncan, B., Schoeberl, M., Torres, O., Damon, M., and Bhartia, P.: Recent biomass burning in the tropics and related
1135
changes in tropospheric ozone, Geophysical Research Letters, 36, https://doi.org/10.1029/2009GL039303, 2009. Ziemke, J. R., Oman, L. D., Strode, S. A., Douglass, A. R., Olsen, M. A., McPeters, R. D., Bhartia, P. K., Froidevaux, L., Labow, G. J., Witte,
J. C., et al.: Trends in global tropospheric ozone inferred from a composite record of TOMS/OMI/MLS/OMPS satellite measurements and
the MERRA-2 GMI simulation, Atmospheric Chemistry and Physics, 19, 3257–3269, https://doi.org/10.5194/acp-19-3257-2019, 2019. Ziemke, J., Chandra, S., Duncan, B., Schoeberl, M., Torres, O., Damon, M., and Bhartia, P.: Recent biomass burning in the tropics and related
1135
changes in tropospheric ozone, Geophysical Research Letters, 36, https://doi.org/10.1029/2009GL039303, 2009. Ziemke, J. R., Oman, L. D., Strode, S. A., Douglass, A. R., Olsen, M. A., McPeters, R. D., Bhartia, P. K., Froidevaux, L., Labow, G. J., Witte,
J. C., et al.: Trends in global tropospheric ozone inferred from a composite record of TOMS/OMI/MLS/OMPS satellite measurements and
the MERRA-2 GMI simulation, Atmospheric Chemistry and Physics, 19, 3257–3269, https://doi.org/10.5194/acp-19-3257-2019, 2019. 50
|
https://openalex.org/W2060176963
|
https://hal.inrae.fr/hal-02664285/file/2010_Gaspin_BMC-Plant-Biology_1.pdf
|
English
| null |
Distribution of short interstitial telomere motifs in two plant genomes: putative origin and function
|
BMC plant biology
| 2,010
|
cc-by
| 10,758
|
To cite this version: Christine Gaspin, Jean-François Rami, Bernard Lescure. Distribution of short interstitial telomere mo-
tifs in two plant genomes: putative origin and function. BMC Plant Biology, 2010, 10, 10.1186/1471-
2229-10-283. hal-02664285 Abstract Background: Short interstitial telomere motifs (telo boxes) are short sequences identical to plant telomere repeat
units. They are observed within the 5’ region of several genes over-expressed in cycling cells. In synergy with
various cis-acting elements, these motifs participate in the activation of expression. Here, we have analysed the
distribution of telo boxes within Arabidopsis thaliana and Oryza sativa genomes and their association with genes
involved in the biogenesis of the translational apparatus. Results: Our analysis showed that the distribution of the telo box (AAACCCTA) in different genomic regions of
A. thaliana and O. sativa is not random. As is also the case for plant microsatellites, they are preferentially located
in the 5’ flanking regions of genes, mainly within the 5’ UTR, and distributed as a gradient along the direction of
transcription. As previously reported in Arabidopsis, a conserved topological association of telo boxes with site II or
TEF cis-acting elements is observed in almost all promoters of genes encoding ribosomal proteins in O. sativa. Such a conserved promoter organization can be found in other genes involved in the biogenesis of the
translational machinery including rRNA processing proteins and snoRNAs. Strikingly, the association of telo boxes
with site II motifs or TEF boxes is conserved in promoters of genes harbouring snoRNA clusters nested within an
intron as well as in the 5’ flanking regions of non-intronic snoRNA genes. Thus, the search for associations between
telo boxes and site II motifs or TEF box in plant genomes could provide a useful tool for characterizing new cryptic
RNA pol II promoters. Results: Our analysis showed that the distribution of the telo box (AAACCCTA) in different genomic regions of
A. thaliana and O. sativa is not random. As is also the case for plant microsatellites, they are preferentially located
in the 5’ flanking regions of genes, mainly within the 5’ UTR, and distributed as a gradient along the direction of
transcription. As previously reported in Arabidopsis, a conserved topological association of telo boxes with site II or
TEF cis-acting elements is observed in almost all promoters of genes encoding ribosomal proteins in O. sativa. © 2010 Gaspin 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. Distribution of short interstitial telomere motifs in
two plant genomes: putative origin and function Christine Gaspin1*, Jean-François Rami2, Bernard Lescure3 Abstract Such a conserved promoter organization can be found in other genes involved in the biogenesis of the Conclusions: The data reported in this work support the model previously proposed for the spreading of telo
boxes within plant genomes and provide new insights into a putative process for the acquisition of microsatellites
in plants. The association of telo boxes with site II or TEF cis-acting elements appears to be an essential feature of
plant genes involved in the biogenesis of ribosomes and clearly indicates that most plant snoRNAs are RNA pol II
products. HAL Id: hal-02664285
https://hal.inrae.fr/hal-02664285v1
Submitted on 31 May 2020 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
recherche français ou étrangers, des laboratoires
publics ou privés. HAL is a multi-disciplinary open access
archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Open Access Open Access * Correspondence: Christine.Gaspin@toulouse.inra.fr
1INRA Toulouse, UBIA & Plateforme Bioinformatique, UR 875, Chemin de
Borde Rouge, Auzeville BP 52627, 31326 Castanet-Tolosan, France
Full list of author information is available at the end of the article Background Telo boxes were also observed in
promoters of several protein-encoding genes which, as is
the case for rp, are expected to be over-expressed in
cycling cells, suggesting that it could be involved in the
coordinated expression of this class of genes. Experi-
mental data indicated that the telo box was indeed
involved in the expression in cycling cells [11-13]. How-
ever, by itself this motif is not able to activate the tran-
scription by RNA pol II but acts in synergy with various
cis-acting elements to increase the expression. These
cis-acting elements include the TEF1 box identified in
promoters of the translation elongation factor EF1a
[14], the Trap1 box in the promoter of a rp gene [15]
and redundant site II motifs initially characterized in the
promoter of the proliferating cellular nuclear antigen
gene (PCNA) [16] and subsequently in most Arabidopsis
rp genes [11]. Comparative distribution of telo boxes and microsatellites
Previous studies have revealed that in Arabidopsis as in
O. sativa, microsatellites or simple sequence repeats
(SSRs) and pyrimidine patches (Y Patches) are more fre-
quently observed in 5’ UTRs than in coding regions or
3’ UTRs [19-24]. Among SSRs, tri-nucleotide repeats
(TNRs) are more abundant and differentially repre-
sented in monocots and dicots. Thus, the TNR (GCC/
GGC)n is the most abundant in the 5’ flanking regions
in O. sativa whereas it is (GAA/TTC)n in Arabidopsis. In contrast, Y Patches which are more frequently found
in plant core promoter regions are observed in both
Arabidopsis and O. sativa 5’ regions [22,23]. The results
reported in Table 1 and Table 2 reveal a striking ana-
logy in the genomic distribution of telo boxes, TNRs
and Y Patches between 5’ UTRs and 3’ UTRs in Arabi-
dopsis and O. sativa. The frequency of appearance of
telo boxes is 10-20 higher within 5’UTR compared to
that observed within 3’UTR. Two relevant examples of
such a location of telo boxes and trinucleotide repeats
in the 5’ flanking regions of Arabidopsis and O. sativa
rp genes are shown in Figure 2. Moreover, as has been
reported for Arabidopsis microsatellites [19], there is a
distribution gradient of telo boxes along the direction of
transcription. The telo boxes (which are observed at a
lower frequency within Arabidopsis CDS and introns -
see Figure 3) are not uniformly distributed. Background Functional studies conducted to identify trans and cis-
acting elements controlling the expression of translation
factors and ribosomal proteins (rp) in Arabidopsis
allowed us to characterize several cis-acting elements. One of them, the telo box (AAACCCTA), was first
observed within the promoter of the four Arabidopsis
genes encoding the translation elongation factor EF1a-
promoters [3,4] and subsequently within a few plant rp
promoters [5]. This short motif is identical to the repeat
(AAACCCT)n of plant telomeres [6] but differs from
long interstitial telomere repeats (ITRs) which are found
at discrete intrachromosomal sites in many eukaryotic
species [7,8] and probably result from chromosomal
rearrangements such as end-fusions and segmental
duplications. In contrast to the limited number of ITRs Regulatory sequences constitute a small fraction of
eukaryotic genomes that determine the level, location
and chronology of gene expression. In parallel to func-
tional studies, computational analysis provides different
approaches for scanning genomic sequence to identify
those regions predicted to participate in gene regulation
[1,2]: (i) sequence analysis of co-regulated genes within
a given species, (ii) inter-species sequence comparison
of orthologous genes and (iii), database construction
and analysis of known transcription-factor binding sites. Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 2 of 12 reported in Figure 1 and Table 1 confirm our previous
observations and extend them to a monocot. Among the
seven sequences analysed, the motif AAACCCTA (telo
box) is over-represented in both Arabidopsis and rice. The
use of a control-related sequence (AAACCTCA) enabled
us to exclude the base composition as a cause of the over-
representation of telo boxes. We characterized the occur-
rence of telo boxes among the different genomic regions
in the Arabidopsis and O. Sativa genomes. Just as a high
level of telo boxes was initially observed at the 5’ end of
Arabidopsis ESTs [9], it was obvious that the frequency of
telo boxes was higher within the 5’ flanking regions,
mainly within the 5’ UTRs (Figure 2). observed in pericentromeric and subtelomeric regions in
Arabidopsis [8], a preliminary computational analysis
suggested that short telomere repeats (telo boxes) were
over-represented at the 5’ end of Arabidopsis ESTs [9]. More recently, with the achievement of the Arabidopsis
sequencing project, we showed that the occurrence of
telo boxes within rp promoters is the rule rather than
the exception [10,11]. Definition of the telo box and distribution in different
genomic regions An initial statistical study [9] conducted by using a large
set of Arabidopsis ESTs [17,18] and Arabidopsis genes
available at this time suggested that the sequence
AAACCCTAA corresponding to 1.3 units of the plant tel-
omere repeat AAACCCT [6] was over-represented and
preferentially located in the 5’ region of genes. The com-
pletion of Arabidopsis and O. sativa sequencing means
that they can now be subjected to similar but exhaustive
analysis. A chi-square test was used to determine whether
the observed frequencies (counts) of telobox in the differ-
ent compartments markedly differ from the frequencies
that we would expect by chance. Chi-square statistics for
A. thaliana and O. sativa were obtained that clearly indi-
cate that the observed frequencies in each compartment
differ markedly from the expected frequencies (Table 1). We also studied the occurrence of seven putative telomere
motifs obtained from a circular permutation of the
sequence AAACCCTA corresponding to 1.14 telomere
repeat units [6]. This study was conducted by using Arabi-
dopsis and O. sativa 5’ UTR sequences. The results Background There is a
progressive decrease in the number of telo box motifs
observed within the first 1000 nucleotides from the 5’
end of genes and a higher occurrence of this motif
within the first two introns (Figure 4). In this study, we analysed the distribution of telo
boxes within A. thaliana and O. sativa genomes and
their association with genes involved in the biogenesis
of the translational apparatus. In addition, this analysis
revealed a striking analogy with the genomic distribution
of telo boxes and plant microsatellites. Telo boxes in the promoters of plant genes involved in
ribosome biogenesis An analysis for functional cate-
gorization by loci of Arabidopsis genes showing an asso-
ciation of a telo box with at least two site II motifs
confirms this previous observation: the product of 17.9%
of these genes was expected to be associated with ribo-
somes against 2% for all GO annotated Arabidopsis
genes. Here we extended this study to the monocot O. sativa by using the ‘Ribosomal Protein Gene Database’
(RPG) [24]. Out of 252 rice ribosomal protein genes, 209
(83%) contain at least one telo box within their 5’ flanking ribosomal protein (rp) genes constituted an important
sub-family showing a specific topological association of
telo boxes with redundant site II motifs (TGGGCY) or to
a lesser extent with TEF1 box (ARGGRYNNNNNGYA)
cis-acting elements [11]. An analysis for functional cate-
gorization by loci of Arabidopsis genes showing an asso-
ciation of a telo box with at least two site II motifs
confirms this previous observation: the product of 17.9%
of these genes was expected to be associated with ribo-
somes against 2% for all GO annotated Arabidopsis
genes. Here we extended this study to the monocot O. sativa by using the ‘Ribosomal Protein Gene Database’
(RPG) [24]. Out of 252 rice ribosomal protein genes, 209
(83%) contain at least one telo box within their 5’ flanking In addition to ribosomal proteins, the biogenesis of
cytoplasmic ribosomes also requires the biosynthesis of
5.8 S, 18 S and 25/26 S rRNAs, a process which is
achieved by the transcription of rDNA and by endo- Figure 1 Analysis from a circular permutation of frequencies of plant telomere motifs within 5’ UTR regions. The telomere motifs (one
telomere repeat unit + one nucleotide) found in A. thaliana and O. sativa are shown in black, a control sequence in grey. A, CTAAACCC and
TCAAACCT; B, TAAACCCT and CAAACCTC; C, AAACCCTA and AAACCTCA; D, AACCCTAA and AACCTCAA; E, ACCCTAAA and ACCTCAAA; F,
CCCTAAAC and CCTCAAAC; G CCTAAACC and CTCAAACC Figure 1 Analysis from a circular permutation of frequencies of plant telomere motifs within 5’ UTR regions. The telomere motifs (one
telomere repeat unit + one nucleotide) found in A. thaliana and O. sativa are shown in black, a control sequence in grey. A, CTAAACCC and
TCAAACCT; B, TAAACCCT and CAAACCTC; C, AAACCCTA and AAACCTCA; D, AACCCTAA and AACCTCAA; E, ACCCTAAA and ACCTCAAA; F,
CCCTAAAC and CCTCAAAC; G, CCTAAACC and CTCAAACC. Telo boxes in the promoters of plant genes involved in
ribosome biogenesis As estimated by using the ‘TAIR9 Loci Upstream
Sequences -500 bp (DNA)’ and ‘TAIR9 5’ UTRs (DNA)’
datasets, the number of Arabidopsis genes harbouring
one or several telo boxes within their 5’ flanking region
or 5’ UTRs is 3234 (9.7% of Arabidopsis genes) and 2247
(9.2%), respectively. Among them, we have reported that Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 3 of 12 Table 1 Distribution of telo boxes in A. thaliana and O. sativa genomes
Genome compartment
Size
Telo counts
Telo Freq. (nb/Mb)
Telo expected
c2
P
c2
P
A. thaliana
Genome
135709386
21057
155.2
5’UTR
3614786
2426
680.3
561
6372
0.E+00
8381
0,00E+000
3’UTR
6019104
527
87
934
186
3.E-42
Intron
25425536
3829
150.7
3945
4
4.E-02
CDS
39588516
2966
74.9
6143
2319
0.E+00
Other
61061444
11309
185.2
9474
646
2.E-142
O. sativa
Genome
378522865
30686
81.1
5’UTR
7907129
2463
311.5
641
5289
0.E+00
13143
0,00E+000
3’UTR
15330979
460
30
1243
514
9.E-114
Intron
102300755
7367
72
8293
142
1.E-32
CDS
91775879
1489
16/02/10
7440
6284
0.E+00
Other
161208123
18907
117.3
13069
4543
0.E+00
Number of telo box motifs in the different compartments (5’UTR, 3’UTR, Introns, CDS) of A. thaliana and O. sativa genomes. A chi-square test was performed to
assess deviation from the expected uniform distribution. Table 1 Distribution of telo boxes in A. thaliana and O. sativa genomes region and 202 (80%) an association of telo boxes with
site II motifs or TEF boxes (Additional File 1). Figure 5
shows the topological distribution of these elements. This distribution is similar to that observed for rp genes
in Arabidopsis [11]. An illustration of this conserved lay-
out within the promoter of Arabidopsis and rice rp
orthologous genes is given in Figure 6A, where telo boxes
and site II motifs are found within windows between ‘0
and 280 bp’ and ‘80 and 400 bp’ relative to the translation
initiation codon, respectively. ribosomal protein (rp) genes constituted an important
sub-family showing a specific topological association of
telo boxes with redundant site II motifs (TGGGCY) or to
a lesser extent with TEF1 box (ARGGRYNNNNNGYA)
cis-acting elements [11]. Os07g08330 – 60S rp L4-1
AAACCCTAGCAACCCCCCACCTATATAACCTCTCTCCCTCACGCCCCGCCTCCATTCGCACGCCCGCGCCACCACAA
AACCCTAGCCGCCGCCGCCGCCGCCGCCGCCGCCGCCATG Figure 2 Examples of the presence of telo boxes and trinucleotide repeats in 5’ UTR of rp genes. Occurrence of both telo boxes
(AAACCCTA) and tri-nucleotide repeats (GAA/TTC in Arabidopsis and GCC/GGC in O. sativa) within 5’UTR. The telo boxes are boxed in black, the
tri-nucleotide repeats in yellow, the transcription start site in red; the translation ATG codons are in bold and the putative TATA boxes are
underlined. Arabidopsis and O. sativa. The resulting data are summar-
ized in Table 3. In Arabidopsis there are 71 snoRNA genes
annotated in the TAIR database. These snoRNA genes are
orphans or associated in clusters. Three of them are
nested within introns of genes containing a typical associa-
tion of telo boxes and site II motifs within their promoters
(Additional File 3). For the remaining 40 non-intronic loci,
a search for the occurrence of telo boxes, site II motifs and
TEF1 boxes was carried out upstream from the 5’ end of
the far-upstream mature snoRNA. For 37 loci (92%) telo
boxes were observed and for 34 (85%) an association of
telo boxes with site II motifs or TEF1 boxes (Additional
File 3 and illustration in Figure 5C). In O. sativa the analy-
sis was conducted on 109 putative snoRNA loci compris-
ing 67 clusters and 42 orphan snoRNA genes. The detail
of this analysis is shown in Additional File 4. As previously
reported [26,27], intronic snoRNA loci are more frequent
in rice than in Arabidopsis. In the present work they were
estimated at 31 (28% of snoRNA loci). 15 of the clusters
or orphan intronic snoRNA genes are nested within
introns of rp genes showing an association of telo boxes
with site II motifs within their promoter. For 10 of the 16 and exonucleolytic cleavages and extensive modifications
of an rRNA precursor (pre-rRNA). Small nucleolar
RNAs (snoRNAs), in association with specific nucleolar
proteins (SnRNP), are involved in this process. The occurrence of telo boxes and their association
with site II motifs or TEF boxes in the promoter of
genes encoding rRNA processing proteins was examined
in Arabidopsis. For 49 genes annotated in the TAIR
database as encoding a cytoplasmic rRNA processing
protein, 46 (92%) contain at least one telo box in the 5’
flanking region and 35 (70%) an association between
telo boxes and site II motifs or TEF1 boxes (Additional
File 2A and illustrations in Figure 6B). Telo boxes in the promoters of plant genes involved in
ribosome biogenesis Figure 1 Analysis from a circular permutation of frequencies of plant telomere motifs within 5’ UTR regions. The telomere motifs (one
telomere repeat unit + one nucleotide) found in A. thaliana and O. sativa are shown in black, a control sequence in grey. A, CTAAACCC and
TCAAACCT; B, TAAACCCT and CAAACCTC; C, AAACCCTA and AAACCTCA; D, AACCCTAA and AACCTCAA; E, ACCCTAAA and ACCTCAAA; F,
CCCTAAAC and CCTCAAAC; G, CCTAAACC and CTCAAACC. Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 4 of 12 Os07g08330 – 60S rp L4-1
AAACCCTAGCAACCCCCCACCTATATAACCTCTCTCCCTCACGCCCCGCCTCCATTCGCACGCCCGCGCCACCACAA
AACCCTAGCCGCCGCCGCCGCCGCCGCCGCCGCCGCCATG The occurrence
of telo boxes in the 5’ flanking region of O. sativa ortho-
logous genes of the 46 Arabidopsis genes harbouring a
telo box was analysed. By using the greenphyl database
[25] we identified 37 orthologous rice genes. For 30 of
them (81%), at least one telo box was identified within the
1 Kb 5’ flanking region and for 25 (68%) an association of
telo boxes with site II motifs or a TEF box was observed
(Additional File 2B and illustrations in Figure 6B). The
same analysis was conducted for snoRNA genes in Table 2 Distribution of telo boxes, microsatellites and Y Patch in 5’ and 3’ UTR in A. thaliana and O. sativa
Motif
5’ UTR(number)
3’ UTR (number)
5’ UTR frequency counts/Mb
3’ UTR frequency counts/Mb
A. thaliana
AAACCCTA
2426
527
680
87
AAACCTCA
343
397
95
66
(GAA/TTC)6
394
49
109
8
(GCC/GGC)6
1
0
0.3
0
(Y/R)18
5216
1448
1934
322
O. sativa
AAACCCTA
2463
460
311
30
AAACCTCA
278
642
35
41
(GAA/TTC)6
72
36
9
2
(GCC/GGC)6
546
25
69
2
(Y/R)18
6729
1827
851
119
Bytes searched: Arabidopsis 5’ UTR, 3614786 bp; Arabidopsis 3’ UTR, 6019104 bp; O. sativa 5’ UTR, 7907129 bp; O. sativa 3’ UTR, 15330979 bp. ribution of telo boxes, microsatellites and Y Patch in 5’ and 3’ UTR in A. thaliana and O. sativa es, microsatellites and Y Patch in 5’ and 3’ UTR in A. thaliana and O. sativa Table 2 Distribution of telo boxes, microsatellites and Y Patch in 5’ and 3’ UTR in A. thaliana and
M tif
5’ UTR(
b
)
3’ UTR (
b
)
5’ UTR f
t /Mb
3’ UTR Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 5 of 12 Figure 3 Distribution of telo boxes in different genomic regions in Arabidopsis and O. sativa. The telo box, AAACCCTA, and the related
sequence, AAACCTCA, are shown in black and grey, respectively. Figure 3 Distribution of telo boxes in different genomic regions in Arabidopsis and O. sativa. The telo box, AAACCCTA, and the related
sequence, AAACCTCA, are shown in black and grey, respectively. illustrated in Figure 7 showing the identification in four
intergenic regions and four introns of new transcripts
which are not annotated in the TAIR database. remaining intronic snoRNA genes a similar association
was observed. Discussion One remarkable item of data resulting from this study is
the striking similarity observed in the genomic distribu-
tion of telo boxes and microsatellites. Their preferential
location in 5’ flanking regions can be assigned to their
role in gene expression as has been reported for both telo
boxes [11,12] and microsatellites [28,29]. However, we
think that this preferential distribution in 5’ regions
could also reflect a common process involved in the
acquisition of these motifs. We previously proposed a
model involving the telomerase and recombination
events to explain the spreading of telo boxes within Ara-
bidopsis genome [9]. A schematic representation of this
model and of its possible analogy with the acquisition
process of microsatellites is shown in Figure 8. It can be
summarized as follows: (i) Promoter regions are hot
spots for recombination and it is well established that
there is a relationship between recombination and chro-
matin accessibility to nucleases occurring during tran-
scription initiation and elongation processes [30-32],
(Figure 8A). (ii) Free 3’OH recombinogenic ssDNA is
thus generated, (Figure 8B). (iii) These free 3’OH ends
are potential substrates for telomerase which, in the
absence of telomere repeats interacting with the telomer-
ase anchor site, could act in a non-processive manner by
adding only one telomere motif at the 3’ end [33], (Figure
8C). It must be emphasized that, as for rp genes, there is
also a strong correlation between cell cycle progression
and telomerase expression in Arabidopsis [34]. (iv): The
3’ end invasion at homologous open sites (Figure 8D) Os07g08330 – 60S rp L4-1
AAACCCTAGCAACCCCCCACCTATATAACCTCTCTCCCTCACGCCCCGCCTCCATTCGCACGCCCGCGCCACCACAA
AACCCTAGCCGCCGCCGCCGCCGCCGCCGCCGCCGCCATG The analysis of 5’ flanking sequences of
independent snoRNA clusters confirms the data obtained
for Arabidopsis: out of 41 independent clusters, 22 (54%)
harbour a telo box within the 5’ flanking region and 21
(51%) an association of telo boxes with site II motifs
(Additional File 5). This conservation is less evident for
non-intronic orphan snoRNA genes but remains signifi-
cant: out of 35 non-intronic orphan genes, 15 (43%) con-
tain a telo box and 14 (40%) an association of telo boxes
with site II motifs within the 5’ flanking sequences. To
summarize, 57% of O. sativa snoRNA putative loci studied
in this work contain at least one telo box and 56% an asso-
ciation of telo boxes with site II motifs in their 5’ flanking
region. As discussed, the loci which are not associated
with telo boxes and site II motifs could be transcribed by
RNA pol III or pseudogenes. Identification of cryptic promoters by using the
conserved topological association of telo boxes with
cis-acting elements The common feature in the hypothetical
transcription-associated recombination processes men-
tioned above is the availability of a free 3’ end for TdT,
telomerase or other related hypothetical specific RNA-
guided reverse transcriptase followed by error-prone
DNA repair. In the context discussed here it is interesting
to mention that similarly to our data showing a high fre-
quency of telo boxes within 5’ UTRs of genes encoding
components involved in the biogenesis of ribosomes,
46.5% of translation-related genes in rice contain some
microsatellites in their predicted 5’ UTRs, (GCC/GGC)n
contributing for about half of them [19 and our unpub-
lished data]. Figure 4 Distribution gradient of telo boxes along the
direction of transcription in Arabidopsis. Location of telo boxes
within Arabidopsis genes is estimated from the TAIR database (TAIR9
CDS+UTRs+introns datasets); frequency of appearance of telo boxes
within Arabidopsis introns from the TAIR9 introns datasets. Dm is the
% of motifs found within a given intron relative to the total number
of motifs observed within the Arabidopsis introns (TAIR database,
introns). Di is the % of introns at a given position (intron 1, 2, 3...)
relative to the estimated total number of introns. Figure 4 Distribution gradient of telo boxes along the
direction of transcription in Arabidopsis. Location of telo boxes g
g
g
direction of transcription in Arabidopsis. Location of telo boxes
within Arabidopsis genes is estimated from the TAIR database (TAIR9
CDS+UTRs+introns datasets); frequency of appearance of telo boxes
within Arabidopsis introns from the TAIR9 introns datasets. Dm is the
% of motifs found within a given intron relative to the total number
of motifs observed within the Arabidopsis introns (TAIR database,
introns). Di is the % of introns at a given position (intron 1, 2, 3...)
relative to the estimated total number of introns. Biogenesis of ribosomes is a crucial process requiring
the coordinate expression of hundreds of genes. In the
yeast Saccharomyces cerevisiae this synchronized expres-
sion is primarily accomplished at the transcriptional level
and mediated through common upstream activating
sequences including in most cases Rap1p binding sites
(rpg boxes) and, in a small subset of rp genes, Abf1p
binding sites [38,39]. In higher eukaryotes little is known
about the transcriptional network controlling this regu-
lon [40]. Identification of cryptic promoters by using the
conserved topological association of telo boxes with
cis-acting elements As illustrated by the characterization of unknown
snoRNA gene promoters, the use of the conserved topo-
logical association of telo boxes with cis-acting elements
observed within promoters of genes involved in ribo-
some biogenesis could provide an interesting tool to
identify new cryptic RNA pol II promoters and for
improving the annotation of plant genomes. A first ana-
lysis conducted in Arabidopsis by using a compilation of
associations of telo boxes with at least two site II motifs
or a TEF box and a BLAST search with the sequences
located downstream from these associations in the
“A. thaliana GB experimental cDNA/EST (DNA) data-
set” allowed us to identify new transcript units. This is Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 6 of 12 Figure 4 Distribution gradient of telo boxes along the
direction of transcription in Arabidopsis. Location of telo boxes
within Arabidopsis genes is estimated from the TAIR database (TAIR9
CDS+UTRs+introns datasets); frequency of appearance of telo boxes
within Arabidopsis introns from the TAIR9 introns datasets. Dm is the
% of motifs found within a given intron relative to the total number
of motifs observed within the Arabidopsis introns (TAIR database,
introns). Di is the % of introns at a given position (intron 1, 2, 3...)
relative to the estimated total number of introns. Figure 5 Statistical distribution of motifs in the 5’ flanking
regions of O. sativa ribosomal protein genes. Statistical
distribution of telo boxes (black) and site II motifs (grey) in the 5’
flanking regions of O. sativa ribosomal protein genes. Figure 5 Statistical distribution of motifs in the 5’ flanking
regions of O. sativa ribosomal protein genes. Statistical
distribution of telo boxes (black) and site II motifs (grey) in the 5’
flanking regions of O. sativa ribosomal protein genes. manner, the spreading of simple repeated sequences such
as Y patches could be achieved by addition of nucleotides
to free 3’ ends by a terminal transferase (TdT), (Figure
8D and 8E). The occurrence in angiosperms of a TdT
activity has been reported in germinating wheat embryos
[36]. During V(D)J recombination in mammals, the TdT
contribute greatly to the generation of diversity in the
immune repertoire and the addition of template-indepen-
dent nucleotides frequently consists of purine or pyrimi-
dine tracts [37]. Identification of cryptic promoters by using the
conserved topological association of telo boxes with
cis-acting elements Studies conducted in our group over the last
two decades have led to the identification of several tran-
scriptional trans and cis-acting elements which partici-
pate in the over-expression of translational factor and rp followed by error-prone DNA repair leads to the acquisi-
tion of a telomere repeat unit (Figure 8E). A related pro-
cess
has
been
suggested
for
the
spreading
of
microsatellites in the human genome by 3’OH-extension
of retrotranscripts [35]. As we suggested for the putative
generation of telo boxes driven by the telomerase RNA
template, the authors speculate that RNA guides could
give rise to specific microsatellite sequences. In a similar Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 7 of 12 A - Ribosomal protein genes
O.sativa RPS14 (Os02g33140)
TGGGCCGCGTTACGACAAGGAGCCCAAAGGCCGAAGCCCATATGCCCCCAGCTGAACACTACTTATATAAAGCGAATTGC
TCCAGCAGCCGTCCCTTGAGCTAGGGTTT…
A.thaliana RPS14 (AT2G36160)
TGGGCCGAAGAACCCAACAAGTAAGATTCGGCCCAAATTTACGTGGAAACCCTAAACGCTCGTTTTCTCACTAAGAAGTCT
CATAAACCCTAATATATAAAAGCG…
O.sativa RPL34 (Os09g24690)
GGCCCACGTAGATCCTGGGCCATCCCGATCCGGCCCATTACCGCATCAAGCGAATCTTAGCCGTCCGTGCTAGGTCAAGC
CTCCCCCGGAGGCAGCCATTTATACCCCCATCCGCGCCGCCACGCGCTCTCTACCATTTCCTCCTCCTCCTCCTCCTCCTC
CTCTAGGGTTTA…
A.thaliana RPL34 (AT1G26880)
TGGGCCTTTAACTGGAGCATAATTAAAGACCAAAATGAGAAAAGGCCCATATAGTTGTAGTCTTAGTTTAGGTTTGGAGTCT
CACCCTTATATTCTTCGTTCCAAACGAAAACCCTAAA…
O.sativa RPP0 (Os08g03640)
GGCCCATACGCCGGAGAGCCCAATAAGGCCCATCTCCTGAGACCGCAACCGCCACGAAACCCTAAAACCAAGCCCATCA
GGCCCACCAACCCGAAGCCACACCCATCCCTCTCCCACTATAAATACCCGCACCCCCCACCCTGGAAACCCTAGGTTAAA
GCGACGCCGCCGCCGCAAGCCGTCCGCCTTGCTCCTCCTCGCCGAGAGCTTGGTCCTCGCCGTCTCCTCTCCCCACGCG
CAGATCTAAGCCTAGGGTTAGGGTTT…
A.thaliana RPP0 (AT3G09200)
TGGGCCTAATTTGTGAAAAGGCCCAACAAACAAGAGCCGTCAGATCAGAATGAAGCAAACAGGCACGAACCGTTAGATTAA
GATTCACAAAGAAAACCCTAGAGGTTCCCTTATCCTCAGGCCAAATCGTGAACTATAAAACGGCTGATACCAAAACCCTAA
TTTCTTTA…
B – rRNA processing protein coding genes
A.thaliana snRNP involved in rRNA processing (AT1G63780)
TGGGCTTCTTTAGGCCCACATAATAAATAAACGGCCCAAAATAGCTAGCTATCTCCGCCTCACGTTTTGAATGACAAACACC
TTGCCGTTTTCTCAACACTTCGCTATTTTTCTTCAGTCGTCTTCTTCTTCCGGCTTCTCTCGAAACCCTTACCTAAAACCCTA
A…
O.sativa snRNP involved in rRNA processing (Os08g05880.1)
TGGGCTCGGCCCATATACCATGATGGGCCTAATGGGCCAAGCCCATCAAGGCCCACACCCACGCATTCCCCCCCTCTAGG
CGTCTACATAAACGTGCCCTTGTCCGGCGTCGCCGCCGGTGAAGCCGCTAGGGTTTATCGCCGCCGCTCCGACCACTTCA
CTAGGGTTT…
A.thaliana rRNA large subunit methyltransferase, fibrillarin 2 (AT4G25630)
TGGGCTTTTACCATAAACTATTTATGAAAATTATTATGGCCCACACCACTATAACTAAAGCCCACATATTTAGCAGCCCAGTT
TCATTGTAAGAGACATGTTCGCTCTGGAACTAGAATTTTCTGGTTTTTGGGTATTTGTTTTCTTATGTGTAGAGAAATGATGG
TAACGATTAAATGTTGTGTATTACAATTTACAATGGTAAGACGATTAATATATTTACACACAATTTTGTTGTTGCTGTAACACG
TTAGTGTGTGTGATGATAGAATTTCATAAAGCTTTAACTACGAGGGGCAAAATGTTAATTCTAAATAGTTGACAGCAGAAAAA
GATATGTATACATAATATAAGGATTAAAACGTAAATAATAATAAATAAGGCGAGTTAAATTAAAACCCTGTTAAAACCCTA…
O.sativa rRNA large subunit methyltransferase, fibrillarin 2 (Os05g49230.1)
TGGGCCGGCCCAATAAACGACGAAACGTTTTTCTTCTCTTGGGCTGGCCCAAAACGAGAAAGGACCGGCCCAACAAAGCC
CATGGAGACCTCACCGCCATTACTAGCAAAGCCCGCGACAAAACGACCAACCGCTCGAGCAAAGCCTCCAAAACCCTA…
A.thaliana pseudouridine synthase (AT3G57150)
AGCCCAATTAAAATCAAAGAAACCCAACTCAAGCCCAATAAGGGATTACCTTCAAGCTTCCAGTGTCATCACTGTCGCCTAA
AACCCTAAAAAACCCTAGTCCTTTATAAATTACCAATCAGTCGTCTCCTCTTTTTCCGCTACAACTTTTAACGCCTCCTCCT
CCATTTTTCAAAACCCTAA…
O.sativa pseudouridine synthase (Os07g25440.1)
AGCCCAGGGCCCAGCCCAAGTCCTACAGTCTCCGTCCTACAGCATAACTCTCATGGGCCCACGGCTCAGCCCAACTCAAT
CACCACCTCCCCCATCGCACCATCTCGCACCCACTAAACCCTTCCCCCTTAAAACGCCTCTTCTTCTTCCCCTCGCCGCCG
CAAAAACCCTAAA…
C – snoRNA independent clusters
A.thaliana snoRNA intergenic cluster (AT3G47342-AT3G47347-AT3G47348)
TGGGCTTCAAATAAAAACAAACTCCTTCATTATTGGGCCACCATAATGATCGACCTCACAATATCTCAGCCCAAGGTTACTTT
CGTCATTTAAACTCTCCTACACTTAAAAACCCTAATCTCTCTACCGTCAATAAACCTCCCTATATAAACACTTCCACACACAA
ACCATTCCTCTCACACAAAATTCTTCAGCCGATTCATTCTCTAGGGTTCATAGCTTAGTCCTCGAATCCATATATCTCTGCTG
CTGTGTTCTTCAATTGCTTTAGTATTAGCTTGTTCTTAGTGTTCATAGAATTTAGGGTTT…
O. sativa snoRNA intergenic cluster 2 (snoR15a-snoR18a-sno28h - chromosome1)
GGCCCATCGACGACAGCCCATAACATCGAGAATAAATCTGGGCCGCCCGTGCCTTCGTCGCGGTGTGCGTCACGAGCCG
TCGGATGGGAGGAAAACCCTAACAAACCCTAGCGTCTCCGTCCGCTCTCTGTCTATATAAGCGCCGCCGCTCTCCATTGC
CTTCGCCCTCTCGTGTTCTAGGGTTT…
Figure 6 Topological association of telo boxes and site II motif in 5’ regions of known genes. Illustration of the conserved topological
association of telo boxes and site II motifs in the promoter of Arabidopsis and O. sativa orthologous ribosomal and rRNA processing protein
coding genes and in the 5’ flanking regions of Arabidopsis and O. sativa independently transcribed snoRNA clusters. Site II motifs are boxed in
yellow, telo boxes in black, the location of TSS in red; putative TATA boxes are underlined. B – rRNA processing protein coding genes A.thaliana snRNP involved in rRNA processing (AT1G63780)
TGGGCTTCTTTAGGCCCACATAATAAATAAACGGCCCAAAATAGCTAGCTATCTCCGCCTCACGTTTTGAATGACAAACACC
TTGCCGTTTTCTCAACACTTCGCTATTTTTCTTCAGTCGTCTTCTTCTTCCGGCTTCTCTCGAAACCCTTACCTAAAACCCTA
A… O.sativa snRNP involved in rRNA processing (Os08g05880.1)
TGGGCTCGGCCCATATACCATGATGGGCCTAATGGGCCAAGCCCATCAAGGCCCACACCCACGCATTCCCCCCCTCTAGG
CGTCTACATAAACGTGCCCTTGTCCGGCGTCGCCGCCGGTGAAGCCGCTAGGGTTTATCGCCGCCGCTCCGACCACTTCA
CTAGGGTTT… CTAGGGTTT…
A.thaliana rRNA large subunit methyltransferase, fibrillarin 2 (AT4G25630)
TGGGCTTTTACCATAAACTATTTATGAAAATTATTATGGCCCACACCACTATAACTAAAGCCCACATATTTAGCAGCCCAGTT
TCATTGTAAGAGACATGTTCGCTCTGGAACTAGAATTTTCTGGTTTTTGGGTATTTGTTTTCTTATGTGTAGAGAAATGATGG
TAACGATTAAATGTTGTGTATTACAATTTACAATGGTAAGACGATTAATATATTTACACACAATTTTGTTGTTGCTGTAACACG
TTAGTGTGTGTGATGATAGAATTTCATAAAGCTTTAACTACGAGGGGCAAAATGTTAATTCTAAATAGTTGACAGCAGAAAAA
GATATGTATACATAATATAAGGATTAAAACGTAAATAATAATAAATAAGGCGAGTTAAATTAAAACCCTGTTAAAACCCTA…
O.sativa rRNA large subunit methyltransferase, fibrillarin 2 (Os05g49230.1)
TGGGCCGGCCCAATAAACGACGAAACGTTTTTCTTCTCTTGGGCTGGCCCAAAACGAGAAAGGACCGGCCCAACAAAGCC
CATGGAGACCTCACCGCCATTACTAGCAAAGCCCGCGACAAAACGACCAACCGCTCGAGCAAAGCCTCCAAAACCCTA…
A.thaliana pseudouridine synthase (AT3G57150)
AGCCCAATTAAAATCAAAGAAACCCAACTCAAGCCCAATAAGGGATTACCTTCAAGCTTCCAGTGTCATCACTGTCGCCTAA
AACCCTAAAAAACCCTAGTCCTTTATAAATTACCAATCAGTCGTCTCCTCTTTTTCCGCTACAACTTTTAACGCCTCCTCCT
CCATTTTTCAAAACCCTAA…
O.sativa pseudouridine synthase (Os07g25440.1)
AGCCCAGGGCCCAGCCCAAGTCCTACAGTCTCCGTCCTACAGCATAACTCTCATGGGCCCACGGCTCAGCCCAACTCAAT
CACCACCTCCCCCATCGCACCATCTCGCACCCACTAAACCCTTCCCCCTTAAAACGCCTCTTCTTCTTCCCCTCGCCGCCG
CAAAAACCCTAAA…
C – snoRNA independent clusters
A.thaliana snoRNA intergenic cluster (AT3G47342-AT3G47347-AT3G47348)
TGGGCTTCAAATAAAAACAAACTCCTTCATTATTGGGCCACCATAATGATCGACCTCACAATATCTCAGCCCAAGGTTACTTT
CGTCATTTAAACTCTCCTACACTTAAAAACCCTAATCTCTCTACCGTCAATAAACCTCCCTATATAAACACTTCCACACACAA
ACCATTCCTCTCACACAAAATTCTTCAGCCGATTCATTCTCTAGGGTTCATAGCTTAGTCCTCGAATCCATATATCTCTGCTG
CTGTGTTCTTCAATTGCTTTAGTATTAGCTTGTTCTTAGTGTTCATAGAATTTAGGGTTT…
O. sativa snoRNA intergenic cluster 2 (snoR15a-snoR18a-sno28h - chromosome1)
GGCCCATCGACGACAGCCCATAACATCGAGAATAAATCTGGGCCGCCCGTGCCTTCGTCGCGGTGTGCGTCACGAGCCG
TCGGATGGGAGGAAAACCCTAACAAACCCTAGCGTCTCCGTCCGCTCTCTGTCTATATAAGCGCCGCCGCTCTCCATTGC
CTTCGCCCTCTCGTGTTCTAGGGTTT…
Figure 6 Topological association of telo boxes and site II motif in 5’ regions of known genes. Illustration of the conserved topological
association of telo boxes and site II motifs in the promoter of Arabidopsis and O. sativa orthologous ribosomal and rRNA processing protein
coding genes and in the 5’ flanking regions of Arabidopsis and O. sativa independently transcribed snoRNA clusters. Site II motifs are boxed in
yellow, telo boxes in black, the location of TSS in red; putative TATA boxes are underlined. Figure 6 Topological association of telo boxes and site II motif in 5’ regions of known genes. Illustration of the conserved topological
association of telo boxes and site II motifs in the promoter of Arabidopsis and O. sativa orthologous ribosomal and rRNA processing protein
coding genes and in the 5’ flanking regions of Arabidopsis and O. sativa independently transcribed snoRNA clusters. Site II motifs are boxed in
yellow, telo boxes in black, the location of TSS in red; putative TATA boxes are underlined. Figure 6 Topological association of telo boxes and site II motif in 5’ regions of known genes. Illustration of the conserved topological
association of telo boxes and site II motifs in the promoter of Arabidopsis and O. sativa orthologous ribosomal and rRNA processing protein
coding genes and in the 5’ flanking regions of Arabidopsis and O. sativa independently transcribed snoRNA clusters. Site II motifs are boxed in
yellow, telo boxes in black, the location of TSS in red; putative TATA boxes are underlined. Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 8 of 12 Table 3 Summary of the analysis of 5’ flanking regions of A. thaliana and O. sativa snoRNA genes
Analysed (Number)
telo boxes
Associations
telo box - sites II
Associations
telo box - TEF
A. B – rRNA processing protein coding genes thaliana
Intronic snoRNA clusters
1
1
1
-
Intronic orphan snoRNAs
2
2
1
1
Intergenic snoRNA clusters
17
16
16
1
Intergenic orphan snoRNAs
23
21
17
1
O. sativa
Intronic snoRNA clusters
25
22
22
1
Intronic orphan snoRNAs
7
5
3
0
Intergenic snoRNA clusters
42
20
19
1
Intergenic orphan snoring
47
13
8
0
For details see text and data reported in Additional Files 3 and 4. Table 3 Summary of the analysis of 5’ flanking regions of A. thaliana and O. sativa snoRNA genes Table 3 Summary of the analysis of 5’ flanking regions of A. thaliana and O. sativa snoRNA genes ry of the analysis of 5’ flanking regions of A. thaliana and O. sativa snoRNA genes sequences AAACCCTA and TAGGGTTT are Arabidop-
sis core promoter elements [22], the majority of telo boxes
observed in 5’ flanking regions of plant translation-related
genes are located within a narrow window located -50 to
+50 relative to the transcription start site (TSS). The con-
servation of a topological association between telo boxes
and site II motifs or TEF box cis-acting elements provides genes in dividing plant cells [3,11,12,14,41]. The data
reported in the present work suggest that the occurrence
of telo boxes in the 5’ flanking regions of rp genes is the
rule not only in Arabidopsis but in angiosperms in general
and therefore extend this observation to genes involved in
the maturation of pre-rRNA. In agreement with data com-
ing from a genome-wide analysis suggesting that the Intergenic region AT5G01080 (beta-galactosidase) - AT5G01090 (lectin)
TGGGCTTCAAACACCTTAAAGGCCCAAATAAATGAATTTGCCAAGACAAGGAACTTGATGGGCCGAACTGGAATAGGCCCA
AAATCGAAAACCCTA…
Intergenic region AT1G29410 (phosphoribosylanthranilate isomerase) - AT1G29418 (unknown protein)
TGGGCCTTTTGGATTTTATTTGGATATAAATTGGGCCTATAATAAACTAGGCCCATATATAAAGCGGTGGGAAGAGAGAAAC
CCTAAAAACCTAAGGAGTCTTCTGCTTCTATATAAAGCCTAAACCCTAACCTCCTCTTCATCCAATAAATTATCGACGGCCA
AATAAAGTTTTGATTTTTA…
Intergenic region AT1G63855 (hypothetical protein) – AT1G63857 (pseudogene)
TGGGCCGTTGTAATTTTTACCAGGCCTAAGCCCATTTTCGGTAGGCTAATTAGGGTTTTGAAAAACTGAAGAAGAGATATTT
GTCCCACATCGGTTAGAAGAGACGGGAGGGATATGATTAGTTGGCTATAAAAAAGATTAAAGGTGGGGCAATGAATAAATA
TG…
Intergenic region AT1G79520 (cation efflux family protein) – AT1G79505 (Potential natural antisense gene)
GGCCCAACAAATAATGTATGTTCTATATTATAAGCCCATTTATTATTACCCAGCTAAGTCGGCTTTGAAAAGAGTATAGGCCC
ATTTAGGTGTCACGCTCATTAGGGTTTATTGTAACCTAGAATCAAAGCTATATAAGCCGTCTTTTCCACAAATCCATACATCG
GCCA…
Intron 3 AT1G14580 (zinc finger family protein)
TGGGCCCATTCCATTTCTCTCTCCATAATATTCATATTGATTTCAGACTTATATATGTGATTTGTGTATAAGAGTGGTTGGTTT
CATTGTTTAATCGATGAACATGGTGGTCAGCGTGATATAGTAGGAGTAGTTGATGAACACTTTACATTTCTAGGGTTT…
Intron 2 AT2G45135 (zinc ion binding protein)
TGGGCCAATTGTTTCTATAGTGGGCCGTGTATTACAGACAGACACACCTAAACGACGACGGGTCGAGAGGATAAATAAATG
GGAATATTCTCGGAAACATTGATGTGATTCCAAATATTTTATTCCCAATTTGGTATTCTTCTTCATCATAGCTCGAAACCCTA
A…
Intron 3 AT2G03010 (hypothetical protein)
TGGGCCTAGAATTATCAAAATATCACGTAATGGGCTCAATGGGCCTCAAAGTTAAATATCAATAACTTGGGCTGCAAAAAAA
TCAATTCCGATTCCGATCAAGTTTTATTTTCCGTTCAATTCAATTTCATCGTTTGAAAACCCTAA…
Intron 2 AT1G65960 (glutamate decarboxylase)
AGGGGTATAATCGTAAATTTAAACACAACTTCTTCTTCCCAAACAAAACCCTAGTAGTCGCCGTTCCT
Figure 7 Use of the conserved topological association of motifs to characterize cryptic RNA pol II promoters. Site II motifs are boxed in
yellow, TEF1 boxes in yellow and underlined, telo boxes in black, TSS in red; putative TATA boxes are underlined. Intergenic region AT5G01080 (beta-galactosidase) - AT5G01090 (lectin)
TGGGCTTCAAACACCTTAAAGGCCCAAATAAATGAATTTGCCAAGACAAGGAACTTGATGGGCCGAACTGGAATAGGCCCA
AAATCGAAAACCCTA…
Intergenic region AT1G29410 (phosphoribosylanthranilate isomerase) - AT1G29418 (unknown protein)
TGGGCCTTTTGGATTTTATTTGGATATAAATTGGGCCTATAATAAACTAGGCCCATATATAAAGCGGTGGGAAGAGAGAAAC
CCTAAAAACCTAAGGAGTCTTCTGCTTCTATATAAAGCCTAAACCCTAACCTCCTCTTCATCCAATAAATTATCGACGGCCA
AATAAAGTTTTGATTTTTA…
Intergenic region AT1G63855 (hypothetical protein) – AT1G63857 (pseudogene)
TGGGCCGTTGTAATTTTTACCAGGCCTAAGCCCATTTTCGGTAGGCTAATTAGGGTTTTGAAAAACTGAAGAAGAGATATTT
GTCCCACATCGGTTAGAAGAGACGGGAGGGATATGATTAGTTGGCTATAAAAAAGATTAAAGGTGGGGCAATGAATAAATA
TG…
Intergenic region AT1G79520 (cation efflux family protein) – AT1G79505 (Potential natural antisense gene)
GGCCCAACAAATAATGTATGTTCTATATTATAAGCCCATTTATTATTACCCAGCTAAGTCGGCTTTGAAAAGAGTATAGGCCC
ATTTAGGTGTCACGCTCATTAGGGTTTATTGTAACCTAGAATCAAAGCTATATAAGCCGTCTTTTCCACAAATCCATACATCG
GCCA…
Intron 3 AT1G14580 (zinc finger family protein)
TGGGCCCATTCCATTTCTCTCTCCATAATATTCATATTGATTTCAGACTTATATATGTGATTTGTGTATAAGAGTGGTTGGTTT
CATTGTTTAATCGATGAACATGGTGGTCAGCGTGATATAGTAGGAGTAGTTGATGAACACTTTACATTTCTAGGGTTT…
Intron 2 AT2G45135 (zinc ion binding protein)
TGGGCCAATTGTTTCTATAGTGGGCCGTGTATTACAGACAGACACACCTAAACGACGACGGGTCGAGAGGATAAATAAATG
GGAATATTCTCGGAAACATTGATGTGATTCCAAATATTTTATTCCCAATTTGGTATTCTTCTTCATCATAGCTCGAAACCCTA
A…
Intron 3 AT2G03010 (hypothetical protein)
TGGGCCTAGAATTATCAAAATATCACGTAATGGGCTCAATGGGCCTCAAAGTTAAATATCAATAACTTGGGCTGCAAAAAAA
TCAATTCCGATTCCGATCAAGTTTTATTTTCCGTTCAATTCAATTTCATCGTTTGAAAACCCTAA…
Intron 2 AT1G65960 (glutamate decarboxylase)
AGGGGTATAATCGTAAATTTAAACACAACTTCTTCTTCCCAAACAAAACCCTAGTAGTCGCCGTTCCT
Figure 7 Use of the conserved topological association of motifs to characterize cryptic RNA pol II promoters. Site II motifs are boxed in
yellow, TEF1 boxes in yellow and underlined, telo boxes in black, TSS in red; putative TATA boxes are underlined. Intergenic region AT5G01080 (beta-galactosidase) - AT5G01090 (lectin)
TGGGCTTCAAACACCTTAAAGGCCCAAATAAATGAATTTGCCAAGACAAGGAACTTGATGGGCCGAACTGGAATAGGCCCA
AAATCGAAAACCCTA…
Intergenic region AT1G29410 (phosphoribosylanthranilate isomerase) - AT1G29418 (unknown protein)
TGGGCCTTTTGGATTTTATTTGGATATAAATTGGGCCTATAATAAACTAGGCCCATATATAAAGCGGTGGGAAGAGAGAAAC
CCTAAAAACCTAAGGAGTCTTCTGCTTCTATATAAAGCCTAAACCCTAACCTCCTCTTCATCCAATAAATTATCGACGGCCA
AATAAAGTTTTGATTTTTA…
Intergenic region AT1G63855 (hypothetical protein) – AT1G63857 (pseudogene)
TGGGCCGTTGTAATTTTTACCAGGCCTAAGCCCATTTTCGGTAGGCTAATTAGGGTTTTGAAAAACTGAAGAAGAGATATTT
GTCCCACATCGGTTAGAAGAGACGGGAGGGATATGATTAGTTGGCTATAAAAAAGATTAAAGGTGGGGCAATGAATAAATA
TG…
Intergenic region AT1G79520 (cation efflux family protein) – AT1G79505 (Potential natural antisense gene)
GGCCCAACAAATAATGTATGTTCTATATTATAAGCCCATTTATTATTACCCAGCTAAGTCGGCTTTGAAAAGAGTATAGGCCC
ATTTAGGTGTCACGCTCATTAGGGTTTATTGTAACCTAGAATCAAAGCTATATAAGCCGTCTTTTCCACAAATCCATACATCG
GCCA…
Intron 3 AT1G14580 (zinc finger family protein)
TGGGCCCATTCCATTTCTCTCTCCATAATATTCATATTGATTTCAGACTTATATATGTGATTTGTGTATAAGAGTGGTTGGTTT
CATTGTTTAATCGATGAACATGGTGGTCAGCGTGATATAGTAGGAGTAGTTGATGAACACTTTACATTTCTAGGGTTT…
Intron 2 AT2G45135 (zinc ion binding protein)
TGGGCCAATTGTTTCTATAGTGGGCCGTGTATTACAGACAGACACACCTAAACGACGACGGGTCGAGAGGATAAATAAATG
GGAATATTCTCGGAAACATTGATGTGATTCCAAATATTTTATTCCCAATTTGGTATTCTTCTTCATCATAGCTCGAAACCCTA
A…
Intron 3 AT2G03010 (hypothetical protein)
TGGGCCTAGAATTATCAAAATATCACGTAATGGGCTCAATGGGCCTCAAAGTTAAATATCAATAACTTGGGCTGCAAAAAAA
TCAATTCCGATTCCGATCAAGTTTTATTTTCCGTTCAATTCAATTTCATCGTTTGAAAACCCTAA…
Intron 2 AT1G65960 (glutamate decarboxylase)
AGGGGTATAATCGTAAATTTAAACACAACTTCTTCTTCCCAAACAAAACCCTAGTAGTCGCCGTTCCT
Figure 7 Use of the conserved topological association of motifs to characterize cryptic RNA pol II promoters. Site II motifs are boxed in
yellow, TEF1 boxes in yellow and underlined, telo boxes in black, TSS in red; putative TATA boxes are underlined. Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 9 of 12 RNA
TSS
RNA
TSS
OH
OH
endonucleases
OH
TAGGGTTT OH
NNNNOH
Telomerase
TdT
A B C
AAACCCTA
TAGGGTTT
5’
3’
33’
5’
D E
NNNNNNNN
NNNNNNNN
5’
3’
33’
5’
TAGGGTTT OH
NNNNNNN OH
Figure 8 Possible transcription-associated recombination mechanism. A possible transcription-associated recombination mechanism is
proposed for spreading of telo boxes, microsatellites and Y patches within plant genomes. (A) open transcription pre-initiation complex and
R-loop at promoter-proximal pausing sites; (B) generation of free 3’OH recombinogenic ssDNA by endonucleases; (C) the free 3’OH ends are
substrates for telomerase or terminal transferase; (D) 3’ end invasion at homologous open sites followed by error-prone DNA repair;
(E) acquisition of a telomere repeat unit or new nucleotides. See text for comments. TSS: transcription start site. TdT: terminal transferase. Intergenic region AT5G01080 (beta-galactosidase) - AT5G01090 (lectin)
TGGGCTTCAAACACCTTAAAGGCCCAAATAAATGAATTTGCCAAGACAAGGAACTTGATGGGCCGAACTGGAATAGGCCCA
AAATCGAAAACCCTA…
Intergenic region AT1G29410 (phosphoribosylanthranilate isomerase) - AT1G29418 (unknown protein)
TGGGCCTTTTGGATTTTATTTGGATATAAATTGGGCCTATAATAAACTAGGCCCATATATAAAGCGGTGGGAAGAGAGAAAC
CCTAAAAACCTAAGGAGTCTTCTGCTTCTATATAAAGCCTAAACCCTAACCTCCTCTTCATCCAATAAATTATCGACGGCCA
AATAAAGTTTTGATTTTTA…
Intergenic region AT1G63855 (hypothetical protein) – AT1G63857 (pseudogene)
TGGGCCGTTGTAATTTTTACCAGGCCTAAGCCCATTTTCGGTAGGCTAATTAGGGTTTTGAAAAACTGAAGAAGAGATATTT
GTCCCACATCGGTTAGAAGAGACGGGAGGGATATGATTAGTTGGCTATAAAAAAGATTAAAGGTGGGGCAATGAATAAATA
TG…
Intergenic region AT1G79520 (cation efflux family protein) – AT1G79505 (Potential natural antisense gene)
GGCCCAACAAATAATGTATGTTCTATATTATAAGCCCATTTATTATTACCCAGCTAAGTCGGCTTTGAAAAGAGTATAGGCCC
ATTTAGGTGTCACGCTCATTAGGGTTTATTGTAACCTAGAATCAAAGCTATATAAGCCGTCTTTTCCACAAATCCATACATCG
GCCA…
Intron 3 AT1G14580 (zinc finger family protein)
TGGGCCCATTCCATTTCTCTCTCCATAATATTCATATTGATTTCAGACTTATATATGTGATTTGTGTATAAGAGTGGTTGGTTT
CATTGTTTAATCGATGAACATGGTGGTCAGCGTGATATAGTAGGAGTAGTTGATGAACACTTTACATTTCTAGGGTTT…
Intron 2 AT2G45135 (zinc ion binding protein)
TGGGCCAATTGTTTCTATAGTGGGCCGTGTATTACAGACAGACACACCTAAACGACGACGGGTCGAGAGGATAAATAAATG
GGAATATTCTCGGAAACATTGATGTGATTCCAAATATTTTATTCCCAATTTGGTATTCTTCTTCATCATAGCTCGAAACCCTA
A…
Intron 3 AT2G03010 (hypothetical protein)
TGGGCCTAGAATTATCAAAATATCACGTAATGGGCTCAATGGGCCTCAAAGTTAAATATCAATAACTTGGGCTGCAAAAAAA
TCAATTCCGATTCCGATCAAGTTTTATTTTCCGTTCAATTCAATTTCATCGTTTGAAAACCCTAA…
Intron 2 AT1G65960 (glutamate decarboxylase)
AGGGGTATAATCGTAAATTTAAACACAACTTCTTCTTCCCAAACAAAACCCTAGTAGTCGCCGTTCCT
Figure 7 Use of the conserved topological association of motifs to characterize cryptic RNA pol II promoters. Site II motifs are boxed in
yellow, TEF1 boxes in yellow and underlined, telo boxes in black, TSS in red; putative TATA boxes are underlined. RNA
TSS
RNA
TSS
OH
OH
endonucleases
OH
TAGGGTTT OH
NNNNOH
Telomerase
TdT
A B C A C AAACCCTA
TAGGGTTT
5’
3’
33’
5’
D E
NNNNNNNN
NNNNNNNN
5’
3’
33’
5’
TAGGGTTT OH
NNNNNNN OH E D NNNNNNN OH Figure 8 Possible transcription-associated recombination mechanism. A possible transcription-associated recombination mechanism is
proposed for spreading of telo boxes, microsatellites and Y patches within plant genomes. (A) open transcription pre-initiation complex and
R-loop at promoter-proximal pausing sites; (B) generation of free 3’OH recombinogenic ssDNA by endonucleases; (C) the free 3’OH ends are
substrates for telomerase or terminal transferase; (D) 3’ end invasion at homologous open sites followed by error-prone DNA repair;
(E) acquisition of a telomere repeat unit or new nucleotides. See text for comments. TSS: transcription start site. TdT: terminal transferase. as a synergistic element that allows the activation by other
regulatory proteins in participating in their recruitment in
protein-protein interactions or in destabilizing the DNA
duplex [38,45,46]. Similarly, in gain-of-function experiments,
the telo box is not able by itself to activate gene expression
in transgenic plants but acts in synergy with other cis-acting
elements like site II motifs or TEF boxes [11,12]. Taken
together, these observations support the hypothesis that
there are functional similarities between the roles played by
interstitial telomere motifs in plant promoters and those of
the rpg box in yeast. We have estimated at about 10% the
number of Arabidopsis genes harbouring a telo box within
their 5’ flanking regions suggesting that this element plays a
much more general role than solely in the ribosome biogen-
esis. An intriguing question which might consequently be
addressed concerns the meaning of the involvement in both
yeast and angiosperms of interstitial telomere motifs in the
expression of a set of genes whose expression is, at least for
translation-related genes, correlated to cellular proliferation. insights into the transcriptional regulation process required
for the coordinate expression of plant genes involved in
ribosome biogenesis. For several aspects, a parallel can be
drawn between the putative role of telo boxes in plants and
those achieved by the rpg cis-acting element in the yeast S. Intergenic region AT5G01080 (beta-galactosidase) - AT5G01090 (lectin)
TGGGCTTCAAACACCTTAAAGGCCCAAATAAATGAATTTGCCAAGACAAGGAACTTGATGGGCCGAACTGGAATAGGCCCA
AAATCGAAAACCCTA…
Intergenic region AT1G29410 (phosphoribosylanthranilate isomerase) - AT1G29418 (unknown protein)
TGGGCCTTTTGGATTTTATTTGGATATAAATTGGGCCTATAATAAACTAGGCCCATATATAAAGCGGTGGGAAGAGAGAAAC
CCTAAAAACCTAAGGAGTCTTCTGCTTCTATATAAAGCCTAAACCCTAACCTCCTCTTCATCCAATAAATTATCGACGGCCA
AATAAAGTTTTGATTTTTA…
Intergenic region AT1G63855 (hypothetical protein) – AT1G63857 (pseudogene)
TGGGCCGTTGTAATTTTTACCAGGCCTAAGCCCATTTTCGGTAGGCTAATTAGGGTTTTGAAAAACTGAAGAAGAGATATTT
GTCCCACATCGGTTAGAAGAGACGGGAGGGATATGATTAGTTGGCTATAAAAAAGATTAAAGGTGGGGCAATGAATAAATA
TG…
Intergenic region AT1G79520 (cation efflux family protein) – AT1G79505 (Potential natural antisense gene)
GGCCCAACAAATAATGTATGTTCTATATTATAAGCCCATTTATTATTACCCAGCTAAGTCGGCTTTGAAAAGAGTATAGGCCC
ATTTAGGTGTCACGCTCATTAGGGTTTATTGTAACCTAGAATCAAAGCTATATAAGCCGTCTTTTCCACAAATCCATACATCG
GCCA…
Intron 3 AT1G14580 (zinc finger family protein)
TGGGCCCATTCCATTTCTCTCTCCATAATATTCATATTGATTTCAGACTTATATATGTGATTTGTGTATAAGAGTGGTTGGTTT
CATTGTTTAATCGATGAACATGGTGGTCAGCGTGATATAGTAGGAGTAGTTGATGAACACTTTACATTTCTAGGGTTT…
Intron 2 AT2G45135 (zinc ion binding protein)
TGGGCCAATTGTTTCTATAGTGGGCCGTGTATTACAGACAGACACACCTAAACGACGACGGGTCGAGAGGATAAATAAATG
GGAATATTCTCGGAAACATTGATGTGATTCCAAATATTTTATTCCCAATTTGGTATTCTTCTTCATCATAGCTCGAAACCCTA
A…
Intron 3 AT2G03010 (hypothetical protein)
TGGGCCTAGAATTATCAAAATATCACGTAATGGGCTCAATGGGCCTCAAAGTTAAATATCAATAACTTGGGCTGCAAAAAAA
TCAATTCCGATTCCGATCAAGTTTTATTTTCCGTTCAATTCAATTTCATCGTTTGAAAACCCTAA…
Intron 2 AT1G65960 (glutamate decarboxylase)
AGGGGTATAATCGTAAATTTAAACACAACTTCTTCTTCCCAAACAAAACCCTAGTAGTCGCCGTTCCT
Figure 7 Use of the conserved topological association of motifs to characterize cryptic RNA pol II promoters. Site II motifs are boxed in
yellow, TEF1 boxes in yellow and underlined, telo boxes in black, TSS in red; putative TATA boxes are underlined. cerevisiae: (i) the rpg boxes (ACACCCAYACAY) show an
homology with yeast telomere repeats (C(1-3)A)n and are
both targets for the Rap1p pleiotropic protein involved in
telomere metabolism and gene expression [42]; (ii) a com-
mon characteristic of yeast genes under the control of rpg
boxes is their very high transcription rate during exponential
growth. Up to now, the effect of telo boxes on expression
was only observed in exponentially-growing cell cultures or
in cycling cells of root primordia and young leaves [11-13];
(iii) among the yeast genes up-regulated in an rpg-depen-
dent manner during exponential growth, genes involved in
the biogenesis of ribosomes constitute a major class
[38,43,44]; (iv) the interaction of Rap1p with the rpg box
does not directly act as transcriptional activator but instead Page 10 of 12 Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 pre-rRNA processing genes showing a similar promoter
configuration. In contrast to that observed in vertebrates, many plant
snoRNA genes are found in polycistronic clusters com-
posed of homologous or heterologous snoRNAs [47]. Intronic snoRNA genes are frequently found in the gen-
ome of rice [26,27] whereas they are the exception in
Arabidopsis [48]. There is currently little information on
how the expression of plant snoRNA genes is coordi-
nated with the expression of other components involved
in the biogenesis of the translational apparatus. When
nested within introns of genes involved in ribosome bio-
genesis such as fibrillarin SnRNP genes in Arabidopsis
or several rp genes in O. sativa the co-expression pro-
cess appears to be obvious. This co-expression process
is much less clear when snoRNAs are expressed from
independent promoters in non-intronic genes. Some
plant non-intronic snoRNAs are RNA polymerase III
products as suggested in Arabidopsis and rice by the
characterization of dicistronic tRNA-snoRNA genes
[47,49]. However, it remains to assess the proportion of
non-intronic snoRNAs that are transcribed by pol III in
plants. Our data suggest that, at least in Arabidopsis,
this is probably the exception rather than the rule. Intergenic region AT5G01080 (beta-galactosidase) - AT5G01090 (lectin)
TGGGCTTCAAACACCTTAAAGGCCCAAATAAATGAATTTGCCAAGACAAGGAACTTGATGGGCCGAACTGGAATAGGCCCA
AAATCGAAAACCCTA…
Intergenic region AT1G29410 (phosphoribosylanthranilate isomerase) - AT1G29418 (unknown protein)
TGGGCCTTTTGGATTTTATTTGGATATAAATTGGGCCTATAATAAACTAGGCCCATATATAAAGCGGTGGGAAGAGAGAAAC
CCTAAAAACCTAAGGAGTCTTCTGCTTCTATATAAAGCCTAAACCCTAACCTCCTCTTCATCCAATAAATTATCGACGGCCA
AATAAAGTTTTGATTTTTA…
Intergenic region AT1G63855 (hypothetical protein) – AT1G63857 (pseudogene)
TGGGCCGTTGTAATTTTTACCAGGCCTAAGCCCATTTTCGGTAGGCTAATTAGGGTTTTGAAAAACTGAAGAAGAGATATTT
GTCCCACATCGGTTAGAAGAGACGGGAGGGATATGATTAGTTGGCTATAAAAAAGATTAAAGGTGGGGCAATGAATAAATA
TG…
Intergenic region AT1G79520 (cation efflux family protein) – AT1G79505 (Potential natural antisense gene)
GGCCCAACAAATAATGTATGTTCTATATTATAAGCCCATTTATTATTACCCAGCTAAGTCGGCTTTGAAAAGAGTATAGGCCC
ATTTAGGTGTCACGCTCATTAGGGTTTATTGTAACCTAGAATCAAAGCTATATAAGCCGTCTTTTCCACAAATCCATACATCG
GCCA…
Intron 3 AT1G14580 (zinc finger family protein)
TGGGCCCATTCCATTTCTCTCTCCATAATATTCATATTGATTTCAGACTTATATATGTGATTTGTGTATAAGAGTGGTTGGTTT
CATTGTTTAATCGATGAACATGGTGGTCAGCGTGATATAGTAGGAGTAGTTGATGAACACTTTACATTTCTAGGGTTT…
Intron 2 AT2G45135 (zinc ion binding protein)
TGGGCCAATTGTTTCTATAGTGGGCCGTGTATTACAGACAGACACACCTAAACGACGACGGGTCGAGAGGATAAATAAATG
GGAATATTCTCGGAAACATTGATGTGATTCCAAATATTTTATTCCCAATTTGGTATTCTTCTTCATCATAGCTCGAAACCCTA
A…
Intron 3 AT2G03010 (hypothetical protein)
TGGGCCTAGAATTATCAAAATATCACGTAATGGGCTCAATGGGCCTCAAAGTTAAATATCAATAACTTGGGCTGCAAAAAAA
TCAATTCCGATTCCGATCAAGTTTTATTTTCCGTTCAATTCAATTTCATCGTTTGAAAACCCTAA…
Intron 2 AT1G65960 (glutamate decarboxylase)
AGGGGTATAATCGTAAATTTAAACACAACTTCTTCTTCCCAAACAAAACCCTAGTAGTCGCCGTTCCT
Figure 7 Use of the conserved topological association of motifs to characterize cryptic RNA pol II promoters. Site II motifs are boxed in
yellow, TEF1 boxes in yellow and underlined, telo boxes in black, TSS in red; putative TATA boxes are underlined. The
remarkable conservation of the topological association
of telo boxes with site II motifs or TEF boxes observed
in promoters of genes encoding ribosomal proteins or
proteins required for pre-rRNA processing as well as
within sequences found upstream of non-intronic
snoRNA genes, strongly suggests that the association of
these cis-acting elements and their interaction with
related trans-acting factors might play a fundamental
role in their coordinated transcription by RNA pol II. Moreover, we took advantage of the availability of
TIGR-CERES data on the sequencing of full length Ara-
bidopsis cDNAs to map the 5’ end of several snoRNA
precursors (Additional Files 3 and 4). These full-length
cognate cDNAs were obtained by the “cap-trapping”
method indicating that the identified RNA precursor
molecules harbouring snoRNAs are indeed capped and
polyadenylated RNA pol II transcripts. Once again, and
as for rp genes, a parallel can be drawn between the
putative role played by the telo box in plants and those
achieved by the yeast rpg box in snoRNA gene expres-
sion. In S. cerevisiae the promoters of non-intronic
snoRNA genes contain rpg boxes which are required for
their full expression [50]. Thus, the analysis of con-
served associations of telo boxes with site II motifs or
TEF boxes allowed us to characterize new RNA pol II
promoters involved in the biosynthesis of snoRNA pre-
cursors. A first analysis suggest that such an approach
could be generalized to identify unexpected cryptic RNA
pol II promoters within plant genomes (Figure 7). It
would be of interest to investigate to what extent such
promoters participate in the activation of expression in
meristematic cycling cells, as is the case for plant rp or Conclusion The data reported in this work support the model pre-
viously proposed for the way telo boxes spread within
plant genomes and provide new insights into a putative
process for the acquisition of microsatellites in plants. The conserved topological association of telo boxes with
site II or TEF1 cis-acting elements appears to be an
essential feature of plant genes involved in the biogen-
esis of ribosomes and clearly indicates that most plant
snoRNAs are RNA pol II products. This conserved asso-
ciation could provide a powerful tool to improve gen-
ome annotation in characterizing new cryptic RNA pol
II promoters. Mapping of cDNA 3. Axelos M, Bardet C, Liboz T, Le Van Thai A, Curie C, Lescure B: The gene
family encoding the translation elongation factor eEF1A: molecular
cloning, characterization and expression. Mol Gen Genet 1989, 219:106-112. Putative transcripts located downstream of associations
of telo boxes with site II motifs or TEF1 boxes were
characterized by using sequences located downstream of
these associations, Blastn and A. thaliana GB experi-
mental cDNA/EST or Green Plant GB experimental
cDNA/EST datasets. 4. Liboz T, Bardet C, Le Van Thai A, Axelos M, Lescure B: The four members
of the gene family encoding the translation elongation factor eEF1a are
actively transcribed. Plant Mol Biol 1990, 14:107-110. 5. Regad F, Hervé C, Marinx O, Bergounioux C, Tremousaygue D, Lescure B:
The Tef1 box, an ubiquitous cis-acting element involved in the
activation of plant genes that are highly expressed in cycling cells. Mol
Gen Genet 1995, 248:703-711. References
S
b 1. Swarbreck D, Wilks C, Lamesch P, Berardini TZ, Garcia-Hernandez M,
Foerster H, Li D, Meyer T, Muller R, Ploetz L, Radenbaugh A, Singh S,
Swing V, Tissier C, Zhang P, Huala E: The Arabidopsis Information
Resource (TAIR): gene structure and function annotation. Nucleic Acids
Res 2008, , 36 Database: D1009-D1014. 1. Swarbreck D, Wilks C, Lamesch P, Berardini TZ, Garcia-Hernandez M,
Foerster H, Li D, Meyer T, Muller R, Ploetz L, Radenbaugh A, Singh S,
Swing V, Tissier C, Zhang P, Huala E: The Arabidopsis Information
Resource (TAIR): gene structure and function annotation. Nucleic Acids
Res 2008, , 36 Database: D1009-D1014. 1. Swarbreck D, Wilks C, Lamesch P, Berardini TZ, Garcia-Hernandez M,
Foerster H, Li D, Meyer T, Muller R, Ploetz L, Radenbaugh A, Singh S,
Swing V, Tissier C, Zhang P, Huala E: The Arabidopsis Information
Resource (TAIR): gene structure and function annotation. Nucleic Acids
Res 2008, , 36 Database: D1009-D1014. 2. Bülow L, Engelmann S, Schindler M, Hehl R: AthaMap, integrating transcriptional
and post-transcriptional data. Nucleic Acids Res 2009, , 37 Database: D983-D986. 3. Axelos M, Bardet C, Liboz T, Le Van Thai A, Curie C, Lescure B: The gene
family encoding the translation elongation factor eEF1A: molecular
cloning, characterization and expression. Mol Gen Genet 1989, 219:106-112. 4. Liboz T, Bardet C, Le Van Thai A, Axelos M, Lescure B: The four members
of the gene family encoding the translation elongation factor eEF1a are
actively transcribed. Plant Mol Biol 1990, 14:107-110. 5. Regad F, Hervé C, Marinx O, Bergounioux C, Tremousaygue D, Lescure B:
The Tef1 box, an ubiquitous cis-acting element involved in the
activation of plant genes that are highly expressed in cycling cells. Mol
Gen Genet 1995, 248:703-711. 6. Richards E, Ausubel F: Isolation of a higher eukaryotic telomere from
Arabidopsis thaliana. Cell 1988, 53:127-136. 7. Hastie ND, Allshire RC: Human telomeres: fusion and interstitial sites. Trends Genet 1989, 5:326-331. 8. Uchida W, Matsunaga S, Sugiyama R, Kawano S: Interstitial telomere-like
repeats in the Arabidopsis thaliana genome. Genes Genet Syst 2002, 77:63-67. 9. Regad F, Lebas M, Lescure B: Interstitial telomere repeats within the
Arabidopsis thaliana genome. J Mol Biol 1994, 239:163-169. 10. Vandepoele K, Casneuf T, Van de Peer Y: Identification of novel regulatory
modules in dicotyledonous plants using expression data and
comparative genomics. Genome Biol 2006, 7:R103. 2. Bülow L, Engelmann S, Schindler M, Hehl R: AthaMap, integrating transcriptional
and post-transcriptional data. Motifs search processing. In table 2B is shown the occurrence of telo boxes in O. sativa orthologous genes. processing. In table 2B is shown the occurrence of telo boxes in O. sativa orthologous genes. The command line version of the PatMatch software [51]
was used to scan the different compartments of the gen-
ome for the presence of several nucleotide patterns: telo
box (AAACCCTA) and 6 associated permutations of the
telo box motif (AACCCTAA, ACCCTAAA, CCCTAAAC,
CCTAAACC, CTAAACCC and TAAACCCT); a control
sequence (AAACCTCA), and 6 associated permutations
(AACCTCAA, ACCTCAAA, CCTCAAAC, CTCAAACC,
TCAAACCT and CAAACCTC); the site II motifs
(TGGGCY); the TEF1 box (ARGGRYNNNNNGYA); the
(GCC)6 and (GAA)6 microsatellite motifs; and the (Y)18
pyrimidine block. Additional File 3: This file contains a table showing in A. thaliana
the location of telo boxes, site II motifs, TEF1 boxes and
transcription start sites of snoRNA precursors relative to the 5’ end
of the first mature snoRNA in independent clusters, the 5’ end of
the mature orphan snoRNA or relative to the translation initiation
codon when snoRNA genes are nested within a protein coding
gene. Additional File 4: This file contains a table showing in O. sativa the
location of telo boxes, site II motifs, TEF1 boxes and transcription
start sites of snoRNA precursors relative to the 5’ end of the first
mature snoRNA in independent clusters, the 5’ end of the mature
orphan snoRNA or relative to the translation initiation codon when
snoRNA genes are nested within a protein coding gene. Additional File 5: This file contains a table giving the chromosomic
location and positions of snoRNAs. For protein coding genes, a region of 500 nt was
scanned upstream of the translation initiation codon. In
the case of snoRNA genes, for each cluster found in an
ORF, a region of 1000 nt was extracted in the 5’ region
before the ATG of the host gene. For each cluster found
in an intergenic region, 1000 nt were extracted before
the beginning of the first snoRNA of the cluster. For
individual snoRNA, a region of 1000 nt was extracted
just before the beginning of the 5’ region of the mature
snoRNA. Sequence data sources Analysis of Arabidopsis sequences was carried out using
the TAIR9 datasets http://www.arabidopsis.org. The
analysis conducted by using the TAIR9 5’UTR (DNA)
and the TAIR9 3’ UTR (DNA) datasets does not include
the sequences of putative introns within the 5’ or 3’
flanking non coding regions. The Arabidopsis rRNA
processing protein and snoRNA genes were obtained
from TAIR. The O. sativa genome annotation data version 5 was
downloaded from the Rice Genome Annotation Project
database http://rice.plantbiology.msu.edu/. The “all. UTR” file containing the UTR sequences for 34793 gene
models of the 12 pseudomolecules was used. The
sequence of 5’ flanking regions of rice ribosomal protein
gene were extracted from the Ribosomal Protein Gene
database http://ribosome.miyazaki-med.ac.jp/. The list of
putative rice snoRNA and accession numbers were
obtained from the literature [27]. For each rice snoRNA,
we extracted the Genbank sequence by using its acces-
sion number. All the snoRNA were searched for in the
complete genomic sequence of Oryza sotiva by using
NCBI Blastn with default parameters. Some of the clus-
ters of snoRNA were obtained from the NCBI nucleo-
tides database and were used to assign snoRNA to
clusters. Others were assigned by using their chromoso-
mic location and their positions on the chromosome. 60
clusters (instead of 68 given in Chen et al. [27]) were
assigned to chromosomic loci thanks to the list of
snoRNA given for each cluster. We also proposed some
new clusters. For clusters 35, 36 and 37, it was not possi-
ble to assign snoRNA to clusters precisely. Nor was it
possible to assign each sequence to a chromosomic
region in the complete sequence of Oryza sotiva. Indeed,
for some of the snoRNA we did not find significant simi-
larities to anything in the entire genome of Oryza. sativa. Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Page 11 of 12 Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 Chi-square analysis BL designed the study, realized all the analysis on A. thaliana and wrote the
manuscript. JFR contributed to search for motifs and their statistical analysis
in O. sativa. CG contributed to search for snoRNA and the analysis of their 5’
flanking region in O. sativa. All authors contributed to editing of the
manuscript. All authors read and approved the final manuscript. The expected frequency of telo-box motif in each gen-
ome compartment under the assumption of a uniform
distribution in the genome was determined as the ratio
of each compartment size to the genome size. For each
compartment, a chi-square test was performed between
observed and expected counts of telo-box motif as com-
pared to observed and expected counts in the rest of the
genome. A combined chi-square test was performed as
the sum over compartments of the square of the differ-
ence between observed and expected counts divided by
expected count. Received: 23 December 2009 Accepted: 20 December 2010
Published: 20 December 2010 Received: 23 December 2009 Accepted: 20 December 2010
Published: 20 December 2010 Author details
1
l 1INRA Toulouse, UBIA & Plateforme Bioinformatique, UR 875, Chemin de
Borde Rouge, Auzeville BP 52627, 31326 Castanet-Tolosan, France. 2Centre
de coopération internationale en recherche agronomique pour le
développement (CIRAD). UMR Développement et Amélioration des Plantes,
TA A96/3, Avenue Agropolis, 34398 Montpellier Cedex 5, France. 3Laboratoire
Interactions Plantes-Microorganismes (LIPM), UMR 441-2594 (INRA-CNRS), BP
52627, Chemin de Borde Rouge, Auzeville BP 52627, 31326 Castanet-Tolosan,
France. References
S
b Nucleic Acids Res 2009, , 37 Database: D983-D986. Additional File 1: This file contains a table showing in O. sativa the
location of telo boxes, site II motifs, TEF1 boxes and transcription
start sites (TSS) relative to the translation initiation codon of
ribosomal protein genes.
Additional File 2: This file contains a table (table 2A) showing in A.
thaliana the location of telo boxes, site II motifs, TEF1 boxes and
transcription start sites relative to the translation initiation codon
of genes annotated in TAIR as encoding protein involved in rRNA Additional material Tremousaygue D, Manevski A, Bardet C, Lescure N, Lescure B: Plant
interstitial motifs participate in the control of gene expression in root
meristems. Plant J 1999, 20:553-561. 35. Nadir E, Margalit H, Gallily T, Ben-Sasson SA: Microsatellite spreading in the
human genome: Evolutionary mechanisms and structural implications. Proc Natl Acad Sci USA 1996, 93:6470-6475. 14. Curie C, Liboz T, Bardet C, Gander E, Médale C, Axelos M, Lescure B: Cis-
and trans-acting elements involved in the activation of Arabidopsis
thaliana A1 gene encoding the translation elongation factor eEF1a. Nucleic Acids Res 1991, 19:1305-1310. 36. Brodniewicz-Proba T, Buchowicz J: Properties of a
deoxyribonucleotidyltransferase isolated from wheat germ. Biochem J
1980, 191:139-145. 37. Gauss GH, Lieber MR: Mechanistic constraints on diversity in human V(D)J
recombination. Mol Cell Biol 1996, 16:258-269. 37. Gauss GH, Lieber MR: Mechanistic constraints on diversity in human V(D)J
recombination. Mol Cell Biol 1996, 16:258-269. 15. Scheer I, Ludevid M, Regad F, Lescure B, Pont-Lezica R: Expression of a
gene encoding a ribosomal p40 protein and identification of an active
promoter site. Plant Mol Biol 1997, 35:905-913. 38. Planta RJ, Gonçalves PM, Mager WH: Global regulators of ribosome
biosynthesis in yeast. Biochem Cell Biol 1995, 73:825-834. 16. Kosugi S, Ohashi Y: PCF1 and PCF2 specifically bind to cis elements in the
rice proliferating cell nuclear antigen gene. Plant Cell 1997, 9:1607-1619. 39. Hogues H, Lavoie H, Sellam A, Mangos M, Roemer T, Purisima E, Nantel A,
Whiteway M: Transcription factor substitution during the evolution of
fungal ribosome regulation. Mol Cell 2008, 29:552-562. 17. Höfte H, Desprez T, Amselem J, Chiapello H, Caboche M, Moisan A,
Jourjon MF, Charpenteau JL, Berthomieu P, Guerrier D, Giraudat J,
Quigley F, Thomas F, Yu DY, Mache R, Raynal M, Cooke R, Grellet F,
Delseny M, Parmentier Y, Marcillac G, Gigot C, Fleck J, Philipps G, Axelos M,
Bardet B, Tremousaygue D, Lescure B: An inventory of 1152 expressed
sequence tags obtained by partial sequencing of cDNAs from
Arabidopsis thaliana. Plant J 1993, 4:1041-1061. 40. Hu H, Li X: Transcriptional regulation in eukaryotic ribosomal protein
genes. Genomics 2007, 90:421-423. 41. Curie C, Axelos M, Bardet C, Atanassova R, Chaubet N, Lescure B: Modular
organization and developmental activity of an Arabidopsis thaliana
eEF1a gene promoter. Mol Gen Genet 1993, 238:428-436. 42. Shore D: Telomerase and telomere binding proteins: controlling the
endgame. Trends Biochem Sci 1997, 22:233-235. 18. Additional material Kruszka K, Barneche F, Guyot R, Ailhas J, Meneau I, Schiffer S, Marchfeler A,
Echeverria M: Plant dicistronic tRNA-snoRNA genes: a new mode of
expression of the small nucleolar RNAs processed by Rnase Z. EMBO J
2003, 22:621-632. 23. Yamamoto Y, Ichida H, Abe T, Suzuki Y, Sugano S, Obokata J:
Differentiation of core promoter architecture between plants and
mammals revealed by LDSS analysis. Nucleic Acids Res 2007, 35:6219-6226. 50. Qu LH, Henras A, Lu YJ, Zhou H, Zhou WX, Zhu YQ, Zhao J, Henry Y,
Caizergues-Ferrer M, Bachellerie Y: Seven novel methylation guide small
nucleolar RNAs are processed from a common polycystronic transcript
by Rat1p and Rnase III in yeast. Mol Cell Biol 1999, 19:1144-1158. y
y
24. Grover H, Aishwarya V, Sharma PC: Biased distribution of microsatellite
motifs in the rice genome. Mol Genet Genomics 2007, 277:469-480. 25. Conte MG, Gaillard S, Lanau N, Rouard M, Périn C: GreenPhylDB: a
database for plant comparative genomics. Nucleic Acids Res 2008, , 36
Database: D991-D998. 51. Yan T, Yoo D, Berardini TZ, Mueller LA, Weems DC, Weng S, Cherry JM,
Rhee ST: A program for finding patterns in peptide and nucleotide
sequences. Nucleic Acids Res 2005, 33(suppl_2):W262-W266. 51. Yan T, Yoo D, Berardini TZ, Mueller LA, Weems DC, Weng S, Cherry JM,
Rhee ST: A program for finding patterns in peptide and nucleotide
sequences. Nucleic Acids Res 2005, 33(suppl_2):W262-W266. 26. Liang D, Zhou H, Zhang P, Chen YQ, Chen X, Chen CL, Qu LH: A novel
gene organization: intronic snoRNA gene clusters from Oryza sativa. Nucleic Acids Res 2002, 30:3262-3272. doi:10.1186/1471-2229-10-283
Cite this article as: Gaspin et al.: Distribution of short interstitial
telomere motifs in two plant genomes: putative origin and function. BMC Plant Biology 2010 10:283. doi:10.1186/1471-2229-10-283
Cite this article as: Gaspin et al.: Distribution of short interstitial
telomere motifs in two plant genomes: putative origin and function. BMC Plant Biology 2010 10:283. 27. Chen CL, Liang D, Zhou H, Zhou M, Chen YQ, Qu LH: The high diversity of
snoRNAs in plants: Identification and comparative study of 120 snoRNA
genes from Oryza sativa. Nucleic Acids Res 2003, 31:2601-2613. 28. Santi L, Wang Y, Stile MR, Berendzen K, Wanke D, Roig C, Pozzi C, Muller K,
Muller J, Rohde W, Salamini F: The GA octodinucleotide repeat binding
factor BBR participates in the transcriptional regulation of the
homeobox gene Bkn3. Plant J 2003, 34:813-826. 29. Additional material Cooke R, Raynal M, Laudié M, Grellet F, Delseny M, Morris PC, Guerrier D,
Giraudat J, Quigley F, Clabault G, Li YF, Mache R, Krivitzky M, Gy IJJ, Kreis M,
Lecharny A, Parmentier Y, Marbach J, Fleck J, Clément B, Philipps G,
Hervé C, Bardet C, Tremousaygue D, Lescure B, Lacomme C, Roby D,
Jourjon MF, Chabrier P, Charpenteau JL, Desprez T, Amselem J, Chiapello H,
Höfte H: Further progress towards a catalogue of all Arabidopsis genes:
analysis of a set of 5000 non-redundant ESTs. Plant J 1996, 9:101-124. 43. Warner JR: The economics of ribosome biosynthesis in yeast. Trends
Biochem Sci 1999, 24:437-440. 44. Lieb JD, Liu X, Botstein D, Brown PO: Promoter-specific binding of Rap1
revealed by genome-wide maps of protein-DNA association. Nat Genet
2001, 28:327-334. 45. Tornow J, Zeng X, Santangelo GM: GCR1, a transcriptional activator in
Saccharomyces cerevisiae, complexes with RAP1 and can function
without DNA binding domain. EMBO J 1993, 12:2431-2437. 19. Fujimori S, Washio T, Higo K, Ohtomo Y, Murakami K, Matsubara K, Kawai J,
Carninci P, Hayashizaki Y, Kikuchi S, Tomita M: A novel feature of
microsatellites in plants: a distribution gradient along the direction of
transcription. FEBS Lett 2003, 554:17-22. 46. Yu EY, Morse RH: Chromatin opening and transactivator potentiation by
RAP1 in Saccharomyces cerevisiae. Mol Cell Biol 1999, 19:5279-5288. 20. Zhang L, Yuan D, Yu S, Li Z, Cao Y, Miao Z, Quian H, Tag K: Preference of
simple sequence repeats in coding and non-coding regions of
Arabidopsis thaliana. Bioinformatics 2004, 20:1081-1086. 47. Brown JWS, Echeverria M, Qu L-H: Plant snoRNAs: functional evolution
and new modes of gene expression. Trends Plant Sci 2003, 8:42-49. 48. Brown JWS, Clark GP, Leader DJ, Simpson CG, Lowe T: Multiple snoRNA
gene clusters from Arabidopsis. RNA 2001, 7:1817-1832. 21. Zhang Z, Xue Q: Tri-nucleotide repeats and their association with genes
in rice genome. Biosystems 2005, 82:248-256. 21. Zhang Z, Xue Q: Tri-nucleotide repeats and their association with genes
in rice genome. Biosystems 2005, 82:248-256. 48. Brown JWS, Clark GP, Leader DJ, Simpson CG, Lowe T: Multiple snoRNA
gene clusters from Arabidopsis. RNA 2001, 7:1817-1832. in rice genome. Biosystems 2005, 82:248-256. 22. Molina C, Grotewold E: Genome wide analysis of Arabidopsis core
promoters. BMC Genomics 2005, 6:25. 22. Molina C, Grotewold E: Genome wide analysis of Arabidopsis core
promoters. BMC Genomics 2005, 6:25. 49. Additional material 6. Richards E, Ausubel F: Isolation of a higher eukaryotic telomere from
Arabidopsis thaliana. Cell 1988, 53:127-136. 7. Hastie ND, Allshire RC: Human telomeres: fusion and interstitial sites. Trends Genet 1989, 5:326-331. Additional File 1: This file contains a table showing in O. sativa the
location of telo boxes, site II motifs, TEF1 boxes and transcription
start sites (TSS) relative to the translation initiation codon of
ribosomal protein genes. 8. Uchida W, Matsunaga S, Sugiyama R, Kawano S: Interstitial telomere-like
repeats in the Arabidopsis thaliana genome. Genes Genet Syst 2002, 77:63-67. 9. Regad F, Lebas M, Lescure B: Interstitial telomere repeats within the
Arabidopsis thaliana genome. J Mol Biol 1994, 239:163-169. Additional File 2: This file contains a table (table 2A) showing in A. thaliana the location of telo boxes, site II motifs, TEF1 boxes and
transcription start sites relative to the translation initiation codon
of genes annotated in TAIR as encoding protein involved in rRNA Additional File 2: This file contains a table (table 2A) showing in A. thaliana the location of telo boxes, site II motifs, TEF1 boxes and
transcription start sites relative to the translation initiation codon
of genes annotated in TAIR as encoding protein involved in rRNA 10. Vandepoele K, Casneuf T, Van de Peer Y: Identification of novel regulatory
modules in dicotyledonous plants using expression data and
comparative genomics. Genome Biol 2006, 7:R103. 10. Vandepoele K, Casneuf T, Van de Peer Y: Identification of novel regulatory
modules in dicotyledonous plants using expression data and
comparative genomics. Genome Biol 2006, 7:R103. Page 12 of 12 Gaspin et al. BMC Plant Biology 2010, 10:283
http://www.biomedcentral.com/1471-2229/10/283 11. Tremousaygue D, Garnier L, Bardet C, Dabos P, Hervé C, Lescure B: Internal
telomeric repeats and ‘TCP domain’ protein-binding sites co-operate to
regulate gene expression in Arabidopsis thaliana cycling cells. Plant J
2003, 33:957-966. 32. Drolet M: Growth inhibition mediated by negative supercoiling: the
interplay between transcription elongation, R-loop formation and DNA
topology. Mol Microbiol 2006, 59:723-730. 33. Lee M, Blackburn EH: Sequence-specific DNA primer effects on
telomerase polymerization activity. Mol Cell Biol 1993, 13:6586-6599. 12. Manevski A, Bardet C, Tremousaygue D, Lescure B: In synergy with various
cis-acting elements, plant interstitial telomere motifs regulate gene
expression in Arabidopsis root meristems. FEBS Lett 2000, 483:43-46. 34. Ren S, Johnston JS, Shippen DE, McKnight TD: Telomerase Activator1
induces telomerase activity and potentiates responses to auxin in
Arabidopsis. Plant Cell 2004, 16:2910-2922. 13. 31.
Aguilera A: The connection between transcription and genomic
instability. EMBO J 2002, 21:195-201. doi:10.1186/1471-2229-10-283
Cite this article as: Gaspin et al.: Distribution of short interstitial
telomere motifs in two plant genomes: putative origin and function.
BMC Plant Biology 2010 10:283. Additional material Kooiker M, Airoldi CA, Losa A, Manzotti PS, Finzi L, Kater MM, Colombo L:
BASIC PENTACYSTEINE1, a GA binding protein that induces
conformational changes in the regulatory region of the homeotic
Arabidopsis gene SEEDSTICK. Plant Cell 2005, 17:722-729. 30. Nicolas A: Relationship between transcription and initiation of meiotic
recombination: Toward chromatin accessibility. Proc Natl Acad Sci USA
1998, 95:87-89. 31. Aguilera A: The connection between transcription and genomic
instability. EMBO J 2002, 21:195-201.
|
https://openalex.org/W4382491323
|
https://zenodo.org/record/8095022/files/Review%20of%20rotating%20machinery.pdf
|
English
| null |
Review of Rotating Machinery Fault Diagnosis with Vibration Analysis
|
Zenodo (CERN European Organization for Nuclear Research)
| 2,023
|
cc-by
| 3,421
|
Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 acA acA ABSTRACT ABSTRACT
A fully automatic system that can identify internal defects and forecast their remaining usable
life is needed for smart factories worldwide. Utilizing the “predictive maintenance” method
is one way to do this. It allows for intervention before failure occurs and considerably raises
the efficiency of engineering components. Condition monitoring of rotating machinery can be
done by vibration analyses utilizing various characteristic frequencies. Common defects like
shaft misalignment, unbalanced, bend shafts, bearing defects and gear defects in rotating
machinery must be identified before failure occurs. With the aid of frequency analysis, these
errors can be anticipated. This paper covers a brief review of different fault diagnosis
techniques, vibration analysis for fault detection and diagnosis, signal processing techniques,
sensor position, dominant frequencies and the vibrational plane of different faults in rotating
machinery. Keywords: Predictive maintenance, rotating machinery, vibration analyses, internal defects,
frequency analysis, condition monitoring Keywords: Predictive maintenance, rotating machinery, vibration analyses, internal defects,
frequency analysis, condition monitoring Farhan F. Mutwalli1*, Sandeep P. Nevagi2
1M. Tech. Student, 2Assistant Professor
Department of Mechanical Engineering, Walchand College of Engineering, Sangli,
Maharashtra, India Farhan F. Mutwalli1*, Sandeep P. Nevagi2
1M. Tech. Student, 2Assistant Professor
Department of Mechanical Engineering, Walchand College of Engineering, Sangli,
Maharashtra, India Farhan F. Mutwalli1*, Sandeep P. Nevagi2
1M. Tech. Student, 2Assistant Professor
Department of Mechanical Engineering, Walchand College of Engineering, Sangli,
Maharashtra, India *Corresponding Author
E-Mail Id: farhan.mutwalli@walchandsangli.ac.in acA Engine's gearbox's vibrations were studied
for both real and simulated fault gear. Wavelet analysis is effective in detecting
non-stationary, non-periodic, and transient
vibrational signal properties. Vibration
analysis is a useful method for monitoring
machine health [2]. The most frequent problem with rotating
machinery is a bend shaft. Depending on
the degree and location of the bend, a bent
shaft causes an excessive amount of
vibration in a machine. Shaft bends can
occur for a number of reasons, including
creep, thermal distortion, or a significant
imbalance force. A bend shaft can cause
rotating equipment to fail unexpectedly,
which could cause large financial losses. A
machine's health is indicated by the
vibration amplitude (displacement, velocity,
and acceleration), which also tells us how
serious a fault is. Higher amplitude at first
order is shown by the bend shaft of the
Spectra analysis. The bend shaft is
confirmed by the phase difference between
the axial directions at the Drive End (DE)
bearing and Non Drive End (NDE) bearing. Both phase and amplitude are retrieved
during order analysis. The fault type and
location are often determined by the phase
and amplitude [5]. The order analysis was used successfully in
identifying the two common issues with
rotating
machinery:
misalignment
and
cracking. The order analysis is based on the
frequency domain vibration data derived
from the FFT. After the data acquisition, an
FFT was used to convert it from the time
domain to the frequency domain. The
machine used in the investigation had
vibrations that were within acceptable
limits as per ISO Standard 20816:2016. In
the industrial setting, the majority of
equipment has at least one shaft that
frequently
experiences
problems
with
cracking or misalignment. When compared
to a similar machine, this vibrational
spectral trend of a misaligned and broken
shaft can be used as a baseline to identify
defects that will maximize productivity
while minimizing downtime [3]. The
vibration
analysis
is
a
useful
supplement to other NDT testing methods. Vibration analysis for application such as
vertical sodium pump, centrifugal pump,
sodium pump was done. Due to rotor rub
and
some
mechanical
looseness,
the
vibrational spectrum of vertical sodium
pump showed harmonic peak. The pump
was dismantled and it was found that
hydrostatic bearing was damaged and
journal was totally worm out. The spectra
of centrifugal pump showed peak at 1X
rpm because of bend and peak at 5X due to
bearing fault. INTRODUCTION A laboratory-scale device, Machine Fault
Simulator (MFS), for conducting rotor
dynamics studies was built. It assists in
learning the vibration signature of the most
common machinery failures in a controlled
manner. The MFS is a benchtop system
with a modular design. It allows for
analyses of a range of gear and belt defects
in rotating machinery. Vibration, noise,
wear, and lubrication can all be diagnosed
using simulators [1]. Condition
monitoring,
using
vibration
analysis can predict and diagnose structural
or operational defects of rotating machinery. In rotating machinery, shaft misalignment
and unbalance are common faults, and they
must be diagnosed before failure occurs. These faults can be predicted with the help
of frequency analysis. Fault detection using
vibration analysis involves analysing the
vibration signature for the occurrence of a
fault. Gear is one of the key components in the
transmission system of an automotive
engine. To
maintain
the
engine's
performance, the gear system should be
properly maintained. Fourier Transform
(FT), and Continuous Wavelet Transform
(CWT) techniques are used for fault
diagnosis of gear damage detection. The IC Any predominant fault occurring results in
an increased vibration level, which has
energy concentrated at certain frequency
levels. By using this frequency response, it
is easy to detect and diagnose faults. HBRP Publication Page 38-46 2023. All Rights Reserved Page 38 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 acA acA Thermography Very less study based on, at a time analysis
of all faults in rotating machine such as
unbalanced shaft, bend shaft, angular &
parallel misalignment, gear profile, and
different bearing faults. This study is to
investigate the study of different fault
characteristics of rotating machinery. Thermography used for detecting electrical
and mechanical equipment fault. By using
temperature measurement thermography is
performed. Oil Analysis This
technique
involves
looking
for
specific small particles in the lubricating oil
that can indicate the health of the bearings,
gears etc. [10] Various techniques for machinery fault
diagnosis are: Acoustic Emission It is analysis of acoustic noise spectrum, a
machine in good working condition has a
stable noise spectrum. When a condition
changes the spectrum also changes, which
can be detected by use of acoustic
condition monitoring. It is used finding and
continuously monitoring cracks in different
types of structures including pipelines. Misalignment of shaft creates number of
problems,
including
coupling
failure,
lubrication seal damage (leakage), and
bearing failure. Shaft angular misalignment
can be diagnosed with vibration and
acoustic
emission
techniques. For
collecting data of vibration and acoustic
emission, proximity sensors were used. Acoustics emission is more effective to
detect angular
misalignment fault as
compared to vibration analysis method [9]. Particle Analysis In this technique, the material emitted by
reciprocating machinery, such as hydraulic
systems or gearboxes, is collected and
examined. The material offers essential
information on the components condition. acA [6] Pitting, scuffing, spalling, cracking, and
wear are the main types of gear faults that
are frequently encountered. Internal
problems of gears cause a gearbox to
malfunction. A gearbox’s fault analysis by
using vibration analysis. The measurement
of vibration with transducer ADXL3353-
Axis. A
national
instrument
data
acquisition card was used. The data was
examined for an 80-tooth gear meshing
with a 32-tooth pinion at 600 rpm and no-
load condition. A gear box’s fault analysis
was done by Artificial neural network
(ANN) (deep learning toolbox MATLAB),
and frequency domain analysis with these
two methods compare of the result. Vibrational defects analysed using both
FFT and ANN. But ANN produced more
accurate results than the FFT [4]. Vibration analysis is a technique for
keeping track of the machine's health. In
time
space
vibrational
examination
measurable qualities like RMS, mean,
kurtosis and peak factor are contrasted and
limit
an
incentive
for
shortcoming
recognition in pivoting hardware. Time
domain vibrational analysis do not detect
early faults as compared to frequency HBRP Publication Page 38-46 2023. All Rights Reserved Page 39 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 acA domain. In
frequency
domain
more
effectively define faults as compared to
time domain [7]. signals are utilized as a tool to monitor
mechanical condition of machine, because
the majority of issues with rotating
machinery results in excessive vibration. Various condition monitoring techniques
such as vibration monitoring, oil analysis,
acoustics
emission,
particle
analysis,
corrosion monitoring and thermography. In
rotating machinery all fault related with
vibration so vibration analysis was used for
condition monitoring. Vibrational signal
processing with time domain, frequency
domain and time frequency domain but in
time frequency domain signal are comes
with more effective than other two signal
processing techniques [8]. FAULT DIAGNOSIS TECHNIQUES
[10] The amount of vibration energy measured
across all frequencies is known as vibration
analysis. A machine's current state of health
can be determined by measuring the "total"
vibration of a machine or component. Value for total vibration higher than normal
indicates presence of fault in the machine. Total vibration measure with scale factors
consisting of peak, Peak to-Peak, average,
and RMS. When working with sinusoidal
waveforms, these scale factors have a direct Frequency Domain Analysis The Peak value indicates the waveform's
height as measured from a zero reference. The Peak value indicates the waveform's
height as measured from a zero reference. The amplitude measured from the topmost
to the bottommost portion of the waveform
is known as the peak-to-peak value. The
average value represents the waveform's
average amplitude value. A pure sine
waveform has an average value of zero (it
has equal positive and negative values). The majority of waveforms, though, are not
wholly sinusoidal. Analysing physical signals or data time
series with respect to frequency is known
as frequency domain analysis. It displays
the number of signals over a range of
frequencies with respect to amplitude. Time-Frequency Domain Analysis
This includes methods that employ both the
time
and
frequency
domains
simultaneously. Two-dimensional signals
are studied. SIGNAL PROCESSING TECHNIQUES
Processing of signals is essential because
there are several fault types. The right
technique must be chosen based on the
characteristics of the collected signal. Following
are
the
signal
processing
techniques for rotating machinery fault
detection. SENSOR POSITION FOR VIBRATION
MEASUREMENT Special attention should be given to the
sensor's placement on the machinery, its
angle with the machinery, and the contact
pressure used to hold the sensor against the
machinery. A surface with without paint is
required
for
mounting
of
vibration
measurement sensor. Avoid positioning of
sensor at unloaded bearing zones, structural
gaps. It's essential to take consistent
readings while measuring vibration using a
hand-held sensor. The axial (A), horizontal
(H), and radial (V) vertical direction should
be used for vibration measurement sensor
position. The sensor locations are shown in
the Fig 2 below. Vibration Monitoring The most reliable method for identifying
mechanical
defects
in
any
rotating
machinery. The mechanical parts of a
machine vibrate when they respond to
internal or external forces. Vibration HBRP Publication Page 38-46 2023. All Rights Reserved Page 40 acA
Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2
relationship
with
one
another. The
relationship between average, RMS, peak,
Peak-to-Peak, and average for sinusoidal
waveforms are shown in Fig. 1. Fig. 1: Vibration sinusoidal waveforms. Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 acA Peak-to-Peak, and average for sinusoidal
waveforms are shown in Fig. 1. Peak-to-Peak, and average for sinusoidal
waveforms are shown in Fig. 1. Peak-to-Peak, and average for sinusoidal
waveforms are shown in Fig. 1. relationship
with
one
another. The
relationship between average, RMS, peak, Fig. 1: Vibration sinusoidal waveforms. Fig. 1: Vibration sinusoidal waveforms. The Peak value indicates the waveform's
height as measured from a zero reference. The amplitude measured from the topmost
to the bottommost portion of the waveform
is known as the peak-to-peak value. The
average value represents the waveform's
average amplitude value. A pure sine
waveform has an average value of zero (it
has equal positive and negative values). The majority of waveforms, though, are not
wholly sinusoidal. FFT SPECTRUM ANALYSIS [12] frequencies. From the below Fig 3, the
signal's higher amplitude peak is at 180 Hz
frequency (1X), then again at 420 Hz
frequency (2X) etc. The first harmonic
component, represented by 1X, is equal to
the rotor's rotational speed; the second
harmonic component is represented by 2X. Applying Fast Fourier Transformation to
the vibration signal is a technique more
beneficial for vibration analysis. Fast
Fourier Transform converts time domain
signal into frequency domain. This means
that the signal is divided into distinct
amplitudes
at
different
component Fig. 3: FFT Spectrum Plot. Fig. 3: FFT Spectrum Plot. Time Domain Analysis y
Time domain analysis examines physical
signals or time series of data in relation to
one another. The change in a signal with
respect to time is represented by a time-
domain graph. HBRP Publication Page 38-46 2023. All Rights Reserved Page 41 Page 41 acA
Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2
Fig. 2: Sensor Position for vibration measurement. Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 acA Fig. 2: Sensor Position for vibration measurement. Fig. 2: Sensor Position for vibration measurement. Unbalance Shaft For an unbalance shaft, the sinusoidal
waveform of vibration produced by pure
imbalance occurs once at each revolution. For an unbalance shaft, the sinusoidal
waveform of vibration produced by pure
imbalance occurs once at each revolution. This shows as a higher-than-usual 1x
amplitude on an FFT spectrum. Other faults The various characteristic frequencies of
rotating machinery faults are as follows: This shows as a higher-than-usual 1x
amplitude on an FFT spectrum. Other faults HBRP Publication Page 38-46 2023. All Rights Reserved Page 42 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 acA direction is unusually high in comparison to
the axial direction. Fig.4 shows unbalance
shaft frequency response. frequently produce harmonics in addition to
a high 1x amplitude. In a typical unbalance,
the vibration amplitude in the radial Fig. 4: Unbalance shaft frequency response. Fig. 4: Unbalance shaft frequency response. vibrations. If the bend is close to the shaft
centre, then the amplitude of 1X is
dominating. If the bend is close to the shaft
end then the dominant amplitude is 2 X. Fig.5 shows bend shaft frequency response. Bend Shaft A bend shaft results in spectra similar that
of misalignment shaft. There could be a
higher-than-usual 1x/2x amplitude. Axial
vibrations are higher than the radial Fig. 5: Bend shaft frequency response. Fig. 5: Bend shaft frequency response. Misalignment Shaft Misalignment Shaft 2x frequencies are examined because the
majority of misalignment consists of an
angular and parallel component. A higher
than normal 1x amplitude divided by 2x
amplitude may occur in FFT spectrum of
angular misalignment. Fig. 6 & Fig. 7
shows shaft frequency response for angular
and parallel misalignment respectively. A higher than usual 1x/2x amplitude may
occur due to misalignment shaft. Axial
vibration due to angular misalignment
occurs at the running speed frequency (1x). Radial
vibration
due
to
parallel
misalignment occurs a frequency that is
twice that of running speed (2x). Both the
radial and axial plane measurement, 1x and HBRP Publication Page 38-46 2023. All Rights Reserved Page 43 Page 43 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 acA acA Fig. 6: Angular misalignment shaft frequency response. Fig. 7: Parallel misalignment shaft frequency response. r Faults
r faults appear in a radial plane. Gear
h frequency (GMF) means the number
eth on the gear multiplied by the speed
he shaft to which the gear is attached. multiple GMFs and their harmonics
duce a spectrum of frequencies in
boxes If the gearbox is still in a good
condition, all peaks have small amplitude
and no natural gear frequencies are excited
The tooth wear and backlash faults in gea
excite natural frequencies along with th
gear mesh frequencies and their sidebands
Fig. 8. shows normal gear and frequenc
response of gear with tooth wear. Fig. 6: Angular misalignment shaft frequency response. Fig. 6: Angular misalignment shaft frequency response. Fig. 6: Angular misalignment shaft frequency response. Fig. 7: Parallel misalignment shaft frequency response. Fig. 7: Parallel misalignment shaft frequency response. Fig. 7: Parallel misalignment shaft frequency response. condition, all peaks have small amplitudes
and no natural gear frequencies are excited. The tooth wear and backlash faults in gear
excite natural frequencies along with the
gear mesh frequencies and their sidebands. Fig. 8. shows normal gear and frequency
response of gear with tooth wear. Gear Faults Gear faults appear in a radial plane. Gear
mesh frequency (GMF) means the number
of teeth on the gear multiplied by the speed
of the shaft to which the gear is attached. The multiple GMFs and their harmonics
produce a spectrum of frequencies in
gearboxes. If the gearbox is still in a good HBRP Publication Page 38-46 2023. All Rights Reserved Page 44 Page 44 acA
Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2
Fig. 8: Normal gear and tooth wear of gear frequency response. Fig. 8: Normal gear and tooth wear of gear frequency response. CONCLUSION In
this
review,
study
of
different
machinery fault diagnosis techniques is
done and different rotating machinery
faults are presented with the help of
vibration analysis. Vibration analysis is a
non-destructive technique for detecting
faults in that is helpful for finding various
fault frequencies in rotating machinery. Vibration data can be analysed by using
various
signal-processing
techniques. Study of measurement sensor position and
FFT spectrum analysis was also done. With the help of spectrum analysis, it is
easy to point out location of the defect. This paper also gives the plane of
vibration and dominant frequencies of
various rotating machinery faults. In
rotating machinery common faults such as
unbalanced, bent, and misaligned shafts
are easy to find by using vibration
analysis. 3. Azeem, N., Yuan, X., Raza, H., &
Urooj,
I. (2019). Experimental
condition
monitoring
for
the
detection of misaligned and cracked
shafts by order analysis. Advances in
Mechanical
Engineering, 11(5),
1687814019851307. 3. Azeem, N., Yuan, X., Raza, H., &
Urooj,
I. (2019). Experimental
condition
monitoring
for
the
detection of misaligned and cracked
shafts by order analysis. Advances in
Mechanical
Engineering, 11(5),
1687814019851307. 4. Shah,
M.,
Kitkaru,
S.,
&
Rajanarasimha, S. (2020). Detection
and Analysis of Faults in Gears using
Frequency Domain and Artificial
Neural
Network. International
Research Journal of Engineering and
Technology, 7(10). 5. Mogal, S. P., & Lalwani, D. I. (2017). Fault diagnosis of bent shaft in rotor
bearing
system. Journal
of
Mechanical
Science
and
Technology, 31, 1-4. 6. Thirumalai, M., Kumar, P. A.,
Jayagopi,
K.,
Prakash,
V.,
Anandbabu, C., Kalyanasundaram,
P., & Vaidyanathan, G. (2009,
December). Vibration Diagnostics as
NDT Tool for Condition Monitoring
in Power Plants. In Proceedings of
the National Seminar & Exhibition on
Non-Destructive Evaluation (NDE Bearing Fault Engineering (IJMECH) Vol, 4, 77-84. Engineering (IJMECH) Vol, 4, 77-84. Engineering (IJMECH) Vol, 4, 77-84. 2. Vernekar,
K.,
Kumar,
H.,
&
Gangadharan, K. V. (2014). Gear
fault
detection
using
vibration
analysis and continuous wavelet
transform. Procedia
Materials
Science, 5, 1846-1852. The dominant frequency for bearing fault
is 4X … 15X and the plane of vibration is
radial. REFERENCES 1. Nayak, C., Pathak, V. K., Kumar, S.,
&
Athnekar,
P. design
and
development
of
machine
fault
simulator
(MFS)
for
fault
diagnosis. International Journal of
Recent
advances
in
Mechanical 1. Nayak, C., Pathak, V. K., Kumar, S.,
&
Athnekar,
P. design
and
development
of
machine
fault
simulator
(MFS)
for
fault
diagnosis. International Journal of
Recent
advances
in
Mechanical HBRP Publication Page 38-46 2023. All Rights Reserved Page 45 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 Advancement in Mechanical Engineering and Technology
Volume 6 Issue 2 acA acA 2009) (pp. 50-55). 2009) (pp. 50-55). 11. Bahgat,
E. Mechanical
Fault
Diagnosis
Part
2. https://www.kau.edu.sa/Files/005785
0/Subjects/mechanical%20fault%20d
iagnosis%20part%202.pdf 7. Vishwakarma,
M.,
Purohit,
R.,
Harshlata, V., & Rajput, P. (2017). Vibration
analysis
&
condition
monitoring for rotating machines: a
review. Materials
Today:
Proceedings, 4(2), 2659-2664. 12. Scheffer,
C.,
&
Girdhar,
P. (2004). Practical
machinery
vibration analysis and predictive
maintenance. Elsevier. 8. Kumar, S., Lokesha, M., Kumar, K.,
& Srinivas, K. R. (2018, June). Vibration
based
fault
diagnosis
techniques for rotating mechanical
components. In IOP
Conference
Series:
Materials
Science
and
Engineering (Vol. 376, No. 1, p. 012109). IOP Publishing. 9. Chacon, J. L. F., Andicoberry, E. A.,
Kappatos, V., Asfis, G., Gan, T. H.,
& Balachandran, W. (2014). Shaft
angular misalignment detection using
acoustic
emission. Applied
acoustics, 85, 12-22. 10. Collacott, R. A., & Collacott, R. A. (1977). Monitoring
systems
in
operation. Mechanical
Fault
Diagnosis and condition monitoring,
367-403. HBRP Publication Page 38-46 2023. All Rights Reserved Page 46 Page 46
|
https://openalex.org/W3005878618
|
https://ora.ox.ac.uk/objects/uuid:e0839deb-73a9-4b21-91a1-007f9ba7d052/files/r7s75dd25x
|
English
| null |
Bayesian Kernel Two-Sample Testing
|
Journal of computational and graphical statistics
| 2,022
|
cc-by
| 10,444
|
Journal of Computational and Graphical Statistics ISSN: (Print) (Online) Journal homepage: https://www.tandfonline.com/loi/ucgs20 Full Terms & Conditions of access and use can be found at
https://www.tandfonline.com/action/journalInformation?journalCode=ucgs20 1. Introduction Nonparametric two-sample testing is an important branch of
hypothesis testing with a wide range of applications. For a paired
two-sample testing problem, the dataset under consideration is
D = {{xi}n
i=1, {yj}n
j=1}, where {xi}n
i=1
iid∼PX and {yj}n
j=1
iid∼
PY. We wish to evaluate the evidence for the competing
hypotheses P(H0|D) =
BF
1 + BF
(3)
P(H1|D) = 1 −P(H0|D) =
1
1 + BF . (4) (3) (4) When the prior probabilities on the models are not equal, the
posterior probability of the null model can be written as: H0 : PX = PY versus H1 : PX ̸= PY
(1) (1) H0 : PX = PY versus H1 : PX ̸= PY with the probability distributions PX and PY unknown. In this
work, we will pursue a Bayesian perspective to this problem. In
this perspective, hypotheses can be formulated as models and
hypothesis testing can therefore, be viewed as a form of model
selection, that is, to identify which model is strongly supported
by the data (Jefferys and Berger 1992). P(H0|D) =
BF
P(H1)
P(H0) + BF
(5) (5) where P(H0) and P(H1) denote, respectively, the prior for mod-
els H0 and H1. Instead of considering the observations directly, we propose
to work with the difference between the two distributions’ mean
embeddings in the Reproducing Kernel Hilbert Space (RKHS). In the kernel literature, this quantity is proportional to the
witness function of the (frequentist) two-sample test statistic
known as Maximum Mean Discrepancy (Gretton et al. 2012a,
Definition 2). f
The classical Bayesian formulation of the two-sample testing
problem is in terms of the Bayes factor (Jeffreys 1935, 1961; Kass
and Raftery 1995). For any given dataset D and two competing
models/hypotheses H0 and H1, the Bayes factor is represented
as the likelihood ratio of the samples given that they were
generated from the same distribution (null hypothesis) to that
they were generated from different distributions (alternative
hypothesis): i
Inspired by the work of Flaxman et al. (2016) where the
kernel mean embedding is modeled with a Gaussian process
prior and a normal likelihood, we use a similar model for the
difference between the kernel mean embeddings. Intuitively, to
model the kernel mean embedding for X (or for Y) directly
with a GP prior is not ideal as kernel mean embeddings for
a nonnegative kernel (like widely used Gaussian or Matérn BF = P(D|H0)
P(D|H1) . Qinyi Zhang, Veit Wild, Sarah Filippi, Seth Flaxman & Dino Sejdinovic To cite this article: Qinyi Zhang, Veit Wild, Sarah Filippi, Seth Flaxman & Dino Sejdinovic (2022)
Bayesian Kernel Two-Sample Testing, Journal of Computational and Graphical Statistics, 31:4,
1164-1176, DOI: 10.1080/10618600.2022.2067547 © 2022 The Author(s). Published with
license by Taylor & Francis Group, LLC. View supplementary material
Published online: 29 Jun 2022. Submit your article to this journal
Article views: 707
View related articles
View Crossmark data © 2022 The Author(s). Published with
license by Taylor & Francis Group, LLC. View supplementary material
Published online: 29 Jun 2022. Submit your article to this journal
Article views: 707
View related articles
View Crossmark data Full Terms & Conditions of access and use can be found at
https://www.tandfonline.com/action/journalInformation?journalCode=ucgs20 JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS
2022, VOL. 31, NO. 4, 1164–1176
https://doi.org/10.1080/10618600.2022.2067547 ABSTRACT In modern data analysis, nonparametric measures of discrepancies between random variables are partic-
ularly important. The subject is well-studied in the frequentist literature, while the development in the
Bayesian setting is limited where applications are often restricted to univariate cases. Here, we propose
a Bayesian kernel two-sample testing procedure based on modeling the difference between kernel mean
embeddings in the reproducing kernel Hilbert space using the framework established by Flaxman et al. The use of kernel methods enables its application to random variables in generic domains beyond the
multivariate Euclidean spaces. The proposed procedure results in a posterior inference scheme that allows
an automatic selection of the kernel parameters relevant to the problem at hand. In a series of synthetic
experiments and two real data experiments (i.e., testing network heterogeneity from high-dimensional
data and six-membered monocyclic ring conformation comparison), we illustrate the advantages of our
approach. Supplementary materials for this article are available online. distribution is 1
2 (Kass and Raftery 1995). If the posterior prob-
ability of the model given the data is of interest, it can be easily
written in terms of the Bayes factor: distribution is 1
2 (Kass and Raftery 1995). If the posterior prob-
ability of the model given the data is of interest, it can be easily
written in terms of the Bayes factor: CONTACT Dino Sejdinovic
dino.sejdinovic@stats.ox.ac.uk
Department of Statistics, University of Oxford, Oxford, UK.
Supplementary materials for this article are available online. Please go to www.tandfonline.com/r/JCGS.
©2022 The Author(s). Published with license by Taylor & Francis Group, LLC.
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution,
and reproduction in any medium, provided the original work is properly cited. Bayesian Kernel Two-Sample Testing Qinyi Zhanga, Veit Wilda, Sarah Filippib, Seth Flaxmanc, and Dino Sejdinovica Qinyi Zhang , Veit Wild , Sarah Filippi , Seth Flaxman , and Dino Sejdinovic
aDepartment of Statistics, University of Oxford, Oxford, UK; bDepartment of Mathematics, Imperial College London, London, UK; cDepartment of
Computer Science, University of Oxford, Oxford, UK aDepartment of Statistics, University of Oxford, Oxford, UK; bDepartment of Mathematics, Imperial College London, London, UK; cDepartment of
Computer Science, University of Oxford, Oxford, UK rsity of Oxford, Oxford, UK; bDepartment of Mathematics, Imperial College London, London, UK; cDepartment of
Oxford, Oxford, UK epartment of Statistics, University of Oxford, Oxford, UK; bDepartment of Mathematics, Imperial College London
mputer Science, University of Oxford, Oxford, UK ARTICLE HISTORY
Received February 2020
Accepted March 2022
KEYWORDS
Bayes factor: Hypothesis
testing; Kernel mean
embeddings 1. Introduction (2) (2) The Bayes factor can be interpreted as the posterior odds
on the null distribution when the prior probability on the null CONTACT Dino Sejdinovic JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS 1165 kernels) are never negative, but the draws from any GP prior
can be negative. Hence, it seems more suitable to place a prior
directly on the difference between the mean embeddings—as
we do in this contribution. A further advantage of modeling
the difference directly is that we will no longer require the
independence assumption between the random variables X and
Y. Such assumption is common in two-sample testing literature
both in the frequentist and the Bayesian setting. In particular,
a frequentist two-sample test based on MMD requires such
an assumption. The remainder of the article is structured as
follows. Section 2 overviews existing approaches to Bayesian
nonparametric two-sample testing. Section 3 recaps the formal-
ism behind the main ingredient of our test, embeddings of dis-
tributions into RKHS. Section 4 introduces the testing method-
ology, defining the relevant quantities of interest and detailing
their distributions under the two hypotheses, and finally giv-
ing a Metropolis Hasting within Gibbs type of approach for
inferring the posterior distribution of hyperparameters θ and
that of the model given the observed data. Section 5 studies
the performance of the proposed method on various synthetic
data experiments. Section 6 presents the results on two real
data experiments where we test network heterogeneity from
high dimensional data in the first experiment and compare six-
membered monocyclic ring conformation under two different
conditions in the second experiment. the variance of the noise distribution of the GP model) were
set to those that maximize the log posterior distribution of
the hyperparameters. While this approach is for detecting the
genes that are differentially expressed, they proposed a mixture
type of approach for detecting the intervals of the time series
such that the effect is present. A binary switch variable was
introduced at every observation time point to determine the
model that describes the expression level at that time point. Pos-
terior inference of such variable is achieved through variational
approximation. Bayesian nonparametric approaches have also been proposed
for independence testing. In particular, Filippi and Holmes
(2016) extended the work by Holmes et al. (2015) to perform
independence testing using Pólya tree priors while Filippi,
Holmes, and Nieto-Barajas (2016) proposed to model the
probability distributions using Dirichlet process mixture
models (DPMM) with Gaussian distributions for pairwise
dependency detection in large multivariate datasets. 2. Related Work Bayesian parametric hypothesis testing, that is, when the prob-
ability distributions PX and PY are of known form, is well devel-
oped and we refer the readers to Bernardo and Smith (2000) for
a clear description of the setting. Most Bayesian nonparametric approaches for hypothesis
testing have been focusing on testing a parametric model
versus a nonparametric one and a detailed summary has been
provided by Holmes et al. (2015). Chen and Hanson (2014)
and Holmes et al. (2015) concurrently proposed Bayesian
nonparametric two-sample tests using Pólya tree priors for
both the distributions of the pooled samples PX,Y under the
null and for the individual distributions PX and PY under the
alternative. The two approaches mainly differ in terms of the
specific modeling choices in these priors—while Chen and
Hanson (2014) used a truncated Pólya tree, Holmes et al. (2015)
showed that the computation of the Bayes Factor could be
done analytically with a nontruncated Pólya tree—and their
centering distributions. Note that the method proposed by
Holmes et al. (2015) is restricted to one-dimensional data
whereas the method by Chen and Hanson (2014) is described
in a multivariate setting. CONTACT Dino Sejdinovic Though in
theory the Bayes factor with DPMM on the unknown densities
can be computed via the marginal likelihood, this requires
integrating over infinite dimensional parameter space which
results in an intractable form (Filippi, Holmes, and Nieto-
Barajas 2016). Hence, the problem was reformulated using a
mixture modeling approach proposed by Kamary et al. (2014)
where hypotheses are the components of a mixture model
and the posterior distribution of the mixing proportion is
the outcome of the test. While in this article we focus on the
classical Bayes factor formalism, it is an interesting direction
of future work to study its extensions to the mixture modeling
framework. 1166
Q. ZHANG ET AL. 66
Q. ZHANG ET AL. 1166 Q. ZHANG ET AL. with the empirical estimators and the corresponding estimates
denoted by Probability distributions can be represented as elements of
a RKHS and they are known as the kernel mean embeddings
(Berlinet and Thomas-Agnan 2004; Smola et al. 2007). This
setting has been particularly useful in the (frequentist) nonpara-
metric two-sample testing framework (Borgwardt et al. 2006;
Gretton et al. 2012a) since discrepancies between two distribu-
tions can be written succinctly as the square Hilbert-Schmidt
norm between their respective kernel mean embeddings. More
formally, kernel mean embeddings can be defined as follows. μX = 1
n
n
i=1
kθ(·, Xi)
and
μx = 1
n
n
i=1
kθ(·, xi), (10)
μY = 1
n
n
i=1
kθ(·, Yi)
and
μy = 1
n
n
i=1
kθ(·, yi). (11) (10) We denote the witness function up to proportionality as δ =
μX −μY, which is simply the difference between the kernel
mean embeddings. Under the null hypothesis, the two distribu-
tions PX and PY are the same and with the use of characteristic
kernels, all information of the probability distribution is pre-
served through the kernel mean embeddings μX and μY. Hence,
the null hypothesis is equivalent to δ ≡0 and the alternative is
equivalent to δ ̸= 0.i Definition 3.2. Let k be a kernel on Z, and ν ∈M1
+(Z) with
M1
+(Z) denoting the set of Borel probability measures on Z. The kernel embedding of probability measure ν into the RKHS
Hk is μk(ν) ∈Hk such that
f (z)dν(z) = ⟨f , μk(ν)⟩Hk, ∀f ∈Hk. (6) (6) Given a set of evaluation points z = {zi}s
i=1 ∈X, we define
the evaluation of δ at z as In other words, the kernel mean embedding can be written
as μk(ν) =
k(·, z)dν(z), that is, any probability measure
is mapped to the corresponding expectation of the canonical
feature map k(·, z) through the kernel mean embedding. When
the kernel k is measureable on Z and E(√k(z, z)) < ∞, the
existence of the kernel mean embedding is guaranteed (Gret-
ton et al. 2012a, Lemma 3). Further, Fukumizu et al. (2008)
showed that when the corresponding kernels are characteristic,
the mean embedding maps are injective and hence preserve
all information of the probability measure. 4. Proposed Method Consider a paired dataset D = {(xi, yi)}n
i=1 with xi, yi ∈X for
some generic domains X. Further, let xi
iid∼PX and yi
iid∼PY for
some unknown distributions PX and PY. Let kθ(·, ·) be a positive
definite kernel parameterized by θ, with the corresponding
reproducing kernel Hilbert space H. = {μx(zj) −μy(zj)}s
j=1
(15)
=
1
n
n
i=1
kθ(xi, zj) −1
n
n
i=1
kθ(yi, zj)
s
j=1
(16)
=
1
n
n
i=1
(kθ(xi, zj) −kθ(yi, zj))
s
j=1
(17) (15) (16) We wish to evaluate the evidence for the competing hypothe-
ses (17) H0 : PX = PY versus H1 : PX ̸= PY . (7) (7) In this work, we develop a Bayesian two-sample test based
on the difference between the kernel mean embeddings. We
consider the empirical estimate of such difference evaluated at
a set of locations and propose a Bayesian inference scheme so
that the relative evidence in favor of H0 and H1 is quantified. The
proposed test is conditional on the choice of the family of kernels
parameterized by θ. We focus on working with the Gaussian
RBF kernel in this contribution, but other kernels are readily
applicable to the framework developed here. To emphasize the
dependence of the kernel function on the lengthscale parameter
θ, we write kθ(·, ·). Denote the respective kernel mean embed-
dings for X and Y as In this work, we develop a Bayesian two-sample test based
on the difference between the kernel mean embeddings. We
consider the empirical estimate of such difference evaluated at
a set of locations and propose a Bayesian inference scheme so
that the relative evidence in favor of H0 and H1 is quantified. The
proposed test is conditional on the choice of the family of kernels
parameterized by θ. We focus on working with the Gaussian
RBF kernel in this contribution, but other kernels are readily
applicable to the framework developed here. To emphasize the
dependence of the kernel function on the lengthscale parameter
θ, we write kθ(·, ·). Denote the respective kernel mean embed-
dings for X and Y as and the corresponding random variable as XY := {μX(zj) −
μY(zj)}s
j=1. 1166
Q. ZHANG ET AL. An example of a
characteristic kernel is the Gaussian kernel on the entire domain
of Rd. δ(zi) = μX(zi) −μY(zi)
(12)
= EX(kθ(zi, X)) −EY(kθ(zi, Y)),
∀i = 1, . . . , s (13)
δ(z) = (δ(z1), . . . δ(zs)))⊤∈Rs. (14) (12) (14) Such evaluations δ(z) will act as the quantity of interest of our
proposed model, while the empirical estimate of δ(z) on a given
set of data D = {(xi, yi)}n
i=1 will be regarded as the observations. This will be made precise in the following sections. Ideally, half
of the evaluation points z = {zi}s
i=1 are sampled from PX, while
the other half are sampled from PY. When direct sampling is
not possible (e.g., when we have access to the distributions only
through samples), the evaluation points are subsampled from
the given dataset. We define the s-dimensional witness vector
as the empirical estimate of δ(z): 3. Kernel Mean Embeddings Before introducing the proposed model, we will first review
the notion of a reproducing kernel Hilbert space (RKHS) and
the corresponding reproducing kernel. This will enable us to
introduce the key concept for our method—the kernel mean
embedding. For more detailed treatment of the subject, we refer
the readers to Berlinet and Thomas-Agnan (2004), Steinwart
and Christmann (2008), and Sriperumbudur (2010). Definition 3.1 (Steinwart and Christmann, 2008, Definition
4.18). Let Z be any topological space on which Borel measures
can be defined. Let H be a Hilbert space of real-valued functions
defined on Z. A function k : Z ×Z →R is called a reproducing
kernel of H if: 2. ∀z ∈Z, ∀f ∈H, ⟨f , k(·, z)⟩H = f (z). (The Reproducing
Property) Borgwardt and Ghahramani (2009) also discuss a nonpara-
metric test using Dirichlet process mixture models (DPMM)
and exponential families. However, to the best of our knowledge,
this test does not appear to lend itself to a practicable imple-
mentation, due to intractability of marginalizing the Dirichlet
process. Property) If H has a reproducing kernel, it is called a Reproducing Kernel
Hilbert Space (RKHS). The element k(·, z) ∈H is known as the canonical feature of
z. Reproducing kernels can be defined on graphs, text, images,
strings, probability distributions as well as Euclidean domains
(Shawe-Taylor and Cristianini 2004). For Euclidean domain Rd,
the Gaussian RBF kernel k(x, y) = exp
−1
2σ 2 ∥x −y∥2
with
lengthscale σ > 0 is an example of a reproducing kernel. Using the Bayes factor as a model comparison tool, Stegle
et al. (2010) used Gaussian processes (GP) to model the prob-
ability of the observed data under each model in the problem
of testing whether a gene is differentially expressed. The values
of the hyperparameters (i.e., the kernel hyperparameters and 4.1. Alternative Model Under the alternative hypothesis, δ = μX−μY ̸= 0. We propose
to model the unknown quantity δ using a Gaussian Process (GP)
prior. Draws from a naively defined prior GP(0, kθ(·, ·)) would
almost surely fall outside of the RKHS H that corresponds to
kθ(·, ·) (Wahba 1990). Hence, Flaxman et al. (2016) proposed to
define the GP prior as We details two ways to estimate θ empirically in the supple-
mentary materials. The constant 1
n is for notational convenience
to be seen later. Integrating out the prior distribution of δ, we
obtain the marginal likelihood |θ ∼N(0s, Rθ + 1
nθ). (26) (26) δ|θ ∼GP(0, rθ(., .))
(19) (19) When the kernel hyperparameter θ is unknown, we use the
framework of Flaxman et al. (2016) to derive the posterior
distribution of θ given the observation. This requires access to
the marginal pseudolikelihood p(θ|{(xi, yi)}n
i=1. The term “pseu-
dolikelihood” is used since it relies on the evaluation of the
empirical embedding at a finite set of inducing points and
hence it is an approximation to the likelihood of the infinite
dimensional empirical embedding (Flaxman et al. 2016). The
derivation of the marginal pseudolikelihood is detailed in the
supplementary materials. with the covariance operator rθ(., .) defined as rθ(z, z′) :=
kθ(z, u)kθ(u, z′)ν(du)
(20) (20) where ν is any finite measure on X. Using results from Luki´c and
Beder (2001) and Theorem 4.27 of Steinwart and Christmann
(2008), Flaxman et al. (2016) showed that such choice of rθ
ensures that δ ∈H with probability 1 by the nuclear dominance
for kθ over rθ for any stationary kernel kθ and more generally
kθ(x, x)ν(dx) < ∞. Intuitively, the new covariance operator
rθ is a smoother version of kθ since it is the convolution of kθ
with itself with respect to a finite measure ν (Flaxman et al. 2016). For our particular choice of kθ being a Gaussian RBF
kernel on X = RD, Flaxman et al. (2016) showed (in A.3) that
the covariance function rθ of square exponential kernels Although the derivations presented in this work follow essen-
tially the same steps as Flaxman et al. (2016), it is important
to note that different from Flaxman et al. (2016), we model
the difference between the empirical mean embeddings of the
two distributions of interest rather than the embedding of a
single distribution. This has several implications. 4. Proposed Method j
Following the classical Bayesian two-sample testing frame-
work, we will quantify the evidence in favor of the two samples
coming from the same distribution versus different distributions
through Bayes factor: BFθ = P(|H0, θ)
P(|H1, θ)
(18) (18) where P(|H0, θ) and P(|H1, θ) are the marginal likelihood of
under each hypothesis for a given kernel hyperparameter θ. In Sections 4.1 and 4.2, we describe how to compute
P(|H0, θ) and P(|H1, θ) for fixed kernel hyperparameter
θ. Similarly to the Bayesian kernel embeddings approach of
Flaxman et al. (2016), we propose to model δ with a Gaussian
process (GP) prior under the alternative model. Assuming a μX = EX(kθ(·, X)) =
X
kθ(·, x)PX(dx),
(8)
μY = EY(kθ(·, Y)) =
Y
kθ(·, y)PY(dy),
(9) (8) (9) JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS 1167 Given the set of evaluation points {zj}s
j=1, the prior translates
into a s-dimensional multivariate Gaussian distribution Gaussian noise model, we derive the marginal likelihood of
for fixed kernel hyperparameter θ. Under the null hypothesis,
the model simplifies significantly due to δ ≡0, so we only need
to pose a Gaussian noise model for |θ. δ(z)|θ ∼N(0, Rθ)
(24) θ ∼N(0, Rθ)
(24) (24) When the kernel hyperparameter is unknown, the frame-
work of Flaxman et al. (2016) enables the derivation of the
posterior distribution of the hyperparameter given the obser-
vations. This, however, requires heavy computation burden due
to the need to compute the marginal likelihood of the dataset
{(xi, yi)}n
i=1|θ. Hence, we propose an alternative formulation of
the likelihood using the Kronecker product structure of our
problem, as presented in the supplementary materials. with [Rθ]ij = rθ(zi, zj). We link the empirical estimate with
the true differences δ evaluated at this set of evaluation points
through a Gaussian likelihood of the model. This is an approx-
imation of the true likelihood which hinges on the common
“Gaussianity in the feature space” assumption in the kernel
method literature and is also used in Flaxman et al. (2016). We
write it as |δ, θ ∼N([δ(z1), . . . , δ(zs)]⊤, 1
nθ). (25) (25) 4.3. Posterior Inference In this section, we investigate the performance of the proposed
posterior inference scheme for M and θ on synthetic data exper-
iments. For each of the synthetic experiments, we generate 100
independent datasets of size n. We examine the distribution of
the probability of the alternative hypothesis (i.e., p(H1|D)) while
varying the number of observed data points n. The number
of evaluation points is fixed at s = 40, with half sampled
from the distribution of X and the other half sampled from the
distribution of Y. When the kernel hyperparameter parameter θ is fixed, the com-
putation of the posterior distribution P(H1|D) is straightfor-
ward. However, a wrong choice of the kernel hyperparameter
can hurt the performance of the proposed Bayesian test (exam-
ples of which are presented in the supplementary materials). Therefore, we treat the parameter θ in a Bayesian manner and
assign a Gamma(2,2) prior (under both model). We propose
to use a Metropolis Hasting within Gibbs type of approach for
the joint posterior inference of M ∈{H0, H1} and θ. In other
words: We sample from p(M, θ|D) by sampling from p(θ|M, D)
and p(M|θ, D) iteratively. We can sample from p(θ|M, D) ∝
p(D|θ, M)p(θ) using No U-Turn Hamiltonian Monte Carlo
(HMC) (Hoffman et al. 2014), since we know the marginal pseu-
dolikelihood under H0 and H1 up to a constant (see Sections 4.1
and 4.2). To sample from p(M|θ, D), recall the relationship
between Bayes factor and the posterior distribution of the null
and alternative model, respectively, For the posterior sampling, we run the algorithm for ˜m =
2000. The initial 500 samples are discarded as burn-in and the
thinning factor is 2. For every Gibbs sampling step, we take
nine steps in HMC which contains three warmup steps for
step size adaption. Note, we have experimented with 1 HMC
step for every step of Gibbs sampling, the convergence of the
parameters M and θ is much slower in that case. On the other
hand, increasing the number of HMC steps beyond 9 does not
seem to improve the performance by a significant amount. We
used nine steps for a balance between computational complexity
and performance. p(H1|θ, D) =
1
1 + BFθ
,
p(H0|θ, D) =
BFθ
1 + BFθ 4.1. Alternative Model 1 Initialize θ0 = Median heuristic on the set
{x1, . . . , xn, y1, . . . , yn};
2 Compute BFθ0 and let M0 = H0 with probability
(1 + BFθ0)−1 and M0 = H1 otherwise;
3 for i ←1 to ˜m do
4
Simulate a chain {θ1, . . . θ˜n} from p(θ|Mi−1, D) using
NUTS in Stan (Carpenter et al. 2017) ;
5
Set θi = θ˜n;
6
Compute BFθi;
7
Let Mi = H0 with probability (1 + BFθi)−1 and
Mi = H1 otherwise. 8 end
Algorithm 1: Posterior inference of the kernel hyperpa-
rameter θ and the hypothesis M ∈{H0, H1}. Data: A paired sample D = {xi, yi}n
i=1; The number of
inducing points m; The number of simulations ˜m;
The number of HMC steps ˜n. Output: A sample {θi, Mi} ˜m
i=1 from the posterior
distribution of p(θ, M|D). 1 Initialize θ0 = Median heuristic on the set
{x1, . . . , xn, y1, . . . , yn};
2 Compute BFθ0 and let M0 = H0 with probability
(1 + BFθ0)−1 and M0 = H1 otherwise;
3 for i ←1 to ˜m do
4
Simulate a chain {θ1, . . . θ˜n} from p(θ|Mi−1, D) using
NUTS in Stan (Carpenter et al. 2017) ;
5
Set θi = θ˜n;
6
Compute BFθi;
7
Let Mi = H0 with probability (1 + BFθi)−1 and
Mi = H1 otherwise. 8 end
Algorithm 1: Posterior inference of the kernel hyperpa- (27) 4.2. Null Model In the null model, calculations simplify, as we assume that δ = 0
holds. We propose to model the data directly with a Gaussian
noise model, that is, |θ ∼N(0, 1
nθ),
(28) (28) whereas before, we rewrite the covariance matrix as 1
nθ. In
the supplementary materials, we detail the derivation of the
marginal pseudolikelihood in the null model and show that it
can be written as whereas before, we rewrite the covariance matrix as 1
nθ. In
the supplementary materials, we detail the derivation of the
marginal pseudolikelihood in the null model and show that it
can be written as log p({xi, yi}n
i=1|θ) ∝−0.5n log(det(θ)) −0.5Tr(−1
θ GG⊤)
+
n
i=1
log vol(Jθ(xi, yi)),
(29) Algorithm 1: Posterior inference of the kernel hyperpa-
rameter θ and the hypothesis M ∈{H0, H1}. (29) which avoids the prohibitive costs O(n3s3) of a naive evaluation. 5.1. Simple 1-Dimensional Distributions under the assumption that P(H0)
=
P(H1). We present
the pseudocode of our posterior inference procedure in
Algorithm 1. The time complexity of Algorithm 1 is given as
O
˜m˜n(s3 + s2n + D2s + n2s)
. 4.1. Alternative Model As discussed
in Flaxman et al. (2016), the marginal pseudolikelihood involves
the computation of the inverse and the log determinant of an
ns-dimensional matrix. A naive direct implementation would
require a prohibitive computation of O(n3s3). Since we consider
the difference between the empirical mean embeddings, the
efficient computation using eigendecompositions of the relevant
matrices (Flaxman et al. 2016, A.4) cannot be applied directly. Fortunately, the special form of the corresponding ns × ns
covariance matrix allows faster computation following Kro-
necker product algebra, the applications of matrix determinant
lemma and Woodbury identity. This is detailed in the supple-
mentary materials. Using the proposed efficient computation,
the log marginal pseudolikelihood can be written as kθ(x, y) = exp
−1
2(x −y)⊤˜−1
θ (x −y)
(21) (21) with x, y
∈
RD and diagonal covariance ˜θ
=
θI
=
(θ(1), . . . , θ(D))⊤I can be written as rθ(x, y) = πD/2
⎛
⎝
D
d=1
θ(d)
⎞
⎠
1/2
exp
−1
2(x −y)⊤(2θID)−1(x −y)
. (22) (22) When θ(1) = · · · = θ(D) = θ, the above can be further
simplified as When θ(1) = · · · = θ(D) = θ, the above can be further
simplified as When θ(1) = · · · = θ(D) = θ, the above can be further
simplified as log p({(xi, yi)}n
i=1|θ) ∝−1
2 log det(θ + nRθ)
−1
2(n −1) log det(θ)
−1
2Tr
(θ + nRθ)−1 GθG⊤
θ rθ(x, y) = πD/2θD/2 exp
−1
4θ (x −y)⊤(x −y)
. (23) (23) We will use this form of the covariance function in our experi-
ments. 1168
Q. ZHANG ET AL. Q. ZHANG ET AL. +
1
nθR−1
θ θ + θ
−1
GθHG⊤
θ
+ 1
2
n
i=1
log det(Jθ(xi, yi)⊤Jθ(xi, yi)). (27) +
1
nθR−1
θ θ + θ
−1
GθHG⊤
θ
+
1
nθR−1
θ θ + θ
−1
GθHG⊤
θ
+ 1
2
n
i=1
log det(Jθ(xi, yi)⊤Jθ(xi, yi)). Similarly, the posterior marginal probability P(H1|D) can be
estimated by the proportion of M = H1 in all the samples
{M0, . . . , M ˜m}. Data: A paired sample D = {xi, yi}n
i=1; The number of
inducing points m; The number of simulations ˜m;
The number of HMC steps ˜n. Output: A sample {θi, Mi} ˜m
i=1 from the posterior
distribution of p(θ, M|D). JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS
1169 1169 Figure 1. One-dimensional Gaussian experiment: distribution (over 100 independent runs) of the probability of the alternative hypothesis p(H1|D) for a different number
of observations n. Here, PX = N(0, 1) and PY = N(0, 9) (Left) or PY = N(1, 1) (Right). Figure 1. One-dimensional Gaussian experiment: distribution (over 100 independent runs) of the probability of the alternative hypothesis p(H1|D) for a different number
of observations n. Here, PX = N(0, 1) and PY = N(0, 9) (Left) or PY = N(1, 1) (Right). X
Y
Y
g
Figure 2. One-dimensional Gaussian experiment with for PX = N(0, 1) and PY = N(0, 9) and 200 samples. Left: The plot illustrates
1
1+BFθ as a function of θ. Right: The
histogram of θ|M, D for H1 and H0. Figure 2. One-dimensional Gaussian experiment with for PX = N(0, 1) and PY = N(0, 9) and 200 samples. Left: The plot illustrates
1
1+BFθ as a function of θ. Right: The
histogram of θ|M, D for H1 and H0. distributions while others are less informative. As a specific
example, we consider the case when PX = N(0, 1) and PY =
N(0, 9) with 200 samples each. For this specific simulation, we
obtain P(H1|D) ≈0.839. Figure 2 (Left) illustrates the change
of the probability of H1|θ, D as a function of θ. Clearly, the
region of θ from approximately 0.05 to 11 is most informative
for distinguishing these two distributions. This is also reflected
in the marginal distribution of θ|H1 and θ|H0 from Figure 2
(Right). Rather than selecting a single lengthscale parameter, the
proposed method is able to highlight the range of informative
lengthscales. As we will see, this is more useful in cases when
multiple lengthscale parameters are of interest for a single test-
ing problem. for the interested reader. We observe that for small sample sizes
(50 or 100 samples) the posterior probability of H1 is close to
zero. As the sample size increases, the posterior probability of
H1 concentrates toward a value close to 1. This phenomena is
observed for all the alternative models considered. Essentially, when the number of samples is small, there is
not enough evidence to determine if the null hypothesis should
be rejected. In such a case, the Bayes factor favors the simpler
null hypothesis. JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS
1169 This is to be expected since Bayesian modeling
encompasses a natural Occam factor in the prior predictive
(MacKay 2003, chap. 28). We will see this reflected in all the
synthetic experiments in this section. Note that for a Gaussian
distribution, the difference in mean is easier to detect comparing
to a difference in variance. This is reflected in the results pre-
sented here and in the supplementary materials: we observe that
the probability of the alternative hypothesis becomes very close
to 1 at a much smaller sample size for the experiments with a
difference in mean. 5.1.1. Gaussian Distributions This section investigates if the proposed method is able to
detect the change in mean or variance of simple 1-dimensional
Gaussian distributions. We present the results of two cases in
Figure 1 when X
iid∼PX and Y
iid∼PY where PX = N(0, 1) and
PY = N(0, 9) or PY = N(1, 1). The null case and some other
alternative cases are presented in the supplementary materials
We observe from our experiments, that increasing the num-
ber of HMC steps inside Gibbs ˜n improves the posterior conver-
gence of the chain. The posterior marginal probability P(θ|D)
is approximated by the posterior MCMC samples {θ1, . . . , θ ˜m}. JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS
1169 5.1.2. Laplace Distributions We consider a scenario where the data are generated using the
following distributions: PX = N(0, 1) and PY = Laplace(0, 1.5)
or PY = Laplace(0, 0.4) The results are presented in Figure 3
which aligns with our expectation. As the number of sam-
ples increases the test is becoming increasingly certain of the
difference between the null and alternative model and hence
P(H1|D) concentrates at 1. Since the proposed method is not
restricted to two-sample testing between independent random f
We emphasize that, unlike the frequentist kernel two-sample
test where a single value of the lengthscale parameter needs
to be predetermined, the proposed Bayesian framework inte-
grates over all possible θ values and alleviates the need for
kernel lengthscale selection. However, some θ values are more
informative in distinguishing the difference between the two 70
Q. ZHANG ET AL. Q. ZHANG ET AL. Figure 3. One-dimensional Laplace experiment: distribution (over 100 independent runs) of the probability of the alternative hypothesis p(H1|D) for a different number
of observations n. Here, PX = N(0, 1) and PY = Laplace(0, 1.5) (Left) or PY = Laplace(0, 0.4) (Right). Figure 3. One-dimensional Laplace experiment: distribution (over 100 independent runs) of the probability of the alternative hypothesis p(H1|D) for a different number
of observations n. Here, PX = N(0, 1) and PY = Laplace(0, 1.5) (Left) or PY = Laplace(0, 0.4) (Right). Figure 4 shows that our approach is able to detect the dif-
ference between the distributions since the probability of the
alternative hypothesis becomes more concentrated around 1
as the number of samples increases. Note, when ϵ = 2, the
distribution of the probability of the alternative hypothesis is
around 0.6. We expect this to increase to 1 as we increase the
number of samples to around 300 samples per blob given the
pattern observed.t variables, we also consider the same experiment with correlated
standard Gaussian and Laplace distributions generated through
copula transformation with correlation set to 0.5. The correlated
structure has helped the discovery of the difference between the
distributions. Results are presented in supplementary materials
illustrating that the method works equally well in correlated
random variable cases. As an example, in Figure 5 (Left), we see that a wide
range of lengthscales is informative for this two-sample testing
problem when ϵ
= 2. 5.1.2. Laplace Distributions If we further observe the marginal
distributions P(θ|M
=
0, D) and P(θ|H1, D) in Figure 5
(Right), the method takes advantage of the large lengthscales to
detect shift in location and the small lengthscales to detect the
difference in covariance. But when the lengthscale is too small
(approximately less than 0.5), the method regards the samples
as identically distributed. 5.2. Two-by-Two Blobs of 2-Dimensional Gaussian
Distributions The performance of the frequentist kernel two-sample test using
MMD depends heavily on the choice of kernel. When a Gaus-
sian kernel is used, this boils down to choosing an appropriate
lengthscale parameter. Often, median heuristic is used. How-
ever, Gretton et al. (2012b) showed that MMD with median
heuristic failed to reject the null hypothesis when comparing
samples from a grid of isotropic Gaussian versus a grid of non-
isotropic Gaussian. The framework proposed by Flaxman et al. (2016) showed that, by choosing the lengthscale that optimize
the Bayesian kernel learning marginal log-likelihood (i.e., an
empirical Bayes type of approach), MMD is able to correctly
reject the null hypothesis at the desired significance level. Intu-
itively, the algorithm needs to look locally at each blob to detect
the difference rather than at the lengthscale that covers all of the
blobs which is given by the median distance between points. 5.3. Higher Dimensional Gaussian Distributions We have seen that the proposed method is able to use informa-
tive value of the lengthscale parameter and make correct deci-
sions about the probability of the alternative hypothesis given
large enough samples. In this section, we investigate the effect
of dimensionality of the given sample on the proposed two-
sample testing method. We use the Gaussian blobs experiment
from the previous section and append simple N(0, 1) to both
X and Y (i.e., the difference in distribution exists only in the
first two dimensions). In particular, we consider the cases when
the total number of dimensions are {3, 4, 5, 6, 7}. The results are
presented in Figure 6. We repeat this experiment using the proposed Bayesian two-
sample test with PX being a mixture of 2-dimensional isotropic
Gaussian distributions and PY a mixture of 2-dimensional
Gaussian distributions centered at slightly shifted locations with
rotated covariance matrix. Note, this is not the same dataset
used in Flaxman et al. (2016) and Gretton et al. (2012b), we
shift the dataset to have multiple relevant lengthscales. We
center the blobs of the 2-dimensional Gaussian distributions of
PX at {(10, 10)⊤, (10, 30)⊤, (30, 10)⊤, (30, 30)⊤} and shift such
locations by (−1, −1) for PY. An equal number of observations
is sampled from each of the blobs. The covariance matrix of
PY follows the form given in the supplementary materials, with
ϵ = {2, 6, 10, 20}. We present illustrations of the samples from
these distributions in the supplementary materials. g
We observe that the test requires more samples to detect
the difference between the two distributions as the number of
dimension increases. The noise in the additional dimensions
has indeed made the problem harder for the given number of
samples. But the proposed method still manages to discover the
difference as the number of samples increases. For up to eight
dimensions, the method returns a posterior probability of H1
higher than 0.8 as soon as there are more than 200 samples per
blob. This illustrates the robustness of our proposed method to
the dimensionality of the problem. JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS
1171 1171 Figure 4. 2-by-2 blobs of bivariate Gaussian experiment: distribution (over 100 independent runs) of the probability of the alternative hypothesis p(H1|D)
for a different number of observations n. 5.3. Higher Dimensional Gaussian Distributions The distribution of X is a mixture of four bivariate Gaussian distributions with equal probability centered at
{(10, 10)⊤, (10, 30)⊤, (30, 10)⊤, (30, 30)⊤} and with ϵ = 1. The distribution of Y is also a mixture of four bivariate Gaussian distributions with equal probability centered
around the same locations but also shifted by (−1, −1). In this experiment, we consider the cases when ϵ = {2, 6, 10, 20}. Figure 4. 2-by-2 blobs of bivariate Gaussian experiment: distribution (over 100 independent runs) of the probability of the alternative hypothesis p(H1|D)
for a different number of observations n. The distribution of X is a mixture of four bivariate Gaussian distributions with equal probability centered at
{(10, 10)⊤, (10, 30)⊤, (30, 10)⊤, (30, 30)⊤} and with ϵ = 1. The distribution of Y is also a mixture of four bivariate Gaussian distributions with equal probability centered
around the same locations but also shifted by (−1, −1). In this experiment, we consider the cases when ϵ = {2, 6, 10, 20}. for a different number of observations n. The distribution of X is a mixture of four bivariate Gaussian distributions with equal probability centered at
{(10, 10)⊤, (10, 30)⊤, (30, 10)⊤, (30, 30)⊤} and with ϵ = 1. The distribution of Y is also a mixture of four bivariate Gaussian distributions with equal probability centered
around the same locations but also shifted by (−1, −1). In this experiment, we consider the cases when ϵ = {2, 6, 10, 20}. Figure 5. 2-by-2 blobs of bivariate Gaussian experiment under the alternative model ϵ = 2 and 200 samples per blob. Left: the plot illustrates
1
1+BFθ against the value of
θ. Right: histogram of samples from the marginal distribution of θ|M, D for H1 and H0. Figure 5. 2-by-2 blobs of bivariate Gaussian experiment under the alternative model ϵ = 2 and 200 samples per blob. Left: the plot illustrates
1
1+BFθ against the value of
θ. Right: histogram of samples from the marginal distribution of θ|M, D for H1 and H0. 5.4. Comparison to other Bayesian Nonparametric
Methods We consider the following setting: X
iid∼PX = N(0, 1) versus
Y
iid∼PY = N(μ, 1) with μ ∈{0, 1.5, 3} and a sample size
n = 200. In this section we compare our test to other Bayesian nonpara-
metric two-sample tests in the literature. In particular we com-
pare our method to the two approaches of Chen and Hanson
(2014) and Holmes et al. (2015) based on Pólya tree priors. As depicted in Figure 7, one can see that our method cor-
rectly returns a posterior probability of H1 close to 0 under
H0 (μ = 0) and a posterior probability close to 1 under H1, 1172
Q. ZHANG ET AL. Q. ZHANG ET AL. 72
Q. ZHANG ET AL. ure 6. Higher dimensional experiment: distribution (over 100 independent runs) of the probability of the alternative hypothesis p(H1|D) for a different number
servations n. For the first two dimensions, the data is generated as in Section 5.2 with ϵ = 6. Standard Gaussian noises are appended as the remaining dimensions. T
figure is copied from Figure 4 for the ease of performance comparison. h
1 5
d
3 Si
il
b h
i
i di
l
d
A
h
i
Fi
8
ith i
i
di
i
th
t Figure 6. Higher dimensional experiment: distribution (over 100 independent runs) of the probability of the alternative hypothesis p(H1|D) for a different number of
observations n. For the first two dimensions, the data is generated as in Section 5.2 with ϵ = 6. Standard Gaussian noises are appended as the remaining dimensions. Top
left figure is copied from Figure 4 for the ease of performance comparison. when μ = 1.5 and μ = 3. Similar behavior is displayed
for the method of Holmes et al. (2015). However, the test of
Chen and Hanson (2014) appears to have posterior probabilities
for H1 which are systematically biased upwards. The problem
becomes aggravated with increasing dimension. In Figure 8 we
simulate X
iid∼PX = N(0, ID) versus Y
iid∼PY = N(0, ID)
with D ∈{1, 3, 5} and a sample size of n = 100 to see if
Chen and Hanson (2014) can correctly identify H0 in higher
dimensions. As shown in Figure 8 with increasing dimension, the poste-
rior probability of H1 becomes closer to one, which means that
the test is unable to identify H0. JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS
1173 Comparison of our approach (Left) to the methods proposed by Chen and Hanson (2014) (Right): distribution (over 100 independent runs) of the posterior
probability p(H1|D) in a multi-dimensional setting where PX = N(0, ID) and PY = N(0, ID) for D ∈{0, 1.5, 3} with a sample size n = 100. Figure 8. Comparison of our approach (Left) to the methods proposed by Chen and Hanson (2014) (Right): distribution (over 100 independent runs) of the posterior
probability p(H1|D) in a multi-dimensional setting where PX = N(0, ID) and PY = N(0, ID) for D ∈{0, 1.5, 3} with a sample size n = 100. In this section, we follow the statistical setup given in Städler
and Mukherjee (2017, 2019) and describes the networks by
Gaussian graphical models (GGMs) which use an undirected
graph (or network) to describe probabilistic relationships
between p molecular variables. Assume that each sample Xi
(and similarly for Yi) is sampled from a multivariate Gaussian
distribution with zero mean and some concentration matrix
(i.e., the inverse of a covariance matrix). The concentration
matrix defines the graph G via direction here. We recall that the test of Holmes et al. (2015) can
only handle one-dimensional data. We also note that Holmes
et al. (2015) assume that the two underlying distributions are
continuous and model them using Polya tree priors. In contrast,
kernel-based methods do not require continuity assumptions
and can therefore be applied to general distributions. JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS
1173 1173 Figure 7. Comparison of our approach (Left) to the methods proposed by Chen and Hanson (2014) (Middle) and Holmes et al. (2015) (Right): distribution (over 100
independent runs) of the posterior probability p(H1|D) in a one-dimensional setting where PX = N(0, 1) and PY = N(μ, 1) for μ ∈{0, 1.5, 3} with a sample size n = 200. Figure 7. Comparison of our approach (Left) to the methods proposed by Chen and Hanson (2014) (Middle) and Holmes et al. (2015) (Right): distribution (over 100
independent runs) of the posterior probability p(H1|D) in a one-dimensional setting where PX = N(0, 1) and PY = N(μ, 1) for μ ∈{0, 1.5, 3} with a sample size n = 200. Figure 7. Comparison of our approach (Left) to the methods proposed by Chen and Hanson (2014) (Middle) and Holmes et al. (2015) (Right): distribution (over 100
independent runs) of the posterior probability p(H1|D) in a one-dimensional setting where PX = N(0, 1) and PY = N(μ, 1) for μ ∈{0, 1.5, 3} with a sample size n = 200. Figure 8. Comparison of our approach (Left) to the methods proposed by Chen and Hanson (2014) (Right): distribution (over 100 independent runs) of the posterior
probability p(H1|D) in a multi-dimensional setting where PX = N(0, ID) and PY = N(0, ID) for D ∈{0, 1.5, 3} with a sample size n = 100. Figure 7. Comparison of our approach (Left) to the methods proposed by Chen and Hanson (2014) (Middle) and Holmes et al. (2015) (Right): distribution (over 100
independent runs) of the posterior probability p(H1|D) in a one-dimensional setting where PX = N(0, 1) and PY = N(μ, 1) for μ ∈{0, 1.5, 3} with a sample size n = 200. p
p
p
y p( 1|
)
g
X
(
)
Y
(μ
)
μ
{
}
p
Figure 8. Comparison of our approach (Left) to the methods proposed by Chen and Hanson (2014) (Right): distribution (over 100 independent runs) of the posterior
probability p(H1|D) in a multi-dimensional setting where PX = N(0, ID) and PY = N(0, ID) for D ∈{0, 1.5, 3} with a sample size n = 100. Figure 8. 5.4. Comparison to other Bayesian Nonparametric
Methods However, our test correctly iden-
tifies H0 in all dimensions. Presumably to overcome the issue of
biased posterior probabilities, Chen and Hanson (2014) do not
use their Bayes factor in the classical Bayesian sense. Instead,
they use it as a test statistic for a (frequentist) permutation
test. The utility of power comparisons between Bayesian and
frequentist paradigms is questionable so we do not pursue that 1173 JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS
1173 1173 6.1. Network Heterogeneity From High-Dimensional Data (j, j′) ∈E(G) ⇔
jj′ ̸= 0 In system biology and medicine, the dynamics of the data under
analysis can often be described as a network of observed and
unobserved variables, for example a protein signaling network
in a cell (Städler and Mukherjee 2019). One interesting problem
in this area is to investigate if the signaling pathways (networks)
reconstructed from two subtypes are statistically different. for j ̸= j′ ∈{1, . . . , p} and E(G) denotes the edge set of graph
G. Network homogeneity problem presented in the previous
paragraph can be formulated as a two-sample testing problem in
statistics where we are interested in testing the null hypothesis H0 : G1 = G2
(30) H0 : G1 = G2 (30) 1174
Q. ZHANG ET AL. Q. ZHANG ET AL. Figure9. Randomnetworksheterogeneitytesting:distribution(over100indepen-
dent runs) of the probability of H1|D for a different number of samples. Figure 11. Six-membered monocyclic ring conformation comparison: distribution
(over 100 independent runs) of the probability of H1|D for a different number of
samples. Figure 11. Six-membered monocyclic ring conformation comparison: distribution
(over 100 independent runs) of the probability of H1|D for a different number of
samples. Figure9. Randomnetworksheterogeneitytesting:distribution(over100indepen-
dent runs) of the probability of H1|D for a different number of samples. Figure9. Randomnetworksheterogeneitytesting:distribution(over100indepen-
dent runs) of the probability of H1|D for a different number of samples. Figure 11. Six-membered monocyclic ring conformation comparison: distribution
(over 100 independent runs) of the probability of H1|D for a different number of
samples. Figure10. Hubnetworkheterogeneitytesting:distribution(over100independent
runs) of the probability of H1|D for a different number of samples. gas phase. Qualitative descriptions are often given to show that
the two are distributed differently due to the crystal packing
effect. While no quantitative analysis has been provided in the
chemistry literature, we aim to perform such analysis through
the use of the proposed Bayesian two-sample test. p
p
y
p
We use the Cremer–Pople puckering parameters (Cremer
and Pople 1975) to describe the six-membered monocyclic ring
conformation and compare their shapes under the two different
conditions described above. This coordinate system first defines
a unique mean plane for a general monocyclic puckered ring. Amplitudes and Phases coordinates are then used to describe
the geometry of the puckering relative to the mean plane. 6.1. Network Heterogeneity From High-Dimensional Data For
a six-membered monocyclic ring, there are three puckering
degrees of freedom, which are described by a single amplitude-
phase pair (q2, φ2) and a single puckering coordinate q3. As we
consider general six-membered rings, we can omit the phase
parameters φ2 for simplicity and compare the degree of puck-
ering (maximal out-of-plane deviation) under different condi-
tions. The crystal structures of 1936 six-membered monocyclic
rings are extracted from the Crystallography Open Database
(COD) and the associated puckering parameters are calculated. Independently, we calculate the lowest energy conformations of
a diverse set of 26,405 molecules using a semiempirical method
GFN2 and record the puckering parameters. We consider 100
random samples of size n = {200, 400, 600, 800} from each of
the datasets and conduct our Bayesian two-sample test 100 times
while inferring the kernel bandwidth parameter θ. Figure10. Hubnetworkheterogeneitytesting:distribution(over100independent
runs) of the probability of H1|D for a different number of samples. In the first experiment, we use the code from Städler and
Mukherjee (2019) to generate a pair of networks with five
nodes that present four common edges and then obtain the
corresponding correlation matrices to use as the covariance
matrices for the multivariate Gaussian distribution. The results
are presented in Figure 9. In the second experiment, we again
use the code from Städler and Mukherjee (2019) to generate
hub networks with seven nodes that are divided into three hubs
with one hub that is different and use the obtained correlation
matrices in the multivariate Gaussian distribution as with the
first experiment. The results are presented in Figure 10. Both
tests were able to recover the ground truth as the number of
observed sample increases. In the first experiment, we use the code from Städler and
Mukherjee (2019) to generate a pair of networks with five
nodes that present four common edges and then obtain the
corresponding correlation matrices to use as the covariance
matrices for the multivariate Gaussian distribution. The results
are presented in Figure 9. In the second experiment, we again
use the code from Städler and Mukherjee (2019) to generate
hub networks with seven nodes that are divided into three hubs
with one hub that is different and use the obtained correlation
matrices in the multivariate Gaussian distribution as with the
first experiment. The results are presented in Figure 10. Both
tests were able to recover the ground truth as the number of
observed sample increases. 6.1. Network Heterogeneity From High-Dimensional Data g
Figure 11 illustrates the results of our test. The proposed
method is becoming more certain that the lowest energy con-
formation in gas phase of six-membered monocyclic rings is
distributed differently from its crystal structures as the number
of samples increases. At 800 samples, the proposed method gives
the probability of H1|D equals to 1 which aligns with expert
opinions that the two are indeed distributed differently due to
the crystal packing effect. In Figure 12, we provide the posterior
histogram of θ|H1, D when 800 samples are observed. The
frequency distribution is multi-model indicating that multiple
lengthscale is of interest for this problem at hand. 6.2. Real Data: Six-Membered Monocyclic Ring
Conformation Comparison In this section, we consider a real world application of our
proposed method to detect if the conformation observed in
crystal structures differ from its lowest energy conformation in JOURNAL OF COMPUTATIONAL AND GRAPHICAL STATISTICS 1175 the other and allows the use of noninformative priors for model
parameters when the two competing hypotheses share the same
set of parameters which is prohibitive in the classical Bayesian
two-sample testing approach like Bayes factor (DeGroot 1973). The proposed Bayesian two-sample testing framework using
Bayes factor can be equivalently formulated as a mixture model: Figure 12. Histogram of samples from the marginal distribution θ|M = 1, D for
the experiment on six-membered monocyclic ring conformation comparison with
800 samples. |θ, π ∼πN(0, 1
nθ) + (1 −π)N(0, Rθ + 1
nθ). The posterior distribution of the mixture proportion 0 ≤π ≤
1 indicates the model preferred. A joint inference of π and
the kernel bandwidth parameter θ can be easily done through
MCMC. It would be interesting to see if there is a difference
in performance between the mixture approach and the Bayes
factor approach proposed here. Finally, the Bayesian testing
framework developed here and the directions for future work
can all be applied to independence testing. The posterior distribution of the mixture proportion 0 ≤π ≤
1 indicates the model preferred. A joint inference of π and
the kernel bandwidth parameter θ can be easily done through
MCMC. It would be interesting to see if there is a difference
in performance between the mixture approach and the Bayes
factor approach proposed here. Finally, the Bayesian testing
framework developed here and the directions for future work
can all be applied to independence testing. Figure 12. Histogram of samples from the marginal distribution θ|M = 1, D for
the experiment on six-membered monocyclic ring conformation comparison with
800 samples. Code for the proposed method and experiments is available
at: https://github.com/qinyizhang/BayesianKernelTesting Supplementary Materials In this work, we have proposed a Bayesian two-sample testing
framework using the Bayes factor. Rather than directly consid-
ering the observations, we have proposed to consider the differ-
ences between the empirical kernel mean embeddings (KME)
evaluated at a set of inducing points. Following the learning
procedure of the empirical KME (Flaxman et al. 2016), we have
derived the Bayes factors when the kernel hyperparameter is
given as well as when it is treated in a fully Bayesian way and
marginalized over. Further, we have obtained efficient compu-
tation methods for the marginal pseudolikelihood using the
Kronecker structure of the covariance matrices. The posterior
inference of the model label and the kernel hyperparameter
is done by HMC within Gibbs. We have showed in a range
of synthetic and real experiments that our proposed Bayesian
test is able to simultaneously using multiple lengthscales and
correctly uncover the ground truth given sufficient data. The supplementary materials provides details on derivation, proofs, and
additional synthetic data experiments. Acknowledgments The authors thank Lucian Chan for helping with the chemistry data and
Chris Holmes whose advice in the early stages of the project was instru-
mental in shaping its direction. Funding Q. Z. was supported by the Engineering and Physical Sciences Research
Council (EPSRC) (EP/M50659X/1). Q. Z. was supported by the Engineering and Physical Sciences Research
Council (EPSRC) (EP/M50659X/1). ORCID fi
Following this work, there are several possible directions for
future research. We have seen in Section 5 that larger sample
sizes are required for more challenging problems. A random
Fourier feature approximation of the above framework can be
easily developed to enable the use of large sample size without
having prohibitive runtime. In this case, explicit finite dimen-
sional feature maps are available, the difference between the
mean embeddings δ = μX −μY can be written more explicitly
as δ
= E(φ(X)) −E(φ(Y)). Assume a GP prior with an
appropriate covariance matrix for δ, φ(xi) −φ(yi) can be mod-
eled by a Gaussian distribution with mean E(φ(X)) −E(φ(Y))
and covariance estimated as presented in the supplementary
materials. While the rest of the inference procedure can fol-
low similarly as presented here, this large scale approximation
requires careful specification of the covariance matrix for the GP
model of δ to ensure that draws from such GP lie in the correct
RKHS. References (2003), Information Theory, Inference, and Learning Algo-
rithms, Cambridge: Cambridge University Press. [1169] Flaxman, S., Sejdinovic, D., Cunningham, J. P., and Filippi, S. (2016),
Bayesian Learning of Kernel Embeddings,” in Uncertainty in Artificial
Intelligence (UAI), pp. 182–191. [1164,1166,1167,1170,1175] Shawe-Taylor, J., and Cristianini, N. (2004), Kernel Methods for Pat-
tern Analysis (Vol. 19 of 22), Cambridge: Cambridge University Press. [1165] Fukumizu, K., Gretton, A., Sun, X. H., and Schölkopf, B. (2008), “Kernel
Measures of Conditional Dependence,” in Advances in Neural Informa-
tion Processing Systems (NIPS). [1166] Smola, A., Gretton, A., Song, L., and Schölkopf, B. (2007), “A Hilbert
Space Embedding for Distributions,” in Proceedings of the 18th
International Conference on Algorithmic Learning Theory, pp. 13–31. [1166] Gretton, A., Borgwardt, K., Rasch, M. J., Schölkopf, B., and Smola, A. (2012a), “A Kernel Two-Sample Test,” Journal of Machine Learning
Research (JMLR), 13, 723–773. [1164,1166] Sriperumbudur, B. K. (2010), “Reproducing Kernel Space Embeddings and
Metrics on Probability Measures,” PhD Thesis, University of California–
San Diego. [1165] Gretton, A., Sriperumbudur, B., Sejdinovic, D., Strathmann, H., Balakrish-
man, S., Pontil, M., and Fukumizu, K. (2012b), “Optimal Kernel Choice
for Large-Scale Two-Sample Tests,” Advances in Neural Information Pro-
cessing Systems (NIPS). [1170]f g
Städler, N., and Mukherjee, S. (2017), “Two-Sample Testing in High Dimen-
sions,” Journal of Royal Statistical Society Statistical Methodology, Series
B, 79, 225–246. [1173]
(2019), “A Bioconductor Package for Investigation of Network
Heterogeneity From High-Dimensional Data,” Available at https://www. bioconductor.org/packages/release/bioc/vignettes/nethet/inst/doc/nethet. pdf . [1173,1174] Städler, N., and Mukherjee, S. (2017), “Two-Sample Testing in High Dimen-
sions,” Journal of Royal Statistical Society Statistical Methodology, Series
B, 79, 225–246. [1173] Hoffman, M. D., and Gelman, A. (2014), “The no-u-turn Sampler: Adap-
tively Setting Path Lengths in Hamiltonian Monte Carlo,” Journal of
Machine Learning Research, 15, 1593–1623. [1168]fi (2019), “A Bioconductor Package for Investigation of Network
Heterogeneity From High-Dimensional Data,” Available at https://www. bioconductor.org/packages/release/bioc/vignettes/nethet/inst/doc/nethet. Heterogeneity From High-Dimensional Data, Available at https://www. bioconductor.org/packages/release/bioc/vignettes/nethet/inst/doc/nethet. pdf . [1173,1174] Holmes, C. C., Caron, F., Griffin, J. E., and Stephens, D. A. (2015), “Two-
Sample Bayesian Nonparametric Hypothesis Testing,” Bayesian Analysis,
10, 297–320. [1165,1171,1172,1173]f Stegle, O., Denby, K. J., Cooke, E. J., Wild, D. L., Ghahramani, Z., and
Borgwardt, K. M. (2010), “A Robust Bayesian Two-Sample Test for
Detecting Intervals of Differential Gene Expression in Microarray Time
Series,” Journal of Computational Biology, 17, 355–367. [1165] Jefferys, W. H., and Berger, J. O. References Berlinet, A., and Thomas-Agnan, C. (2004), Reproducing Kernel Hilbert
Spaces in Probability and Statistics, Dordrecht: Kluwer. [1165,1166] Bernardo, J. M., and Smith, A. F. M. (2000), Bayesian Theory, Chichester:
Wiley. [1165] Borgwardt, K. M., and Ghahramani, Z. (2009), “Bayesian Two-Sample
Tests,” ArXiv e-prints: 0906.4032. [1165] Borgwardt, K. M., Gretton, A., Rasch, M. J., Kriegel, H. P., Schölkopf, B., and
Smola, A. J. (2006), “Integrating Structured Biological Data by Kernel
Maximum Mean Discrepancy,” Bioinformatics, 22, 49–57. [1166]f Carpenter, B., Gelman, A., Hoffman, M. D., Lee, D., Goodrich, B., Betan-
court, M., Brubaker, M., Guo, J., Li, P., and Riddell, A. (2017), “Stan: A
Probabilistic Programming Language,” Journal of Statistical Software, 76,
1–32. [1168] Chen, Y., and Hanson, T. E. (2014), “Bayesian Nonparametric k-Sample
Tests for Censored and Uncensored Data,” Computational Statistics &
Data Analysis, 71, 335–346. [1165,1171,1172,1173]i Recently, Kamary et al. (2014) proposed a mixture modeling
framework for Bayesian model selection. The authors argues
that the mixture modeling framework provides a more thorough
assessment of the strength of the support of one model against Cremer, D., and Pople, J. A. (1975), “General Definition of Ring Puckering
Coordinates,” Journal of the American Chemical Society, 97, 1354–1358. [1174] 1176
Q. ZHANG ET AL. Q. ZHANG ET AL. Q. ZHANG ET AL. 1176 Kamary, K., Mengersen, K., Robert, C. P., and Rousseau, J. (2014), “Testing
Hypotheses via a Mixture Estimation Model,” ArXiv e-prints: 1412.2044. [1165,1175]t DeGroot, M. H. (1973), “Doing What Comes Naturally: Interpreting a Tail
Area as a Posterior Probability or as a Likelihood Ratio,” Journal of the
American Statistical Association, 68, 966–969. [1175] Filippi, S., and Holmes, C. C. (2016), “A Bayesian Nonparametric Approach
to Testing for Dependence Between Random Variables,” Bayesian Anal-
ysis, Advance Publication. [1165] Kass, R. E., and Raftery, A. E. (1995), “Bayes Factors,” Journal of the
American Statistical Association, 90, 773–795. [1164] Luki´c, M. N., and Beder, J. H. (2001), “Stochastic Processes with Sample
Paths in Reproducing Kernel Hilbert Spaces,” Transaction of the Ameri- Luki´c, M. N., and Beder, J. H. (2001), “Stochastic Processes with Sample
Paths in Reproducing Kernel Hilbert Spaces,” Transaction of the Ameri-
can Mathematical Society, 353, 3945–3969. [1167] Filippi, S., Holmes, C. C., and Nieto-Barajas, L. E. (2016), “Scalable
Bayesian Nonparametric Measures for Exploring Pairwise Dependence
via Dirichlet Process Mixtures,” Electronic Journal of Statistics, 10, 3338–
3354. [1165] can Mathematical Society, 353, 3945–3969. [1167] MacKay, D. J. C. References (1992), “Ockham’s Razor and Bayesian
Analysis,” American Journal of Science, 80, 64–72. [1164]fi Jeffreys, H. (1935), “Some Tests of Significance, Treated by the Theory of
Probability,” Proceedings of the Cambridge Philosophy Society, 31, 203–
222. [1164] Steinwart, I., and Christmann, A. (2008), Support Vector Machines, New
York: Springer. [1165,1167] (1961), Theory of Probability, Oxford: Oxford University Press. [1164] Wahba, G. (1990), Spline Models for Observational Data, Philadelphia, PA:
Society for Industrial and Applied Mathematics. [1167]
|
https://openalex.org/W2063232467
|
https://arthritis-research.biomedcentral.com/counter/pdf/10.1186/ar3500
|
English
| null |
Soluble receptor activator of nuclear factor κB ligand/osteoprotegerin ratio is increased in systemic lupus erythematosus patients
|
Arthritis research & therapy
| 2,011
|
cc-by
| 5,108
|
* Correspondence: helenacanhao@netcabo.pt
† Contributed equally
1Rheumatology Research Unit, Instituto de Medicina Molecular, Faculdade de
Medicina da Universidade de Lisboa, Edifício Egas Moniz, Av. Prof. Egas
Moniz, 1649-028 Lisboa, Portugal
Full list of author information is available at the end of the article Carmona-Fernandes et al. Arthritis Research & Therapy 2011, 13:R175
http://arthritis-research.com/content/13/5/R175 Abstract Introduction: Systemic lupus erythematosus (SLE) patients have lower bone mineral density and increased fracture
risk when compared with healthy individuals, due to distinct factors and mechanisms. Bone remodeling is a tightly
orchestrated process dependent on several factors, including the balance between receptor activator of nuclear
factor B ligand (RANKL) and osteoprotegerin (OPG). g
(
)
p
g
(
)
Our aim was to assess serum OPG and soluble RANKL (sRANKL) levels as well as sRANKL/OPG ratio in female SLE
patients and compare it with female controls. Methods: We have evaluated 103 SLE patients and 114 healthy controls, all Caucasian females. All participants
underwent a clinical and laboratory evaluation. sRANKL and OPG were quantified in serum by ELISA based
methods. sRANKL, OPG and sRANKL/OPG ratio levels were compared between SLE patients and age, sex and race
matched healthy controls. For SLE patients, a multivariate analysis was performed, to find the possible predictors of
the changes in sRANKL, OPG and sRANKL/OPG ratio levels. Results: Although sRANKL levels did not differ between the two groups, serum OPG was lower in SLE patients (P
< 0.001). This led to an increased sRANKL/OPG ratio (P = 0.010) in the patients’ group. Results: Although sRANKL levels did not differ between the two groups, serum OPG was lower in SLE patients (P
< 0.001). This led to an increased sRANKL/OPG ratio (P = 0.010) in the patients’ group. The multivariate analysis was performed considering age and other clinical and laboratorial potential confounders
for these variations in the SLE patients group. We have showed that age (P = 0.001) and levels of anti-Sm The multivariate analysis was performed considering age and other clinical and laboratorial potential confounders
for these variations in the SLE patients group. We have showed that age (P = 0.001) and levels of anti-Sm
antibodies (P = 0.016) were independent predictors of sRANKL/OPG ratio variations in SLE patients. No relationship
with therapy or disease activity measured by SLEDAI2K was found. Conclusions: These results are suggestive of increased osteoclastic stimuli driven by the SLE disease mechanisms. Conclusions: These results are suggestive of increased osteoclastic stimuli driven by the SLE disease mechanisms. Keywords: sRANKL, osteoprotegerin, systemic lupus erythematosus, osteoclastogenesis © 2011 Carmona-Fernandes 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. Soluble receptor activator of nuclear factor B
ligand/osteoprotegerin ratio is increased in
systemic lupus erythematosus patients Diana Carmona-Fernandes1†, Maria José Santos1,2†, Inês Pedro Perpétuo1, João Eurico Fonseca1,3 and
Helena Canhão1,3* © 2011 Carmona-Fernandes et al.; licensee BioMed Central Ltd. This is an open acc
Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0)
reproduction in any medium, provided the original work is properly cited. Introduction increased risk of fracture [4-7]. Although corticosteroid
exposure is a major contributor to bone loss in SLE
[4,5,8]. disease activity and associated co-morbidities
may contribute to this process [5,8]. In addition, vitamin
D deficiency is a common finding among SLE patients,
further contributing to impaired bone health [5]. Systemic lupus erythematosus (SLE) is a chronic, multi-
systemic disease of unknown etiology characterized by
chronic inflammation and damage to various organs and
systems due to the production of autoreactive cells and
antibodies [1-3]. SLE patients have lower bone mineral density (BMD)
when compared with healthy individuals and are at Bone remodeling is a tightly orchestrated process in
which osteoclasts attach to the bone surface and remove
bone. After resorption, osteoblasts migrate into the lacu-
nae and produce new bone, which then mineralizes
[3,9]. Expression of the receptor activator of nuclear fac-
tor B ligand (RANKL) by osteoblasts is essential to
osteoclastogenesis. Osteoprotegerin (OPG) is a soluble * Correspondence: helenacanhao@netcabo.pt
† Contributed equally
1Rheumatology Research Unit, Instituto de Medicina Molecular, Faculdade de
Medicina da Universidade de Lisboa, Edifício Egas Moniz, Av. Prof. Egas
Moniz, 1649-028 Lisboa, Portugal
Full list of author information is available at the end of the article Page 2 of 6 Carmona-Fernandes et al. Arthritis Research & Therapy 2011, 13:R175
http://arthritis-research.com/content/13/5/R175 Page 2 of 6 Carmona-Fernandes et al. Arthritis Research & Therapy 2011, 13:R175
http://arthritis-research.com/content/13/5/R175 receptor for RANKL that prevents RANK/RANKL inter-
action. Therefore, the RANKL/OPG ratio is critical for
the control of bone resorption [10-12]. Increased
RANKL/OPG ratio has been described in autoimmune
diseases, such as rheumatoid arthritis, and was asso-
ciated with an increased bone loss [7,13,14]. Taking
these arguments into consideration, we have hypothe-
sized that a RANKL/OPG imbalance is also present in
SLE patients. receptor for RANKL that prevents RANK/RANKL inter-
action. Therefore, the RANKL/OPG ratio is critical for
the control of bone resorption [10-12]. Increased
RANKL/OPG ratio has been described in autoimmune
diseases, such as rheumatoid arthritis, and was asso-
ciated with an increased bone loss [7,13,14]. Taking
these arguments into consideration, we have hypothe-
sized that a RANKL/OPG imbalance is also present in
SLE patients. reactive protein (CRP), lipids (total cholesterol, HDL,
LDL and tryglicerides), and anti-dsDNA and anti-Sm
antibody titers. Serum was obtained by blood centrifugation at 1,250
g, 10’, at 4°C and then preserved at -80°C until use for
sRANKL and OPG quantification. Statistical analysis For statistical purposes samples undetectable or below
the limit of detection (LOD) were considered to have
the lower LOD value supplied by the manufacturer. Results were reported as means (standard deviation),
medians (interquartile range) for continuous or propor-
tions for categoric variables. sRANKL and OPG levels
and sRANKL/OPG ratio were compared between SLE
patients and healthy controls groups using the non-
parametric Mann-Whitney test. Results A total of 103 SLE patients and 114 healthy controls
with comparable baseline demographic characteristics
and co-morbidities were studied (Table 1). SLE patients
had a mean age at disease diagnosis of 35.6 ± 14.4
(range 9.0 to 80.0) years, 8.2 ± 6.6 (range 0.2 to 34.2)
years of disease duration, a mean SLEDAI2K of 3.5 ±
4.5 (range 0 to 21) and a SLICC damage score of 0.8 ±
1.4 (range 0 to 8). A total of 60.2% of the patients were
currently receiving corticosteroids in a mean daily dose
of 12.7 mg. Introduction sRANKL quantification was performed using the
ampli sRANKL human ELISA (Immunodiagnostic Sys-
tems, Boldon, UK). OPG was quantified using the
Bender MedSystems (Vienna, Austria) bead-based assay
for quantitative detection of soluble human analytes by
flow cytometry. Both protocols were performed accord-
ing to the manufacturer’s instructions. In the present work we aimed to assess the RANKL/
OPG balance in SLE patients by quantifying serum OPG
and sRANKL levels and their ratio in SLE patients and
healthy controls. Additionally, in SLE patients we have
looked at predictors of serum levels of these proteins
and having as covariates disease features, co-morbidities
and medications. Materials and methods
Patients Consecutive Portuguese Caucasian SLE women were
recruited from the rheumatology outpatient clinics of
Hospital de Santa Maria, Lisbon and Hospital Garcia de
Orta, Almada, Portugal. All enrolled patients fulfilled
the classification criteria of the American College of
Rheumatology for SLE (1997) and had normal renal
function defined as serum creatinine < 1.5 mg/dl. A
control group matched to age, sex and race was also
recruited, and was composed of healthy Caucasian
female volunteers, who had not been diagnosed with
SLE, nor had any inflammatory or bone disease and
were not receiving corticosteroids or other medications
known to interfere with bone metabolism. In this study,
103 SLE patients and 114 healthy controls were
enrolled. This study was approved by the local Ethics
Committees and all participants signed a written
informed consent. Subsequently, the impact of demographic parameters,
clinical features, therapeutics and disease characteristics
on these proteins and their ratio was investigated for
SLE patients using univariate followed by multivariate
linear regression analyses. All variables related to the
studied outcome in univariate analyses at a P-value <
0.05 were considered potential predictors and entered in
multivariate linear regression models. The selection of
covariates was stepwise by backward selection, according
to the level of significance. Before performing regression
analysis, sRANKL, OPG, and sRANKL/OPG ratio were
logarithmically transformed for approximation to nor-
mality and to approximate the residuals to the normality
in multiple linear regressions. All participants underwent a standardized clinical and
laboratory evaluation [15]. Information about age,
height, weight, body mass index (BMI), smoking habits,
alcohol intake, menopause, co-morbidities (hypertension,
hyperlipidemia, diabetes mellitus, hypo or hyperthyroid-
ism) and medication was collected. Statistical calculations were performed using Statistical
Package for the Social Sciences (SPSS) Statistics Soft-
ware, v.15.0 (SPSS Inc., Chicago, USA) and a two-tailed
P-value < 0.05 was selected as significant. For SLE patients, information considering age at dis-
ease diagnosis, disease duration, cumulative clinical
manifestations, presence of autoantibodies, current dis-
ease activity (evaluated using the Systemic Lupus
Erythematosus Disease Activity Index 2000 (SLEDAI2K)
[16]), and cumulative damage (scored in accordance to
the Systemic Lupus International Collaborating Clinics/
ACR Damage Index (SLICC) [17]) were also obtained. Laboratorial determinations A blood sample was collected from all subjects for mea-
surement of erythrocyte sedimentation rate (ESR), C- Carmona-Fernandes et al. Arthritis Research & Therapy 2011, 13:R175
http://arthritis-research.com/content/13/5/R175 Page 3 of 6 Page 3 of 6 Table 1 SLE patients and healthy controls characteristics
SLE patients
Healthy controls
P-value
n
103
114
-
Age, years
44.9 ± 14.1
47.4 ± 13.5
0.182
BMI, Kg/m2
26.6 ± 4.9
26.8 ± 4.9
0.689
Current smokers, n (%)
14 (15.6%)
23 (22.1%)
0.246
Alcohol intake, n (%)
4 (3.9%)
4 (3.6%)
0.602
Postmenopausal, n (%)
44 (49.4%)
57 (53.3%)
0.593
Arterial hypertension, n (%)
52 (50.5%)
47 (42.7%)
0.257
Hyperlipidemia, n (%)
66 (64.1%)
66 (60.6%)
0.596
Diabetes mellitus, n (%)
5 (4.9%)
8 (7.2%)
0.472
Values represent mean ± standard deviation or frequencies of the individuals
that presented the characteristic. Differences were assessed using T-test for
continuous variables or c2 or Fisher’s exact test for proportions. BMI, body mass index; SLE, Systemic Lupus Erythematosus Table 1 SLE patients and healthy controls characteristics
SLE patients
Healthy controls
P-value The variables associated with OPG levels in univariate
analysis were age, menopausal status, antihypertensive
therapy, diabetes mellitus, triglycerides, age at disease
onset, arthritis and anti-dsDNA titers. All these poten-
tial predictors were included in a multivariate analysis. Diabetes mellitus (b = 0.247, 95% CI 0.117 to 0.984; P
= 0.013), anti-dsDNA levels (b = -0.239, 95% CI -.004
to 0.000; P = 0.016), and triglycerides (b = 0.306, 95%
CI 0.001 to 0.004; P = 0.002) were found to be indepen-
dent predictors of OPG levels in the serum of SLE
patients. The same reasoning was applied to the analysis of the
sRANKL/OPG ratio in SLE patients. In the univariate
analysis age, BMI, menopausal status, lipid-lowering
therapy, age at disease onset, the presence of malar rash,
pleuritis and the levels of anti-dsDNA and anti-Sm anti-
bodies came out as possible predictors for changes in
the ratio values. After multivariate analysis age (b =
-0.326, 95% CI -0.055 to -0.015; P = 0.001) and levels of
anti-Sm antibodies (b = 0.229, 95% CI 0.006 to 0.053; P
= 0.016) were independently associated with sRANKL/
OPG ratio levels in SLE patients. No significant differences were found between the two
groups regarding sRANKL concentration. However, a
statistically significant lower value was found for OPG
levels in SLE patients (P < 0.001) compared to healthy
controls. Laboratorial determinations Consequently, an increase in sRANKL/OPG
ratio (P = 0.010) was found in SLE patients compared to
the healthy control group (Table 2). We found no relationship between sRANKL/OPG
ratio and the inflammatory parameters ESR and CRP. In
addition, we found no association between the ratio and
concomitant medications, such as methotrexate, cyclo-
phosphamide, mycophenolate mofetil or azathioprine. Furthermore, there was also no correlation with corti-
costeroids (use or actual dose) or disease activity mea-
sured by the SLEDAI2K with this ratio. The adjusted relationship between demographic para-
meters, clinical features, therapies and disease character-
istics with sRANKL, OPG and sRANKL/OPG ratio was
further analyzed in SLE patients (Table 3). In univariate analysis, age, BMI, menopausal status,
age at disease onset, the presence of malar rash, and
anti-Sm and anti-dsDNA antibody quantifications were
significantly associated with sRANKL levels. These pos-
sible predictors were included in a multivariate analysis
and age (b = -0.232, 95% CI -0.043 to -0.004; P =
0.017), malar rash (b = 0.243, 95% CI 0.150 to 1.230; P
= 0.013), and levels of anti-Sm antibodies (b = 0.227,
95% CI 0.005 to 0.051; P = 0.018) were identified as
independent predictors of sRANKL levels in SLE
patients. Although the studied SLE patients presented a wide
range of disease duration, this variable did not come out
as a predictor of sRANKL, OPG or SRANKL/OPG
levels. Discussion
h This relation between
OPG and these antibodies was not confirmed by us
(data not shown)
Table 3 Predictors of sRANKL, OPG and sRANKL/OPG ratio levels in SLE patients (after multivariate analysis)
Possible predictors
log(sRANKL)
log(OPG)
log(sRANKL/OPG ratio)
Univariate analysis
Multivariate
analysis‡
Univariate analysis
Multivariate
analysis§
Univariate analysis
Multivariate
analysis*
b coefficient
(95% CI)
b coefficient
(95% CI)
b coefficient
(95% CI)
b coefficient
(95% CI)
b coefficient
(95% CI)
b coefficient
(95% CI)
P-value
P-value
P-value
P-value
P-value
P-value
Age
-0.304
(-0.049 to -0.012)
-0.232
(-0.043 to -0.004)
0.218
(0.001 to 0.015)
-0.363
(-0.058 to -0.019)
-0.326
(-0.065 to
-0.015)
0.002
0.017
0.027
< 0.001
0.001
BMI
-0.249
(-0.126 to -0.016)
-0.211
(-0.123 to -0.005)
0.011
0.033
Menopausal status
-0.210
(-1.131 to -0.006)
0.211
(0.003 to 0.439)
-0.274
(-1.379 to -0.200)
0.048
0.047
0.009
Lipid lowering
therapy
-0.214
(-1.451 to -0.068)
0.032
Antihypertensive
therapy
0.217
(0.026 to 0.438)
0.028
Diabetes mellitus
0.271
(0.198 to 1.122)
0.247
(0.117 to 0.984)
0.006
0.013
Triglycerides
0.266
(0.000 to 0.003)
0.306
(0.001 to 0.004)
0.011
0.02
Age at disease onset
-0.268
(-0.045 to -0.008)
0.237
(0.002 to 0.016)
-0.335
(-0.054 to -0.016)
0.006
0.016
0.001
Malar rash
0.251
(0.166 to 1.246)
0.243
(0.150 to 1.230)
0.201
(0.019 to 1.178)
0.011
0.013
0.043
Arthritis
-0.272
(-0.556 to -0.098)
0.005
Pleuritis
-0.197
(-1.555 to -0.010)
0.047
Anti-Sm titers
0.224
(0.003 to 0.051)
0.227
(0.005 to 0.051)
0.264
(0.009 to 0.059)
0.229
(0.006 to
0.053)
0.026
0.018
0.008
0.016
Anti-dsDNA titers
0.204
(0.000 to 0.007)
-0.208
(-0.003 to 0.000)
-0.239
(-0.004 to 0.000)
0.268
(0.001 to 0.009)
0.047
0.043
0.016
0.009
Multivariate analysis results from multiple linear regression analysis. The total explained variance of the model is (‡) R2 = 0.185, (§) R2 = 0.237, and (*) R2 = 0.175. OPG, osteoprotegerin; SLE, Systemic Lupus Erythematosus; sRANKL, soluble RANKL and sRANKL/OPG ratio levels in SLE patients (after multivariate analysis) Multivariate analysis results from multiple linear regression analysis. The total explained variance of the model is (‡) R2 = 0.185, (§) R2 = 0.237, and (*) R2 = 0.175. OPG, osteoprotegerin; SLE, Systemic Lupus Erythematosus; sRANKL, soluble RANKL Multivariate analysis results from multiple linear regression analysis. The total explained variance of the model is (‡) R2 = 0.185, (§) R
OPG, osteoprotegerin; SLE, Systemic Lupus Erythematosus; sRANKL, soluble RANKL antiphospholipid antibodies [21]. This relation between
OPG and these antibodies was not confirmed by us
(data not shown). Discussion
h The present work provides evidence of increased pro-
osteoclastogenic stimuli in SLE women as a result of
decreased serum OPG levels and increased sRANKL/
OPG ratio. Table 2 sRANKL, OPG and sRANKL/OPG ratio levels in SLE
patients and healthy controls
SLE patients
Healthy controls
P-
value
sRANKL
0.40 (0.02 to 25.99)
0.40 (0.29 to 67.64)
0.372
OPG
69.02 (17.42 to
500.90)
95.14 (1.56 to
1069.13)
< 0.001
sRANKL/OPG
ratio
0.0103 (0.001 to
0.817)
0.0056 (0.000 to
1.866)
0.010
Values represent median (IQR). Differences were assessed by non-parametric
Mann-Whitney U test. In 49.5% of SLE patients and 63.2% of healthy controls, the sRANKL levels
were below the limit of detection (LOD) of the quantification method. Regarding OPG quantification, there were no samples with concentrations
below the LOD. IQR, interquartile range; OPG, osteoprotegerin; SLE, Systemic Lupus
Erythematosus; sRANKL, soluble RANKL Table 2 sRANKL, OPG and sRANKL/OPG ratio levels in SLE
patients and healthy controls OPG serum levels were lower in SLE patients than in
controls and these levels were negatively associated with
anti-dsDNA levels, independently from the contribution
of multiple confounders. Raised anti-dsDNA levels are
associated with active disease, suggesting that patients
with active SLE might be more exposed to the effect of
RANKL/RANK interaction as a consequence of dimin-
ished OPG levels. We have also found a positive associa-
tion between serum OPG levels and diabetes mellitus,
which is in accordance with previous results [18,19]. Gannagé-Yared and colleagues found an inverse correla-
tion between OPG and triglycerides levels, in a nondia-
betic, elderly Lebanese male population [20]. Although
in a different population, this relation was not Carmona-Fernandes et al. Arthritis Research & Therapy 2011, 13:R175
http://arthritis-research.com/content/13/5/R175 Page 4 of 6 Page 4 of 6 confirmed by our study, since we have found a positive
relation between serum OPG and triglycerides. Serum OPG levels have been scarcely analyzed in the
antiphospholipid antibodies [21]. Anti-dsDNA: anti-double stranded DNA; Anti-Sm: anti-Smith; BMD: bone
mineral density; BMI: body mass index; CRP: C-reactive protein; EDTA:
ethylenediamine tetraacetic acid; ELISA: enzyme linked immunosorbent
assay; ESR: erythrocyte sedimentation rate; HDL: high-density lipoprotein;
LDL: low-density lipoprotein; LOD: limit of detection; OPG: osteoprotegerin;
SLE: systemic lupus erythematosus; RANK: receptor activator of nuclear factor
κB; RANKL: receptor activator of nuclear factor κB ligand; sRANKL: soluble
RANKL; SLEDAI2K: SLE disease activity index; SLICC: systemic lupus
international collaborating clinics/ACR damage index; SPSS: statistical
package for the social sciences. Discussion
h confirmed by our study, since we have found a positive
relation between serum OPG and triglycerides. Serum OPG levels have been scarcely analyzed in the
context of SLE. There is a single study reporting higher
serum OPG levels in SLE patients, and this relation is
even greater in patients with antiphospholipid syn-
drome, as OPG levels were related to the presence of On the other hand, urinary OPG levels have been
described to be raised in lupus nephritis and correlated
with renal disease activity and anti-dsDNA levels
[22,23]. However, at this moment it is not clear how Carmona-Fernandes et al. Arthritis Research & Therapy 2011, 13:R175
http://arthritis-research.com/content/13/5/R175 Carmona-Fernandes et al. Arthritis Research & Therapy 2011, 13:R175
http://arthritis-research.com/content/13/5/R175 Page 5 of 6 Page 5 of 6 these results can be compared with ours as the relation-
ship between serum and urinary OPG levels is
unknown. Authors’ contributions DCF carried out laboratorial protein determinations and participated in the
design of the study, statistical analysis and manuscript elaboration. MJS
performed clinical evaluation of the patients and participated in the design
of study, statistical analysis and manuscript elaboration. IPP helped on
laboratorial protein determinations and on manuscript revision. JEF
participated in the design of the study and on manuscript revision. HC
participated in the design of the study and on manuscript and statistical
analysis revision. All authors read and approved the final manuscript for
publication. Despite the fact that there are no previous references
in the literature to the possible effect of SLE on
sRANKL and sRANKL/OPG ratio, an imbalance of this
ratio has been described in autoimmune diseases, such
as rheumatoid arthritis [13,24]. This finding may be of
clinical relevance as the increase of the sRANKL/OPG
ratio has been related with increased bone loss in
immune mediated inflammatory diseases [12,25]. The
independent association of the sRANKL/OPG ratio with
anti-Sm autoantibodies and the absence of association
with corticosteroid use or dose are particularly relevant,
as they are suggestive that SLE per se might be impor-
tant in accelerating osteoclastogenesis and consequently,
bone loss. Competing interests The authors declare that they have no competing interests. Received: 15 July 2011 Revised: 3 August 2011
Accepted: 25 October 2011 Published: 25 October 2011 Received: 15 July 2011 Revised: 3 August 2011
Accepted: 25 October 2011 Published: 25 October 2011 Author details
1 1Rheumatology Research Unit, Instituto de Medicina Molecular, Faculdade de
Medicina da Universidade de Lisboa, Edifício Egas Moniz, Av. Prof. Egas
Moniz, 1649-028 Lisboa, Portugal. 2Rheumatology Department, Hospital
Garcia de Orta, Av. Torrado da Silva, 2801-951 Almada, Portugal. 3Rheumatology and Bone Metabolic Diseases Department, Hospital de Santa
Maria, Av. Prof. Egas Moniz, 1649-035 Lisboa, Portugal. Acknowledgements This work was supported by a grant from Fundação para a Ciência e a
Tecnologia, Portugal (PIC/IC/82920/2007) and by an unrestricted grant from
Wyeth Portugal. We have found sRANKL levels to be similar between
SLE and healthy control women, but the sRANKL/OPG
ratio was increased in SLE patients as compared to con-
trols at the cost of elevated serum OPG levels in SLE. Interestingly, malar rash and elevated levels of anti-Sm
autoantibodies, often present in active disease, were
associated with sRANKL serum levels. Moreover, in
multivariate analysis levels of anti-Sm antibodies were
positively associated with sRANKL/OPG ratio. Studies
based on sRANKL are sometimes limited by the high
percentage of patients that have undetectable circulating
levels, due to the fact that the majority of RANKL is
membrane bound. Nevertheless, half of our patients had
detectable levels of sRANKL and, importantly, it was
possible to determine serum OPG levels in all
individuals. We wish to thank Dr. Vinagre F. from the Rheumatology Department at
Hospital Garcia de Orta for helping with patients’ data collection and Dr. Caetano-Lopes J. from the Rheumatology Research Unit at Instituto de
Medicina Molecular for advice with statistical analysis. References Ann N Y Acad Sci 2009, 1173:822-828. 2. Garcia-Carrasco M, Mendoza-Pinto C, Escarcega RO, Jimenez-Hernandez M,
Etchegaray Morales I, Munguia Realpozo P, Rebollo-Vazquez J, Soto-Vega E,
Deleze M, Cervera R: Osteoporosis in patients with systemic lupus
erythematosus. Isr Med Assoc J 2009, 11:486-491. 3. Lane NE: Therapy Insight: osteoporosis and osteonecrosis in systemic
lupus erythematosus. Nat Clin Pract Rheumatol 2006, 2:562-569. 3. Lane NE: Therapy Insight: osteoporosis and osteonecrosis in systemic
lupus erythematosus. Nat Clin Pract Rheumatol 2006, 2:562-569. 4. Lee C, Ramsey-Goldman R: Bone health and systemic lupus
erythematosus. Curr Rheumatol Rep 2005, 7:482-489. 5. Alele JD, Kamen DL: The importance of inflammation and vitamin D
status in SLE-associated osteoporosis. Autoimmun Rev 2010, 9:137-139. 6. Weiss RJ, Wick MC, Ackermann PW, Montgomery SM: Increased fracture
risk in patients with rheumatic disorders and other inflammatory
diseases – a case-control study with 53,108 patients with fracture. J
Rheumatol 2010, 37:2247-2250. Conclusions 4. Lee C, Ramsey-Goldman R: Bone health and systemic lupus
erythematosus. Curr Rheumatol Rep 2005, 7:482-489. In summary, we have shown reduced OPG levels and
consequently a raised sRANKL/OPG ratio in female SLE
patients as compared to healthy controls. An association
between anti-dsDNA and OPG levels and between anti-
Sm and sRANKL levels and sRANKL/OPG ratio were
also observed in SLE patients. Taken together, these
observations are suggestive of increased osteoclastic sti-
muli driven by SLE disease mechanisms. 5. Alele JD, Kamen DL: The importance of inflammation and vitamin D
status in SLE-associated osteoporosis. Autoimmun Rev 2010, 9:137-139. 5. Alele JD, Kamen DL: The importance of inflammation and vitamin D
status in SLE-associated osteoporosis. Autoimmun Rev 2010, 9:137-139. 6. Weiss RJ, Wick MC, Ackermann PW, Montgomery SM: Increased fracture
risk in patients with rheumatic disorders and other inflammatory
diseases – a case-control study with 53,108 patients with fracture. J
Rheumatol 2010, 37:2247-2250. p
6. Weiss RJ, Wick MC, Ackermann PW, Montgomery SM: Increased fracture
risk in patients with rheumatic disorders and other inflammatory
diseases – a case-control study with 53,108 patients with fracture. J
Rheumatol 2010, 37:2247-2250. 7. Walsh NC, Crotti TN, Goldring SR, Gravallese EM: Rheumatic diseases: the
effects of inflammation on bone. Immunol Rev 2005, 208:228-251. 8. Panopalis P, Yazdany J: Bone health in systemic lupus erythematosus. Curr Rheumatol Rep 2009, 11:177-184. 9. Dalbeth N, Pool B, Smith T, Callon KE, Lobo M, Taylor WJ, Jones PB,
Cornish J, McQueen FM: Circulating mediators of bone remodeling in
psoriatic arthritis: implications for disordered osteoclastogenesis and
bone erosion. Arthritis Res Ther 2010, 12:R164. References e e e ces
1. Santos MJ, Vinagre F, Nero P, Barcelos F, Barcelos A, Rodrigues AM, de
Matos AA, Silva C, Miranda L, Capela S, Marques A, Branco J, da Silva JC:
Predictors of damage progression in Portuguese patients with systemic
lupus erythematosus. Ann N Y Acad Sci 2009, 1173:822-828. 2. Garcia-Carrasco M, Mendoza-Pinto C, Escarcega RO, Jimenez-Hernandez M,
Etchegaray Morales I, Munguia Realpozo P, Rebollo-Vazquez J, Soto-Vega E,
Deleze M, Cervera R: Osteoporosis in patients with systemic lupus
erythematosus. Isr Med Assoc J 2009, 11:486-491. 3. Lane NE: Therapy Insight: osteoporosis and osteonecrosis in systemic
lupus erythematosus. Nat Clin Pract Rheumatol 2006, 2:562-569. 4. Lee C, Ramsey-Goldman R: Bone health and systemic lupus
erythematosus. Curr Rheumatol Rep 2005, 7:482-489. 5. Alele JD, Kamen DL: The importance of inflammation and vitamin D
status in SLE-associated osteoporosis. Autoimmun Rev 2010, 9:137-139. 6. Weiss RJ, Wick MC, Ackermann PW, Montgomery SM: Increased fracture
risk in patients with rheumatic disorders and other inflammatory
diseases – a case-control study with 53,108 patients with fracture. J
Rheumatol 2010, 37:2247-2250. 7. Walsh NC, Crotti TN, Goldring SR, Gravallese EM: Rheumatic diseases: the
effects of inflammation on bone. Immunol Rev 2005, 208:228-251. 8. Panopalis P, Yazdany J: Bone health in systemic lupus erythematosus. Curr Rheumatol Rep 2009, 11:177-184. 9. Dalbeth N, Pool B, Smith T, Callon KE, Lobo M, Taylor WJ, Jones PB,
Cornish J, McQueen FM: Circulating mediators of bone remodeling in
psoriatic arthritis: implications for disordered osteoclastogenesis and
bone erosion. Arthritis Res Ther 2010, 12:R164. 10. Boyce BF, Xing L: Biology of RANK, RANKL, and osteoprotegerin. Arthritis
Res Ther 2007, 9:S1. 11. Wright HL, McCarthy HS, Middleton J, Marshall MJ: RANK, RANKL and
osteoprotegerin in bone biology and disease. Curr Rev Musculoskelet Med
2009, 2:56-64. 12. Hofbauer LC, Schoppet M: Clinical implications of the osteoprotegerin/
RANKL/RANK system for bone and vascular diseases. JAMA 2004,
292:490-495. 1. Santos MJ, Vinagre F, Nero P, Barcelos F, Barcelos A, Rodrigues AM, de
Matos AA, Silva C, Miranda L, Capela S, Marques A, Branco J, da Silva JC:
Predictors of damage progression in Portuguese patients with systemic
lupus erythematosus. Ann N Y Acad Sci 2009, 1173:822-828. 1. Santos MJ, Vinagre F, Nero P, Barcelos F, Barcelos A, Rodrigues AM, de
Matos AA, Silva C, Miranda L, Capela S, Marques A, Branco J, da Silva JC:
Predictors of damage progression in Portuguese patients with systemic
lupus erythematosus. 10.
Boyce BF, Xing L: Biology of RANK, RANKL, and osteoprotegerin. Arthritis
Res Ther 2007, 9:S1. Abbreviations
d 10. Boyce BF, Xing L: Biology of RANK, RANKL, and osteoprotegerin. Arthritis
Res Ther 2007, 9:S1. 10. Boyce BF, Xing L: Biology of RANK, RANKL, and osteoprotegerin. Arthritis
Res Ther 2007, 9:S1. 11. Wright HL, McCarthy HS, Middleton J, Marshall MJ: RANK, RANKL and
osteoprotegerin in bone biology and disease. Curr Rev Musculoskelet Med
2009, 2:56-64. 11. Wright HL, McCarthy HS, Middleton J, Marshall MJ: RANK, RANKL and
osteoprotegerin in bone biology and disease. Curr Rev Musculoskelet Med
2009, 2:56-64. 12. Hofbauer LC, Schoppet M: Clinical implications of the osteoprotegerin/
RANKL/RANK system for bone and vascular diseases. JAMA 2004,
292:490-495. Page 6 of 6 Page 6 of 6 Carmona-Fernandes et al. Arthritis Research & Therapy 2011, 13:R175
http://arthritis-research.com/content/13/5/R175 13. Narducci P, Bareggi R, Nicolin V: Receptor Activator for Nuclear Factor
kappa B Ligand (RANKL) as an osteoimmune key regulator in bone
physiology and pathology. Acta Histochem 2011, 113:73-81. 14. Caetano-Lopes J, Canhao H, Fonseca JE: Osteoimmunology–the hidden
immune regulation of bone. Autoimmun Rev 2009, 8:250-255. 15. Silva C, Canhao H, Barcelos A, Miranda L, Pinto P, Santos MJ: [Protocol for
evaluation and monitoring of Systemic Lupus Erythematosus (PAMLES)]. Acta Reumatol Port 2008, 33:210-218. 16. Gladman DD, Ibanez D, Urowitz MB: Systemic lupus erythematosus
disease activity index 2000. J Rheumatol 2002, 29:288-291. 17. Gladman D, Ginzler E, Goldsmith C, Fortin P, Liang M, Urowitz M, Bacon P,
Bombardieri S, Hanly J, Hay E, Isenberg D, Jones J, Kalunian K, Maddison P,
Nived O, Petri M, Richter M, Sanchez-Guerrero J, Snaith M, Sturfelt G,
Symmons D, Zoma A: The development and initial validation of the
Systemic Lupus International Collaborating Clinics/American College of
Rheumatology damage index for systemic lupus erythematosus. Arthritis
Rheum 1996, 39:363-369. 18. Knudsen ST, Foss CH, Poulsen PL, Andersen NH, Mogensen CE,
Rasmussen LM: Increased plasma concentrations of osteoprotegerin in
type 2 diabetic patients with microvascular complications. Eur J
Endocrinol 2003, 149:39-42. 19. Browner WS, Lui LY, Cummings SR: Associations of serum osteoprotegerin
levels with diabetes, stroke, bone density, fractures, and mortality in
elderly women. J Clin Endocrinol Metab 2001, 86:631-637. 20. Gannage-Yared MH, Fares F, Semaan M, Khalife S, Jambart S: Circulating
osteoprotegerin is correlated with lipid profile, insulin sensitivity,
adiponectin and sex steroids in an ageing male population. Clin
Endocrinol (Oxf) 2006, 64:652-658. 21. Abbreviations
d Kwok SK, Shin YJ, Kim HJ, Kim HS, Kim JY, Yoo SA, Choi JJ, Kim WU, Cho CS:
Circulating osteoprotegerin levels are elevated and correlated with
antiphospholipid antibodies in patients with systemic lupus
erythematosus. Lupus 2009, 18:133-138. 22. Kiani AN, Johnson K, Chen C, Diehl E, Hu H, Vasudevan G, Singh S,
Magder LS, Knechtle SJ, Petri M: Urine osteoprotegerin and monocyte
chemoattractant protein-1 in lupus nephritis. J Rheumatol 2009,
36:2224-2230. 23. El-Shehaby A, Darweesh H, El-Khatib M, Momtaz M, Marzouk S, El-
Shaarawy N, Emad Y: Correlations of Urinary Biomarkers, TNF-Like Weak
Inducer of Apoptosis (TWEAK), Osteoprotegerin (OPG), Monocyte
Chemoattractant Protein-1 (MCP-1), and IL-8 with Lupus Nephritis. J Clin
Immunol 2011, 31:848-856. 24. Fonseca JE, Cortez-Dias N, Francisco A, Sobral M, Canhao H, Resende C,
Castelao W, Macieira C, Sequeira G, Saraiva F, da Silva JA, Carmo-Fonseca M,
Viana Queiroz M: Inflammatory cell infiltrate and RANKL/OPG expression
in rheumatoid synovium: comparison with other inflammatory
arthropathies and correlation with outcome. Clin Exp Rheumatol 2005,
23:185-192. 25. Khosla S: Minireview: the OPG/RANKL/RANK system. Endocrinology 2001,
142:5050-5055. 25. Khosla S: Minireview: the OPG/RANKL/RANK system. Endocrinology 2001,
142:5050-5055. doi:10.1186/ar3500
Cite this article as: Carmona-Fernandes et al.: Soluble receptor activator
of nuclear factor B ligand/osteoprotegerin ratio is increased in
systemic lupus erythematosus patients. Arthritis Research & Therapy 2011
13:R175. Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
and take full advantage of: • Convenient online submission
|
https://openalex.org/W2173456014
|
https://www.ccsenet.org/journal/index.php/ijef/article/download/52565/29441
|
English
| null |
Testing the Long-Run Fisher Effect in Selected African Countries: Evidence from ARDL Bounds Test
|
International journal of economics and finance
| 2,015
|
cc-by
| 5,523
|
1. Introduction The Fisher effect states that over the long-run, changes in the rate of expected inflation are perfectly absorbed by
nominal interest rates, suggesting a one-to-one long term relationship between nominal interest rate and inflation
rate. The implication of this hypothesis is that long run real interest rate is determined only by real factors such
as the productivity of capital and investor time preference, and that monetary policy cannot affect the real
interest rate (Payne & Ewing, 1997; Atkins & Coe, 2002). As interest rate is an important determinant of saving
and investment, and therefore crucial for economic growth, the Fisher hypothesis has important policy
implications for the behavior of interest rates and the efficiency of financial markets. A growing literature has been devoted to test the validity of the Fisher hypothesis. The empirical evidence from
this literature is however mixed and controversial across countries, data, interest rate variables and econometric
techniques. While some studies (Bonham, 1991; Koustas & Serletis, 1999; Ghazali & Ramlee, 2003) found no
evidence of cointegration between nominal interest rates and inflation, other studies (Granville & Mallick, 2004,
Gul & Acikalin, 2008, Badillo et al., 2011) found evidence in favor of cointegration, but the coefficient on
inflation is significantly less than one. This implies that real interest rates are negatively associated with expected
inflation. With respect to African countries, most empirical studies of the Fisher hypothesis focused on Nigeria,
South Africa and Namibia, with conflicting results. In this study, we examine the validity of the Fisher hypothesis for ten African countries. The results of this study
will provide useful knowledge to the monetary authorities about the relationship between inflation rate and
interest rate. High inflation and interest rates are undesirable factors due to their negative effects on economic
growth and social development. In many countries, the main goal of the central bank is the price stability. To
achieve this goal, the nominal interest rate is used as the targeting instrument. We carried out the empirical
analysis using the bounds testing approach to cointegration developed by Pesaran et al. (2001). This method can
be applied irrespective of whether the regressors are I(0) or I(1). This represents a clear advantage over standard
cointegration techniques. The remainder of the paper is organized as follows. Section 2 presents a review of the
empirical literature on the Fisher effect. Section 3 describes the econometric methodology of the study. 1. Introduction Section 4
analyses the empirical results and Section 5 concludes and suggests topics for further research. Testing the Long-Run Fisher Effect in Selected African Countries:
Evidence from ARDL Bounds Test Keho Yaya1
1 Department of Economics, National School of Statistics and Applied Economics, Côte d'Ivoire
Correspondence: KehoYaya, Department of Economics, National School of Statistics and Applied Economics,
Côte d'Ivoire. E-mail: yayakeho@yahoo.fr Accepted: October 16, 2015 Online Published: November 25, 2015
URL: http://dx.doi.org/10.5539/ijef.v7n12p168 Received: August 26, 2015
doi:10.5539/ijef.v7n12p168 International Journal of Economics and Finance; Vol. 7, No. 12; 2015
ISSN 1916-971XE-ISSN 1916-9728
Published by Canadian Center of Science and Education International Journal of Economics and Finance; Vol. 7, No. 12; 2015
ISSN 1916-971XE-ISSN 1916-9728
Published by Canadian Center of Science and Education Abstract This paper tests the validity of the Fisher hypothesis for a sample of ten African countries. Recognizing the
possibility of spurious regression results, we undertook unit root and cointegration tests. We found nominal
interest rates to be I(1) series while inflation rates are I(0) series. Hence, we employed the bounds test to
cointegration. The results provide evidence supporting the full Fisher effect only in Kenya. In Cote d’Ivoire and
Gabon, we found a positive but less than one-for-one reaction of nominal interest rates to changes in inflation
rates, lending support to the partial Fisher effect. For the other seven countries, the results suggest no evidence of
long-run relationship between nominal interest rates and inflation. Keywords: fisher effect, interest rates, inflation, African countries 2. Literature Review Ahmad (2010a) tested the presence of the long run Fisher effect for six
countries namely India, Bangladesh, Pakistan, Sri Lanka, Kuwait and Saudi Arabia. Using the bounds testing
approach, the estimation results indicate the presence of weak form of Fisher effect only in India, Pakistan,
Kuwait and Saudi Arabia. However, no Fisher effect has been found in Bangladesh and Sri Lanka. Toyoshima
and Hamori (2011) used panel cointegration analysis to test the Fisher effect for the US, the UK, and Japan. Their results support the full Fisher effect in these countries. With respect to African countries, the studies by Obi et al. (2009), Muse and Alimi (2012) and Awomuse and
Alimi (2012) provided evidence supporting the long-run partial Fisher effect for Nigeria, while Asemota and
Bala (2011) and Ogbonna (2013) found no evidence of Fisher effect for Nigeria. Mitchell-Innes et al. (2008) also
found evidence supporting the partial Fisher hypothesis over the period of inflation targeting (2000-2005) in
South Africa. However Sheefeni (2013) found no relationship between interest rate and inflation in the case of
Namibia. Several explanations have been proposed for the mostly unfavorable evidence on the existence of a full Fisher
effect. According to Tobin (1969), investors re-balance their portfolios in favour of real assets during high
inflationary periods. Mundell (1963) also argued that there is no one-to-one adjustable relationship between
nominal interest rate and expected inflation rate. Following the Mundell-Tobit effect, nominal interest rates
would raise less than one-for-one with inflation. This is due to the fact that in response to inflation the public
would hold less in money balances and more in other assets, which would drive interest rates down. Recently,
some arguments contend that the inability to find evidence of Fisher effect originates from differences in
econometric methods. During the 1970s, the lack of robust statistical methods certainly contributed to make
results about the validity of the Fisherian theory quite controversial. Since the early 1980s, the innovations in the
analysis of non stationary time series and the concept of cointegration motivated researchers to focus their
attention on the stochastic properties of the time series and the problems of spurious regressions. Another strand
of literature considers that structural changes and nonlinearities may explain the apparent failure of Fisher effect. It is well known by now that structural changes and nonlinearities in time series can cause deceptive in
stationarity and cointegration testing. 2. Literature Review The Fisher (1930) hypothesis suggests that there is a one-to-one relationship between interest rates and inflation
in the long-run. This hypothesis has been tested extensively in the empirical literature. This was a result of the 168 International Journal of Economics and Finance Vol. 7, No. 12; 2015 www.ccsenet.org/ijef emergence of the literature on unit root and cointegration techniques. The empirical evidence is mixed across the
estimation method, the sample period, the type of interest rate, countries, monetary policy regime and proxy for
inflation. Studies by Bonham (1991), Koustas and Serletis (1999) and Ghazali and Ramlee (2003) found no
evidence of cointegration between nominal interest rates and inflation. Other studies including Mishkin (1992),
Crowder and Hoffman (1996), Evans and Lewis (1995), Granville and Mallick (2004) for UK, Gul and Acikalin
(2008) for Turkey and Badillo et al. (2011) for a panel of 15 European Union countries found evidence in favor
of cointegration between interest rate and inflation, but the coefficient on inflation is significantly less than one. This implies that real interest rates are negatively associated with expected inflation. The Fisher hypothesis has
been validated by Garcia (1993) for Brazil, Thornton (1996) for Mexico, Payne and Ewing (1997) for Malaysia,
Pakistan and Sri Lanka, and Atkins and Coe (2002) for US and Canada. Yuhn (1996) found evidence supporting
the Fisher effect in US, Germany and Japan, but little evidence of it in UK and Canada. Inder and Silvapulle
(1993) did not find evidence in favor of the Fisher effect in Australia. Carneiro et al. (2002) used Johansen test to investigate the validity of the Fisher hypothesis in Argentina, Brazil
and Mexico. Their results confirmed the validity of the Fisher effect for the cases of Argentina and Brazil. For
Mexico, however, they found evidence that it was the inflation rate that adjusted to changes in interest rates in the
period considered. Ur et al. (2004) used the Johansen cointegration approach to find empirical evidence
supporting the Fisher Effect in Pakistan. Ito (2009) investigated the validity of the Fisher hypothesis in Japanese
long-term interest rates over the period october 1987 to june 2006. The author considered three sample periods
depending on each period's monetary policy regimes and found that the Fisher hypothesis is valid only for the
period from October 1987 to June 1991. 3.1 Data and Model Specification The Fisher hypothesis states that there is a long run one-for-one relationship between nominal interest rate and
expected inflation rate. This proposition is described by the Fisher identity: e
t
e
t
t
r
i
(1) (1) where ti represents the nominal interest rate in period t,
e
tr is the ex-ante real interest rate, and
e
t
is expected
inflation rate. In absence of money illusion, a change in the expected inflation rate should be fully transmitted to
the nominal interest rate, so that
e
tr was approximately constant in the long run. terest rate, so that
e
tr was approximately constant in the long run. Under the usual assumption of rational expectations, the expected inflation rate equals the actual inflation rate
plus mean-zero forecast error term
t: t
t
e
t
(2) t
t
e
t
(2) Finally, the empirical equation to be estimated becomes: Finally, the empirical equation to be estimated becomes: Finally, the empirical equation to be estimated becomes: (3) t
t
ti
(3) where is the coefficient of interest, expected to equal one. An estimate of not significantly different from
one indicates a strong form of Fisher hypothesis whereas a value lowers than one indicates a weak or partial
Fisher effect. where is the coefficient of interest, expected to equal one. An estimate of not significantly different from
one indicates a strong form of Fisher hypothesis whereas a value lowers than one indicates a weak or partial
Fisher effect. The study uses annual data for a sample of ten African countries, namely Benin, Cameroon, Cote d’Ivoire,
Gabon, Gambia, Ghana, Kenya, Nigeria, Senegal and South Africa.The variables under study are nominal
deposit interest rate and inflation rate. Inflation rate is computed as the annual percentage change of the
consumer price index. The data are taken from the World Development Indicators of the World Bank. Data are
annual and the sample size is different depending on the availability of the data. 3.2 Bounds Testing Approach to Cointegration 2. Literature Review Mishkin (1992) noted that the Fisher equation between interest rate and
inflation shifts with changes in monetary policy regimes. Bajo-Rubio et al. (2005) used a two-regime threshold
cointegrtation model to find evidence of partial Fisher effect in the long run in the case of Spain for the period
1963-2002. According to the Authors the asymmetric response of nominal interest rates reflects the presence of
some degree of money illusion in the financial market. Dutt and Ghosh (2007) used threshold cointegration
methodology to revisit the Fisher effect for five European countries, namely Belgium, France, Germany, Italy
and Sweden. They found evidence of partial Fisher effect for both Belgium and Germany but the effect is greater
than one. The authors explained this result by the existence of tax effects. Westerlund (2008) used a panel
cointegration test with multiple structural breaks and found some evidence supporting the Fisher hypothesis for
20 OECD countries for the period 1980-2004. Nusair (2008) examined the validity of the Fisher hypothesis for
six Asian countries using the cointegration procedure developed by Gregory and Hansen (1996). The results 169 International Journal of Economics and Finance Vol. 7, No. 12; 2015 www.ccsenet.org/ijef indicate the presence of the full Fisher effect for Korea and the partial effect for Malaysia, Singapore, and
Thailand. Hatemi-J and Irandoust (2008) tested the Fisher effect for Australia, Japan, Malaysia and Singapore
using cointegration and time varying coefficient methods and found that the full Fisher effect is generally
rejected. Hall et al. (2010) investigated the validity of Fisher effect for the US economy using cointegration test
and time-varying coefficients method. They found strong support for Fisher hypothesis over the period
1960-2008. Ahmed (2010b) used nonlinear method to validate the Fisher effect for eight Asian countries. Phiri
and Lusanga (2011) examined the validity of the Fisher effect in the case of South Africa using threshold
cointegration techniques. They found significant Fisher effect only in the long-run. Arisoy (2013) tested the
Fisher hypothesis in Turkey for the period 1987-2010 using cointegration test with structural break and
time-varying coefficients approach, and found evidence supporting the weak form of the Fisher effect. Ucak et al. (2014) explored structural breaks in the Fisher effect for four EU member countries. Their results show that
Fisher effects are more than one. 3.2 Bounds Testing Approach to Cointegration The vector of error terms
0,
N
~
'
,
i
where Ω is positive definite and given
by:
i
i
ii
(5)
i
i
ii
(5) (5) Manipulation of Eq.(4) allows this VAR model to be re-specified as a vector error correction model (VECM):
t
p
j
j
t
j
t
t
Y
Y
Y
1
1
1
(6) Manipulation of Eq.(4) allows this VAR model to be re-specified as a vector error correction model (VECM):
1 Manipulation of Eq.(4) allows this VAR model to be re-specified as a vector error correction model (VECM):
p
Y
Y
Y
1
1
(6) t
p
j
j
t
j
t
t
Y
Y
Y
1
1
1
(6) t
p
j
j
t
j
t
t
Y
Y
Y
1
1
1
(6) (6) where the short-run coefficients are given by: where the short-run coefficients are given by:
p
j
k
k
j
j
i
j
i
j
ii
j
1
,
,
,
,
(7) (7) The coefficient is the long-run multiplier matrix and is given by: The coefficient is the long-run multiplier matrix and is given by: The coefficient is the long-run multiplier matrix and is given by:
p
j
j
i
i
ii
I
1
2
(8) (8) where I2 is a 2 x 2 identity matrix. The diagonal elements of the matrix λ are left unrestricted, allowing for the
possibility that the series can be either I(0) or I(1). 3.2 Bounds Testing Approach to Cointegration The bounds test procedure allows for the testing of at most
one long-run relationship and so requires a zero restriction on one of the off diagonals of the matrix λ. As we test
for the Fisher effect, we impose the assumption that
0
i
. Under this assumption, the equation for the nominal interest rate from Eq.(6) can be written as: nominal interest rate from Eq.(6) can be written as: t
i
t
n
i
i
i
t
m
i
i
t
t
t
i
i
i
0
2
1
1
1
2
1
1
0
(9) (9) The presence of cointegration between nominal interest rate and inflation is tested by restricting the lagged levels
variables and intercept in the above equation equal to zero, i.e. 0
2
1
0
. This hypothesis is tested by the
mean of the F-statistic. Pesaran et al. (2001) suggested applying the cumulative sum of recursive residuals
(CUSUM) and the cumulative sum of recursive of squares of recursive residuals (CUSUMSQ) tests to assess the
parameter constancy of the model. The presence of cointegration between nominal interest rate and inflation is tested by restricting the lagged levels
variables and intercept in the above equation equal to zero, i.e. 0
2
1
0
. This hypothesis is tested by the
mean of the F-statistic. Pesaran et al. (2001) suggested applying the cumulative sum of recursive residuals
(CUSUM) and the cumulative sum of recursive of squares of recursive residuals (CUSUMSQ) tests to assess the
parameter constancy of the model. 3.2 Bounds Testing Approach to Cointegration Several econometric methods have been developed to investigate the long-run relationship between two or more
time series variables. We have the residual-based procedure of Engle and Granger (1987), the Fully Modified
Ordinary Least Squares (FMOLS) by Phillips and Hansen (1990), the Dynamic Ordinary Least Squares (DOLS)
initially suggested by Saikkonen (1991) and Stock and Watson (1993), and the maximum likelihood
cointegration method of Johansen (1988) and Johansen and Juselius (1990). All these techniques require the
variables to be integrated of order one. Recently, a new cointegration technique has been developed by Pesaranet
al. (2001) and based on autoregressive distributed lag (ARDL) models. This technique has certain econometric
advantages over standard methods. It can be applied irrespective of whether the regressors are I(0) or I(1). This
allows us to avoid the problem associated with conflicting results of the conventional unit root tests and the low
power of these tests in small samples. It also solves the endogeneity problems and the inability to test hypotheses
on the estimated coefficients in the long-run associated with the Engle-Granger two-step method. For these
reasons, we use the ARDL bounds test to investigate the long-run relationship between nominal interest rate and
inflation. 170 www.ccsenet.org/ijef
International Journal of Economics and Finance
Vol. 7, No. 12; 2015 International Journal of Economics and Finance
Vol. 7, No. 12; 2015 International Journal of Economics and Finance
Vol. 7, No. 12; 2015 Vol. 7, No. 12; 2015 www.ccsenet.org/ijef The bounds test begins with an unrestricted vector autoregressive (VAR) in levels: t
p
j
j
t
j
t
Y
Y
1
(4) (4) where
'
t
t
t
i
Y
. 4. Empirical Results As a first step of our empirical analysis, we test for the order of integration of the two series. This step is
important in order to ensure that no variable is integrated of order two or higher. Moreover, the bounds test
requires the dependent variable to be integrated of order one. To this end, we perform two well-known unit root
tests—the PP test of Phillips-Perron (1988) and the KPSS test of Kwiatkowski et al. (1992). These tests have
been performed under the models with constant and trend for the level series and with constant for series in first
difference. The results of these tests are displayed in Table 1. They show that nominal interest rate is I(1) and
inflation is stationary for all countries, except Nigeria for which inflation is I(1). These results suggest that the
necessary conditions for standard cointegration tests of the Fisherian relationship between nominal interest rates
and inflation do not hold. Therefore, the Fisher equation cannot be tested using standard techniques, since it is
“unbalanced”, in the terminology of Ng and Perron (1997). These results provide rational to the bounds testing
approach. 171 International Journal of Economics and Finance Vol. 7, No. 12; 2015 www.ccsenet.org/ijef Table 1. Results of unit root tests
Country
Time period
Phillips-Perron Test
KPSS Test
i
π
Δi
Δπ
i
π
Δi
Δπ
Benin
1971-2013
-3.37
-4.84*
-6.59*
-26.21*
0.14
0.06
0.18
0.05
Cameroon
1979-2013
-3.33
-5.11*
-6.33*
-19.10*
0.12
0.05
0.20
0.31
Cote d’Ivoire
1970-2013
-2.92
-4.32*
-6.68*
-8.70*
0.15*
0.05
0.18
0.06
Gabon
1979-2013
-3.07
-4.71*
-6.26*
-12.98*
0.12
0.09
0.26
0.23
Gambia
1978-2013
-2.13
-3.54**
-6.01*
-10.57*
0.13
0.07
0.40
0.20
Ghana
1978-2013
-1.61
-6.57*
-6.14*
-22.76*
0.17*
0.11
0.14
0.23
Kenya
1970-2013
-1.76
-3.87*
-6.17*
-8.50*
0.17*
0.08
0.13
0.13
Nigeria
1970-2013
-1.87
-3.02
-8.13*
-12.37*
0.18*
0.15*
0.21
0.05
Senegal
1970-2013
-2.92
-5.43*
-6.68*
-18.55*
0.15*
0.04
0.18
0.41
South Africa
1977-2013
-1.53
-3.55*
-4.00*
-8.66*
0.19*
0.10
0.50*
0.17
Notes. i and π are the symbols for nominal interest rate and inflation rate, respectively. *(**) denotes rejection of the null hypothesis at the 5%
(10%) level. Table 1. Results of unit root tests Notes. i and π are the symbols for nominal interest rate and inflation rate, respectively. *(**) denotes rejection of the null hypothesis at the 5%
(10%) level. Next, we apply the bounds test to examine the long-run relationship between the two variables. 4. Empirical Results The results are
reported in Table 2. Lag length on each variable is selected using the general-to-specific approach, with
maximum lag set to five. In the case where the null of no long-run relationship is rejected, we also report the
estimates of the parameters of the Fisher equation. As can be seen from Table 2, the computed F-statistic is
greater than the lower bounds for critical values at the 5% level for Cameroon, Cote d’Ivoire, Gabon, Gambia
and Kenya, suggesting the rejection of the null of no cointegration. However, as suggested by the bounds
procedure described in Pesaran et al. (2001), we further examine the t-statistic of the coefficients in order to
unravel the case of degenerate long-run relationships. Of the five countries, the coefficient on interest rate is
significant only for Cote d’Ivoire, Gabon and Kenya. We conclude that a long-run relationship between nominal
interest rates and inflation exists for these three countries. For the other seven countries, there is no evidence of
long-run relationship between nominal interest rates and inflation. Our result for Nigeria is in line with those of
Asemota and Bala (2011) and Ogbonna (2013). Table 2. Results of bounds test for cointegration
Country
F-stat
t-stat (θ1)
Fisher equation
Constant (α)
Inflation (β)
β=1
Benin
2.595
-2.072
Cameroon
4.323*
1.508
Cote d’Ivoire
13.817*
-6.435*
4.774 (7.83)*
0.046 (1.29)
-26.34 (0.000)*
Gabon
5.689*
-2.594**
2.995 (2.17)*
0.520 (2.39)*
-2.19 (0.039)*
Gambia
7.522*
-0.74
Ghana
1.230
-1.551
Kenya
5.889*
-3.592*
-1.080 (-0.320)
0.817 (3.24)*
-0.72 (0.474)
Nigeria
1.242
-1.624
Senegal
2.399
-2.351
South Africa
2.051
-2.336
Note. Critical values for F-statistics and t-statistics are from Pesaranet al. (2001). *(**) denotes significance at the 5% (10%) level. Table 2. Results of bounds test for cointegration Table 2. Results of bounds test for cointegration We next look at the long-run estimates of the Fisher effect. For the Fisher hypothesis to hold, the coefficient on
inflation should equal one. The relationship between nominal interest rate and inflation is positive but the null
hypothesis of β=1 is rejected for Cote d’Ivoire and Gabon, providing evidence in favor of the partial Fisher effect. This result implies a negative relationship between real interest rate and inflation rate. On the contrary, the full
Fisher hypothesis holds in the case of Kenya. 5. Conclusion This study tested the validity of the long-run Fisher effect for ten African countries. The results from the bounds
test indicate that there exists a long-run relationship between nominal interest rate and inflation in three countries. Further, we estimated the long-run relation and found that the full Fisher effect holds only in Kenya. We found a 172 International Journal of Economics and Finance Vol. 7, No. 12; 2015 www.ccsenet.org/ijef positive but less than one-for-one reaction of interest rate to inflation in Cote d’Ivoire and Gabon, lending
support to the partial Fisher effect in these two countries. Conversely, for the other seven countries, the results
suggest no evidence of long-run relationship between nominal interest rates and inflation. positive but less than one-for-one reaction of interest rate to inflation in Cote d’Ivoire and Gabon, lending
support to the partial Fisher effect in these two countries. Conversely, for the other seven countries, the results
suggest no evidence of long-run relationship between nominal interest rates and inflation. From these findings we conclude that the full long-run Fisher effect does not generally hold in African countries. This result may be due to the fact that the interest rates in African economies are mostly administered. Partial
Fisher effect implies that money is not super neutral and that there is money illusion, if assumption is made that
money growth drives inflation, because real interest rate is affected by inflation. Following Fisher (1930), there
was some kind of money illusion in which economic agents do not take full account of the effect of inflation on
their nominal return. However, money illusion would imply that economic agents are irrational. An alternative
explanation is provided by Mundell (1963) and Tobin (1965) in terms of a “wealth effect”. Inflation results in a
fall in real money balances and the resulting decline in wealth leads to increased savings bringing downward
pressure on real interest rates. Another strand of literature considers that structural changes and nonlinearities
due to shifts in monetary policy changes, financial crises or technological changes, may explain the apparent
failure of Fisher effect in the empirical literature. It is well known by now that structural changes and
nonlinearities lower the power of cointegration tests. We intend to investigate this issue in future research. References Ahmad, S. (2010a). The long-run Fisher effect in developing economies. Studies in Economics and Finance,
27(4), 268-275. http://dx.doi.org/10.1108/10867371011085129 Ahmed, S. (2010b). Fisher effect in nonlinear STAR framework: Some evidence from Asia. Economics Bulletin,
30, 2558-2566. Arisoy, I. (2013). Testing for the Fisher Hypothesis under Regime Shifts in Turkey: New Evidence from
Time-Varying Parameters. International Journal of Economics and Financial Issues, 3(2), 496-502. Asemota, J. O., & Bala, A. D. (2011). A Kalman Filter Approach to Fisher Effect: Evidence from Nigeria. CBN
Journal of Applied Statistics, 2(1), 71-91. Atkins, F. J., & Coe, P. J. (2002). An ARDL bounds test of the long-run Fisher effect in the United States and
Canada. Journal of Macroeconomics, 24(2), 255-266. http://dx.doi.org/10.1016/S0164-0704(02)00019-8 Awomuse, B. O., & Alimi, S. R. (2012). The relationship between nominal interest rates: New evidence and
implications for Nigeria. Journal of Economic and Sustainable Development, 3(9), 158-165. Badillo, R., Reverte, C., & Rubio, E. (2011). The Fisher effect in the EU revisited: New evidence using panel
cointegration estimation with global stochastic trends. Applied Economics Letters, 18(13), 1247-1257. Bajo-Rubio, O., Diaz-Roldan, C., & Esteve, V. (2005). Is the Fisher Effect nonlinear? Some evidence from Spain,
1963-2002. Applied Financial Economics, 15, 849-854. http://dx.doi.org/10.1080/09603100500123187 Bonham, C. S. (1991). Correct Cointegration Test of the long-run relationship between Nominal In
Inflation. Applied Economics, 23(9), 1487-1492. Carneiro, F. G., Angelo, J., Divino, C. A., & Rocha, C. (2002). Revisiting the Fisher hypothesis for the cases of
Argentina, Brazil, and Mexico. Applied Economics Letters, 9, 95-98. http://dx.doi.org/10.2139/ssrn.289824 Crowder, W. J., & Hoffman, D. L. (1996). The long-run relationship between nominal interest rates and inflation:
The Fisher equation revisited. Journal of Money, Credit and Banking, 28, 102-118. Dutt, S. B., & Ghosh, D. (2007). A threshold cointegration test of the Fisher hypothesis: Case study of 5
European nations. Southwestern Economic Review, 341, 41-50. Evans, M. D. D., & Lewis, K. K. (1995). Do expected shifts in inflation affect estimates of the long-run Fisher
relation? Journal of Finance, 50(1), 225-253. http://dx.doi.org/10.2307/2329244 930). The Theory of Interest. New York: MacMillan. Fisher, I. (1930). The Theory of Interest. New York: MacMillan. Garcia, M. G. P. (1993). The Fisher effect in a signal extraction framework: The recent Brazilian experience. Journal of Development Economics, 41, 71-93. Ghazali, N. A., & Ramlee, S. (2003). A long memory test of the long-run Fisher effect in the G7 countries. Applied Financial Economics, 13(20), 763-769. Granville, B., & Mallick, S. 40(24), 3227-3231. http://dx.doi.org/10.1080/00036840600994112. 40(24), 3227-3231. http://dx.doi.org/10.1080/00036840600994112. Hall, S. G., Hondroyiannis, G., Swamy, P. V., & Tavlas, G. S. (2010). The Fisher Effect Puzzle: A Case of
Non-Linear
Relationship? Open
Economics
Review,
21(1),
91-103. http://dx.doi.org/10.1007/s11079-009-9157-1 Hatemi, J. A. (2009). The International Fisher effect: Theory and Application. Investment management and
Financial Innovations, 6, 75-79. Hatemi, J. A., & Irandoust, M. (2008). The Fisher Effect: A Kalman Filter Approach to detecting Structural
Change. Applied Economics Letters, 15(8), 619-624. http://dx.doi.org/10.1080/13504850600721924 Inder, B., & Silvapulle, P. (1993). Does the Fisher effect apply in Australia? Applied Economics, 25(6), 839-843. http://dx.doi.org/10.1080/00036849300000138 Ito, T. (2009). Fisher hypothesis in Japan: Analysis of long-term interest rates under different monetary policy
regimes. World Economy, 32(7), 1019-1035. http://dx.doi.org/10.1111/j.1467-9701.2009.01193.x Johansen, S. (1988). Statistical Analysis of cointegration vectors. Journal of Economic Dynamics and Control,
12, 231-254. Johansen, S., & Juselius, K. (1990). Maximum likelihood estimation and inference on cointegration with
application to the demand for money. Oxford Bulletin of Economics and Statistics, 52, 169-210. Koustas, Z., & Serletis, A. (1999). On the Fisher Effect. Journal of Monetary Economics, 44(1), 105-130. Kwiatkowski, D., Phillips, P. C. B., Schmidt, P., & Shin, Y. (1992). Testing the null hypothesis of stationarity
against the alternative of a unit root. Journal of Econometrics, 54(1-3), 159-178. Mishkin, F. S. (1992). Is the Fisher effect for real? A re-examination of the relationship between inflation and
interest
rates. Journal
of
Monetary
Economics,
30,
195-215. http://dx.doi.org/10.1016/0304-3932(92)90060-F Mitchell-Innes, H. A., Aziakpono, M. J., & Faure, A. P. (2008). Inflation targeting and the Fisher effect in South
Africa: An empirical investigation. South African Journal of Economics, 75(4), 693-707. Mundell, R. (1963). Inflation and real interest. The Journal of Political Economy, 71, 280-283. Muse, B., & Alimi, R. (2012). Testing an augmented Fisher hypothesis for small open economy: The case of
Nigeria. Akangha Journal of Management, 4(1), 33-44. Ng, S., & Perron, P. (1997). Estimation and Inference in Nearly Unbalanced Nearly Cointegrated Systems. Journal of Econometrics, 73, 53-81. Nusair, S. A. (2008). Testing for the Fisher hypothesis under regime shifts: An application to Asian countries. International Economic Journal, 22(2), 273-284. http://dx.doi.org/10.1080/10168730802095660. Obi, B., Nurudeen, A., & Wafure, O. B. (2009). An empirical investigation of the Fisher effect in Nigeria: A
cointegrtion and error correction approach. International Review of Business Research Papers, 5(5),
96-109. Ogbonna, B. C. (2013). Testing for Fisher’s hypothesis in Nigeria (1970-2012). Journal of Economics and
Sustainable Development, 4(16), 163-170. Payne, J. E., & Ewing, B. T. References (2004). Fisher hypothesis: UK evidence over a century. Applied Economics Letters,
11(2), 87-90. Gul, E., & Acikalin, S. (2008). An examination of the Fisher hypothesis: The case of Turkey. Applied Economics, 173 Vol. 7, No. 12; 2015 International Journal of Economics and Finance www.ccsenet.org/ijef Saikkonen, P. (1991). Asymptotically efficient estimation of cointegrationregressions. Econometrics Theory, 7,
1-21. 40(24), 3227-3231. http://dx.doi.org/10.1080/00036840600994112. (1997). Evidence from lesser developed countries on the Fisher Hypothesis: A
Cointegration Analysis. Applied Economics Letters, 4(11), 683-687. Pesaran, H., Shin, Y., & Smith, R. J. (2001). Bounds Testing Approaches to the Analysis of Level Relationships. Journal of Applied Econometrics, 16(3), 289-326. http://dx.doi.org/10.1002/jae.616 Phillips, P. C. B., & Hansen, B. E. (1990). Statistical inference in instrumental variables regression with I(1)
processes. Revue of Economics Studies, 57, 99-125. Phillips, P. C. B., & Perron, P. (1988). Testing for a Unit Root in a Time Series Regression. Biometrika, 75(2),
335-346. Phiri, A., & Lusanga, P. (2011). Can asymmetries account for the empirical failure of the Fisher effect in South
Africa? Economics Bulletin, 31(3), 1968-1979. Saikkonen, P. (1991). Asymptotically efficient estimation of cointegrationregressions. Econometrics Theory, 7,
1-21. 174 International Journal of Economics and Finance Vol. 7, No. 12; 2015 www.ccsenet.org/ijef Sheefeni, J. P. S. (2013). Testing for the Fisher Hypothesis in Namibia. Journal of Emerging Issues in Economics,
Finance and Banking, 2(1), 571-582. Stock, J. H., & Watson, M. W. (1993). A simple estimator of cointegrating vectors in higher order integrated
systems. Econometrics, 61, 783-820. Thornton, J. (1996). The adjustment of nominal interest rates in Mexico: A study of the Fisher effect. Applied
Economics Letters, 3, 255-257. Tobin, J. (1965). Money and Economic Growth. Econometrica, 33, 671-684. Toyoshima, Y., & Hamori, S. (2011). Panel cointegration analysis of the Fisher effect: Evidence from the US, the
UK, and Japan. Economics Bulletin, 31(3), 2674-2682. Ucak, H., Ozturk, I., & Aslan, A. (2014). An Examination of Fisher Effect for Selected New EU Member States. International Journal of Economics and Financial Issues, 4(4), 956-959. Ur, H., Khan, S., & Ahmad, I. (2004). Does Fisher Effect Exist in Pakistan? A Cointegration Analysis. Pakistan
Economic and Social Review, 42(1-2), 21-37. Westerlund, J. (2008). Panel cointegration tests of the Fisher Effect. Journal of Applied Econometrics, 23(2),
193-233. http://dx.doi.org/10.1002/jae.967 Yuhn, K. (1996). Is the Fisher effect robust? Further evidence. Applied Economics Letters, 3(1), 41-44. Copyrights Copyright for this article is retained by the author(s), with first publication rights granted to the journal. py g
y
( ),
p
g
g
j
This is an open-access article distributed under the terms and conditions of the Creative Commons Attribution
license (http://creativecommons.org/licenses/by/3.0/). 175
|
https://openalex.org/W2518355238
|
https://www.scielo.br/j/pat/a/9dKc5kDRnm3T6J4kG8r3z3N/?lang=en&format=pdf
|
English
| null |
Vertical volumetric distribution of an axial fan sprayer on the Brevipalpus phoenicis control
|
Pesquisa Agropecuária Tropical
| 2,016
|
cc-by
| 6,023
|
RESUMO Distribuição volumétrica vertical de pulverizador
hidropneumático no controle de Brevipalpus phoenicis Spray distribution generated by axial fan sprayer,
among other factors, should be critically analyzed, in
order to prevent unnecessary costs and environmental
contamination. This study aimed at evaluating the effect of
the vertical volumetric distribution of an axial fan sprayer on
the Brevipalpus phoenicis control efficiency. First, an assay
was performed to evaluate the vertical volume distribution
uniformity of the sprayer, assessing different spray nozzles
configurations on the spray arcs, sides of the sprayer and
spray heights. Afterwards, another experiment was carried
out to analyze the relationship between the distribution of
the Fenpyroximate acaricide on Coffea arabica L. and the
B. phoenicis control efficiency. The treatments were arranged
in a 4 x 2 factorial + 1 additional control, consisting of
four spray volumes (200 L ha-1, 400 L ha-1, 600 L ha-1 and
800 L ha-1) and two spray nozzles configurations (1: 100 % of
MAG1.5 nozzles; 2: upper extension with 5 MAG3.0 nozzles,
middle extension with 9 MAG 1.5 nozzles and lower
extension with 4 MAG3.0 nozzles). Configuration 2 provided
the smallest coefficient of variation (28 %). Nozzle
configurations had no effect on the incidence of B. phoenicis. The use of nozzles with different flow rates on the spraying
arc improves the vertical volumetric distribution uniformity
of axial fan sprayers, but does not affect the B. phoenicis
control efficiency. A distribuição de calda proporcionada por pulverizadores
hidropneumáticos, dentre outros fatores, deve ser analisada com
critério, sob pena de elevar custos de produção e causar contaminação
ambiental. Objetivou-se avaliar o efeito da distribuição volumétrica
vertical de pulverizador hidropneumático na eficácia de controle de
Brevipalpus phoenicis. Primeiramente, realizou-se ensaio visando
a avaliar a uniformidade de distribuição volumétrica vertical do
pulverizador, considerando-se diferentes configurações de pontas nos
arcos de pulverização, lados e altura de pulverização. Em seguida,
realizou-se outro experimento, com o intuito de analisar a relação
entre a distribuição do acaricida Fenpiroximato, aplicado a lavoura
de Coffea arabica L., e o controle de B. phoenicis. Os tratamentos
foram dispostos em esquema fatorial 4 x 2 + 1 testemunha adicional,
sendo eles: quatro volumes de calda (200 L ha-1, 400 L ha-1, 600 L ha-1
e 800 L ha-1) e duas configurações de pontas (1: 100 % das pontas
MAG1,5; 2: parte superior com 5 pontas MAG3,0, parte mediana
com 9 pontas MAG1,5 e parte inferior com 4 pontas MAG3,0). PALAVRAS-CHAVE: Coffea arabica L.; pontas de pulverização;
aplicação de agrotóxico. 1. Manuscript received in Mar./2016 and accepted for publication in Jun./2016 (http://dx.doi.org/10.1590/1983-40632016v4640349).
2. Universidade Federal de Viçosa, Instituto de Ciências Agrárias, Rio Paranaíba, MG, Brazil. E-mails: jose.marcio@ufv.br,
renatoruas@ufv.br, joao.gj3@gmail.com, vinicius.faria@ufv.br, acarvalhofilho@ufv.br. RESUMO A
configuração 2 proporcionou o menor coeficiente de variação (28 %). As configurações de pontas não apresentaram efeito na incidência de
B. phoenicis. A utilização de pontas com diferentes vazões no arco
de pulverização melhora a uniformidade de distribuição volumétrica
vertical dos pulverizadores hidropneumáticos, mas não influencia
na eficácia de controle de B. phoenicis. KEY-WORDS: Coffea arabica L.; spray nozzles; pesticide
application. -ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 201 -ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 201 KEY-WORDS: Coffea arabica L.; spray nozzles; pesticide
application. Vertical volumetric distribution of an
axial fan sprayer on the Brevipalpus phoenicis control1 José Márcio de Souza Júnior2, Renato Adriane Alves Ruas2,
João de Deus Godinho Júnior2, Alberto Carvalho Filho2, Vinícius Ribeiro Faria2 INTRODUCTION working principle of this sprayer is based on the
fragmentation of pressurized liquid into droplets
that are released into a high flow and velocity air
stream. The high pressure air stream promotes new
fragmentation, carrying the droplets to the plant
canopy, even at hard-to-reach targets (Ruas et al. 2015).l Coffee production is a very important activity
for the Brazilian agribusiness, where coffee is one of
the major commodities. Estimated domestic production
from the 2015 harvest is 1,878 t (31.3 million bags) of
processed Arabica coffee (Conab 2015). However, the airflow produced by axial fan
sprayers is usually distributed unevenly along the
fan outlet (Rodrigues et al. 2008). This is due to the In order to reach high yields, it is necessary
to adopt various technologies, including the
application of pesticides via axial fan sprayer. The J. M. de Souza Júnior et al. (2016) 184 uniformity of an axial fan sprayer and analysis of the
relationship between the distribution of acaricides on
coffee plants and the control efficiency.i clockwise spinning of the fan, resulting in a greater
airflow from the right side, when compared to the left
side (Herrera Prat et al. 2002). Therefore, because
the airflow produced by the fan has a direct influence
on spray distribution uniformity in the plant canopy
(Sotolongo & Herrera 1986), it is possible that the
active principle of the applied product does not
reach important targets on the plant, hampering the
treatment efficacy. clockwise spinning of the fan, resulting in a greater
airflow from the right side, when compared to the left
side (Herrera Prat et al. 2002). Therefore, because
the airflow produced by the fan has a direct influence
on spray distribution uniformity in the plant canopy
(Sotolongo & Herrera 1986), it is possible that the
active principle of the applied product does not
reach important targets on the plant, hampering the
treatment efficacy. In the first part of the experiment, evaluations
of the vertical volumetric distribution uniformity
were performed in Rio Paranaíba (19º13’0.90”S
and 46º20’36.16”W), Minas Gerais State, Brazil,
in 2015. INTRODUCTION A completely randomized design was
employed in a 3 x 2 x 2 factorial arrangement,
consisting of three configurations of the spray arc
nozzles (configuration 1: 100 % of MAG1.5 nozzles;
configuration 2: lower extension with 9 MAG1.5
nozzles and upper extension with 9 MAG3.0 nozzles;
configuration 3: upper extension with 5 MAG3.0
nozzles, middle extension with 9 MAG1.5 nozzles and
lower extension with 4 MAG3.0 nozzles), both sides of
the spray extension (right and left) and two collection
heights of the sprayed liquid (0-1.6 m and 1.6-3.2 m),
with four replications, totaling 48 experimental units. The nozzles Magno Jet® (MAG) 1.5 and 3.0 have flow
rates of 0.56 L min-1 and 1.13 L min-1, respectively,
with a pressure of 300 kPa. Another factor that may contribute to reduce
the application efficiency is the distance between
the sprayer nozzle and the target (Mion et al. 2011). Due to the concavity of the spray arc and plant
architecture, nozzles positioned at the extremities
of the arc present a greater distance to the target. Because the droplets are carried by the airflow
(Sotolongo & Herrera 1986), as the distance between
the sprayer nozzle and target increases, the droplet
reaches the leaves with less energy and is therefore
more subject to drift, reducing the capacity for
penetration and deposition on the plant canopy. This problem may be minimized with the
use of spray nozzles that produce larger-diameter
droplets at the extremities of the spray arc. These
larger droplets are less subject to drift losses, which
may result in increased spray deposition at the
positions most distant from the spray arch (Balan
et al. 2006), and consequently increased vertical
distribution uniformity of the spray. A vertical collector was constructed, consisting
of four sections measuring 1 m long and 2 m wide,
in order to collect the sprayed liquid at heights up
to 4 m. Each session consisted of 10 channels of
galvanized steel bent into a “V” shape, spaced at
0.10 m. The base of the test apparatus was constructed
with a 2 % horizontal inclination to one of the channel
extremities, for fluid flow, to which silicon hoses with
a diameter of 0.01 m were connected. The ends of
these hoses were in turn placed in 2-L polyethylene
bottles to collect the volume deposited in each of
the channels. INTRODUCTION However, large droplets may present reduced
product penetration capacity in the canopy (Cunha
et al. 2005). This can result in reduced control
efficiency of certain pests, such as the leprosis mite
(Brevipalpus phoenicis), transmitter of the coffee
ringspot virus (CoRSV) (Almeida et al. 2012). The
control of B. phoenicis can be difficult, because it
generally stays in the inner middle and inner lower
portions of the coffee plant (Reis et al. 2000). A tractor sprayer (Arbus Model 2000 TP VA
Jacto®, with a tank capacity of 2,000 L) was used. The sprayer was equipped with a piston pump (model
JP-190) rated for flow rates up to 190 L min-1 and a
radial fan that generated an airflow of 19 m³ s-1. It has
a double arch with 36 spray nozzles (18 left and 18
right) individually adjustable, thus allowing various
flow configurations from the nozzles. The tractor
used was a Valtra® model BF75 4 x 2 (TDA), whose
power at 2,300 rpm is 53 kW and maximum torque
at 1,400 rpm is 260 N.m. The sprayer was regulated
and calibrated by the conventional method for a water
application volume of 500 L ha-1. Thus, it is necessary to perform studies to
clarify the relationship between the volumetric
distribution dynamics provided by axial fan sprayers
and efficiency of the pesticide treatments. This study aimed at evaluating the effect of
vertical volumetric distribution of an axial fan sprayer
on the Brevipalpus phoenicis control efficiency. -ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 2016 MATERIAL AND METHODS This allowed
to estimate the airflow on each of the 36 spray
nozzles, according to the equation q = a x ω, where:
q = airflow (m3 s-1); a = areas of the section at which
the air velocity was measured (m2); and ω = velocity
at each point (m s-1). Spraying was carried out with the same
sprayer used in the first experiment. However, it
was pulled and driven by a New Holland® tractor,
model TT 3880, whose power at 2,500 rpm is
44.1 kW. The tractor had a maximum torque of
200 Nm at 1,500 rpm. The sprayer was previously
adjusted and calibrated by setting the velocity and
pressure distribution for releasing the appropriate
spray volume to each treatment (Table 1). During
application, the average temperature was 26 ºC, the
average relative humidity was 59 % and the average
wind speed was 3 km h-1. The second part of the experiment, which
consisted of verifying the effect of the vertical
volumetric distribution of acaricide applied with the
hydropneumatic sprayer on the B. phoenicis control
efficiency, was performed on a plot with ten years
old Coffea arabica L. (Catucaí Amarelo cultivar),
at a farm in Carmo do Paranaíba (18º59’30”S,
46º19’01”W and average altitude of 1,050 m), Minas
Gerais State, Brazil, where the climate is defined as
Cwa, according to the Köppen classification. The
plot was implemented with spacing between plants
and rows of 0.6 m and 3.8 m, respectively. The plants
had an average height of 3 m. To assess the penetration capacity of droplets
into the plant canopy, water sensitive papers were Table 1. Pressures, velocities and gears used by the tractor-axial
fan sprayer set seeking to obtain the desired spray
volumes. * Configuration 1: 100 % of the MAG 1.5 nozzles. MATERIAL AND METHODS During the treatments application, the distance
between the sprayer and vertical collector was
1.9 m (considering spacing between rows of 3.8 m, The experiment was divided into two parts:
determination of the vertical volumetric distribution Vertical volumetric distribution of an axial fan sprayer on the Brevipalpus phoenicis control 185 one additional control, and four replications, totaling
36 experimental units. The configurations used were
those that provided the lowest coefficient of variation
for the vertical volumetric distribution in the previous
experiment. The control treatment had no acaricide
application. commonly adopted in the Brazilian Savannah coffee
production), and the operating time was 60 seconds. The liquid volume from each of the 40 collection
recipients was measured in a graduated cylinder. The average temperature during the evaluations
was 20 ºC, average relative humidity was 61 % and
average wind velocity was 5 km h-1.i Each block was composed by four coffee rows,
each with nine plots consisting of 60 plants. Plots and
blocks were spaced by 30 m, thus providing enough
space for tractor gear changes, in order to alter the
velocities in each treatment and minimize the possible
drift effects. The distribution profile was determined and
its uniformity was estimated with the coefficient of
variation (CV) for vertical volume on the left and
right sides of the sprayer, considering the sprayer
height of 3.2 m (average height of coffee plants in the
region). Data were subjected to analysis of variance
and means compared by the Tukey test at 5 %.l The acaricide used was fenpyroximate (Ortus
50 SC®), from the chemical group of pyrazoles, at
a dose of 1 L ha-1 of the commercial product. This
product acts by contact and ingestion. Together
with the acaricide, the Master Forth® adjuvant, at a
dose of 0.03 L ha-1, was added to the spray, which
is characterized by having the effect of a surfactant
and thickener. Subsequently, the airflow produced by the
fan acting on each spray nozzle was estimated. For
this purpose, the air velocity was measured using a
digital anemometer (model AD-250 Instrutherm®)
with resolution of 0.10 m s-1, positioned parallel to
each point at a distance of 0.10 m, on both sides
of the fan. From the total air outlet area parallel
to the extensions on the right and left sides, the
area of each section was determined. -ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 201 RESULTS AND DISCUSSION No significant difference (p > 0.05) was
verified in the average CV of the vertical volumetric
distribution for nozzle configurations 2 and 3, on
the left and right sides of the spray arc. However,
for configuration 1, the left side of the spray arc
resulted in a CV of vertical volumetric distribution
22 % smaller than the right side (Table 2). This can
be attributed to the fact that the drops are carried
by airflow (Sotolongo & Herrera 1986), and the
right side has a higher airflow due to the clockwise
spinning direction of the fan (Herrera Prat et al. 2002
and 2013) (Figure 1). To estimate the B. phoenicis control efficiency,
one evaluation was performed before the application
of the treatments and other three evaluations were
carried out after the application (24 h after application -
HAA, and 4 and 14 days after application - DAA). For
this purpose, five plants from the central row of each
plot were sampled, and eight branches were sampled
from each plant: two internal median branches,
two external median branches, two internal lower
branches and two external lower branches (Gravena
1992). The occurrence of live adults or nymphs of
B. phoenicis was verified using a magnifying glass
with 40-times resolution capacity, to estimate the Furthermore, the arc shape and positioning of
the nozzles, in relation to the position and direction
of the fan rotation, also influence the distribution
of the sprayed liquid (Alvarenga et al. 2014). The e-ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 2016
Figure 1. Distribution profile of airflow from the hydraulic nozzles of both sides of an axial fan sprayer. Means followed by the same lower-case letter in the line, or by the same upper-case letter in the column, do not differ according to the Tukey test at 5 %. Side
Hydraulic nozzle configuration
1: 18 MAG1.5 nozzles
2: 9 MAG1.5 nozzles and
9 MAG3.0 nozzles
3: 5 MAG3.0 nozzles, 9 MAG1.5
nozzles and 4 MAG3.0 nozzles
Left
38 bB
47 aA
29 bA
Right
49 aA
46 aA
26 bA
Height (m)
0-1.6
33 bB
43 aB
18 cB
1.6-3.2
55 aA
50 aA
37 bA
Table 2. MATERIAL AND METHODS Configuration 3: upper extension
with 5 MAG3.0 nozzles, middle extension with 9 MAG1.5 nozzles and lower
extension with 4 MAG3.0 nozzles
Flow
(L ha-1)
Nozzle
configurations*
Pressure
(kPa)
Velocity
(km h-1)
Gear
200
1
310
11
2nd simple
400
1
414
6
4th reduced
600
1
445
5
3rd reduced
800
1
379
3
2nd reduced
200
3
103
11
2nd simple
400
3
569
11
2nd simple
600
3
379
6
4th reduced
800
3
1,448
8
1st simple The experiment was conducted in a randomized
blocks design and the treatments were arranged in a
4 x 2 + 1 factorial, as it follows: four spray volumes
(200 L ha-1, 400 L ha-1, 600 L ha-1 and 800 L ha-1)
and two spray nozzle configurations on the spraying
arc (configuration 1: 100 % of MAG1.5 nozzles;
configuration 3: upper extension with 5 MAG3.0
nozzles, middle extension with 9 MAG1.5 nozzles
and lower extension with 4 MAG3.0 nozzles), plus * Configuration 1: 100 % of the MAG 1.5 nozzles. Configuration 3: upper extension
with 5 MAG3.0 nozzles, middle extension with 9 MAG1.5 nozzles and lower
extension with 4 MAG3.0 nozzles J. M. de Souza Júnior et al. (2016) 186 fixed to the orthotropic branch at three heights
(bottom, middle and upper third). To control possible
effects of the side of passage (right or left side of the
extension) at the time of application, the application
side was alternated between repetitions. Then, the
papers were removed, identified and placed in properly
labeled packages. In the laboratory, the papers were
scanned using a calibrated scanner with resolution of
600 dpi and images of spray stains were processed
using the CIR 1.5 software (INTA 2002). The variables
determined were the percent coverage (PC) (%) and
density of the droplets (DD) (drops cm-2).i percentage of branches attacked. Data were subjected to analysis of variance
(p ≤ 0.05), and when significant, the treatment levels
were compared with the Tukey test at 5 %. In case
of significance of the quantitative variables spray
volume, a regression analysis was performed. RESULTS AND DISCUSSION Coefficient of variation (CV %) of the vertical volumetric distribution provided by the right and left sides of the axial fan
sprayer, when operated with different hydraulic nozzle configurations at two spraying heights. Table 2. Coefficient of variation (CV %) of the vertical volumetric distribution provided by the right and left sides of the axial fan
sprayer, when operated with different hydraulic nozzle configurations at two spraying heights. Figure 1. Distribution profile of airflow from the hydraulic nozzles of both sides of an axial fan sprayer. e-ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 2016 Vertical volumetric distribution of an axial fan sprayer on the Brevipalpus phoenicis control 187 nozzles located along the lower portion of the arc
are positioned at a greater distance from the fan
blades, and are therefore subject to reduced airflow. Additionally, due to the air outlet curvature, the lower
nozzles present a greater distance to the target and
are more subject to environmental action, where the
spray droplets may be carried by the wind (Alvarenga
et al. 2014). This fact can be observed in the treatment
in which nozzles were employed, that produced larger
drops at the bottom of the arc (configuration 3),
resulting in an increased distribution uniformity of
47 %, in relation to the right side of configuration 1
(Table 2). This may also be indicated by the CV of
the vertical volumetric distribution at the average
height of 0-1.6 m, wherein configuration 3 presented
CVs 58 % and 45 % lower than configurations 1 and
2, respectively. in a greater distance between the nozzle and the
target, and therefore greater losses. Furthermore,
configuration 3, at the height of 1.6-3.2 m, presented
CV of the vertical volumetric distribution values
33 % and 26 % lower, in relation to configurations
1 and 2, respectively (Table 2). By having nozzles
that produced larger diameter droplets at the ends of
the arc, these droplets have a longer useful life and
are less carried by the wind, allowing deposition of
larger quantities on the targets. For the height of 1.6-3.2 m, the left side of
the sprayer extension indicated a CV of vertical
volumetric distribution 20 % greater than the height
of 0-1.6 m, what can be attributed to the upward
direction of the airflow (Alvarenga et al. 2014)
(Table 3). RESULTS AND DISCUSSION Airflow increases from the lower end to
the upper section of the arc, resulting in deposition
of higher spray volumes at the height of 1.6-3.2 m
(Figures 1 and 2). At the height of 1.6-3.2 m, the CVs of the
vertical volumetric distribution of configurations
1, 2 and 3 were respectively 40 %, 14 % and 51 %
higher, in relation to the heights of 0-1.6 m. This
fact can be attributed to the concavity of the spray
arc being more pronounced at this end, resulting When comparing the two sides of the spray arc,
it was observed that, for both heights, the right side
resulted in the highest CV of the vertical volumetric
distribution (Table 3). This may be associated with the e-ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 2016
Figure 2. Vertical volumetric distribution from the axial fan sprayer on both sides of the spray arcs. Figure 2. Vertical volumetric distribution from the axial fan sprayer on both sides of the spray arcs. Figure 2. Vertical volumetric distribution from the axial fan sprayer on both sides of the spray arcs. e-ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 2016
Figure 2. Vertical volumetric distribution from the axial fan sprayer on both sides of the spray arcs. e-ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 2016 J. M. de Souza Júnior et al. (2016) 188 descending rotation direction of the fan combined with
the distance from the target. In other words, because
of the higher airflow acting on the nozzles, especially
number 4 to 11 (right side) (Figure 1), there was a
greater liquid directing to the middle and lower portions
of the vertical collecting bench (Figure 2). And coupled
with this, because the nozzles in the higher portions of
the spray were more distant from the vertical collecting
bench, there was a lower spray deposition in the higher
portions, contributing even more to a higher spray
distribution variation on the right side. configuration 1, there was no significant difference
(p > 0.05) on the B. phoenicis percentage incidence
(Table 4). RESULTS AND DISCUSSION This shows that the use of higher flow rates
at the ends of the arc results in more uniform spray
distribution; and, although the droplets produced by
these nozzles are larger, there was no reduction in the
penetration capacity of the active ingredient in the
canopy. This is probably due to the airflow and leaf
density, which interfere on the B. phoenicis control
in the inner and lower parts of the coffee canopy. The
airflow has a direct influence on spray penetration
in the canopy. Moreover, because the acaricide was
applied at post-harvest, there was greater defoliation
of the Arabica coffee plants (Da Matta et al. 2007),
and therefore a lower barrier for penetration and
spray deposition. In general, the CV of the vertical volumetric
distribution values observed were 44 %, 46 % and
28 %, respectively for configurations 1, 2 and 3. These values were 68 %, 66 % and 79 % lower than
others previously reported in the literature, when
working with a line of tubes fixed to a vertical post
for collecting the sprayed liquid (Alvarenga et al. 2014). This difference may be due to the method for
collecting the sprayed liquid, indicating that the best
method to do so, in the case of an axial fan sprayer,
is via a surface that covers all or part of the spray
nozzle width.i Analyzing the spray distribution on the plants,
there was no significant difference (p > 0.05) between
the nozzles configurations for the response variables
of droplet density and percent coverage. However,
there was a decrease in the percent coverage and
droplet density from the upper to the lower positions
of the canopy (Table 5). This is attributed to a
greater overlap of branches in the upper canopy, if
compared to the lower parts of the plants (Da Matta
et al 2007). This results in an increase in leaf density
and, therefore, reduces the penetration of the spray
in the upper part of the canopy. Regarding the B. phoenicis control efficiency,
it was observed that the period with the greatest
reduction in the pest incidence was 14 DAA,
64 % lower in relation to the control. RESULTS AND DISCUSSION It can also be
observed that, even though configuration 3 provided
more uniform distribution, when compared to In the evaluation performed at 24 HAA,
there was no significant difference (p > 0.05) of
pest incidence, as a function of the applied spray
volumes. This may indicate that the immediate
effect of the active ingredient in question was low. Moreover, the maximum flow rate used may not
have been sufficient, considering that the active
ingredient requires high target coverage, since it
acts by contact. l Table 3. Coefficient of variation (CV %) of the volumetric
distribution provided by an axial fan sprayer,
considering the side and two spray heights. Means followed by the same lower-case letter in the line, or by the same upper-case
letter in the column, do not differ by the Tukey test at 5 %. Side
Average collection height (m)
0-1.6
1.6-3.2
Left
28 bB
35 aB
Right
48 aA
46 aA
Table 3. Coefficient of variation (CV %) of the volumetric
distribution provided by an axial fan sprayer,
considering the side and two spray heights. At 4 DAA, the flow rates of 200 L ha-1 and
800 L ha-1 reduced the incidence of B. phoenicis Means followed by the same lower-case letter in the line, or by the same upper-case
letter in the column, do not differ by the Tukey test at 5 %. Means followed by the same lower-case letter in the line, or by the same upper-case
letter in the column, do not differ by the Tukey test at 5 %. e-ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 2016
Means followed by the same lower-case letter in the column do not differ by the Tukey test at 5 %. HAA: hours after application; DAA: days after application. 24 HAA
4 DAA
14 DAA
Control
79 a
79 a
86 a
Treatment
54 b
50 b
31 b
Configuration
1: 18 MAG1.5 nozzles
55 a
51 a
29 a
3: 5 MAG3 nozzles; 9 MAG1.5 nozzles; 4 MAG3 nozzles
53 a
50 a
33 a
Table 4. Percent incidence of Brevipalpus phoenicis verified after the application of acaricide with the axial fan sprayer configured
with different spray nozzles. e-ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. RESULTS AND DISCUSSION 2016
Means followed by the same lower-case letter in the column do not differ by the Tukey test at 5 %. HAA: hours after application; DAA: days after application. 24 HAA
4 DAA
14 DAA
Control
79 a
79 a
86 a
Treatment
54 b
50 b
31 b
Configuration
1: 18 MAG1.5 nozzles
55 a
51 a
29 a
3: 5 MAG3 nozzles; 9 MAG1.5 nozzles; 4 MAG3 nozzles
53 a
50 a
33 a
Table 4. Percent incidence of Brevipalpus phoenicis verified after the application of acaricide with the axial fan sprayer configured
with different spray nozzles. e of Brevipalpus phoenicis verified after the application of acaricide with the axial fan sprayer configured
ray nozzles. e-ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 2016 Vertical volumetric distribution of an axial fan sprayer on the Brevipalpus phoenicis control 189 by 42 % and 57 %, when the droplet density was
190-525 drops cm-2 and coverage was 4 % and
16 %, respectively. For these flows and values of
droplet density and percent coverage, at 14 DAA,
60 % and 78 % of pest incidence reductions were
verified (Figure 3). Based on these data, an inverse
relationship was observed between droplet density
and coverage with pest incidence. Thus, it can be
inferred that droplet density and coverage percentage
should be considered as a basis for selecting the
proper flow rate, especially when considering the
reduced size of some targets, such as mite (Fernandes
et al. 2010). However, new technologies that increase the
droplet density and coverage by increasing spray
volume may result in increased application costs
and water consumption. Thus, a possible alternative
would be to estimate the spray volumes needed
to adequately cover a determined plant volume
in a given canopy density condition. As observed
in this study, adjustments of nozzle configuration
can increase droplet density and canopy coverage,
especially in the lower canopy portions of the coffee
plants. Considering the results obtained in the
literature, to a B. phoenicis population of 85 %, a
coverage of ~40 % is necessary (Fernandes et al. 2005). RESULTS AND DISCUSSION However, considering the maximum reduction
of this plague obtained in the present study, which
was 78 %, when employing a flow of 800 L ha-1
(14 DAA), increasing the control to 87 % would
require a spray volume 2.5 times greater, applying
the equations of incidence and percent coverage
(Figure 3b). In other words, for a 9 % increase in
the control, an additional 1,200 L ha-1 of the product
are needed. In the lower portions of the coffee plant, where
the smaller droplet density and percent coverage
are commonly deposited, the highest incidence of
this pest was observed (Reis et al. 2000). Thus, it is
important to increase the deposition in these places,
because more droplets (drops cm-2) and increased
coverage imply in greater and better distribution
of the active ingredient, resulting in more effective
control. This is especially true when using active
ingredients that act by contact and ingestion. Figure 3. Incidence (%) of Brevipalpus phoenicis observed at 4 and 14 days after the application of acaricide, in function of the
droplet density (DD) (a) and percent coverage (PC) (b) resulting from the application of different spray volumes. * and **
Significant by the t test at 5 % and 1 %, respectively. Means followed by the same lower-case letter in the column do not differ by the Tukey test at 5 %. Configuration
Droplet density (drops cm-2)
Percent coverage (%)
1: 18 MAG1.5 nozzles
370 a
10 a
3: 5 MAG3 nozzles; 9 MAG1.5 nozzles; 4 MAG3 nozzles
344 a
8 a
Position in the canopy
Upper
450 a
13 a
Middle
361 b
9 b
Lower
260 c
6 c
Table 5. Droplet density and percent coverage obtained in the upper, middle and lower portions of the coffee plant from an axial
fan sprayer operating with different spray nozzle configurations. Table 5. Droplet density and percent coverage obtained in the upper, middle and lower portions of the coffee plant from an axial
fan sprayer operating with different spray nozzle configurations. Figure 3. Incidence (%) of Brevipalpus phoenicis observed at 4 and 14 days after the application of acaricide, in function of the
droplet density (DD) (a) and percent coverage (PC) (b) resulting from the application of different spray volumes. * and **
Significant by the t test at 5 % and 1 %, respectively. -ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. CONCLUSIONS FERNANDES, A. P.; FERREIRA, M. C.; OLIVEIRA,
C. A. L. Eficiência de diferentes ramais de pulverização e
volumes de calda no controle de Brevipalpus phoenicis na
cultura do café. Revista Brasileira de Entomologia, v. 54,
n. 1, p. 130-135, 2010. 1. The use of spray nozzles with higher flow rates
at the ends of the spray arc increases the vertical
volumetric distribution uniformity of an axial fan
sprayer. 1. The use of spray nozzles with higher flow rates
at the ends of the spray arc increases the vertical
volumetric distribution uniformity of an axial fan
sprayer. 2. The increased vertical volumetric distribution
uniformity of an axial fan sprayer does not
influence the B. phoenicis control efficiency.l GRAVENA, S. Manejo ecológico de pragas do cafeeiro. Jaboticabal: Cemip-Funep, 1992. HERRERA PRAT, M. et al. Analisis de la velocidad
del aire en la corriente de las asperjadoras utilizadas en
frutales. Ciencias Técnicas Agropecuarias, v. 11, n. 2,
p. 53-58, 2002. 3. The combination of nozzles with different flows
on the spray arc does not hinder the B. phoenicis
control in the inner parts of the coffee canopy. 3. The combination of nozzles with different flows
on the spray arc does not hinder the B. phoenicis
control in the inner parts of the coffee canopy. 4. The increase in droplet density and target coverage
contribute to a greater B. phoenicis control. 4. The increase in droplet density and target coverage
contribute to a greater B. phoenicis control. HERRERA PRAT, M. I.; DE LA FIGAL, G. C; DE LA
CUEVAS, H. M. Análisis de la aerodinámica del ventilador
del pulverizador ASS-800 empleado en frutales. Ciencias
Técnicas Agropecuarias, v. 22, n. 4, p. 15-19, 2013. RESULTS AND DISCUSSION 2, p. 183-190, Apr./Jun. 201 J. M. de Souza Júnior et al. (2016) 190 Engenharia Agrícola e Ambiental, v. 9, n. 1, p. 133-138,
2005. Despite the fact that the increase in the
uniformity of vertical volumetric distribution did not
increase the B. phoenicis control efficiency, it was
verified, in this study, that the use of spray nozzles
which produce larger diameter droplets at the ends
of the spray arc, as was the case of configuration 3,
results in a more uniform spray distribution, with
lower loss risks. DA MATTA, F. M. et al. Ecophysiology of coffee growth
and production. Brazilian Journal of Plant Physiology,
v. 19, n. 4, p. 485-510, 2007. FERNANDES, A. P.; FERREIRA, M. C.; MARTINELLI,
N. M. Mortalidade do ácaro Brevipalpus phoenicis em
função da cobertura de pulverização de acaricidas, com e
sem adjuvantes, em mudas de café. Revista de Agricultura,
v. 80, n. 2, p. 173-187, 2005. REFERENCES INSTITUTO NACIONAL DE TECNOLOGÍA
AGROPECUARIA (INTA). T&C CIR: conteo y
tipificación de impactos de pulverización. Versión 1.5. Buenos Aires: INTA, 2002. ALMEIDA, J. E. M. et al. Análise temporal e controle da
mancha anular e do ácaro vetor do Coffee ringspot virus. Pesquisa Agropecuária Brasileira, v. 47, n. 7, p. 913-919,
2012. MION, R. L. et al. Uso de mesa vertical como parâmetro
para regulagens de turboatomizadores. Engenharia
Agrícola, v. 31, n. 2, p. 352-358, 2011. ALVARENGA, C. B. et al. Air and liquid volumetric
distribution in vertical in a hydro-pneumatic sprayer. Applied Research & Agrotecnology, v. 7, n. 1, p. 71-79,
2014. REIS, P. R. et al. Spatial distribution of Brevipalpus
phoenicis (Geijskes) (Acari:Tenuipalpidae) in coffee plants
(Coffea arabica L.). Anais da Sociedade Entomológica do
Brasil, v. 29, n. 1, p. 177-183, 2000. BALAN, M. G.; ABI SAAB, O. J. G.; SASAKI, E. H. Distribuição da calda na cultura da videira por
turboatomizador com diferentes configurações de pontas. Ciência Rural, v. 36, n. 3, p. 731-38, 2006. RODRIGUES, G. J. et al. Características do fluxo de
ar de um pulverizador hidropneumático para aplicação
de agroquímicos em plantas arbustivas. Engenharia na
Agricultura, v. 16, n. 2, p. 199-207, 2008. COMPANHIA NACIONAL DE ABASTECIMENTO
(Conab). Acompanhamento da safra brasileira: produção
agrícola de café. 2015. Available at: <http://www.conab.gov. br/OlalaCMS/uploads/arquivos/15_09_30_11_17_06_
boletim_cafe_setembro_2015.pdf>. Acess on: 05 Nov. 2015. RUAS, R. A. A. et al. Proposta de método para a inspeção
em pulverizadores hidropneumáticos. Coffee Science,
v. 10, n. 1, p. 76-82, 2015. SOTOLONGO, I.; HERRERA, M. Caracterización de la
corriente de aire de una asperjadora de ventilador en el
plano horizontal. Ciencias Técnicas Agropecuarias, v. 0,
n. 1, p. 1-12, 1986. CUNHA, J. P. A. R. et al. Deposição e deriva de calda
fungicida aplicada em feijoeiro, em função de bico de
pulverização e de volume de calda. Revista Brasileira de -ISSN 1983-4063 - www.agro.ufg.br/pat - Pesq. Agropec. Trop., Goiânia, v. 46, n. 2, p. 183-190, Apr./Jun. 201
|
https://openalex.org/W3010209973
|
https://bmcmicrobiol.biomedcentral.com/track/pdf/10.1186/s12866-019-1668-3
|
English
| null |
In vitro synergy between sodium deoxycholate and furazolidone against enterobacteria
|
BMC Microbiology
| 2,020
|
cc-by
| 8,708
|
Le et al. BMC Microbiology (2020) 20:5
https://doi.org/10.1186/s12866-019-1668-3 Le et al. BMC Microbiology (2020) 20:5
https://doi.org/10.1186/s12866-019-1668-3 Open Access © The Author(s). 2020 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Abstract Background: Antimicrobial combinations have been proven as a promising approach in the confrontation with
multi-drug resistant bacterial pathogens. In the present study, we identify and characterize a synergistic interaction
of broad-spectrum nitroreductase-activated prodrugs 5-nitrofurans, with a secondary bile salt, Sodium Deoxycholate
(DOC) in growth inhibition and killing of enterobacteria. Results: Using checkerboard assay, we show that combination of nitrofuran furazolidone (FZ) and DOC generates a
profound synergistic effect on growth inhibition in several enterobacterial species including Escherichia coli,
Salmonella enterica, Citrobacter gillenii and Klebsiella pneumoniae. The Fractional Inhibitory Concentration Index (FICI)
for DOC-FZ synergy ranges from 0.125 to 0.35 that remains unchanged in an ampicillin-resistant E. coli strain
containing a β-lactamase-producing plasmid. Findings from the time-kill assay further highlight the synergy with
respect to bacterial killing in E. coli and Salmonella. p
g
We further characterize the mechanism of synergy in E. coli K12, showing that disruption of the tolC or acrA genes
that encode components of multidrug efflux pumps causes, respectively, a complete or partial loss, of the DOC-FZ
synergy. This finding indicates the key role of TolC-associated efflux pumps in the DOC-FZ synergy. Overexpression
of Nitric Oxide-detoxifying enzyme Hmp results in a three-fold increase in FICI for DOC-FZ interaction, suggesting a
role of nitric oxide in the synergy. We further demonstrate that DOC-FZ synergy is largely independent of NfsA and
NfsB, the two major activation enzymes of the nitrofuran prodrugs. Conclusions: This study is to our knowledge the first report of nitrofuran-deoxycholate synergy against Gram-
negative bacteria, offering potential applications in antimicrobial therapeutics. The mechanism of DOC-FZ synergy
involves FZ-mediated inhibition of TolC-associated efflux pumps that normally remove DOC from bacterial cells. One possible route contributing to that effect is via FZ-mediated nitric oxide production. Keywords: Furazolidone, Nitrofurans, Sodium Deoxycholate, Antimicrobial combination, Synergy, Enterobacteria have been proven to be a promising approach with some
widely accepted advantages, including enhancement of
antimicrobial efficacy, deceleration of resistance develop-
ment rate and alleviation of side effects by lowering the
doses of two drugs [2, 3]. Moreover, this approach could
amplify the significance of ongoing antimicrobial discov-
ery programs; particularly the advent of any novel anti-
microbial compound would bring about a large number of
possible double combinations with existing antimicrobial
agents to be evaluated, let alone triple and quadruple
combinations. In vitro synergy between sodium
deoxycholate and furazolidone against
enterobacteria ong Van Hung Le1, Catrina Olivera1, Julian Spagnuolo1,2, Ieuan G. Davies3 and Jasna Rakonjac1* Vuong Van Hung Le1, Catrina Olivera1, Julian Spagnuolo1,2, Ieuan G. Davies3 and Jasna Rakonjac1* Background Antimicrobial resistance (AMR) is one of the most serious
threats with which humans have been confronted. A UK-
Prime-Minister-commissioned report in 2014 estimated
that AMR, without appropriate interventions, will cause
globally 10 million deaths per annum with a cumulative
loss of US $100 trillion by 2050 [1]. In this dire context, al-
ternative approaches are urgently needed besides the dis-
covery of novel antibiotics. Antimicrobial combinations * Correspondence: j.rakonjac@massey.ac.nz
1School of Fundamental Sciences, Massey University, Palmerston North, Ne
Zealand
Full list of author information is available at the end of the article * Correspondence: j.rakonjac@massey.ac.nz
1School of Fundamental Sciences, Massey University, Palmerston North, N
Zealand
Full list of author information is available at the end of the article Sodium Deoxycholate (DOC) (Additional file 1: Figure
S1e) is a facial amphipathic compound in bile, which is Full list of author information is available at the end of the article The synergy between DOC and 5-nitrofurans against
enterobacteria The synergy between DOC and 5-nitrofurans against
enterobacteria To evaluate the synergy between DOC and FZ, the
checkerboard growth inhibition assays were performed for
several
enterobacteria,
including
Salmonella
enterica
subsp. enterica serovar Typhimurium LT2, Citrobacter gil-
lenii, Klebsiella pneumoniae and two E. coli antibiotic-
resistant laboratory strains (streptomycin-resistant and
streptomycin/ampicillin-resistant). DOC and FZ act syner-
gistically in inhibiting growth of the microorganisms listed
(Fig. 1), with FICI ranging from 0.125 in streptomycin-
resistant E. coli strain (Fig. 1a) to 0.35 in K. pneumoniae
(Fig. 1e). DOC-FZ synergy was also observed against two
E. coli pathogenic strains (E. coli strain O157 and urinary
tract infection strain P50; Additional file 1: Figure S2). It is
worth noting that, when used alone, very high DOC con-
centrations were required to exert an equivalent effect on
inhibiting the growth of these Gram-negative enterobac-
teria, whereas the concentration in combination with FZ
at the lowest FICI was within the range of the bile salts
concentration in the human intestine (2.5 mg/mL or 6
mM) [25]. The 5-nitrofurans are an old class of synthetic antimi-
crobials, clinically introduced in the 1940s and 1950s
[10]; several are commercially available, including fura-
zolidone (FZ), nitrofurantoin (NIT) and nitrofurazone
(NFZ) (Additional file 1: Figure S1). FZ is used to treat
bacterial diarrhea, giardiasis and as a component in
combinatorial therapy for Helicobacter pylori infections;
NIT and NFZ are used for urinary tract infections and
topical applications, respectively [11]. They are prodrugs
which require reductive activation, which is mediated in
E. coli largely by two type-I oxygen-insensitive nitrore-
ductases, NfsA and NfsB, and in their absence by type II
oxygen-sensitive nitroreductase, AhpF [12]. NfsA and
NfsB perform stepwise 2-electron reduction of the nitro
moiety of the compound into two redox-reactive nitroso
and hydroxylamino intermediates and biologically in-
active
amino-substituted
product
[13,
14]. Detailed
mechanism of how bacterial cells are killed by the react-
ive intermediate(s) is yet to be clarified. Nevertheless, it
has been proposed that the hydroxylamino derivatives
could trigger DNA lesions, disrupt protein structure and
arrest RNA and protein biosynthesis [15–18]. Some re-
ports also suggested that nitric oxide could be generated
during the activation process, thus inhibiting the elec-
tron transport chain of bacterial cells although clear evi-
dence for that is not available so far [19, 20]. Results secreted into the duodenum to aid lipid digestion and
confer some antimicrobial protection [4]. Though exten-
sive research has been conducted to elucidate the inter-
action between DOC, either alone or in the bile mixture,
and enteric bacteria, the mode of its antimicrobial action
remains elusive. It was suggested that DOC could attack
multiple cellular targets, including disturbing cell mem-
branes, causing DNA damage, triggering oxidative stress
and inducing protein misfolding [4–6]. Nonetheless,
Gram-negative bacteria such as Escherichia coli and Sal-
monella are highly resistant to DOC by many mecha-
nisms such as employment of diverse active efflux
pumps, down-regulation of outer membrane porins and
activation of various stress responses [5, 7–9]. Page 2 of 11 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology (2020) 20:5 The synergy between DOC and 5-nitrofurans against
enterobacteria It is worth
mentioning that nitroreductase-encoding genes are not
only commonly present in enterobacteria but also found
in other bacterial species such as Staphylococcus aureus,
Bacillus subtilis, Vibrio fischeri and parasites (e.g. Trypa-
nosoma brucei, Leishmania major) [21–24]. Nitroreduc-
tase enzymes play different physiological roles in different
species; in E. coli, multiple functions have been proposed
for NfsA and NfsB, including dihydropteridine reductase,
chromate reductase, quinone-dependent azo reductase,
and part of the oxidative stress response [21]. We also examined the interaction between DOC
and other nitrofuran compounds, including NIT, NFZ
and CM4 (a 5-nitrofuran compound we discovered
during an antimicrobial screening campaign against E. coli, Additional file 1: Figure S1d) in all bacterial spe-
cies mentioned above. We found that NIT, NFZ and
CM4 were synergistic with DOC in E. coli laboratory
strain (Fig. 3), Citrobacter gillenii (Additional file 1:
Figure S3) and Salmonella enterica Typhimurium LT2
(Additional file 1: Figure S4). By contrast, the inter-
action between NIT or NFZ and DOC was indifferent
in K. pneumoniae isolate (Additional file 1: Figure
S5). CM4 did not inhibit growth of this Klebsiella
strain in the range of concentrations used in the ex-
periment (up to 256 μg/ml), hence the interaction
could not be defined. To investigate the interaction between DOC and FZ in
terms of bactericidal effects, the time-kill assay was
employed. Streptomycin-resistant E. coli K12 laboratory
strain K1508 and S. enterica serovar Typhimurium strain
LT2 were exposed to sub-inhibitory concentrations of
DOC (2500 μg/mL) alone, or FZ (0.5 × MIC) alone, or
combination of the two drugs at such sub-inhibitory
concentrations, over a 24 h period. The sample was
taken at different time points and the surviving bacteria
were titrated on the antimicrobial-free plates. Centrifu-
gation and resuspension were applied for each sample to
eliminate antimicrobial carryover before plating. After
24 h, the total cell count in the sample treated with the
DOC-FZ combination was about five to six orders of
magnitude lower than that in the sample treated with In this study, we have characterized the interaction of DOC
with FZ and other three related nitrofurans against a range of
enterobacteria. We identified the underlying mechanism of
DOC-FZ synergy using E. coli K12 as a model organism. Page 3 of 11 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology Fig. 1 FZ interaction with DOC in growth inhibition of streptomycin- resistant E. The synergy between DOC and 5-nitrofurans against
enterobacteria coli K12 (a), ampicillin- and streptomycin-resistant E. coli K12 (b),
Salmonella enterica subsp. enterica serovar Typhimurium LT2 (c), Citrobacter gillenii (d) and Klebsiella pneumoniae (e). Graphs (isobolograms) were
obtained using a checkerboard analysis at multiple concentrations of each molecule. Each data point represents the minimum molecule
concentrations alone or in combination causing 90% inhibition of bacterial growth Fig. 1 FZ interaction with DOC in growth inhibition of streptomycin- resistant E. coli K12 (a), ampicillin- and streptomycin-resistant E. coli K12 (b),
Salmonella enterica subsp. enterica serovar Typhimurium LT2 (c), Citrobacter gillenii (d) and Klebsiella pneumoniae (e). Graphs (isobolograms) were
obtained using a checkerboard analysis at multiple concentrations of each molecule. Each data point represents the minimum molecule
concentrations alone or in combination causing 90% inhibition of bacterial growth either DOC or FZ alone for both E. coli and Salmonella
(Fig. 2), demonstrating the synergy in bacterial killing
between DOC and FZ. DOC could be expelled out of the cell via a wide
range of efflux pumps, in which the tripartite efflux
system AcrAB-TolC plays the major role [7, 8]. This
led us to hypothesize that FZ may inhibit the activity
of efflux pumps, thus allowing intracellular accumula-
tion of DOC to exert its lethal effect. If this scenario
were true, disruption of the efflux pumps’ function by
mutation was expected to make this activity of FZ re-
dundant, thus increasing the interaction index (FICI)
in the mutant strains. The role of AcrAB-TolC efflux pump in synergistic
interaction between DOC and nitrofurans One commonly accepted principle is that the synergy
between two drugs is a consequence of one drug sup-
pressing bacterial physiological pathways that mediate
resistance to the other one. It has been reported that Page 4 of 11 (2020) 20:5 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology Fig. 2 Time- kill analysis of the DOC and FZ combination in killing E. coli strain K1508 (a) and Salmonella enterica serovar Typhimurium LT2 (b). The data is presented as the mean ± standard error of the mean (SEM) of three independent measurements. The count of the live cells was
determined at indicated time points by titration of colony-forming units on agar plates. The lower limit of detection was 60 CFU/mL 2 Ti
kill
l
i
f h DOC
d FZ
bi
i
i
killi
E
li
i
K1508 ( )
d S l
ll
i
T
hi
i
LT2 (b) Fig. 2 Time- kill analysis of the DOC and FZ combination in killing E. coli strain K1508 (a) and Salmonella enterica serovar Typhimurium LT2 (b). The data is presented as the mean ± standard error of the mean (SEM) of three independent measurements. The count of the live cells was
determined at indicated time points by titration of colony-forming units on agar plates. The lower limit of detection was 60 CFU/mL To validate this model in E. coli, checkerboard assays
were performed on the strains containing deletions of
individual genes encoding the AcrAB-TolC efflux pump
system, ΔtolC and ΔacrA. Deletion of tolC caused a shift
from the synergistic interaction between DOC and FZ in
the wild type (FICI = 0.125) to indifferent interaction
(FICI = 0.75; Fig. 3a). The ΔacrA mutant exhibited a 3-
fold increase in the FICI relative to the isogenic wild
type strain. Such changes were also observed for the
interaction between DOC and other nitrofurans, NIT,
NFZ or CM4 (Fig. 3b, c and d). These findings collectively support the model that the ef-
flux pumps act as the interacting point for the synergy be-
tween DOC and FZ. An intriguing question to be unraveled is how FZ
could negatively influence the action of efflux pumps. We hypothesized that FZ could lower the energy supply
to efflux pumps by mediating an increase in concentra-
tion of nitric oxide (NO). To verify the proposed model,
the interaction between DOC and FZ in an E. The role of AcrAB-TolC efflux pump in synergistic
interaction between DOC and nitrofurans coli K12 strain K1508 (WT or wild-type and two isogenic
deletion mutants, ΔacrA and ΔtolC). Each data point corresponds to the FIC (ratios of the 90% growth inhibition concentrations in combination
vs. alone) for one of the four nitrofurans (y axis) and DOC (x axis). The ΔtolC strain (K2403) had the MICs for FZ, NIT, NFZ, CM4 at 1.25 μg/mL,
4 μg/mL, 8 μg/mL and 4 μg/mL, respectively. The ΔacrA strain (K2424) had the MICs for FZ, NIT, NFZ, CM4 at 2.5 μg/ml, 8 μg/mL, 8 μg/mL and
8 μg/mL, respectively. The WT strain K1508 had the MICs for FZ, NIT, NFZ, CM4 at 2.5, 32, 16 and 32 μg/mL, respectively Fig. 3 Effect of the ΔtolC and ΔacrA mutations on DOC synergy with FZ, NIT, NFZ and CM4 in E. coli. Isobolograms characterizing interactions of
DOC with FZ (a), NIT (b), NFZ (c) and CM4 (d) in growth inhibition assays of the E. coli K12 strain K1508 (WT or wild-type and two isogenic
deletion mutants, ΔacrA and ΔtolC). Each data point corresponds to the FIC (ratios of the 90% growth inhibition concentrations in combination
vs. alone) for one of the four nitrofurans (y axis) and DOC (x axis). The ΔtolC strain (K2403) had the MICs for FZ, NIT, NFZ, CM4 at 1.25 μg/mL,
4 μg/mL, 8 μg/mL and 4 μg/mL, respectively. The ΔacrA strain (K2424) had the MICs for FZ, NIT, NFZ, CM4 at 2.5 μg/ml, 8 μg/mL, 8 μg/mL and
8 μg/mL, respectively. The WT strain K1508 had the MICs for FZ, NIT, NFZ, CM4 at 2.5, 32, 16 and 32 μg/mL, respectively This finding supports a model that NO generated during
FZ metabolism participates in the inhibition of electron
transport chain [27], with the secondary effect of inhibit-
ing the function of efflux pumps which are dependent
on the electron transport chain for their activity. this FICI value is only slightly higher than that of the
wild type strain (0.25). We recently identified a third FZ-
activating enzyme in E. coli, AhpF, which contributes to
this prodrug activation in the ΔnfsA ΔnfsB genetic back-
ground [12]. Nevertheless, FZ was still effective against
the ΔnfsA ΔnfsB ΔahpF mutant with the MIC 50% being
10-fold increased over the wild-type parent, suggesting
the presence of additional 5-nitrofuran-activating en-
zymes in this organism and/or activation-independent
mechanisms of action [12]. The role of AcrAB-TolC efflux pump in synergistic
interaction between DOC and nitrofurans Here we analyzed the DOC-
FZ synergy in the triple ΔnfsA ΔnfsB ΔahpF mutant and
showed that the FICI value was close to that of the wild-
type parent and double mutant (Fig. 6). In other words,
the contribution of NfsA/NfsB- and AhpF-mediated ac-
tivation of FZ to the DOC-FZ synergy is very minimal. These findings indicate the role(s) of yet unexplored
mechanisms of FZ action or activation in its interaction
with DOC. DOC-FZ synergy is largely independent of NfsA/NfsB-
mediated FZ activation It has long been known that nitrofuran drugs need to be
activated by nitroreductases NfsA and NfsB to exert its
antibacterial activity [13, 14]. As a result, the FZ activity
and DOC-FZ synergy may depend on the activity of
NfsA and NfsB enzymes. To investigate the role of these
two enzymes in the DOC-FZ synergy, we examined the
interaction between DOC and FZ in the ΔnfsA ΔnfsB E. coli strain lacking both of these enzymes. In agreement
with the FZ activation role of NfsA/NfsB, disruption of
these two genes led to an increase in the MIC causing
50% growth inhibition by a factor of 8 [12]. Nonetheless,
the synergy between DOC and FZ still remained signifi-
cant in the ΔnfsA ΔnfsB genetic background, with the
FICI at 50% growth inhibition as low as 0.3125 (Fig. 6); The role of AcrAB-TolC efflux pump in synergistic
interaction between DOC and nitrofurans coli strain
with increased expression of protein Hmp (the E. coli ni-
tric oxide dioxygenase) was inspected. The rationale for
this is that overexpression of Hmp protein would in-
crease detoxification of NO by conversion into benign
NO3
– ions, thus relieving the effect exerted by NO [26]. If NO was involved in the mechanism of the interaction
between the two drugs, the synergy degree between
them was expected to decrease with an increased abun-
dance of Hmp proteins. In agreement with this hypoth-
esis, overexpression of hmp was found to suppress the
synergy between DOC and FZ by a factor of 3 (Fig. 5). To confirm that these observations were conferred by
direct effect of the tolC and acrA deletion, rather than in-
direct effects of other genes or proteins, complementation
of the corresponding deletion mutations by plasmid-
encoded tolC and acrA was performed. To compensate
for the multiple copies of plasmid-containing genes, com-
plementation was carried out at a low level of expression,
nevertheless it completely restored the strong synergy be-
tween DOC and FZ in these complemented strains (Fig. 4). Page 5 of 11 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology Fig. 3 Effect of the ΔtolC and ΔacrA mutations on DOC synergy with FZ, NIT, NFZ and CM4 in E. coli. Isobolograms characterizing interactions of
DOC with FZ (a), NIT (b), NFZ (c) and CM4 (d) in growth inhibition assays of the E. coli K12 strain K1508 (WT or wild-type and two isogenic
deletion mutants, ΔacrA and ΔtolC). Each data point corresponds to the FIC (ratios of the 90% growth inhibition concentrations in combination
vs. alone) for one of the four nitrofurans (y axis) and DOC (x axis). The ΔtolC strain (K2403) had the MICs for FZ, NIT, NFZ, CM4 at 1.25 μg/mL,
4 μg/mL, 8 μg/mL and 4 μg/mL, respectively. The ΔacrA strain (K2424) had the MICs for FZ, NIT, NFZ, CM4 at 2.5 μg/ml, 8 μg/mL, 8 μg/mL and
8 μg/mL, respectively. The WT strain K1508 had the MICs for FZ, NIT, NFZ, CM4 at 2.5, 32, 16 and 32 μg/mL, respectively Fig. 3 Effect of the ΔtolC and ΔacrA mutations on DOC synergy with FZ, NIT, NFZ and CM4 in E. coli. Isobolograms characterizing interactions of
DOC with FZ (a), NIT (b), NFZ (c) and CM4 (d) in growth inhibition assays of the E. Discussion Capitalization on drug combinations is one of the prom-
ising approaches to design novel therapies that will allow Page 6 of 11 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology Fig. 4 Recovery of FZ-DOC synergy in complemented ΔtolC and
ΔacrA mutants. Isobolograms of FZ-DOC interactions in growth
inhibition of: a ΔtolC mutant (ΔtolC) and a derived strain containing
a plasmid expressing tolC gene (ΔtolC + tolC); b ΔacrA mutant
(ΔacrA) and a derived strain containing a plasmid expressing acrA
gene and (ΔacrA + acrA). Each data point corresponds to the FIC
(ratios of the 90% growth inhibition concentrations in combination
vs. alone) for FZ (y axis) and DOC (x axis)
Fig. 5 Effect of the hmp gene overexpression on FZ-DOC synergy. The isobologram of DOC and FZ interaction in E. coli having
differential expression of NO-detoxifying protein Hmp. WT, E. coli
laboratory strain K1508; WT + hmp, K1508 containing a plasmid
expressing Hmp under the control of a T5-lac hybrid promoter. Expression of hmp gene was induced by IPTG (1 mM). Each data
point corresponds to the FIC (ratios of the 90% growth inhibition
concentrations in combination vs. alone) for FZ (y axis) and DOC
(x axis) Fig. 5 Effect of the hmp gene overexpression on FZ-DOC synergy. The isobologram of DOC and FZ interaction in E. coli having
differential expression of NO-detoxifying protein Hmp. WT, E. coli
laboratory strain K1508; WT + hmp, K1508 containing a plasmid
expressing Hmp under the control of a T5-lac hybrid promoter. Expression of hmp gene was induced by IPTG (1 mM). Each data
point corresponds to the FIC (ratios of the 90% growth inhibition
concentrations in combination vs. alone) for FZ (y axis) and DOC
(x axis) Fig. 5 Effect of the hmp gene overexpression on FZ-DOC synergy. The isobologram of DOC and FZ interaction in E. coli having
differential expression of NO-detoxifying protein Hmp. WT, E. coli
laboratory strain K1508; WT + hmp, K1508 containing a plasmid
expressing Hmp under the control of a T5-lac hybrid promoter. Expression of hmp gene was induced by IPTG (1 mM). Each data
point corresponds to the FIC (ratios of the 90% growth inhibition
concentrations in combination vs. alone) for FZ (y axis) and DOC
(x axis) Fig. 5 Effect of the hmp gene overexpression on FZ-DOC synergy. The isobologram of DOC and FZ interaction in E. Discussion Such uses of DOC have
been described in the rat model [33, 34]; no irritant ef-
fects on rat skins upon DOC-hydrogel application were
observed in the histology studies [34]. The observed difference in susceptibility to DOC/FZ
combination between ΔtolC and ΔacrA mutants is in
agreement with the fact that the TolC protein is shared
by at least seven multidrug efflux pumps, while AcrA
protein acts as the periplasmic connecting bridge for
only two [39]. Thus, deletion of tolC gene is expected to
give rise to a more pronounced effect on the loss of ef-
flux activities than deletion of acrA gene. Of great interest is how FZ could influence the activity
of efflux pumps. The observed impairment of the DOC-
FZ synergy by disruption of genes involved in multiple
efflux pumps points to a common mechanism that
could affect a wide range of efflux pumps simultan-
eously, such as proton motive force. It has been sug-
gested that nitrofuran compounds during reductive
activation might generate NO which subsequently in-
hibits the electron transport chain (ETC), diminishing
the proton motive force across the cytoplasmic mem-
brane [19, 20, 27] thereby de-energizing multiple efflux
pumps and impairing the expulsion of toxic compounds. NO generation from nitrofurans in bacterial cells is,
however, speculative, due to the detection limit of the
used methods or rapid conversion of NO into other
compounds [19, 20]. In the present work, we provide
evidence for contribution of NO in the interaction be-
tween DOC and FZ via the observation that overexpres-
sion of NO-detoxifying enzyme Hmp decreased the
synergistic interaction between the two agents. Since
some DOC-FZ synergy was still retained after NO-
detoxification, other mechanisms, including direct inhib-
ition of the ETC by activated FZ, may be involved in the
efflux pump inhibition. Further experiments are war-
ranted to examine the effect of FZ on the electron trans-
port chain via changes in the two components of the
proton motive force using various probes (e.g. tetra-
methyl rhodamine methyl ester for membrane electric
potential and pHluorin for ΔpH) or by monitoring cellu-
lar O2 uptake [40]. Secondly, DOC and other bile salts are inherently present
at 2–10 mM concentration range along the gastrointestinal
tract, depending on nutritional state and microbiome com-
position [25, 35]. Discussion BMC Microbiology nitrofurans when combined with DOC, demonstrated
here, is desirable because the lowered concentration has
a potential to remove the reported nitrofuran mutagenic
and carcinogenic side-effects [15–18]. With respect to
DOC and other bile salts, Gram-negative bacteria, such as
E. coli and Salmonella enterica, have evolved high resist-
ance to them using various mechanisms, such as multi-
drug efflux pumps, a highly impermeable outer mem-
brane, DNA damage repair machineries, the MqsR/MqsA
toxin-antitoxin system and employment of multiple stress
responses [9, 28–31]; inclusion of an active agent, such as
FZ or other 5-nitrofurans, could reintroduce DOC in the
battle against such formidable pathogens. These findings
bring about two potential applications. alone does not represent the intestinal bile salts mixture
and therefore application of DOC together with FZ may be
necessary to enhance the synergy. LaRusso et al. [38] dem-
onstrated that oral administration of DOC at 750 mg/day
in healthy men did not result in any significant side effects
even after 2 weeks of application, highlighting the possibility
for oral uptake of DOC-FZ combination for bacterial
diarrhea. We have provided insights into the underlying mech-
anism of the synergy between DOC and FZ in their anti-
bacterial action against E. coli as a model Gram-negative
bacterium. We showed that disruption of tolC or acrA
gene caused a considerable decrease in the synergy be-
tween DOC and FZ in the corresponding mutants. The
TolC protein, whose removal disrupts the synergy more
strikingly, appears to be the key determinant of synergy. g
p
pp
Firstly, DOC-nitrofuran combinations could be devel-
oped for topical applications, such as wound and burn
dressings. In 2015, ATX-101 in which Deoxycholic Acid
is the active ingredient was approved by the Food and
Drug Administrations for reduction of submental fat at
a subcutaneous injection dose as high as 10 mg/mL and
a volume of up to 10 mL [32]. This concentration is
much higher than that of DOC (2.5 mg/mL) required for
observing the synergy between DOC and nitrofurans, in-
dicating that DOC concentrations of less than 10 mg/mL
could be used in the combination without a concern
about the serious toxicity. In addition to its antibacterial
action, one could capitalize on the hydrogel-forming
capability of DOC for transdermal drug delivery in
DOC-nitrofuran combination. Discussion coli having
differential expression of NO-detoxifying protein Hmp. WT, E. coli
laboratory strain K1508; WT + hmp, K1508 containing a plasmid
expressing Hmp under the control of a T5-lac hybrid promoter. Expression of hmp gene was induced by IPTG (1 mM). Each data
point corresponds to the FIC (ratios of the 90% growth inhibition
concentrations in combination vs. alone) for FZ (y axis) and DOC
(x axis) Fig. 6 Effect of nfsA/nfsB deletion on FZ-DOC synergy. Isobologram
of FZ-DOC interactions in growth inhibition of the wild type strain
(K1508), ΔnfsA ΔnfsB double and ΔnfsA ΔnfsB ΔahpF triple mutant. Each data point corresponds to the FIC (ratios of the 50% growth
inhibition concentrations in combination vs. alone) for FZ (y axis)
and DOC (x axis) Fig. 4 Recovery of FZ-DOC synergy in complemented ΔtolC and
ΔacrA mutants. Isobolograms of FZ-DOC interactions in growth
inhibition of: a ΔtolC mutant (ΔtolC) and a derived strain containing
a plasmid expressing tolC gene (ΔtolC + tolC); b ΔacrA mutant
(ΔacrA) and a derived strain containing a plasmid expressing acrA
gene and (ΔacrA + acrA). Each data point corresponds to the FIC
(ratios of the 90% growth inhibition concentrations in combination
vs. alone) for FZ (y axis) and DOC (x axis) application of antimicrobials which have heretofore been
ineffective against Gram-negative bacteria at concentra-
tions that are acceptable for medical treatments. The
synergistic interaction between DOC and FZ or other ni-
trofurans against a range of enterobacteria is of this
kind. Decrease in growth inhibitory concentrations of Fig. 6 Effect of nfsA/nfsB deletion on FZ-DOC synergy. Isobologram
of FZ-DOC interactions in growth inhibition of the wild type strain
(K1508), ΔnfsA ΔnfsB double and ΔnfsA ΔnfsB ΔahpF triple mutant. Each data point corresponds to the FIC (ratios of the 50% growth
inhibition concentrations in combination vs. alone) for FZ (y axis)
and DOC (x axis) Fig. 6 Effect of nfsA/nfsB deletion on FZ-DOC synergy. Isobologram
of FZ-DOC interactions in growth inhibition of the wild type strain
(K1508), ΔnfsA ΔnfsB double and ΔnfsA ΔnfsB ΔahpF triple mutant. Each data point corresponds to the FIC (ratios of the 50% growth
inhibition concentrations in combination vs. alone) for FZ (y axis)
and DOC (x axis) Page 7 of 11 Page 7 of 11 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology (2020) 20:5 Le et al. Discussion The efficacy of any drug used to treat in-
testinal infections would depend on the physicochemical
properties of the local environment in which interaction
with bile salts is one important factor. For instance, it has
been reported that rifaximin, an RNA synthesis inhibitor,
was more efficient in treating diarrhea-producing E. coli in
the intestine than in the colon, due to the difference in the
bile salt concentration [36]. We now provide evidence that
FZ, an antibiotic prescribed for bacterial diarrhea [11, 37],
acts synergistically with DOC in inhibiting the growth of
enterobacteria, reducing the MIC of DOC from > 48 mM
to 6 mM, the latter within the range of bile salt concentra-
tions in the intestine. It is possible that the synergy in situ
may contribute to the treatment. Co-administration of FZ
and DOC provides a promising tool to treat bacterial diar-
rhea, especially for patients with conditions such as mal-
nourishment or disorders in enterohepatic circulation and
intestinal absorption, all of which may result in low levels
of intestinal bile salts [4]. It should be noted that DOC Page 8 of 11 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology (2020) 20:5 enzyme which detoxifies NO, an FZ-activation product that
inhibits ETC, also impairs the FZ-DOC synergy. Notably, we showed that the DOC-FZ synergy does not
depend on the presence of two major 5-nitrofuran-
activating E. coli nitroreductases NfsA and NfsB and a
minor activating enzyme AhpF. This finding raises interest-
ing questions about activation and action of nitrofurans. The retention of synergy in the absence of NfsA, NfsB and
AhpF implies that the inhibitory effect on the TolC-AcrAB
efflux pump via NO is retained and, therefore, FZ likely
undergoes reductive activation by alternative enzymes. Bacterial strains, growth conditions and antibiotics Bacterial strains, growth conditions and antibiotics Bacterial strains, growth conditions and antibiotics
All bacterial strains and plasmids used in this study were
described in Table 1 and Table 2. The introduction of
the kanR gene deletion mutations into the wild type
strain K1508 from the corresponding Keio collection E. coli K12 knock-out strains [45] was performed using
phage P1 transduction, according to the standard proce-
dures [46]. To eliminate potential polar effects on down-
stream genes in the operon, the FRT-flanked kanR
cassette was then removed using FLP-mediated recom-
bination as previously described [47]. Plasmids derived
from the pCA24N bearing the gene of interest were puri-
fied from E. coli strains of the ASKA collection containing
ORF expression constructs derived from this organism
[44] using the ChargeSwitch-Pro Plasmid Miniprep Kit
(Thermo Fisher Scientific). The plasmid DNA was then Conclusions The current study reports the synergy between FZ and DOC
in inhibiting and/or killing several enterobacterial species at
concentrations that are demonstrated to be non-toxic in ani-
mal and human trials, and within the range of intestinal bile
salts concentrations. We provide genetic evidence that the
efflux pumps play a major role in the FZ-DOC synergy, sug-
gesting that the mechanism of synergy may be a 5-
nitrofuran-mediated increase in accumulation of DOC inside
the cell. In support of this model, we show that the key Table 1 Bacterial strains used in this study
Name
Genotype or description
Source
Escherichia coli O157 isolate ERL034336
Human isolate
Dr. Ann Midwinter, School
Veterinary Sciences Massey Table 1 Bacterial strains used in this study Table 1 Bacterial strains used in this study
Name
Genotype or description
Source
Escherichia coli O157 isolate ERL034336
Human isolate
Dr. Ann Midwinter, School of
Veterinary Sciences, Massey
University, Palmerston North,
New Zealand
Escherichia coli UPEC P50 isolate
Isolate from a canine urinary
tract infection
[41]
Salmonella enterica LT2
Type strain, S. enterica subsp. enterica, serovar Typhimurium
ATCC® 43971™
Citrobacter gillenii PMR001
Isolate from a municipal sewage
processing (water purification) plant,
Palmerston North, New Zealand
(classified by complete 16S rRNA
sequencing, 99% identity over
1405 nt to the 16S rRNA sequence
of Citrobacter gillenii ATCC 51117). This study
Klebsiella pneumoniae PMR001
Isolate from a municipal sewage
processing (water purification) plant,
Palmerston North, New Zealand
(classified by complete 16S rRNA
sequencing; 99% identity over
1404 nt to the 16S rRNA sequence
of Klebsiella pneumoniae strain
ATCC 13883). This study
Escherichia coli K12 laboratory strains
K1508
MC4100 [F−araD−Δlac U169 relA−thiA
rpsL (StrR)] ΔlamB106
[42]
K2403
K1508 ΔtolC
This study
K2424
K1508 ΔacrA
This study
K2425
K1508 ΔacrA pCA24N::acrA Δgfp
This study
K2426
K1508 ΔtolC pCA24N::tolC Δgfp
This study
K2483
K1508 ΔnfsA ΔnfsB
This study
K2505
K1508 ΔnfsA ΔnfsB ΔahpF
This study
K2524
K1508 pUC118 (AmpR)
This study Escherichia coli UPEC P50 isolate
Salmonella enterica LT2
Citrobacter gillenii PMR001 MC4100 [F−araD−Δlac U169 relA−thiA
rpsL (StrR)] ΔlamB106
[42]
K1508 ΔtolC
This study
K1508 ΔacrA
This study
K1508 ΔacrA pCA24N::acrA Δgfp
This study
K1508 ΔtolC pCA24N::tolC Δgfp
This study
K1508 ΔnfsA ΔnfsB
This study
K1508 ΔnfsA ΔnfsB ΔahpF
This study
K1508 pUC118 (AmpR)
This study Page 9 of 11 Le et al. BMC Microbiology (2020) 20:5 Le et al. Conclusions BMC Microbiology Table 2 List of plasmids used in this study
Name
Genotype or description
Source
pCP20
AmpR, CmR, FLP+, 8 cI857+, 8 pR Repts
For removal of an frt-flanked kan marker
from E. coli K12 strains by FLP-mediated
site-specific recombination
[43]
pUC118
AmpR, f1 ori, PlacUV5, lacZα
Creative Biogene, Shirley, NY, USA
pCA24N-tolC
CmR; lacIq, pCA24N PT5-lac::tolC Δgfp
[44]
pCA24N-acrA
CmR; lacIq, pCA24N PT5-lac::acrA Δgfp
[44]
pCA24N-hmp
CmR; lacIq, pCA24N PT5-lac::hmp Δgfp
[44] used to define the MIC of the drug used alone or in com-
bination [49]. The fractional inhibitory concentration
index (FICI) for the two drugs was calculated as follows: chemically transformed into specific E. coli strains for fur-
ther work [48]. Expression from the pCA24N vector is
driven from a T5-lac chimeric promoter. In the case of
membrane protein expression (TolC and AcrA), the basal
expression from uninduced promoter was used in comple-
mentation experiments to avoid toxicity of membrane
protein overexpression due to the Sec system saturation,
whereas expression of Hmp (a cytosolic NO-detoxifying
protein) was induced by 1 mM IPTG. FICI ¼ MICDOCcom
MICDOCalone
þ MICFZcom
MICFZalone FICI ¼ MICDOCcom
MICDOCalone
þ MICFZcom
MICFZalone MICDOCcom and MICFZcom: MIC of DOC and FZ when
tested in combination. MICDOCalone and MICFZalone: MIC of DOC and FZ
when tested individually. Bacterial culture was grown in 2xYT medium (BD
Difco) at 37 °C with shaking at 200 rpm. For preparation
of exponential phase cells, fresh overnight culture was
100-fold diluted and incubated to reach the OD600nm of
about 0.1–0.3. This cell suspension was then diluted to
the desirable concentration depending on specific pur-
poses. Sodium Deoxycholate was a kind gift from New
Zealand Pharmaceuticals Ltd. Antibiotics used in this
study were purchased from GoldBio. CM4 was pur-
chased from Enamine (catalog number Z49681516). The interaction between two drugs was interpreted as
synergistic if FICI was ≤0.5, indifferent if it was > 0.5
and ≤4, and antagonistic if it was > 4 [50]. The 50%
growth inhibition was used as the cut-off value to calcu-
late FICI in some cases when stated. Time-kill assay
l
h Exponential phase bacterial culture at about 106 CFU/mL
was prepared in the final volume of 10 mL containing 2%
DMSO plus DOC at 2500 μg/mL alone or FZ at 0.5 ×
MIC μg/mL alone or both drugs. The treatments contain-
ing no drug were used as negative controls. The samples
were incubated at 30 °C with shaking at 200 rpm. At the
time points of 0 h, 2 h, 4 h, 6 h, 8 h and 24 h, 500 μL were
taken from each treatment and centrifuged at 10000×g for
15 min before being re-suspended in 100 μL maximum re-
covery diluent (0.1% peptone, 0.85% NaCl). 10 μL of serial
dilutions was plated on 2xYT agar followed by overnight
incubation at 37 °C to determine the cell count. Each
treatment was performed in triplicate. The antimicrobial
interaction was interpreted as synergistic if the combina-
torial treatment caused a killing efficiency ≥2 log higher
than the most active agent [51]. Checkerboard assay The checkerboard assay for DOC and FZ was performed
on the Corning 384-well microtiter plate with the concen-
tration of DOC ranging from 20,000 μg/mL to 0 μg/mL
and the concentration of FZ ranging from 10 μg/mL to
0 μg/mL, prepared by 2-fold serial dilution. The concen-
tration range could be adjusted depending on the sensitiv-
ity
of
different
bacterial
strains
and
the
types
of
nitrofurans to cover at least 2 × MIC to 0.06 × MIC of
each drug. Each well contained the starting inoculum of
approximately 106 CFU/mL, 2% DMSO and the prede-
fined concentration of each drug in the total volume of
50 μL. The wells containing no drugs and 10 μg/mL tetra-
cycline were used as negative controls and positive con-
trols, respectively. After dispensing the reagents, the plate
was pulse centrifuged at 1000×g to eliminate any bubbles. The plate was then incubated at 30 °C and the OD600nm of
the sample was monitored for every 1 h within 24 h using
Multiskan™GO Microplate Spectrophotometer (Thermo
Scientific). Each combination was performed in triplicate. The mean growth inhibition of the triplicate experiments
with the cut-off value of 90% at the time point 24 h was Acknowledgements 9. Sistrunk JR, Nickerson KP, Chanin RB, Rasko DA, Faherty CS. Survival of the
fittest: how bacterial pathogens utilize bile to enhance infection. Clin
Microbiol Rev. 2016;29:819–36. We thank Dr. Anne Midwinter, School of Veterinary Sciences, Massey
University, for providing an E. coli human O157 isolate and New Zealand
Veterinary Pathology Ltd. for an isolate of a canine E. coli uropathogenic
strain (P50). We are grateful to Fraser Glickman from Rockefeller University
High Throughput and Spectroscopy Resource Center for hosting and advice
on small-molecule drug screen of a synergy screen and to the National BioR-
esource Project (NBRP) via Genetics Strains Research Center, National Institute
of Genetics, Japan, for providing the ASKA collection. The Keio Collection
was purchased from Dharmacon via ThermoFisher (Australia). Carel Jobsis is
acknowledged for excellent technical assistance. 10. Chamberlain RE. Chemotherapeutic properties of prominent nitrofurans. J
Antimicrob Chemother. 1976;2:325–36. 10. Chamberlain RE. Chemotherapeutic properties of prominent nitrofurans. J
Antimicrob Chemother. 1976;2:325–36. 11. Vass M, Hruska K, Franek M. Nitrofuran antibiotics: a review on the application,
prohibition and residual analysis. Vet Med-Czech. 2008;53:469–500. 11. Vass M, Hruska K, Franek M. Nitrofuran antibiotics: a review on the application,
prohibition and residual analysis. Vet Med-Czech. 2008;53:469–500. 12. Le VVH, Davies I, Moon CD, Wheeler D, Biggs PJ, Rakonjac J. Novel 5-
nitrofuran-activating reductase in Escherichia coli. Antimicrob Agents
Chemother. 2019. https://doi.org/10.1128/AAC.00868-19. 12. Le VVH, Davies I, Moon CD, Wheeler D, Biggs PJ, Rakonjac J. Novel 5-
nitrofuran-activating reductase in Escherichia coli. Antimicrob Agents
Chemother. 2019. https://doi.org/10.1128/AAC.00868-19. 13. Whiteway J, Koziarz P, Veall J, Sandhu N, Kumar P, Hoecher B, et al. Oxygen-
insensitive nitroreductases: analysis of the roles of nfsA and nfsB in
development of resistance to 5-nitrofuran derivatives in Escherichia coli. J
Bacteriol. 1998;180:5529–39. Supplementary information
f Supplementary information
Supplementary information accompanies this paper at https://doi.org/10. 1186/s12866-019-1668-3. pp
y
Supplementary information accompanies this paper at https://doi.org/10. 1186/s12866-019-1668-3. pp
y
Supplementary information acco
1186/s12866 019 1668 3 Additional file 1: Figure S1. Structural formulae of nitrofurans and
sodium deoxycholate. Figure S2. FZ interaction with DOC in growth
inhibition of E. coli strain O157 and canine uropathogenic E. coli P50. Figure S3. Interactions of three nitrofurans (NIT, NFZ and CM4) with DOC
in growth inhibition of Citrobacter gillenii PMR001. Figure S4. Interactions Page 10 of 11 (2020) 20:5 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology 7. Nishino K, Yamaguchi A. Analysis of a complete library of putative drug
transporter genes in Escherichia coli. J Bacteriol. 2001;183:5803–12. 7. Nishino K, Yamaguchi A. Analysis of a complete library of putative drug
transporter genes in Escherichia coli. J Bacteriol. 2001;183:5803–12. of three nitrofurans (NIT, NFZ and CM4) with DOC in growth inhibition of
Salmonella enterica sv. Typhimurium LT2. Figure S5. Interactions of two
nitrofurans (NIT and NFZ) with DOC in growth inhibition of Klebsiella
pneumoniae PMR001. 8. Paul S, Alegre KO, Holdsworth SR, Rice M, Brown JA, McVeigh P, et al. A
single-component multidrug transporter of the major facilitator superfamily
is part of a network that protects Escherichia coli from bile salt stress. Mol
Microbiol. 2014;92:872–84. Received: 28 February 2019 Accepted: 29 November 2019 27. McCollister BD, Hoffman M, Husain M, Vazquez-Torres A. Nitric oxide
protects Bacteria from aminoglycosides by blocking the energy-dependent
phases of drug uptake. Antimicrob Agents Chemother. 2011;55:2189–96. Competing interests 23. Voak AA, Gobalakrishnapillai V, Seifert K, Balczo E, Hu L, Hall BS, et al. An
essential type I nitroreductase from Leishmania major can be used to
activate leishmanicidal prodrugs. J Biol Chem. 2013;288:28466–76. The authors declare that they have no competing interests. 24. Akiva E, Copp JN, Tokuriki N, Babbitt PC. Evolutionary and molecular
foundations of multiple contemporary functions of the nitroreductase
superfamily. Proc Natl Acad Sci U S A. 2017;114:E9549–E58. Consent for publication 22. Hall BS, Bot C, Wilkinson SR. Nifurtimox activation by trypanosomal type I
nitroreductases generates cytotoxic nitrile metabolites. J Biol Chem. 2011;
286:13088–95. 22. Hall BS, Bot C, Wilkinson SR. Nifurtimox activation by trypanosomal type I
nitroreductases generates cytotoxic nitrile metabolites. J Biol Chem. 2011;
286:13088–95. Not applicable. 23. Voak AA, Gobalakrishnapillai V, Seifert K, Balczo E, Hu L, Hall BS, et al. An
essential type I nitroreductase from Leishmania major can be used to
activate leishmanicidal prodrugs. J Biol Chem. 2013;288:28466–76. Funding Vuong Van Hung Le has received funding from Callaghan Innovation PhD
Scholarship. This work was supported by Massey University, the New Zealand
Ministry of Business, Innovation and Employment and New Zealand
Pharmaceuticals Ltd. The funders had no role in the design of the study and
collection, analysis, and interpretation of data or in writing the manuscript. 16. McOsker CC, Fitzpatrick PM. Nitrofurantoin: mechanism of action and
implications for resistance development in common uropathogens. J
Antimicrob Chemother. 1994;33(Suppl A):23–30. 16. McOsker CC, Fitzpatrick PM. Nitrofurantoin: mechanism of action and
implications for resistance development in common uropathogens. J
Antimicrob Chemother. 1994;33(Suppl A):23–30. 17. Bertenyi KK, Lambert IB. The mutational specificity of furazolidone in the lacI
gene of Escherichia coli. Mutat Res. 1996;357:199–208. 17. Bertenyi KK, Lambert IB. The mutational specificity of furazolidon
gene of Escherichia coli. Mutat Res. 1996;357:199–208. 18. Ona KR, Courcelle CT, Courcelle J. Nucleotide excision repair is a
predominant mechanism for processing nitrofurazone-induced DNA
damage in Escherichia coli. J Bacteriol. 2009;191:4959–65. Authors’ contributions JR and VL conceived the study; ID and CO participated in the experimental
design. VL and CO acquired and analyzed the study data, JS and JR
identified the nitrofuran-DOC synergy and CM4. Manuscript was written by
VL with contribution from CO and edited by JR. All authors have read and
approved the manuscript. JR and VL conceived the study; ID and CO participated in the experimental
design. VL and CO acquired and analyzed the study data, JS and JR
identified the nitrofuran DOC synergy and CM4 Manuscript was written by 14. Sandegren L, Lindqvist A, Kahlmeter G, Andersson DI. Nitrofurantoin
resistance mechanism and fitness cost in Escherichia coli. J Antimicrob
Chemother. 2008;62:495–503. 14. Sandegren L, Lindqvist A, Kahlmeter G, Andersson DI. Nitrofurantoin
resistance mechanism and fitness cost in Escherichia coli. J Antimicrob
Chemother. 2008;62:495–503. 15. McCalla DR. Nitrofurans. In: Hahn FE, editor. Mechanism of Action of
Antibacterial Agents; Antibiotics. Heidelberg: Springer Berlin Heidelberg;
1979. p. 176–213. Ethics approval and consent to participate
Not applicable. 21. Roldan MD, Perez-Reinado E, Castillo F, Moreno-Vivian C. Reduction of
polynitroaromatic compounds: the bacterial nitroreductases. FEMS Microbiol
Rev. 2008;32:474–500. Not applicable. Author details
1
h
l
f
d 24. Akiva E, Copp JN, Tokuriki N, Babbitt PC. Evolutionary and molecular
foundations of multiple contemporary functions of the nitroreductase
superfamily. Proc Natl Acad Sci U S A. 2017;114:E9549–E58. 1School of Fundamental Sciences, Massey University, Palmerston North, New
Zealand. 2Present Address: Department of Biomedicine, University Hospital
Basel, 4031 Basel, Switzerland. 3New Zealand Pharmaceuticals Ltd, Palmerston
North, New Zealand. p
y
25. Holm R, Mullertz A, Mu HL. Bile salts and their importance for drug
absorption. Int J Pharm. 2013;453:44–55. 25. Holm R, Mullertz A, Mu HL. Bile salts and their importance for drug
absorption. Int J Pharm. 2013;453:44–55. 26. Forrester MT, Foster MW. Protection from nitrosative stress: a central role fo
microbial flavohemoglobin. Free Radic Biol Med. 2012;52:1620–33. 26. Forrester MT, Foster MW. Protection from nitrosative stress: a central role for
microbial flavohemoglobin. Free Radic Biol Med. 2012;52:1620–33. Received: 28 February 2019 Accepted: 29 November 2019 Received: 28 February 2019 Accepted: 29 November 2019 Availability of data and materials All data generated or analyzed during this study are included in this
published article and its supplementary information file. The 16S rDNA
sequence of the isolates Citrobacter gillennii PMR001 and Klebsiella
pneumoniae PMR001 has been deposited at GenBank under the accession
numbers MN515064 and MN515061, respectively. 19. Kumar M, Adhikari S, Hurdle JG. Action of nitroheterocyclic drugs against
Clostridium difficile. Int J Antimicrob Agents. 2014;44:314–9. 20. Vumma R, Bang CS, Kruse R, Johansson K, Persson K. Antibacterial effects of nitric
oxide on uropathogenic Escherichia coli during bladder epithelial cell
colonization--a comparison with nitrofurantoin. J Antibiot (Tokyo). 2016;69:183–6. Ethics approval and consent to participate
Not applicable. Ethics approval and consent to participate References One-step inactivation of chromosomal genes in
Escherichia coli K-12 using PCR products. Proc Natl Acad Sci U S A. 2000;97:6640–5. 47. Datsenko KA, Wanner BL. One-step inactivation of chromosomal genes in
Escherichia coli K-12 using PCR products. Proc Natl Acad Sci U S A. 2000;97:6640–5. 48. Green R, Rogers EJ. Transformation of chemically competent E. coli. Methods Enzymol. 2013;529:329–36. 48. Green R, Rogers EJ. Transformation of chemically competent E. coli. Methods Enzymol. 2013;529:329–36. 49. Campbell J. High-throughput assessment of bacterial growth inhibition by
optical density measurements. Curr Protoc Chem Biol. 2010;2:195–208. 49. Campbell J. High-throughput assessment of bacterial growth inhibition by
optical density measurements. Curr Protoc Chem Biol. 2010;2:195–208. 50. Odds FC. Synergy, antagonism, and what the chequerboard puts between
them. J Antimicrob Chemoth. 2003;52:1. 50. Odds FC. Synergy, antagonism, and what the chequerboard puts between
them. J Antimicrob Chemoth. 2003;52:1. 51. Doern CD. When does 2 plus 2 equal 5? A review of antimicrobial synergy
testing. J Clin Microbiol. 2014;52:4124–8. References References
1. O’Neill J. Antimicrobial resistance: tackling a crisis for the health and wealth of
nations. Rev Antimicrob Resist. 2014; https://amr-review.org/Publications.html. 2. Bollenbach T. Antimicrobial interactions: mechanisms and implications for
drug discovery and resistance evolution. Curr Opin Microbiol. 2015;27:1–9. 3. Taneja N, Kaur H. Insights into newer antimicrobial agents against gram-
negative bacteria. Microbiol Insights. 2016;9:9–19. 28. Prieto AI, Ramos-Morales F, Casadesus J. Repair of DNA damage induced by
bile salts in Salmonella enterica. Genetics. 2006;174:575–84. 1. O’Neill J. Antimicrobial resistance: tackling a crisis for the health and wealth of
nations. Rev Antimicrob Resist. 2014; https://amr-review.org/Publications.html. 1. O’Neill J. Antimicrobial resistance: tackling a crisis for the health and wealth of
nations. Rev Antimicrob Resist. 2014; https://amr-review.org/Publications.html. nations. Rev Antimicrob Resist. 2014; https://amr review.org/Publications.html. 2. Bollenbach T. Antimicrobial interactions: mechanisms and implications for
drug discovery and resistance evolution. Curr Opin Microbiol. 2015;27:1–9. 3. Taneja N, Kaur H. Insights into newer antimicrobial agents against gram-
negative bacteria. Microbiol Insights. 2016;9:9–19. 29. Kwan BW, Lord DM, Peti W, Page R, Benedik MJ, Wood TK. The MqsR/MqsA
toxin/antitoxin system protects Escherichia coli during bile acid stress. Environ Microbiol. 2015;17:3168–81. 2. Bollenbach T. Antimicrobial interactions: mechanisms and implications for
drug discovery and resistance evolution. Curr Opin Microbiol. 2015;27:1–9. 3. Taneja N, Kaur H. Insights into newer antimicrobial agents against gram- 2. Bollenbach T. Antimicrobial interactions: mechanisms and implications for
drug discovery and resistance evolution. Curr Opin Microbiol. 2015;27:1–9. 3. Taneja N, Kaur H. Insights into newer antimicrobial agents against gram-
negative bacteria. Microbiol Insights. 2016;9:9–19. 30. Urdaneta V, Casadesus J. Interactions between bacteria and bile salts in the
gastrointestinal and hepatobiliary tracts. Front Med. 2017;4:163. 4. Begley M, Gahan CG, Hill C. The interaction between bacteria and bile. FEMS Microbiol Rev. 2005;29:625–51. 31. Urdaneta V, Casadesus J. Adaptation of Salmonella enterica to bile: essential
role of AcrAB-mediated efflux. Environ Microbiol. 2018;20:1405–18. 5. Merritt ME, Donaldson JR. Effect of bile salts on the DNA and membrane
integrity of enteric bacteria. J Med Microbiol. 2009;58:1533–41. 32. Dunican KC, Patel DK. Deoxycholic acid (ATX-101) for reduction of
submental fat. Ann Pharmacother. 2016;50:855–61. submental fat. Ann Pharmacother. 2016;50:855–61. 6. Cremers CM, Knoefler D, Vitvitsky V, Banerjee R, Jakob U. Bile salts act as
effective protein-unfolding agents and instigators of disulfide stress in vivo. P Natl Acad Sci USA. 2014;111:E1610–E9. 33. Valenta C, Nowack E, Bernkop-Schnurch A. Deoxycholate-hydrogels: novel
drug carrier systems for topical use. Int J Pharm. 1999;185:103–11. References Page 11 of 11 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology (2020) 20:5 Le et al. BMC Microbiology 34. Senyigit T, Tekmen I, Sonmez U, Santi P, Ozer O. Deoxycholate hydrogels of
betamethasone-17-valerate intended for topical use: in vitro and in vivo
evaluation. Int J Pharm. 2011;403:123–9. 35. Enright EF, Griffin BT, Gahan CGM, Joyce SA. Microbiome-mediated bile acid
modification: role in intestinal drug absorption and metabolism. Pharmacol
Res. 2018;133:170–86. 36. Darkoh C, Lichtenberger LM, Ajami N, Dial EJ, Jiang ZD, DuPont HL. Bile
acids improve the antimicrobial effect of rifaximin. Antimicrob Agents
Chemother. 2010;54:3618–24. 37. Martinez-Puchol S, Gomes C, Pons MJ, Ruiz-Roldan L, Torrents de la Pena A,
Ochoa TJ, et al. Development and analysis of furazolidone-resistant
Escherichia coli mutants. APMIS. 2015;123:676–81. 38. LaRusso NF, Szczepanik PA, Hofmann AF. Effect of deoxycholic acid
ingestion on bile acid metabolism and biliary lipid secretion in normal
subjects. Gastroenterology. 1977;72:132–40. 39. Anes J, McCusker MP, Fanning S, Martins M. The ins and outs of RND efflux
pumps in Escherichia coli. Front Microbiol. 2015;6:587. 40. Chen MT, Lo CJ. Using biophysics to monitor the essential proton motive
force in bacteria. Adv Exp Med Biol. 2016;915:69–79. 41. Le VVH, Bruce I, Biggs PJ, Rakonjac J. Draft genome sequence of a canine
uropathogenic Escherichia coli strain isolated in New Zealand. Microbiol
Resour Announc. 2019;8:e01665–18. 42. Spagnuolo J, Opalka N, Wen WX, Gagic D, Chabaud E, Bellini P, et al. Identification of the gate regions in the primary structure of the secretin
pIV. Mol Microbiol. 2010;76:133–50. 43. Cherepanov PP, Wackernagel W. Gene disruption in Escherichia coli: TcR and
KmR cassettes with the option of Flp-catalyzed excision of the antibiotic-
resistance determinant. Gene. 1995;158:9–14. 44. Kitagawa M, Ara T, Arifuzzaman M, Ioka-Nakamichi T, Inamoto E, Toyonaga
H, et al. Complete set of ORF clones of Escherichia coli ASKA library (a
complete set of E. coli K-12 ORF archive): unique resources for biological
research. DNA Res. 2005;12:291–9. 45. Baba T, Ara T, Hasegawa M, Takai Y, Okumura Y, Baba M, et al. Construction
of Escherichia coli K-12 in-frame, single-gene knockout mutants: the Keio
collection. Mol Syst Biol. 2006;2:2006 0008. 46. Thomason LC, Costantino N, Court DL. E. coli genome manipulation by P1
transduction. Curr Protoc Mol Biol. 2007;1:1–17. 46. Thomason LC, Costantino N, Court DL. E. coli genome manipulation by P1
transduction. Curr Protoc Mol Biol. 2007;1:1–17. 47. Datsenko KA, Wanner BL. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. ringer Nature remains neutral with regard to jurisdictional claims Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. published maps and institutional affiliations.
|
https://openalex.org/W4224437566
|
https://www.researchsquare.com/article/rs-1449992/latest.pdf
|
English
| null |
Causality Extraction Model Based on Two-stage GCN
|
Research Square (Research Square)
| 2,022
|
cc-by
| 9,606
|
*Corresponding author Guangli Zhu (e-mail: glzhu@aust.edu.cn),KuanChing Li (e-mail: kuancli@pu.edu.tw). Abstract: In the traditional methods, the low identification accuracy of cascade implicit causalities is
caused by the lack of causal inference. To solve this problem, we propose a causality extraction model
based on GCN to infer the causality of the text. It can analyze the cause-effect existing in the text and
realize the deep extraction under semantic enhancement. First, the data are preprocessed, and BERT is
used for pre-training. In the pre-training, the candidate entities are selected by entity links. The text
encoding is used context semantics and embedding location coding. Then, the semantic dependency
graph is used to obtain the relationship between entities. In addition, the nodes and edges obtained by the
previous step are input into the first-stage GCN to extract the whole causality. Finally, the entity relation
graph obtained by the first-stage GCN is introduced into the second-stage GCN for cascade inference. The causality of the cascade is inferred and extracted by a two-stage GCN. Experiments show that the
model can find implicit causality more accurately generate new implicit causal entities on the original
causality. Keywords: two-stage GCN, BERT, GCN, causality extraction. Causality Extraction Model Based on Two-stage GCN Guangli Zhu 1,*, Zhengyan Sun 1, Shunxiang Zhang 1, Subo Wei 1, KuanChing Li 2,*
1 School of Computer Science and Engineering, Anhui University of Science and Technology, Huainan 232001, People’s Republic of
China
2 Department of Computer Science and Information Engineering (CSIE), Providence University, Taizhong, 43301, Taiwan Guangli Zhu 1,*, Zhengyan Sun 1, Shunxiang Zhang 1, Subo Wei 1, KuanChing Li 2,*
1 School of Computer Science and Engineering, Anhui University of Science and Technology, Huainan 232001, People’s Republic of
China 2 Department of Computer Science and Information Engineering (CSIE), Providence University, Taizhong, 43301, Taiwan Research Article Keywords: two-stage GCN, BERT, GCN, causality extraction. Posted Date: April 25th, 2022
DOI: https://doi.org/10.21203/rs.3.rs-1449992/v1
License: This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License Keywords: two-stage GCN, BERT, GCN, causality extraction. License: This work is licensed under a Creative Commons Attribution 4.0 International License. 1 Introduction Cluster analysis of the extracted entities,
and the same cluster of entities randomly selected as adjacent nodes into GCN. Firstly, the review
text is preprocessed, and the sentences without causality or the sentences with default components
are deleted. Then, the “NLTK” word segmentation is used to segment the words in the text. Secondly,
using emotional intensity to establish causality seed lexicon. Finally, the K-means clustering
algorithm is used for clustering calculation to select the final causal entity library. ⚫
Construction of causal entity candidate library. We use a combination of causal prior knowledge
and semantic data to extract causal entities from the corpus. Cluster analysis of the extracted entities,
and the same cluster of entities randomly selected as adjacent nodes into GCN. Firstly, the review
text is preprocessed, and the sentences without causality or the sentences with default components
are deleted. Then, the “NLTK” word segmentation is used to segment the words in the text. Secondly,
using emotional intensity to establish causality seed lexicon. Finally, the K-means clustering
algorithm is used for clustering calculation to select the final causal entity library. ⚫
Extraction of causality tuples. Semantic encoding by BERT combined with context. The reference
nodes, entity nodes and meta-dependent path (MDP) nodes are constructed. So candidate entities
are obtained. Its also are represented as node inputs, and the syntactic relations obtained from the
syntactic dependency graph are introduced into the two-stage GCN network as edges. Use the full
connection to capture more structural information and train deeper models. ⚫
Extraction of causality tuples. Semantic encoding by BERT combined with context. The reference
nodes, entity nodes and meta-dependent path (MDP) nodes are constructed. So candidate entities
are obtained. Its also are represented as node inputs, and the syntactic relations obtained from the
syntactic dependency graph are introduced into the two-stage GCN network as edges. Use the full
connection to capture more structural information and train deeper models. igure 1. the framework of the two-stage GCN model Figure 1. 1 Introduction Relation extraction gives a given text, extracts entities/objects, and infer their relations in the text,
forming a triple ( S, R, O ). S represents the subject entity, R represents the existing relationship, and O
represents the object entity. At present, entity relation extraction technology impacts all aspects of natural
language processing tasks and has been widely used. Causality is one of the most famous relationships. Traditional methods can quickly identify explicit causal entities, but the identification accuracy is not
high because of the need for inference for implicit causal entities. At the same time, because of the
uniqueness and diversity of text, the complexity of semantic structure [35], the variety of expression and
other factors, it is inevitable to increase the difficulty of inference, which leads to many potential implicit
causal entities are not identified. Given the above problems in the research on causality extraction, the following points are mainly
considered. (1) Entity extraction. Previous work has proposed a key sentences extraction algorithm for
Chinese microblog comments [1], which considers multiple factors attributes to identify the key
sentences of comments. So this algorithm can provide technical assistance for entity extraction. (2)
Feature extraction and relational inference. In the microblog hot topic word extraction model [2], a
feature cooccurrence method is proposed, providing a reference for causal relationship feature extraction
and relational inference. (3) Causality identification, especially can effectively identify the implicit
causality. Previous work has used ALN (Association link Network) [3] to achieve the hierarchical division of associated semantics. Learning the semantic information of the text provides technical support
for causality identification. Based on the above considerations, we combine BERT technology and GCN graph neural network to
propose a new model called the causality extraction model based on a two-stage GCN. Different from
the traditional method, the proposed method identifies a potential causality between cascading causal
entities by two-stage inference of GCN and extracts it. The motivation is that the network can learn more
complex entity structures, capture more abundant local and non-local features and realize multi-hop
inference of entities. The model framework is shown in Figure 1, and the main contributions of this paper
can be summarized as the following two points. ⚫
Construction of causal entity candidate library. We use a combination of causal prior knowledge
and semantic data to extract causal entities from the corpus. 1 Introduction the framework of the two-stage GCN model
emotional intensity
calculation
Emotional
intensity phrases
candidate
library
sentiment
lexicon
Text
preprocessing
sort
weighted
average
noun
k-means clustering
algorithm
Construction of causality candidate lexicon
BERT
pre-training
The first stage GCN
causality
extraction
The second stage GCN
Entity nodes
edge
X1
X2
X3
X4
X1
X2
X3
X4
Input
hidden layer
classifier
Output
X1
X2
X3
X4
X1
X2
X3
X4
hidden
layer
X1
X2
X3
X4
Output
X1
X2
X3
X4
classifier
(S,R,O) Emotional
intensity phrases Text k-means clustering
algorithm Construction of causality candidate lexicon BERT
pre-training Input Output hidden layer en layer classifier X2 X3 X4 Output The advantage is that the two-stage GCN method can achieve better multi-hop relational inference and
identify more implicit cascade causality. The main contributions of this paper can be summarized as the
following two points : The advantage is that the two-stage GCN method can achieve better multi-hop relational inference and
identify more implicit cascade causality. The main contributions of this paper can be summarized as the
following two points : ⚫
Effective construction of causality candidate entity library. we take into account that causal
entities often have phrases with emotional polarities. Therefore, the candidate seed bank of causal
entity is constructed by emotional intensity, which is convenient for constructing entity knowledge
base through entity learning. ⚫
Strong reasoning of two-stage GCN. When the proposed method is used to construct the causal
relationship extraction model, to further strengthen the reasoning ability of the model, a two-stage
GCN reasoning model is introduced. ⚫
Strong reasoning of two-stage GCN. When the proposed method is used to construct the causal
relationship extraction model, to further strengthen the reasoning ability of the model, a two-stage
GCN reasoning model is introduced. This paper is organized as follows. Section 2 introduces the related work of relation extraction. Section
3 gives the method of building the causality entity library, and Section 4 shows the construction method
of the causality extraction model. Section 5 provides the experimental analysis of the model. Section 6
summarizes this article and future work. 2.1 Research on causality More and more scholars have paid attention to causality extraction in recent years. Dasgupta et al.[4]
uses complex formulas to represent causality annotates the cause, result, and causal connectives in
sentences through bidirectional long-term and short-term memory networks. It converts the whole
sentence into a words vector sequence and adds a language layer on Bi-LSTM to achieve good results. Zhang Shu et al.[5] consider the sequence information of long sentences because of the location
uncertainty of causal information. Therefore, word embedding [29] is used as the input feature to extract
causal events [34] based on the Bi-LSTM method. Silva Tharini et al. [6] compared the two methods. Based on the characteristics of knowledge and deep learning, the first group of experiments trained the
SVM-based causal relationship classification model on the features of semantic knowledge and selected
several different CNNs for experiments. Li et al. [7] introduced other vital features of causality to improve the performance of CNN by reducing
the dimension, considering that the construction of features requires a lot of engineering. An et al. [8]
extracted causality from the literature from the perspective of rules improved the syntactic pattern
matching method to simplify sentences and established a verb seed set to learn the characteristics of
verbs, and finally achieved good results. Chaveevan et al. [9]extracted causal relationships from web
documents, mainly extracting the causal path, using the causal path can explain or express some concepts,
using supervised learning method to improve the accuracy. Abbas et al. [10]aimed to extract causality
from biomedical literature and implemented and evaluated several commonly used models to reduce
class imbalances and improve the performance of models by random oversampling techniques. Duc et
al. [11] focused on the causality extraction of document-level texts and constructed a network. Fu et al. [22] proposed an event network. Shao et al. [12] proposed a BEL method to simplify sentences and
improve the accuracy of causality extraction by BERT. 2.2 Research on Graph Neural Network Xu et al. [13] introduced the commonly used graph convolution neural network in recent years,
introduced two typical graph convolution neural network methods, the general method and the spatial method, and described these two methods in detail. They also introduced various applications of graph
convolution neural networks. Bosselut et al. [14] transformed implicit knowledge into explicit knowledge
through the COMET model, established a commonsense knowledge base, and produced more high-
quality new knowledge. Experiments show that new knowledge can be inferred through knowledge
graphs. Zhu et al. [15] proposed a GP-GCNs to generate parameters for relation extraction and described
the embedding module, propagation module, and classification module in detail. GCN adjusted the
hyper-parameters in the process of propagation. Finally, qualitative analysis and quantitative analysis
were carried out. The model can be used for inferring relations through the multi-hop mechanism. Fu et al. [16] and others use relational weighted GCN to extract the relationship. This paper mainly
considers the text's sequential features and local features and uses a dependency structure for GCN to
learn the implicit features between all words in the text. The GCN model improves the prediction results
with high accuracy on public data sets. Ali et al. [17] extracted event information by dependency graph
and proposed an attention-based GCN to capture potential relationships between events. MHGCN
presented by Gao et al. [18] embeds entities in each view of GCN to realize cross-language entity pair
and supplement knowledge map. In addition to paying attention to the characteristics of entities
themselves, Gao et al. also considered the characteristics of relational semantics and entity attributes to
learn the structural features of entities better. Zhou et al. [19] used grammar dependence and GCN to
establish a commonsense knowledge map, and GCN could flexibly combine syntactic information into
emotion analysis tasks. Zhang et al. [20] used GCN learning to extract more accurate features. [25-27]
and [32] The effectiveness of convolutional neural networks is proved. Causality extraction[21] can quickly extract causal entities for explicit causality, but it often requires
inferring to extract causality for an implicit causality. The traditional GCN can learn the features of
adjacent nodes through the hidden layer to infer, and further inference is needed for the implicit causality
of a cascade. Therefore, this paper proposes a two-stage GCN to implement the cascade implicit causality
inference. 3.1 Data preprocessing The main tasks of data preprocessing include two aspects. One is to preliminarily screen the content
of the text, delete the valueless information or unify the sentence format. The second is to mark the
selected sentences. For example, causality pairs use cause phrases to represent a cause, and result phrases
mean an effect. Since this article involves sequence annotations, punctuation is also annotated as words
( labeled ' O ' ). The causality trigger words are not labeled. The causality extraction in this paper is not
limited to the explicit causal relationship with markers. The labeling example is shown in Figure 2. C
represents the cause, O represents the other, and E represents the effect. Figure 2. Sample causation annotation [Bacterial] and [comedonal debris] cause [acne pimples] or [pustales]. {[Bacterial],Cause-Effect,[acne pimples]}
Entity1:[Bacterial]
Entity2:[acne pimples]
{[Bacterial],Cause-Effect,[pustales]}
Entity1:[Bacterial]
Entity2:[pustales]
{[Bacterial],Cause-Effect,[acne pimples]}
Entity1:[comedonal debris]
Entity2:[acne pimples]
{[Bacterial],Cause-Effect,[acne pimples]}
Entity1:[comedonal debris]
Entity2:[acne pimples]
Sentence:
C
C
C
O
E
E
E
O
O
O
This paper aims to extract all the causality entity pairs, as shown in Figure 3. Figure 3. Examples of entity extraction
[Bacterial] and [comedonal debris] cause [acne pimples] or [pustales]. {[Bacterial],Cause-Effect,[acne pimples]}
{[Bacterial],Cause-Effect,[pustales]}
{[comedonal debris],Cause-Effect,[pustales]}
{[comedonal debris],Cause-Effect,[acne pimples]}
For example, in {[Bacterial], Cause-Effect,[ance pimples]}, the first entity represents the cause entity,
and the second entity represents the effect entity. The relationship is Cause-Effect, which makes up a
triple. [Bacterial] and [comedonal debris] cause [acne pimples] or [pustales]. {[Bacterial],Cause-Effect,[acne pimples]}
Entity1:[Bacterial]
Entity2:[acne pimples]
{[Bacterial],Cause-Effect,[pustales]}
Entity1:[Bacterial]
Entity2:[pustales]
{[Bacterial],Cause-Effect,[acne pimples]}
Entity1:[comedonal debris]
Entity2:[acne pimples]
{[Bacterial],Cause-Effect,[acne pimples]}
Entity1:[comedonal debris]
Entity2:[acne pimples]
Sentence:
C
C
C
O
E
E
E
O
O
O
This paper aims to extract all the causality entity pairs, as shown in Figure 3. Figure 3. Examples of entity extraction Figure 3. Examples of entity extraction
[Bacterial] and [comedonal debris] cause [acne pimples] or [pustales]. {[Bacterial],Cause-Effect,[acne pimples]}
{[Bacterial],Cause-Effect,[pustales]}
{[comedonal debris],Cause-Effect,[pustales]}
{[comedonal debris],Cause-Effect,[acne pimples]} For example, in {[Bacterial], Cause-Effect,[ance pimples]}, the first entity represents the cause entity,
and the second entity represents the effect entity. The relationship is Cause-Effect, which makes up a
triple. For example, in {[Bacterial], Cause-Effect,[ance pimples]}, the first entity represents the cause entity,
and the second entity represents the effect entity. The relationship is Cause-Effect, which makes up a
triple. 3.2 Extraction of causality candidate entities Because causality is usually a phrase with more significant emotional tendencies, this paper will
prioritize the emotional intensity of the words. The existing sentiment lexicon, such as the sentiment
lexicon of the Taiwan University of China and the HowNet sentiment lexicon of CNKI, are all familiar. In the field of corpus sentiment analysis, it is impossible to judge the emotional intensity of some specific
words accurately, so we need to build a corpus-oriented sentiment lexicon, as follows. (1) Data preprocessing, cleaning, and removing incomplete and repetitive data in the corpus. The
motivation is to ensure the corpus belongs to the same field. Stop words and special symbols are
processed by word segmentation. (2) The construction of the word vector model. We use the Word2Vec model in deep learning to
transform words into word vectors, which build the foundation for constructing the subsequent neural
network. (2) The construction of the word vector model. We use the Word2Vec model in deep learning to
transform words into word vectors, which build the foundation for constructing the subsequent neural
network. (3) The construction of a neural network. Through the dataset, we construct the corpus needed for
training. At the same time, the word vector model is used to convert words into vectors for neural network
training, and the emotional classifier is obtained finally. (3) The construction of a neural network. Through the dataset, we construct the corpus needed for
training. At the same time, the word vector model is used to convert words into vectors for neural network
training, and the emotional classifier is obtained finally. (4) Construction of domain sentiment lexicon. The sentiment lexicon is mainly composed of the
obtained sentiment lexicon and the candidate emotional words in the corpus field. The neural network
classifier is used to judge its sentiment polarity, and the required domain sentiment lexicon is obtained. This paper uses the neural network to construct a binary classifier of word emotion. It is known that This paper uses the neural network to construct a binary classifier of word emotion. It is known tha the training corpus is emotional words, and the corresponding label is the polarity of emotional words. Each emotional word is converted into a 100-dimensional word vector through Word2Vec, and the
judgment of the sentiment polarity of words belongs to the classification problem. Therefore, we use the
fully connected neural network to construct the classifier. 3.2 Extraction of causality candidate entities Step1: Determine the seed word set. According to the characteristics of the fields, the corresponding
selection criteria are formulated, and the words in the corpus are extracted as seed words and added into
the seed word set. Step2: Determine the set of candidate emotion words. The seed words are converted into the word
vector and calculated the vector of similarity formula (cosine similarity). N-words that are most similar
to each seed word are obtained as the candidate emotion words set. Step3: Use the trained classifier to judge the sentiment polarity of each candidate word. the
candidate words with sentiment polarity are integrated and added to the sentiment lexicon for specific
fields. As for the causality in the corpus field, it may be positive or negative emotions, so we consider more
about emotional intensity. Firstly, we calculate the emotional intensity of the causality, combined with
the emotional intensity of manual annotation in the comment text. Whether a word frequently appears in
the corpus and has strong sentiment polarity. When the conditions are met, it can be considered as a
candidate seed word. The emotional intensity is divided into four levels: level-0, level-1, level-2, and
level-3. The basis for the division mainly considers the following aspects: the completeness of
components, the weighted average of the emotional intensity of each word, and the frequency of words
that appears in the whole annotation corpus. Therefore, the following definition is given. Algorithm 1: Construction of the causality candidate library algorithm Input: Preprocessed text S = { S1, S2,..., Sn } Output: The candidate causality entity library L = { l1, l2,......, ln } 1.for i in Si,S = { S1, S2,..., Sn }: // select each sentence after preprocessing 4. sentence partition Set D = { D1, D2,... Dn } ; The specific examples of the causality candidate entity library are shown in Table 1. Table 1. examples of the causality candidate entity library
phrase
component
Weight
Emotional intensity
Account balance
subject
1
1
Accident year basis
subject
2
3
Abatement of tax
object
1.5
2 Definition 1: Emotional Intensity of Causality Entity (EICE) Definition 1: Emotional Intensity of Causality Entity (EICE) Emotional Intensity of Causality Entity is used to measure the emotional intensity of entity i in the
annotated corpus. The sentiment polarity intensity of the causality entity is calculated from the causal
word. With the help of the emotional intensity characteristics, the causality entity can be extracted more
accurately, as shown in Formula (1). i
i *
*
|
*
|
=
i
i
i
EIC
F
I
E W
(1) (1) where Fi represents the frequency of causal word i in the whole annotated corpus, Ii represents the
emotional intensity of causal word in the sentiment lexicon, and finally takes the absolute value. Ei
represents the composition of the causality entity in the corpus (subject, predicate, object, etc.). And Wi
represents the initial weight of the causality entity. The emotional intensity values calculated by Formula (1) can be used to establish a causality seed
lexicon, and appropriate weights can be given to causality entities with different emotional intensity
levels. The emotional intensity level is mapped to the range of 1-4, and the integer is selected
simultaneously. Therefore, the weights are 0.5, 1, 1.5, and 2, increasing by 1 for each ascending
emotional intensity level. On this basis, the K-means clustering algorithm is used to cluster the candidate
seed lexicon, and the candidate causality entity set is selected. The specific algorithm process is shown
as follows. Algorithm 1: Construction of the causality candidate library algorithm
Input: Preprocessed text S = { S1, S2,..., Sn }
Output: The candidate causality entity library L = { l1, l2,......, ln }
1.for i in Si,S = { S1, S2,..., Sn }: // select each sentence after preprocessing
2. for j in wi: //wi represents each word
3. calculated EICi ;
4. sentence partition Set D = { D1, D2,... Dn } ;
5. calculate the Avg (EICi) of each phrase Dt ;
6. select 2 Max (Dt) ;
7.for Dt in D : / / select phrases with strong polarity ;
8. if is noun : // judge whether this action is a noun
9. extracts co-exist in the causal candidate library L = { l1, l2,......, ln };
10. end for;
12.end
The specific examples of the causality candidate entity library are shown in Table 1 Algorithm 1: Construction of the causality candidate library algorithm 4.1 Screening of nodes and edges The representation of the reference node, candidate entity node, and meta-dependent path (MDP) node
is constructed. MDP represents a set of shortest independent paths full reference nodes in a sentence. The
representation of the candidate entity node is calculated as the average of the reference node and MDP
node. At the same time, the dependency edges constructed by the syntactic dependency graph and
semantic dependency graph are regarded as an adjacency matrix. The dependency syntactic graph created
is centered on the core verbs in the graph. Therefore, in the input text, each sequence component is a
node of the graph, and the dependency between words is the edge of the graph. In this paper, the HanLP
tool is used to realize the syntactic analysis and dependency syntax analysis, and it is obtained as shown
in Figure 4. Figure 4. Semantic dependency graph and dependency syntax graph Figure 4. Semantic dependency graph and dependency syntax graph [Bacterial] and [comedonal debris] cause [acne pimples] or [pustales]. SBV
ATT
LAD
COO
COO
VOB
VOB
LAD
ATT
(a)Dependency Syntax Graph
[Bacterial] and [comedonal debris] cause [acne pimples] or [pustales]. Agt
Poss
mPunc
Datv
Datv
mConj
Poss
(b)Semantic Dependency Graph
WP
Agt
SBV subject-verb
VOB verb-object
ATT attribute
COO coordinate
LAD left adjunct
WP punctuation
Agt agent
Poss possessor
Datv dative
mPunc punctuation marker
mConj recount marker
mConj
mResu
mResu
mResu event Result [Bacterial] and [comedonal debris] cause [acne pimples] or [pustales]. SBV
ATT
LAD
COO
COO
VOB
VOB
LAD
ATT
(a)Dependency Syntax Graph
[Bacterial] and [comedonal debris] cause [acne pimples] or [pustales]. Agt
Poss
mPunc
Datv
Datv
mConj
Poss
(b)Semantic Dependency Graph
WP
Agt
SBV subject-verb
VOB verb-object
ATT attribute
COO coordinate
LAD left adjunct
WP punctuation
Agt agent
Poss possessor
Datv dative
mPunc punctuation marker
mConj recount marker
mConj
mResu
mResu
mResu event Result 4.2 Pre-training Context word representation is usually trained on unstructured and unmarked texts that do not contain
clear semantics with real-world entities. So it usually cannot remember entities other than these entities Context word representation is usually trained on unstructured and unmarked texts that do not contain
clear semantics with real-world entities. So it usually cannot remember entities other than these entities. For each sentence, use the integrated entity linker to retrieve the relevant entity embedding and then
update the context word representation in the form of entity attention. The key idea is to model entities
explicitly and use an entity linker to retrieve relevant entity embeddings from the constructed entity
library. The motivation is to form knowledge-enhanced entity representation. The model is shown in
Figure 5. ure 5. Pre-training process
context
words vector
soft attention
hard attention
weighted sum
context embedding
entity context scores
embedding
embedding
mention related entities
related
eneityscores Figure 5. Pre-training process Figure 5. Pre-training process
context
words vector
CLS
E1
E2
E3
En
BERT
C
T1
T2
T3
Tn
soft attention
hard attention
weighted sum
context embedding
entity context scores
embedding
embedding
mention related entities
related
eneityscores
During BERT pre-training, each entity is represented by an exceptional identifier #. The task of
Masked LM is described as giving a sentence, randomly erasing one or several words, and predicting
what the words erased according to the remaining words are. Specifically, 15% of the words in a sentence
are randomly selected for prediction. 80% of the erased words are replaced by a special symbol [MASK],
10% of the words are replaced by an arbitrary word, and 10% of the words remain unchanged to predict Figure 5. Pre-training process CLS
E1
E2
E3
En
BERT
C
T1
T2
T3
Tn During BERT pre-training, each entity is represented by an exceptional identifier #. The task of
Masked LM is described as giving a sentence, randomly erasing one or several words, and predicting
what the words erased according to the remaining words are. Specifically, 15% of the words in a sentence
are randomly selected for prediction. 80% of the erased words are replaced by a special symbol [MASK],
10% of the words are replaced by an arbitrary word, and 10% of the words remain unchanged to predict During BERT pre-training, each entity is represented by an exceptional identifier #. 4.2 Pre-training a loss function of a classification problem in the sentence prediction task. 2
1
j 1
( ,
)=-
log (
| ,
),
[
,
]
=
=
N
MLM
i
i
L
p n
n
n
IsNext NotNext
(4) (4) Therefore, the joint learning loss function of the two tasks is : Therefore, the joint learning loss function of the two tasks is : 1
2
1
1
i 1
j 1
( ,
,
)
-
log (
| ,
)-
log (
| ,
)
=
=
=
=
=
M
N
BERT
i
i
L
p m
m
p n
n
(5) (5) In the pre-training process, the entity linker is used to link the causal entity library introduced in the
previous section, which is mainly divided into the following three sub-modules. In the pre-training process, the entity linker is used to link the causal entity library introduced in the
previous section, which is mainly divided into the following three sub-modules. (1) The candidate entity generation module. It is responsible for detecting the entity mention set M
(including all the entities mentioned in the input text) and finding the related entity set Em corresponding
to each entity mention m ∈ M from the given causality entity library. (2) Related entity ranking module. It is responsible for scoring and ranking multiple related entities
in the related entity set Em (each entity mentions m) and outputs the related entity with the highest score
as the entity link result of m. (2) Related entity ranking module. It is responsible for scoring and ranking multiple related entities
in the related entity set Em (each entity mentions m) and outputs the related entity with the highest score
as the entity link result of m. (3) Unlinkable mention prediction. It is responsible for predicting which entities mentioned in the
input text cannot be linked to the causality entity library. 4.2 Pre-training The task of
Masked LM is described as giving a sentence, randomly erasing one or several words, and predicting
what the words erased according to the remaining words are. Specifically, 15% of the words in a sentence
are randomly selected for prediction. 80% of the erased words are replaced by a special symbol [MASK],
10% of the words are replaced by an arbitrary word, and 10% of the words remain unchanged to predict During BERT pre-training, each entity is represented by an exceptional identifier #. The task of
Masked LM is described as giving a sentence, randomly erasing one or several words, and predicting
what the words erased according to the remaining words are. Specifically, 15% of the words in a sentence
are randomly selected for prediction. 80% of the erased words are replaced by a special symbol [MASK],
10% of the words are replaced by an arbitrary word, and 10% of the words remain unchanged to predict a word. The model does not know whether the words that embed the corresponding position are correct. So it can force the model to rely more on context information to predict words and give the model a
specific ability to correct errors. Multiple self-attention consists of three parts: query, key, and value, allowing each vector to focus on
other vectors. We train BERT to minimize the objective function that combines the next sentence
prediction ( NSP ) with masking LM logarithmic likelihood ( MLM ). g
g
1
2
1
2
( ,
,
)
( ,
)
( ,
)
=
+
BERT
NSP
MLM
L
L
L
(2) (2) where Θ is the encoder parameter in BERT. Θ2 is the parameter in the output layer connected to the
encoder in the Mask-LM task, and Θ1 is the classifier parameter associated with the encoder in the
prediction task. Therefore, in the first part of the loss function, if the masked word set is M and its size
is |V|, so it is also a multi-classification problem, then precisely loss function is formula (3).
1
1
i 1
( ,
)=-
log (
| ,
),
1,2,...,|
|
=
=
M
NSP
i
i
L
p m
m
m
V
(3) (3) It is also a loss function of a classification problem in the sentence prediction task. 4.3 Two-stage GCN In this section, we use two-stage training GCN. GCN mainly learns entity features and corresponding
relationship features in the first stage. GCN mainly considers implicit features between all entities and
further infers causality in the second stage. The first stage is GCN, and the original input is a sentence sequence. After BERT pre-training, the
entity node and edge are obtained. The first stage uses GCN to extract regional dependency features. The
principle of GCN is shown in Figure 6. Figure 6. The principle of GCN Output
Hidden Layer
Hidden Layer
Hidden Layer
ReLU
ReLU
ReLU
Intput Output
Hidden Layer
Hidden Layer
ReLU
ReLU Hidden Layer Hidden Layer In each layer, ReLU represents the feature activation function. In this paper, three hidden layers are
selected. In general, GCN accepts all the vertex feature messages transmitted from the former layer,
makes corresponding transformations, and adds them together. Finally, an activation function is used as
the output of this layer. For each hidden layer, there is formula (6). (
)
( )
1
Re
+
=
+
l
l
u
u
u N u
LU
Wh
b
h
(6) (6) Here, ℎ𝑢𝑙 Shows the features of word u in hidden layer l, including all the words transmitted
from word u and all the words introduced, including word u itself. W represents the weight. We
connect the output and input word features as the last word features. Firstly, each node sends its
feature information to neighbor nodes after transformation and extracts the feature information of
the node. This step is to integrate the local structural information of nodes, namely the sum operation
in the above formula (6) (for all neighbor nodes). And then do nonlinear transformation after
gathering the previous information to increase the expression ability of the model. The entity is predicted using the word features extracted from GCN, and the causality between
entities is extracted. The dependency edges are removed and all entities are predicted. Based on the
results of three hidden layers, entity causality is obtained. (
)
(
)
1
1
2
3
1
2
2
w ,
,
Re
=
r
r
w
r
w
ce w
S
W
LU W h
W h
(7) (7) (w1,r,w2)denotes the scores of entity pairs (w1,w2) obtained under causality. 4.3 Two-stage GCN When extracting
causal triples, the relationship between each word pair is judged and identified as causality as
possible. (w1,r,w2)denotes the scores of entity pairs (w1,w2) obtained under causality. When extracting
causal triples, the relationship between each word pair is judged and identified as causality as
possible. In the second stage GCN, the entities and relationships extracted in the first stage are not very
good for long-distance. Therefore, the second stage GCN is proposed to extract the implicit cascade
causalities for long-distance multi-hop inference. The second stage considers the implicit features
between all causal entities in the text so that the accuracy of the extraction is higher. In the first
stage, a complete correlation weighted graph is established for each pair of causality. Where (w1,
w2)is the weight of the edge to represent the probability that w1 and w2 entities are causalities. To
extract the causality between each entity pair more accurately, the GCN in the second stage should
carry out weighted propagation to achieve a more robust relationship prediction. The formula is
shown as (8) to propagate between hidden layers. (
) (
)
r
h
Re
P
,
+b
=
+
l+1
l
l
l
l
u
r
v
r
u
v V
LU
u v
W h
h
(8) (8) where Pr(u,v) denotes the weight with edge weight as edge, which indicates the probability that the
two entities w1 and w2 are causal, and Wr and br are the weight text of layer l of GCN hidden layer, which
excludes all words and all relationships. where Pr(u,v) denotes the weight with edge weight as edge, which indicates the probability that the
two entities w1 and w2 are causal, and Wr and br are the weight text of layer l of GCN hidden layer, which
excludes all words and all relationships. Finally, a threshold is set to extract causality entity pairs. If Pr(u,v)> 0.5, the entity pair is considered
to have a causality, and vice versa. The classification module takes the target entity pair (w1, w2) as input,
and we stack the embedding of (w1, w2) together to infer the underlying relationship between each pair
of entities. So we can obtain the causality of each pair of entities, as shown in formula 9. 14.End Algorithms 2, Steps 1-6 describe the algorithm process of GCN in the first stage, mainly learning
the local characteristics of nodes. Then construct a new graph. Steps 7-10 illustrate the process of the
GCN algorithm in the second stage. Steps 11-14 completed the extraction of causality triples and
improved extraction accuracy. 4.3 Two-stage GCN End for
11.Find cascaded causal entities;
12.Calculate Pr(wi,wj)
12.If Pr(wi,wj)>0.5
13. Extraction of causality triple (wi , cause-effect ,wj) Algorithm 2: Two-stage GCN algorithm
Input: G=(V,E), Entity
1
2
{
}
,
n
V
V V
V
=
,
, dependency edge
1
2
{
}
,
,
n
E
E E
E
=
Output: Causal entity triples (wi , cause-effect, wj)
1.For i in
1
2
{
}
,
n
V
V V
V
=
,
:
2. Calculate similarity( vi, vj ),learning features;
3. Propagation between hidden layers:
(
)
(
)
,
=
l
l
l
f H
A
d AH W
4. End for
5.If classifier Pr(wi,wj)>0.5:
6. causality (
)
,
,
−
i
j
v
cause
effect
v
;
7. Extract entities (
)
,
i
j
v
v
and relationships
−
cause
effect as a graph
8. Weighted graph
(
)
,
=
G
w e as input to the second phase GCN
9.For i in w,w={w1,w2,……,wn}:
10. Calculate similarity ( wi, wj ),learning features;
11. Propagation between hidden layers
(
)
(
)
,
=
l
l
l
f H
A
d AH W
;
10. End for
11.Find cascaded causal entities;
12.Calculate Pr(wi,wj)
12.If Pr(wi,wj)>0.5
13
Extraction of causality triple (wi cause effect wj) 2. Calculate similarity( vi, vj ),learning features; 3. Propagation between hidden layers:
(
)
(
)
,
=
l
l
l
f H
A
d AH W 10. Calculate similarity ( wi, wj ),learning features; 11. Propagation between hidden layers
(
)
(
)
,
=
l
l
l
f H
A
d AH W
; 11.Find cascaded causal entities; 13. Extraction of causality triple (wi , cause-effect ,wj) 4.3 Two-stage GCN (
)
(
)
(
)
1
2
r
1
2
w ,
,
P w ,
,
softmax
=
ce w
ce w
S
(9) (9) Here we use cross-entropy as the final classification loss function, as shown in formula 10. (
)
r
i
oss
log P w ,
,
=
j
s S i
j
L
ce w
(10) (10) S is a set representing a collection of all entities, Pr(wi,wj) denotes the probability that entities wi and
wj are causality. The entire two-stage GCN algorithm process is as follows. S is a set representing a collection of all entities, Pr(wi,wj) denotes the probability that entities wi and
wj are causality. The entire two-stage GCN algorithm process is as follows. S is a set representing a collection of all entities, Pr(wi,wj) denotes the probability that entities wi and
wj are causality. The entire two-stage GCN algorithm process is as follows. Algorithm 2: Two-stage GCN algorithm
Input: G=(V,E), Entity
1
2
{
}
,
n
V
V V
V
=
,
, dependency edge
1
2
{
}
,
,
n
E
E E
E
=
Output: Causal entity triples (wi , cause-effect, wj)
1.For i in
1
2
{
}
,
n
V
V V
V
=
,
: Algorithm 2: Two-stage GCN algorithm
Input: G=(V,E), Entity
1
2
{
}
,
n
V
V V
V
=
,
, dependency edge
1
2
{
}
,
,
n
E
E E
E
=
Output: Causal entity triples (wi , cause-effect, wj)
1.For i in
1
2
{
}
,
n
V
V V
V
=
,
:
2. Calculate similarity( vi, vj ),learning features;
3. Propagation between hidden layers:
(
)
(
)
,
=
l
l
l
f H
A
d AH W
4. End for
5.If classifier Pr(wi,wj)>0.5:
6. causality (
)
,
,
−
i
j
v
cause
effect
v
;
7. Extract entities (
)
,
i
j
v
v
and relationships
−
cause
effect as a graph
8. Weighted graph
(
)
,
=
G
w e as input to the second phase GCN
9.For i in w,w={w1,w2,……,wn}:
10. Calculate similarity ( wi, wj ),learning features;
11. Propagation between hidden layers
(
)
(
)
,
=
l
l
l
f H
A
d AH W
;
10. 5.1 Experimental setup 5.1 Experimental setup The datasets used are from open source databases SCIFI [28]、ECauSE Corpus2.0 [29]、CaTeRS [30]、
NYT [16]、WebNLG [16]. SCIFI contains a total of 1270 valid data, 1803 sentences in the ECauSE
Corpus2.0 corpus contain causality, and a third of them involve overlapping relationships. CaTeRS
annotates a total of 1600 sentences in 320 five-sentence short stories extracted from the ROCStories
corpus, which all contain causality. NYT and WebNLG are datasets for relation extraction, which contain
overlapping entity relations. Among them, NYT contains 1230 sentences with causality, and WebNLG
contains 1420 sentences. The dataset is mainly divided into a training set, test set, and verification set,
which are divided according to 8: 1: 1. The construction of the dataset is shown in Table 2. We use SCIFI
and NYT datasets to verify our method. Table 2. Dataset construction
Dataset
Train
Test
Verify
SCIFI
1443
127
127
ECauSE Corpus2.0
1016
180
180
CaTeRS
1280
160
160
NYT
984
123
123
WebNLG
1136
142
142
T
if
th
ff
t
f thi
d l
lit
t
ti
th
ifi
i
t l
ti
i Table 2. Dataset construction To verify the effect of this model on causality extraction, the specific experimental operation is as
follows. Step 1: The causality dataset is obtained. The open-source databases SCIFI, ECauSE Corpus2.0,
CaTeRS, NYT, and WebNLG are used for causality extraction. After denoising, 7323 sentences that are
conducive to causal analysis are selected. Step 2: Causal entity labeling. For the 7323 text sentences obtained, the causal entity labeling is
unified. For the entities appearing in the sentences, the special symbol # is used to mark them, such as
#entity#, and 7323 sentences with causal entity labeling are obtained. Step 3: Candidate causality entity. Extract causality entity from a corpus and put it into entity library Step4: Extract the causal entity triples from the obtained review text. The BERT pre-training is
used to convert the text with the semantics of each word into a word vector. At the same time, the entity
linker is added to the pre-training, which can better learn the entity word vector. Then the two-stage GCN
is used for feature learning. The first stage is to learn the local feature of the entity node, and the second
stage is to learn the global feature. The probability of each pair of causality entities satisfies the condition
for the threshold value. 5.1 Experimental setup To make the method more persuasive, we compare the models in many aspects. Firstly, the method is
tested on multiple datasets to illustrate the effectiveness of the causality extraction model. At the same
time, this paper also conducts comparative experiments on other baseline models. Including Bi-
LSTM+GCN, Bi-LSTM+CRF, 3-layers CNN, GP-GCNs, CNN+RNN, CNN+BiGUR+CRF [23], Bi-
LSTM+Attention. 5.2 Experimental analysis According to the above analysis, this paper did the following experiments. The GCN model directly extracts the causal triples. The Bi-LSTM context [24] coding is mainly to
improve the pre-training process. The CNN model is often used to learn local features and three layers
are selected here. GCN can learn long-distance relationship inference. The causality extraction model
based on two-stage GCN, Bi-LSTM+GCN, Bi-LSTM+CRF, 3-layer GNN, GP-GCNs, CNN+RNN, CNN+BiGUR+CRF are used. Bi-LSTM+Attention extracts causality from SCIFI and ECauSE
Corpus2.0 datasets and calculates the recall. Finally, the experimental results are compared, and the
specific experimental results are shown in Table 3. Table 3. Experimental result
Corpus
SCIFI
CaTeRS
P
R
F
P
R
F
Bi-LSTM+GCN
0.87
0.82
0.84
0.84
0.82
0.82
Bi-LSTM+CRF
0.85
0.81
0.83
0.82
0.80
0.81
3 layerCNN
0.88
0.84
0.86
0.83
0.81
0.82
GP-GCNs
0.90
0.88
0.89
0.85
0.83
0.84
CNN+RNN
0.80
0.77
0.78
0.77
0.75
0.76
CNN+
BiGUR+CRF
0.82
0.80
0.81
0.78
0.77
0.77
Bi-LSTM+Attention
0.81
0.80
0.80
0.76
0.74
0.75
Two-stage GCN
0.92
0.89
0.90
0.88
0.86
0.87 Table 3. Experimental result The results of table 3 show that based on the two-stage GCN causality extraction method for SCIFI
and CaTeRS datasets, it has a higher recall score. Contrast Bi-LSTM+GCN, Bi-LSTM+CRF, 3-layer
GNN, GP-GCNs, CNN+RNN, CN+BiGUR+CRF, Bi-LSTM+Attention, can be found with GP-GCNs in
SCIFI dataset recall is higher than other methods. For ECauSE Corpus2.0, NYT and WebNLG, due to many overlapping relationships, the overlapping
relationships are mainly divided into the following types, as shown in Table 4. Table 4. Relationship of overlapping entities
Entity pair overlap
Relation
Location
X
Y
intersection
The end of X equals the start of Y
X
Y
overlap
XY starts the same
X
Y
overlap
The end of XY is the same
X Y
intersection
The end of X equals the start of Y
X
Y
overlap
XY overlaps at a certain position
It can be seen from Table 4 that each overlapping entity needs to be inferred, and GCN can achieve
this inference. But the effect of using GCN only once is less than that of two-stage GCN, as shown
in Figure 7. Table 4. 5.2 Experimental analysis Relationship of overlapping entities
Entity pair overlap
Relation
Location
X
Y
intersection
The end of X equals the start of Y
X
Y
overlap
XY starts the same
X
Y
overlap
The end of XY is the same
X Y
intersection
The end of X equals the start of Y
X
Y
overlap
XY overlaps at a certain position
It can be seen from Table 4 that each overlapping entity needs to be inferred, and GCN can achieve
this inference. But the effect of using GCN only once is less than that of two-stage GCN, as shown
in Figure 7. Table 4. Relationship of overlapping entities Table 4. Relationship of overlapping entities It can be seen from Table 4 that each overlapping entity needs to be inferred, and GCN can achieve
this inference. But the effect of using GCN only once is less than that of two-stage GCN, as shown
in Figure 7. It can be seen from Table 4 that each overlapping entity needs to be inferred, and GCN can achieve
this inference. But the effect of using GCN only once is less than that of two-stage GCN, as shown
in Figure 7. Figure 7. Comparison learning ability of two-stage and one-stage GCN Figure 7. Comparison learning ability of two-stage and one-stage GCN One-stage GCN
Two-stage GCN One-stage GCN Two-stage GCN Two-stage GCN The number of layers of GCN is also an essential factor. To prove the influence of the number of layers,
we also compare the models of different layers. It can be seen from Figure 8. In the two datasets, the
second layer has the best effect. Although the impact of three layers is also good, the time of three layers
is significantly more than two layers. It shows that more layers are considered in the inference process
will lead to better performance, especially when there are more entities. Figure 8. Comparison of Layers of GCN Model Iterative Training
5
10
15
20
25
30
35
40
45
50
55
60
65
70
80
90
95
85
75
55
60
65
Val-acc(%)
One layer
Two layer
Three layer
The apparent two-stage training is better than the one-stage training in the model training. Taking Model Iterative Training Model Iterative Training The apparent two-stage training is better than the one-stage training in the model training. Taking
two datasets on SCIFI as examples, two examples of table 5. The apparent two-stage training is better than the one-stage training in the model training. Taking
two datasets on SCIFI as examples, two examples of table 5. Table 5. Two-stage GCN comparison Table 5. Two-stage GCN comparison Table 5. Two-stage GCN comparison
Sentence
The first stage GCN
The second stage GCN
Bacterial and comedonal
debris cause acne pimples
or pustales. (bacterial,C-E,acne pimples)
(bacterial,C-E,pustales)
(comedonal debris,C-E,acnepimples)
(comedonal debris,C-E,pustales)
(bacterial,C-E,acne pimples)
(bacterial,C-E,pustales)
(comedonal debris,C-E,acne pimples)
(comedonal debris,C-E,pustales)
(acne pimples,C-E,pustales)
The damages caused by
mudslides, tremors,
subsidence, superficial or
underground water were
verified, as well as
swelling clay soils. (mudslides,C-E, the damages)
(tremors,C-E, the damages)
(subsidence,C-E,acnepimples)
(mudslides,C-E, the damages)
(tremors,C-E, the damages)
(subsidence,C-E,acnepimples)
(superficial,C-E,acnepimples
(underground water,C-E,acnepimples)
The above experiments show that the cascade causality entity extraction relies not just on local features The above experiments show that the cascade causality entity extraction relies not just on local features but also needs an inference of global features. To get more comprehensive causal entities, each pair of
causality entity are judged. The above experiments prove the effectiveness of this method. 6 Conclusions For how to effectively extract causality, we propose a causality extraction model based on a two-stage
GCN. This model mainly uses two-stage GCN to extract causality and analyzes all causal entity triples
in the text. Especially the cascade implicit causality, to realize the deep extraction under semantic
enhancement. The contributions of this paper mainly include the following aspects. (1) The two-stage GCN has been proposed for entity relationship inferring. In the first stage, the local
features of adjacent entity nodes are learned, and in the second stage, the features of all nodes are
learned. The inferring of long-distance learning entities was carried out. Each pair of entities made
causality judgment, and more cascade causality was identified. (1) The two-stage GCN has been proposed for entity relationship inferring. In the first stage, the local
features of adjacent entity nodes are learned, and in the second stage, the features of all nodes are
learned. The inferring of long-distance learning entities was carried out. Each pair of entities made
causality judgment, and more cascade causality was identified. (2) The causal entity library has been constructed. In the pre-training, the entity linker was added to
find the three closest entities from the entity library so that the pre-training entity vector can learn
more features. At the same time, it can better learn the features of the entity. This paper introduced
the new concept of the difference coefficient of positive and negative corpus (DC-PNC) to judge
the sentiment polarity of words. To a certain extent, the combination of PMI and DC-PNC improved
the screening precision of new sentiment words. In the future, the method in this paper can be considered to be applied to all relational extraction texts. The causality extraction model based on two-stage GCN can help the software platform or relevant
departments to extract the causality effectively. It can carry out management measures or coping
strategies, help make the best decisions, and build the foundation for subsequent emotional analysis. Conflict of Interest: Author Guangli Zhu declares that she has no conflict of interest. Author Zhengyan Sun declares that she has no conflict of interest. Author Shunxiang Zhang declares that he has no conflict of interest. Author Kuan-Ching Li declares that he has no conflict of interest. Author Subo Wei declares that he has no conflict of interest. Author Guangli Zhu declares that she has no conflict of interest. Author Guangli Zhu declares that she has no conflict of interest. Author Zhengyan Sun declares that she has no conflict of interest. Author Shunxiang Zhang declares that he has no conflict of interest. Author Kuan-Ching Li declares that he has no conflict of interest. Author Subo Wei declares that he has no conflict of interest. Also this manuscript is approved by all authors for publication. I (Guangli Zhu) would like to
declare on behalf of all co-authors that the work described was original research that has not been
published previously. All the authors listed have approved the manuscript that is enclosed. Ethical approval: This article does not contain any studies with human participants or animals
performed by any of the authors. Informed consent: No humans or any individual participants are involved in this study. Availability of data and material: Data cannot be available for privacy reasons. Availability of data and material: Data cannot be available for privacy reasons. References [1] Zhang Shunxiang, Hu Zhaoya, Zhu Guangli, Jin Ming, Li Kuan-Ching. (2021) Sentiment
classification model for Chinese micro-blog comments based on key sentences extraction. Soft
Computing. Vol.25, pp.463-476 [2] Liu Wenting, Zhu Guangli, Zhang Shunxiang. (2021) The method for extracting new login
sentiment words from Chinese micro-blog basedf on improved mutual information. Advances in
Intelligent Systems and Computing. Vol.1017, pp.1394-1403. [3] Xu Zheng, Zhang Shunxiang, Choo Kim-Kwang Raymond, Mei Lin, Wei Xiao, Luo Xiangfeng,
Hu Chuanping, Liu Yunhuai. (2017) Hierarchy-cutting model based association semantic for
analyzing domain topic on the web. IEEE Transactions on Industrial Informatics. Vol.13, No.4,
pp.1941-1950. [4] Dasgupta Tirthankar, Saha Rupsa, Dey Lipika, Naskar Abir. (2018) Automatic extraction of causal
relations from text using linguistictally informed deep neural networs. Proceedings of the SIGDIAL
2018 Conference, Melbourne, Australia, July, 2018, pp.306 -316. [5] Zhang Shu, Zheng Dequan, Hu Xinchen, Yang Ming. (2015) Idirectional long short-term memory
networks for relation classification. 29th Pacific Asia Conference on Language, Information and
Computation(PACLIC), Shanghai, China, October 30-November 1, 2015, pp.73-78. [6] Silva Tharini N DE, Zhibo Xiao, Rui Zhao, Kezhi Mao. (2017) Causal relation identification using
convolutional neural networks and knowledge based features. World Academy of Science. Vol.11,
No.6, pp.697-702. [7] Li Pengfei, Mao Kezhi.( 2019) Knowledge-oriented Convolutional Neural Network for Causal
Relation Extraction from Natural Language Texts. Expert Systems With Applications. Vol.115,
pp.512-523. [8] An Ning, Xiao Yongbo, Yuan Jing, Yang Jiaoyun, Gil Alterovitz. (2019) Extracting causal relations
from the literature with word vector mapping. Computers in Biology and Medicine. Online, 27
November, 2019, Vol.115, pp.103524. [9] Pechsiri Chaveevan, Piriyakul Rapepun. (2021) Causal pathway extraction from web‑board
documents. Applied Sciences-Basel. Online, 3 November, 2021, Vol.11, No.21, pp.10342. [10] Abbas Akkasi, Mari-Francine Moens. (2021) Causal relationship extraction from biomedical text
using deep neural models: A comprehensive survey. Journal of Biomedical Informatics. Online,
May 24, 2021, Vol.119, pp.103820. [11] Duc-ThuanVo, Feras Al-Obeidat, Ebrahim Bagheri. (2020) Extracting emporal and causal relations
based on event networks. Information Processing & Management. Online, June 20, 2020, Vol.57,
No.6, pp.102319. [12] Shao Yifan, Li Haoru, Gu Jinghang, Qian Longhua, Zhou Guodong. (2021) Extraction of causal
relations based on SBEL and BERT model. Database. Open Access, Vol.2021,pp.1-12. [13] Xu Bingbing, Cen Keting, Huang Junjie, Shen Huawei, Cheng Xueqi. (2020) Overview of graph
convolution neural network. Journal of Computer Science.Vol.43, No.5, pp.755–780. [14] Bosselut Antoine, Rashkin Hannah, Sap Maarten, Malaviya Chaianya, Celikyilmaz, Choi Yejin. References COMET: commonsense transformers for automatic knowledge graph construction. Proceedings of
the 57th Annual Meeting of the Association for Computational Linguistics, Florence, Italy, July 28-
August 2, 2019, pp.4762-4779. [15] Zhu Hao, Lin Yankai, Liu Zhiyuan, Fu Jie, Chua Tat-seng, Sun Maosong. Graph neural networks
with generated parameters for relation extraction. Proceedings of the 57th Annual Meeting of the
Association for Computational Linguistics, Florence, Italy, July 28-August 2, 2019, pp.1331-1339. [16] Fu Tsu-Jui, Li Peng-Hsuan, Ma Wei-Yun. GraphRel: Modeling text as relational graphs for joint
entity and relation extraction. Proceedings of the 57th Annual Meeting of the Association for
Computational Linguistics, Florence, Italy, July 28-August 2, 2019, pp.1409-1419. [17] Ali Balalia, Masoud Asadpoura, Ricardo Camposb, Adam Jatowt. (2020) Joint event extraction
along shortest dependency path susing graph convolutional networks. Knowledge-Based Systems,
Online, October 1, 2020, Vol.210, pp.106492. [18] Gao, Jianliang, Liu, Xiangyue, Chen, Yibo, Xiong, Fan. (2022) MHGCN: Multiview highway graph
convolutional
network
for
cross-lingual
entity
alignment. Tsinghua
Science
and
Technology.Vol.27,No.4, pp.719-728. [19] Jie Zhou, Jimmy Xiangji Huang, QinminVivian Hu, Liang He. (2020) SK-GCN: Modeling syntax
and knowledge via graph convolutional network for aspect-level sentiment classification. Knowledge-Based Systems. Online, July 17, 2020, Vol.205, pp.106292. [20] Zhang Jinming, Hu Xiangyun, Dai Hengming. (2020) A graph-voxel joint convolution neural
network for ALS point cloud segmentation. IEEE Access, Vol.1, No.8, pp.139781-139791. [21] Wang Zhujun, Wang Shi, Li Xueqing, Zhu Junwu. (2021) An overview of event causality extraction
based on deep learning.Computer applications. Vol.41, No.5, pp.1247-1255. [22] Fu Jianfeng, Liu Zongtian, Liu Wei, Zhou Wen. (2011) Event causal relationship extraction based
on the stratified conditional random field. Pattern recognition and artificial intelligence. Vol.24,
No.4, pp.567–573. [23] Zheng Qiaofen, Wu Zhendong, Zou Junying. (2021) Event causality extraction method based on
double CNN-BiGRU-CRF model.Computer engineering. Vol.47, No.5, pp.58-64,72. [24] Peters E. Matthew, Neumann Mark, Logan Robert, Schwartz Roy, Joshi Vidur, Singh Sameer,
Smith A. Noah. (2019) Knowledge enhanced contextual word representations. Proceeding of 9th
International Joint Conference on Natural Language Processing(IJCNLP), Suzhou, China ,
December 4-7, 2019 ,pp.43-54. [25] Zhao Haochen, Li Yaohang, Wang Jianxin. (2021) A convolutional neural network and graph
convolutional network-based method for predicting the classification of anatomical therapeutic
chemicals. Bioinformatics. Vol.37, No.18, pp.2841-2847. [26] Xu Chang, Tao Dacheng, Zhang Xikun, Tian Xinmei. (2020) Graph edge convolutional neural
networks for skeleton-based action recognition. IEEE Transactions on Neural Networks and
Learning Systems.Vol.31, No.8, pp.3047-3060. [27] Huan Lei, Naveed Akhtar, Ajmal Mian. References (2021) Spherical kernel for efficient graph convolution on
3D point clouds. IEEE Transactions on Pattern Analysis and Machine Intelligence.Vol.43, No.10,
pp.3664-3680. [28] Li Zhaoning, Li Qi, Zou Xiaotian, Ren Jiangtao. (2021)Causality Extraction based on Self-Attentive
BiLSTM-CRF with Transferred Embeddings. Neurocomputing, Online, October 24 , 2020, Vol.423,
pp.207-219. [29] Dunietz Jesse, Levin S. Lori, Carbonell G. Jaime. (2017) The BECauSE Corpus 2.0: Annotating
Causality and Overlapping Relations. LAW 2017-11th Linguistic Annotation Workshop,
Proceedings of the Workshop, Valencia, Spain, April 3, 2017, pp.95-104. [30] Mostafazadeh Nasrin, Grealish Alyson, Chambers Nathanael, Allen F. James, Vanderwende Lucy. (2016) CaTeRS: Causal and temporal relation scheme for semantic annotation of event structures. Conference of the North American Chapter of the Association for Computational Linguistics:
Human Language Technologies(NAACL-HLT) San Diego, California, June 17, 2016, pp.51-61. [31] O'Gorman Tim, Wright-Bettner Kristin, Palmer Martha. (2016) Richer Event Description:
Integrating event coreference with temporal, causal and bridging annotation. Proceedings of the 2nd
Workshop on Computing News Storylines, Austin, TX, November 5, 2016, pp. 47-56. [32] Suruchi Chawla. (2021) Application of convolution neural network in web query session mining
for personalised web search. International Journal of Computational Science and Engineering. Vol.24, No.4, pp.417-428. [33] Xu Kai, Wang Peng, Chen Xue, Luo Xiangfeng, Gao Jianqi. (2021) Causal event extraction using
causal event element-oriented neural network. International Journal of Computational Science and
Engineering. Vol.24, No.6, pp.621-628. [34] Wu Zhihuan, Gao Yongming, Li Lei, Xue Junshi, Li Yuntao. (2019) Semantic segmentation of
high-resolution remote sensing images using fully convolutional network with adaptive threshold. Connection Science. Vol.31, No.2, pp.169-184. [35] Hu Junjie, Wang Zhanquan, Chen Jiequan, Dai Yonghui. (2021) A community partitioning
algorithm based on network enhancement. Connection Science. Vol. 33, No.1, pp.42-61.
|
https://openalex.org/W3167044930
|
https://www.researchsquare.com/article/rs-510521/latest.pdf
|
English
| null |
Novel Polishing Media for Finishing Hip Joint Implants
|
Research Square (Research Square)
| 2,021
|
cc-by
| 33
|
Keywords: License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Page 1/2 Abstract The authors have requested that this preprint be removed from Research Square. Page 2/2
|
W2316104686.txt
|
https://zenodo.org/records/2400098/files/article.pdf
|
de
|
Über die kausalen und verständlichen Zusammenhänge nach Jaspers
|
Zeitschrift für die Gesamte Neurologie und Psychiatrie
| 1,921
|
public-domain
| 9,531
|
~ber die kausalen und verst~indlichen Zusammenh~inge nach
Jaspers.
Von
Dr. J. H. van der Hoop (Amsterdam).
(Eingegangen am 15. Februar 1921.)
In der letzten Zeit haben mehrere Forscher sich der Aufgabe gewidmet, in die Grundlagen und Methoden der Psychologie und der
Psychiatric Klarheit zu bringen. Dies daft als eine erfreuliche Erscheinung begrfil~t werden, da viele Widersprfiche und Unklarheiten nur
auf diesem Wege zu einer befriedigenden LSsung gebracht werden
kSnnen. Insbesondere hat J a s p e r s sieh durch sein Buch fiber ,,Allgemeine Psychopathologie", in welchem er alle Probleme auf diesem
Gebiet zuerst zu einem tibersiehtlichen Ganzen zusammenfa~t, verdient gemacht. Ffir den Psychiater ist dieses Buch yon unschitzbarem
Werte, da Begriffe, die in der Praxis wohl einmal zu verwischen drohen,
hier deutlieh ausgearbeitet und scharf nebeneinandergestellt sind.
Ungeachtet der grol~en Schi~tzung, die ich der Jaspersschen Arbeit entgegenbringe, glaube ich doch, da[~ seine Ansichten in einigen Punkten
scharfe Kritik hervorrufen und eine Quelle endloser Verwirrung f fir
die psyehologischen Wissensehaften bilden kSnnen.
I~er wesentlichste Punkt, in welchem eine Abweichung yon der
Jaspersschen Ansicht mSglieh ist, wird yon seiner fundamentalen
Unterscheidung wrstiindlicher und kausaler Beziehungen in der Psychologie gebildet. J a s p e r s formuliert diese beiden Begriffe folgendermaI3en (S. 170) : ,,Durch H i n e i n v e r s e t z e n in Seelisehes v e r s t e h e n
w i t g e n e t i s e h , wie Seelisches aus Seelischem hervorgeht. Durch
o b j e k t i v e Verknfipfung mehrerer Elemente zu l%egelmi~l~igkeitenauf
Grund w i e d e r h o l t e r Erfahrungen e r k l i i r e n wir k a u s a l . "
Am bequemsten wird es sein, jede dieser Formulierungen erst gesondert zu betrachten im Zusammenhang mit der yon J a s p e r s damit
verkniipften Wirkung, um danach den Gegensatz zu behandeln. Die
Definition der Kausalitiit ist bei J a s p e r s nicht nigher ausgearbeitet;
wohl aber setzt er spi~ter auseinander, dai~ der Begriff Ursache in den
Wissenschaften in versehiedenem Zusammenhange gebraueht wird.
Er schreibt (S. 235): ,,Man sieht, dai~ der Begriff der ,,Ursaehe" ein
vieldeutiger ist. Er umfai~t die bloi~e Bedingung, die auslSsende Ver-
10
J. iI. van der Itoop:
anlassung und die entscheidend wirksame Kraft. Man spricht yon
Ursache, wenn aueh nur mSglicherweise yon ihr die bestimmte Wirkung
ausgeht, und wenn diese Wirkung sicher, unvermeidlich eintritt; yon
Bedingung, wenn es sich um fSrdernde Umsti~nde und wenn es sieh
um eine conditio sine qua non handelt. Ja, man hat oft von mitwirkenden Faktoren fiir das Zustandekommen einer Psychose gesprochen,
wenn diese Psychose auch ganz ohne jene Faktoren eintritt.
Das Gemeinsame aller kausalen Zusammenhi~nge ist nur, dab in
i h n e n etwas Unversti~ndliches uns als notwendig klar wird."
Wenn wir diesen Ausspruch neben die erst gegebene Definition
stellen, dann finden wit hier eher V e r ~ r r u n g als n~here Verdeutlichung. Allerdings legt J a s p e r s seine Auffassung yon kausaler Erkli~rung an einer andern Stelle nigher dar, indem er sagt (S. 171):
,,In der Naturwissenschaft suchen wir nut e i n e Art yon Zusammenhi~ngen zu erfassen: Kausalzusammenhi~nge. Wir suchen dureh Beobaehtungen, durch Experiment oder durch Sammeln vieler Fi~lle,
R e g e l n des Geschehens zu finden. Auf hSherer Stufe linden wit
G e s e t z e und erreichen in manchen Gebieten der Physik und Chemie
das Ideal, diese Kausalgesetze in K a u s a l g l e i c h u n g e n mathematisch
zum Ausdruck bringen zu kSnnen. Dieselben Ziele verfolgen wir a u c h
in der Psychopathologie. Wir finden ei nz el ne Kausalzusammenhi~nge,
deren Regelmi~Bigkeit wir noch nicht einmal erkennen kSnnen (z. B.
zwischen Augenerkrankungen und Halluzinationen). Wir linden R e g e l n (z. B. die Regel der gleichartigen Vererbung: wenn Krankheiten
der Gruppe des manisch-depressiven Irreseins in einer Familie vorkommen, so kommen in derselben Familie sehr selten solche aus der
Dementia praecox-Gruppe vor und umgekehrt). Wir finden aber nur
selten G e s e t z e (z. B. keine Paralyse ohne Syphilis), und niemals
k6nnen wir Kausalgleiehungen wie die Physik und Chemie aufstellen."
Obwohl J a s p e r s also deutlich Unterschiede in den kausalen Beziehungen unterscheidet, vermissen wir bei ihm eine deutliche Auseinandersetzung der Ursachen hierfiir. Und doch scheint es mir durchaus notwendig, in diese Momente" zwecks Unterscheidung zwischen
kausalen und versti~ndlichen Zusammenhi~ngen einen klaren Einblick
zu haben.
Wenn wir noch einmal zusammenzufassen suchen, was J a s p e r s
mit seiner Darlegung meint, dann finden wir, dab er zwar nut e i n e
Art kausalen Zusammenhangs sieht, aber dab er einen graduell sehr
groBen Unterschied in der Weise erkennt, in welcher das Kausaliti~tsprinzip in wissenschafthcher Gesetzmi~gigkeit verwirklicht wird. Worauf beruht dieser Untersehied ? Offenbar auf der Weise, in weleher
die einmal aufgestellte kausale Beziehung an Hand der Erfahrung
gepriift wird und gepriift werden kann. Ein Zusammenhang bedarf
~'ber die kausalen und verstiindliehen Zusammenhiinge nach Jaspers.
ll
n~mlich, um als kausaler Zusammenhang betrachtet zu werden, nicht
erst eines Beweises aus der Effahrung. Es genfigt, dab er aus der Erfahrung abgeleitet ist und ihm dann eine allgemeingfiltige Gesetzm~Bigkeit zuerkannt wird. Wenn ein Wilder den Tod seines H~uptlings dem
Umstande zuschreibt, da[3 ein Kriegsschiff vor einem Monate seine
Insel besuchte, dann kSrmen wir den Zusammenhang zwischen diesen
beiden Tatsachen nicht anders als einen kausMen betrachten, wenn
wir auch die Giiltigkeit dieses Zusammenhanges nicht anerkennen.
Wit miissen also den aus der Erfahrung a b g e l e i t e t e n kausalen
Zusammenhang yon den aus der Erfahrung b e w i e s e n e n Zusammenhang unterscheiden und uns dabei gleichzeitig vergegenwi~rtigen, dab
der Beweis verschiedene Grade yon Vollst~ndigkeit zul~Bt. Hieraus
folgt also schon, dab der kausale Verband, um als solcher bezeichnet
zu werden, nicht der Grundlage w i e d e r h o l t e r Erfahrung bedarf,
wenn auch in vielen F~llen die wiederholte Erfahrung dem Voraussetzen des Verbandes vorangehen wird. Eine n~here Untersuehung
dieses Problems lehrt, dab m a n (auch in den Naturwissenschaften)
nieht nur dann Kausalverband zwischen A und B annimmt, wenn B
wiederholt nach A auftritt, sondern auch, wenn bei willkfirlicher Einffihrung yon A unmittelbar B erscheint (auch wenn dies nur einmal
beobachtet wurde). Wenn man bei einem Experiment eine vorausgesetzte Erscheinung V nicht auftreten sieht bei Vorhandensein der
Faktoren a b c und d, wohl abet bei willkiirlicher Einfiihrung des
Faktors e, dann darf man einen Kausalverband zwischen e und V
annehmen, auch falls dieser Verband nur einmal konstatiert wurdel).
Hieraus folgt, dab fiir das Aufstellen eines kausalen Zusammenhanges
wiederholte Erfahrung nicht absolut erforderlich ist.
Worin besteht nun der Untersehied in der Gesetzmi~13igkeit der
kausalen Verb~nde schlechthin, der l~egeln und der Gesetze ? Offenbar
in der Art und Weise, wie die kausale Beziehung durch wiederholte
Erfahrung besti~tigt ist. Hieriiber kSnnen wir die beste Belehrung erhalten durch eine auBerordentlieh klare Auseinandersetzung, die
H e i j r o a n s in seinem Vortrage: ,,Die Geschiehte als Wissenschaft2) ''
hieriiber gegeben hat. H e i j m a n s zeigt in diesem Vortrage, dab wir
zweierlei Art Wissensehaften zu unterscheiden haben: a b s t r a k t e und
konkrete
Wissenschaften.
Die abstrakten Wissenschaften besch~tftigen sich mit den elementaren Erscheinungen: ,,Sie fassen, wie
Physik und Chemie unter den Naturwissensehaften, wie Psychologie
1) Werm dies mSglich ist, wird dig Wissenschaft dann natiirlich dutch Wiederholung des Experimentes den angenommenen Kausalverband n~iher untersuchen,
um das zufs
Zusammentreffen von e und V auszusch]iel3en.
~) Verslagen en Mededeelingen der Kon. Academie van Wetenschappen. Afd.
Letterkunde. 4 Reeks 8 Deel, 2 Stuk.
12
J. It. van der Hoop:
unter den Geisteswissenschaften, jedesmal nur e i n e Seite (Gravitation,
Licht, Chemismus-Wahrnehmung, Assoziation, Geffihl) ins Auge; und
yon ihnen gilt in der Tat, dab sie sich ausschlieBlich oder wenigstens
in erster Linie zum Ziele stellen, die Gesetze zu entdecken, welche diese
e i n e Seite der Wirklichkeit beherrscht. Aber neben dieser g e n e r a l i s i e r e n d e n U n t e r s u c h u n g in den abstrakten steht fiberall die erk l a r e n d e U n t e r s u c h u n g in den konkreten Wissenschaften. Diese
konkreten Wissenschaften, zu denen u . a . Astronomic und Geologie,
Philologie und Geschichte" -- und ich kann hinzufiigen : auch ein groBer
Teil der Psychopathologie -- ,,gehSren, liefern auf jedem Gebiet die
unentbehrliche Erganzung der abstrakten Wissenschaften. Haben
diese uns die Elementargesetze kennen gelehrt, die sich in einer bestimmten Gruppe yon Erscheinungen manifestieren, dann suchen jene uns
eine Antwort auf die l~'age zu geben, wie die einzelnen Erscheinungen
j ener Gruppe in der Gesamtkomplikation, in welcher sie uns gegeben sind,
nach jenen Gesetzen aus ihren Antizidenzien entstanden sind, womit
dann schon gesagt ist, dab ftir sie n i c h t die besonderen Tatsachen
Mittel und die allgemeinen Gesetze Zweek, sondern umgekehrt die
besonderen Tatsachen Zweck und die allgemeinen Gesetze Mittel sind.
So kann man nicht sagen, dab der Astronom sieh zum Ziele stelle,
die mechanischen Gesetze, das Gravitationsgesetz, die Gesetze des
Lichtes festzustellen oder selbst zu priifen; er iibernimmt vielmehr die
Gesetze vom Physiker und berechnet nur die Weise, in welcher nach
ihm die wirkenden Ursaehen, in bestimmten Zusammenhangen auftretend, eine gegebene Erscheinung hervorbringen. Ebenso sind fiir den
Geologen die physischen und chemischen Gesetze nieht Ziel, sondern
Mittel: Mittel, um Reehenschaft zu geben yon dem Auftreten bestimmter Erseheinungen in der Erdkruste, die meistens, so wie sie gegeben sind und erklart werden miissen, nicht mehr als einmal vorkommen. In diesen Fallen wird daher bei der Untersuchung wohl die
Giiltigkeit allgemeiner Gesetze angenommen, aber dasjenige, worauf
sich die Untersuchung richtet, ist eine besondere Tatsache, deren Zusammenhang mit vorangehenden ebenfalls besonderen Tatsachen deutlieh gemacht werden muB."
Es besteht also ein Unterschied zwischen demjenigen, was man
unter kausaler GesetzmaBigkeit versteht, bei den abstrakten und den
konkreten Wissensehaften. Bei den ersteren, welche die Elementarerseheinungen studieren, hat man jedesmal mit einigen wenigen Ursachen zu tun, die also in der Zusammenwirkung wohl wiederholt
auftreten werden und die auBerdem in dem Experiment meistens
ziemlich gut reproduziert werden kSnnen. Die Wiederholungen sind
v611ig identisch und gestatten eine genaue Voraussage. Bei den konkreten Wissenschaften ]iegen immer sehr zusammengesetzte Prozesse
(~ber die kausalen und verstandlichen Zusammenhangenach Jaspers.
13
vor, die aus einer groften Anzahl Ursachen entstanden sind. Die Aussicht auf Wiederholung derselben Ursachen in derselben Kombination
ist oft aufterst gering, und gleichzeitig ist deren Reproduktion in einem
Experiment haufig unmSglich. Dabei ist genaue Vorhersage meistens
ausgesehlossen, weil die Zusammenwirkung der verursaehenden Faktoren zu einer komplizierten Erseheinung sich oft nicht zu einem Gesetz
abstrahieren l~tBt.
Man hat also in den Wissenschaften zwei Dinge zu unterscheiden:
1. das Bestatigen und Beweisen des kausalen Zusammenhanges als
allgemein geltende Gesetzma$igkeit und 2. das Zuriickfiihren zusammengesetzter Erscheinungen auf die best~tigten und bewiesenen
kausalen Relationen, wobei auch neue kausale Zusammenh~nge als
ttypothesen aufgestellt werden k6nnen. Dieser Unterschied ist graduell,
nieht essentiell; denn einerseits sind z. B. die Gesetze der Physik und
Chemie doeh nicht absolut, undes ist deren Giiltigkeit nicht unter alien
Umst~nden bewiesen. Andererseits wird bei zunehmender Erfahrung
oft die M6gliehkeit geschaffen, kausale Beziehungen, die erst a11ein
aus der einzelnen Erfahrung abgeleitet waren, auch zu best~ttigen und
zu beweisen.
Wenn man die kausale Gesetzm~Bigkeit auf diejenigen F~lle besehranken wollte, in denen vollkommen identisehe Wiederholungen
einer Erscheinung gegeben sind, dann wiirde man damit fraglos die
gebr~tuchlichen Auffassungen yon Gesetzmi~ftigkeit vSllig umstoften.
Der grSl~te Tell der medizinisehen Wissenschaft wiirde dann z. B. aul~erhalb der kausalen Gesetzm~Bigkeit fallen.
Somit mSchte ich denn die Formulierung Jaspers' in der Weise
andern, daft keine , , w i e d e r h o l t e " Erfahrung ffir eine kausale Erkli~rung erforderlich ist und gleichzeitig mSehte ich bezfiglieh der
kausalen Gesetzm~ftigkeit noeh etwas hinzuffigen. DiG Definition
wiirde dann lauten: Dureh objektive Verbindung verschiedener Elemente zu Regelm~ftigkeiten auf Grund yon Erfahrung erkli~ren wir
kausal. Die Wissensehaften best~tigen und beweisen einerseits die
allgemeine Giiltigkeit der kausalen Zusammenhi~nge durch Wiederholung
der Erfahrung, ftihren andererseits die einzelnen Erseheinungen auf
best~tigte kausale Gesetzm/iftigkeit zuriick und stellen neue kausale
Beziehungen auf.
Ehe ich zu den verstiindliehen Zusammenhi~ngen iibergehe, muft ich
erst noeh auf einen Irrtum hinweisen, der wahrscheinlieh eigentlich
mehr einer Nachli~ssigkeit Jaspers' zuzusehreiben ist, als daft letzterer
diesen wirklich sollte aufrechterhalten wollen. Wir haben gesehen,
da$ J a s p e r s schreibt: ,,In der Naturwissenschaft suchen wir nur
ei ne Art yon Zusammenhhngen zu erfassen: Kausalzusammenh~nge."
Diesem stimme ich, sower dadureh das S t r e b e n der Naturwissen-
14
J . H . van der Hoop:
schaft angegebcn wird, zu. Etwas anderes ist es aber, wenn J a s p e r s
etwas spater (S. 171) erklart, daf3 in der Naturwissenschaft nur Kausalzusammenhange gefunden werden kSnnen. Denn selbst, wenn wir die
Kausalitat in ihrer allgemeinsten Form betrachtcn, kSnnen wir nicht
jeden Zusammenhang in der Naturwissenschaft kausal nennen. Dann
wfirde die einfache Beschreibung einer beobachteten Tatsaehe, bei
der nicht von Ursache oder Folge die Rede ist, aui3erhalb des Rahmens
der Naturwissenschaft fallen. Gerade in der medizinischen Wissenschaft
haben wir noch viele Falle, in denen die Wissenschaft noch nicht fiber
das Fixieren des einfach erlebten Zusammenhanges hinausgeht. In der
Biologie tritt dies ebcnfalls stark hervor. Ursprfinglich war alle Wissenschaft zur Hauptsache beschreibend, und es spielten kausale Zusammenhange darin nur eine geringe I~olle. Wir miissen also neben den kau.
salen Zusammenhang noch den einfach erlebtcn wahrgenommenen
Zusammenhang stcllen.
Wenden wir uns nun zu der l~ormulierung der verstandlichen Zusammenh/~nge: ,,Durch tIineinversetzen in Scelisches verstehen wir
genetisch, wie Scclisches aus Seelischem hervorgeht." Wenn wir nun
bei J a s p e r s nach der nahercn Erlauterung dieser Formulierung suchen,
dann werden wir durch eincn Mangel an Klarheit enttauscht: Statt
dessen finden wir yon Anfang an starke Suggestion in dcr l~ichtung
dessen, was er bewcisen will. Er schreibt (S. 171): ,,Wahrend in der
Naturwissenschaft n u r (!) Kausalzusammenhange gefunden werden
k6nnen, finder in der Psychologie das Erkennen noch in dem Erfassen
einer ganz a n d e r c n Art yon Zusammenhangcn seine Befriedigung.
Seelisches ,geht' aus Seelischem in einer ffir uns verstandlichen Weise
,hervor'. Der Angegriffene wird zornig und macht Abwehrhandlungen,
der Betrogene wird mil3trauisch usw. Dieses Auseinanderhervorgehen
des Seelischen aus Seelischem v e r s t e h e n wir g e n e t i s c h . "
,,Die E v i d e n z des genetischen Verstehens ist etwas Letztes. Wenn
N i e t z s c h e uns fiberzeugend verstandlich macht, wie aus dem Bewul~t,
sein yon Schwache, Armseligkeit und Leiden moralische Prinzipien,
moralische Forderungen und ErlSsungsreligion entspringen, weft die
Seele auf diesem Umweg trotz ihrer Schwache ihren Willen zur Maeht
befriedigen will, so erleben wir eine unmittelbare Evidenz, die wit
nicht weiter zurfickffihren, nieht auf eine andere Evidenz grfinden
kSnnen. Auf solchen Evidenzerlebnissen gegenfiber ganz unpersSnlichen, losgelSsten verstandlichen Zusammenhangen baut sich alle verstehende Psychologie auf. Solche Evidenz wird aus Anlal3 der Err
fahrung gegenfiber menschlichen PersSnlichkeiten gewonnen, aber nieht
d u r c h Erfahrung, die sich wiederholt, induktiv b e w i e s e n . Sie hat
ihre ~)berzeugungskraft i n s i c h s e l b s t . Die Anerkennung dieser
Evidenz ist Voraussetzung der verstehenden Psychologie, so wie die
(~:ber die kausalen und verst~indlichen Zusammenhitnge nach Jaspers.
15
Anerkennung dcr Wahrnehmungsrealitat und Kausalitat Voraussetzung der Naturwissenschaft ist.
Die Evidenz eines verstandlichen Zusammenhangcs beweist noch
nicht, dab dieser Zusammenhang nun aueh in einem bestimmten Einzelfall w i r k l i c h sei oder dal~ er fiberhaupt wirklich vorkommc. Wenn
N i e t z s e h e jenen fiberwiegend verstandlichen Zusammenhang zwisehen
Bewui~tsein der Schw~chc und Moral auf den wirklichen einzclnen
Vorgang dcr Entstehung des Christentums fibertri~gt, so kann diese
~bertragung auf den E i n z e l f a l l falsch sein, trotz der Riehtigkcit des
g e n e r e l l e n ( i d e a l t y p i s c h e n ) Verstehens jenes Zusammenhanges.
Das Urteil fiber die W i r k l i e h k e i t eines verstandliehen Zusammenhangs im Einzelfall bcruht n i c h t a l l e i n auf der Evidenz desselben,
sondcrn vor allem auf dem o b j e k t i v e n Material g r e i f b a r e r A n haltspunkte
(spraehliche Inhalte, geistige SchSpfungen aller Art,
Handlungen, Lebensffihrung, Ausdrueksbewegungen), die einzeln verstanden werden, aber immer in gewissem Mal~e unvollstandig bleiben.
Alles Verstehen einzelner wi r k 1i c h e r Vorgange bleibt daher mehr oder
weniger ein D e u t e n , das nur in seltenen Fallen relativ hohe Grade
der Vollst~ndigkeit erreichen kann. Wir verstehcn, s o w e i t uns die
objektiven Daten der Ausdrueksbewegungen, Handlungen, spraehlichen ~ul~erungen, Selbstschilderungen usw. im einzelnen Fall dies
Verstehcn mehr oder weniger nahelegen. Zwar kSnnen wir l o s g e l S s t
von aller konkreten W i r k l i e h k e i t einen seelisehen Zusammenhang
evident verstandlich finden. Im wirklichen Einzelfalle aber kSnnen
wir die R e a l i t a t dieses versti~ndlichen Zusammenhanges nur in dem
Mal~e behaupten, als die o bj e k t i v e n Daten gegeben sind."
Ich habe diese Auscinandersetzung ausffihrlich zitiert, weft eine
verkfirzte Wiedcrgabe schwerlich die eigentfimlichen Schw~chen und
Unzul~inglichkeiten dicser Darlcgung zeigcn kann. Wie aus dcr hier
gegcbenen Darstellung zu folgern ist, bctraehtet J a s p e r s das genetisehe
Verstehen hier allein yon dem Gesichtspunkte des Verstehens einer
andern Person aus. Aber dabei verliert er einen aul~erst wichtigen Urnstand aus dem Auge, ni~mlieh denjenigen, dal~ dieses Verstchen anderer
vSllig unmSglich ware ohne das eigene psychische Erleben. Die Evidenz
des genetischen Vcrstehens ist nicht an das Verstehen anderer gebunden,
sondern an das Verstehen yon uns selbst, und das psychische Erleben
anderer ist allein insoweit unsererseits zu verstehen, als unser eigenes
psychisches Erleben genug entwickelt ist, uns in das Seelenleben jener
andern hineinversetzen zu kSnnen. Ffir die Psychologie ist also an
allererster Stelle das eigene psychische Erleben yon Bedeutung. Wir
wiirden niemals ein Gefiihl, einen psychisehen Zustand wie Zwcifel,
eine Wfllensanstrengung bei einem anderen wahrnchmen kSnnen, wenn
wir diese psychischen ~ul~erungen nicht dureh Wahrnehmung bei uns
16
J. It. van der Hoop:
selbst kennten. Die Introspektion ist die Grundlage aller Psychologie.
Diese fundamentelle Wahrheit vermissen wir bei J a s p e r s , wo er das
genetische Verstehen behandelt. Ich werde gleich nachweisen, dass
J a s p e r s d :se Wahrheit fibrigens sehr wohl anerkennt, aber um so
befremdender berfihrt es, dal~ er sie hier ganz auger Betrachtung l~tBt.
Was J a s p e r s hier sagt fiber die Evidenz des genetischen Ver
stehens, gilt allein ffir die introspektive Wahrnehmung, ist doch das,
was dort unserer Erfahrung dargeboten wird, ebensowenig zu bezweifeln
oder von etwas anderem abzuleiten als die Wahrnehmungen unserer
Sinnesorgane, der andern gro[ten Quelle unserer Erfahrung. Aber mit
der Erfahrung des seelischen Geschehens bei andern steht es ganz anders.
Da haben wires nicht mit einer so direkten, nicht nigher zurfickzuffihrenden Wahrnehmung zu tun. Unmittelbar in der Erfahrung gegeben ist
uns allein das sinnlich und das introspektiv Wahrgenommene mit den
Kategorien, in denen diese beiden Arten Wahrnehmungen verarbeitet
werden. Wie J a s p e r s mit Recht sagt, ist die Psyche anderer ffir uns
allein erkennbar in ihrem materiellen Ausdruck (sprachliche Inhalte,
psychische Erzeugnisse allerlei Art, Handlungen, Benehmen, Ausdrucksbewegungen). Das will besagen, dal~ wir hier sinnliche Wahrnehmungen
erfahren. Dabei ist das Merkwfirdige, dal] wir diese nicht einfach in
das System der andern sinnlich wahrgenommenen Dinge einffigen, son.
dern dait wir hinter ihnen psychische Vorgi~nge projizieren, analog
demjenigen, was wir in uns selbs~ beobachten. Diese Projektion erfolgt
mit Hilfe des Umstandes, dab wir in uns selbst einen Parallelismus
zwischen bestimmten psychischen Prozessen und bestimmten sinnlichen Wahrnehmungen an unserm eigenen KSrper erfahren haben und
nun umgekehrt aus der Analogie der sinnlich wahrgenommenen Dinge
auf die Analogie der psychischen Prozesse schlieBen. Die Projektion
mit Hilfe des Verbandes zwischen k5rperlichen und psychischen Zusti~nden geschieht nicht in mehr oder weniger begrfindender Weise,
sondern meistens sogar vSllig unbewuBt; wohl aber kann dieser Verband durch sorgfi~ltige Wahrnehmungen verfolgt werden. Trotz alledem
bleibt aber die Projektion unsicher. Es bleibt ein sekund~rcs Deuten,
Auslegen, nicht eine erste Erfahrung, die an sich evident ist. Die Evidenz eines versti~ndlichen Zusammenhanges beruht also aussehlie[tlich
auf dem Umstande, dab wir introspektiv in unsern psychischen Vorggngen einen derartigen Zusammenhang erleben kSnnen. Wer z.B.
den Zusammenhang, den N i e t z s c h e zwischen Sehwgchebewu[ttsein
und Moral zu linden meint, nicht innerlich selbst erleben kann, wird
diesen ,,verst~ndlichen Zusammenhang" auch nicht als evident hinnehmen, sondern denselben als absurd verwerfen. Wir sehen also,
da$ J a s p e r s das Hineinversetzen in das Seelenleben anderer als etwas
Primgres auffaSt, weil er bier alle introspektive Erfahrung au[ter acht
tJber die kausalen and verst~ndlichen Zusammenhttnge nach Jaspers.
17
1kilt. Dies verwundert um so mehr, da er an andern SteUen seines
Buches den fundamentellen Weft der Introspektion wohl anerkennt,
schreibt er doch (S. 18): ,,Das Seelische in seiner eigentlichen Wirklichkeit, yon dem wir ausgehen and zu dem wit, es klarer erfa.~send and in
seinen Ursachen und Zusammenh~ngen erkennend, immer wieder
.zurfickkehren, ist ein e i n z i g e r u n g e h e u r e r S t r o m unteilbaren
Geschehens, der in zahllosen Individuen in hie gleicher Weise dahin~liel~t. Was machen wit daraus, wenn wires erkennen ? Die hie festen,
sondern immer flieftenden Vorg~nge versteinern sich uns zu festen Gebilden. Wir reden yon einer Trugwahrnehmung, einem Affekt, einem
Gedanken, als ob wir damit f e s t e Gegenst~nde bes~ften, die so, wie wir
sie denken, wenigstens eine Zeitlang bestanden. Und aus dem einheitlichen Bewufttseinsstrom isolieren wir e i n z e l n e Zusammenh~nge,
als ob wir irgendwo ffir sich allein wirkende Ursachen erfaBten. An die
Stelle des ei n e n Bewufttseinsstromes, den ganz zu erfassen uns unendliches Problem ist, setzen wir ffir unsere wissenschaftlichen Zwecke
eine Reihe yon H i l f s v o r s t e l l u n g e n .
Wir dfirfen nicht vergessen,
daft es sich um Hilfsvorstellungen handelt. Nicht diese s e l b s t sind
unser Zweck, sondern dutch sic wollen wir die lebendige W i r k l i c h k e i t
des psychischen Lebens klarer, bewuftter erfassen and unsere Erkenntnisse m i t t e i l b a r machen. ~mmer bleibt dabei unser Blick auf das
G a n z e des Seelischen gerichtet, zu dem wir erst auf solchen Umwegen
einen teilweisen Zugang wissenschaftlicher Art gewinnen kSnnen."
Wie kommt es, daft J a s p e r s , der hier in so deutlieher and fiberzeugender Weise das introspektiv wahrgenommene psychische Geschehen als Grundlage der Psychologic anerkennt, sp~ter, als er die verst~indlichen Zusammenh~nge behandelt, diese Basis verleugnet? Ich
glaube, daft wir die Ursache hier in einer psychologischen Schwierigkeit
suchen mfissen, die, ohne daft er dies zur Klarheit brachte, hier stark
seinen Standpunkt bestimmt hat.
Wenn wir das eigene psychische Geschehen als Quelle alles psychologischen Erkennens in den Vordergrund stellen, dann erhebt sich
diej enige Schwierigkeit, welche so lange Zeit hindurch aUe Psychologic
als praktisch brauchbare Wissenschaft unm6glich gemacht hat. AUes,
was wir bei andern wahrnehmen, wird dann als Projektion unseres
eigenen seelischen Lebens betrachtet. Die psychologischen Regeln,
welche wir in unserm seelischen Geschehen linden, sind zwar aus der
unmittelbaren Erfahrung abgeleitet; aber sic haben auch nut Gfiltigkeit ffir jene Beschr~nkung auf die eigene Psyche. Die Psychologie
kommt dann niemals fiber das Subjektive und Individuelle hinaus.
Es bleibt alles literarisehe Psyehologie, die zur Hauptsaehe besehreibt
und nur wenig Kausalzusammenhang sucht. Der Mensch ist dann
in den Kreis seiner subjektiven Erfahrungen gebannt und kann nicht
z. f. d. g. Near. u. Psych. O. LXVlII.
2
18
J. ]l. van d~,r Hoop:
zu allgemeingtiltigen Wahrheiten gelangen. Auch ftir das naturwissenschaftliche Gebiet besteht dieses Problem, das Problem des Solipsismus.
Die Naturwissenschaften stellen sich aber auf den Standpunkt, daft
die Dinge der realen Aul~enwelt yon allen Menschen in ihren sinnliehen
Wahrnehmungen in derselben Weise erfahren werden. An sich ist dies
nicht riehtig, da ja die Wahrnehmungen, die zwei Menschen yon der
Welt haben, niemals imstande sein werden, einander zu decken. Der
Zusammenhang, den die Erscheinungen des Weltgeschehens fiir den
ei h e n haben, ist in seiner Gesamtheit ein anderer als fiir den anderen.
Aber doch ist ein derartiger Grad yon l~bereinstimmung m6glich, daft
nicht al]ein eine Sprache bestehen kann, mittels welcher bestimmte
feste Dinge bezeichnet werden k6nnen, sondern auch der Zusammenhang zwischen diesen Dingen in genauem Verband als Wissenschaft
festgelegt werden kann. Hier kommen wir also wieder auf das Problem
der Giiltigkeit der kausalen Zusammenh~nge zuriick. Wir sahen, da[t
das Bediirfnis an Kausalit~t durch kausale Beziehungen befriedigt
ycurde, aber daft nicht von allen Beziehungen dieser Art deren allgemeine Giiltigkeit bewiesen werden kann. Die Entwieklung der Wissenschaften besteht gerade in dem Feststellen jener allgemeingtiltigen
Relationen. Aus dem gesamten Zusammenhange sinnlichen Geschehens
wahlt die Naturwissenschaft sorgfaltig diese Zusammenh~nge aus und
stellt an Stelle dieses Geschehens ein Schema, in welchem alles zufolge
dieser Relationen geschieht.
Die Frage ist nun, ob etwas Derartiges auch fiir die Psychologic
m6glich ist. L~ftt sich auch hier aus der individuell verschiedenen Erfahrung so viel Gemeinschaftliches analysieren, daft eine allgemeingiiltige Wissenschaft aufgebaut werden kann, die praktisch dort ihre
Brauchbarkeit beweist, we theoretisch der Solipsi'smus nicht zu widerlegen sein wiirde ? Die Antwort auf diese Frage h~ngt mit der M6glichkeit des Hineinversetzens in andere zusammen. J a s p e r s entzieht
sich der L6sung dieses Problems, da er das Verhhltnis zwischen eigner
introspektiver Erfahrung und dem Hineinversetzen in das Seelenleben
anderer iibersiebt. Wenn wir die M6glichkeiten einer LSsung verfolgen,
ergeben sich die drei folgenden: 1. die Auffassung, daft alles Hineinversetzen in das Seelenleben anderer eigentlich Projektion des eigenen
psychischen Erlebens ist, der Standpunkt des Solipsismus. Hiergegen
sprieht, daft das, was wir in andern erfahren, doch nicht ganz dasselbe
ist wie unser eigenes introspektives Erleben, und ferner die praktische
Brauchbarkeit unseres Hineinversetzens in das Seelenleben anderer;
2. die Auffassung, daft wir tatsachlich unmittelbar das psyehische
Leben anderer nachfiihlen k6nnen, der Standpunkt des naiven Realismus. Dieser beriicksichtigt nicht den Umstand, daft sinnliche Wahrnehmung keine unmittelbare Kenntnis der Au8enwelt verschafft, wozu
Uber die kausalen und verst;indlichen Zusammenh[ingo nach .laspers.
19
hier noeh aufterdem der Umstand tritt, dag das Psychische bei andern
dann noch wieder aus dieser sinnlichen Wahrnehmung gedeutet werden
muB. Die 3. L6sung ist diejenige des kritisehen Standpunktes. Dabei
gehen wir yon dem Umstande aus, dab in unserem eigenen psychisehen
Erleben ein Kern ist, den wit als das Ureigenste erfahren, und um ihn
herum ein groftes Gebiet, das in viel geringerem Grade zu uns selbst
geh6rt, aber wo wir gerade das Material erleben, welches uns Hineinversetzen in andere Gruppierungen, andere psychisehe Konstellationen
als die unsere, erm6gliehen kann. Der Solipsismus hat also reeht, insofern als wir unmSglich uns bei andern in etwas hineinversetzen kSnnen, was wit selbst nieht erlebt haben, sei es vielleieht, in einer vageren
Form. Aber die Auffassung des naiven Realismus ist nicht ganz unrichtig, weil die Gruppierung in der Wahl des psyehisehen Materials,
das wit in andern dutch Hineinversetzen erfahren, nieht aus uns selbst
ist, sondern aus diesen andern hervorgeht, angegeben dutch ihre sinnlieh wahrgenommenen J~ugerungen.
Das Eigenttimliehe yon J a s p e r s besteht darin, dag er sich auf
den Standpunkt des naiven Realismus stellt. Seine Kritik richtet
sich nicht auf diesen Standpunkt selbst, sondern beginnt erst spater
einzusetzen. Dann iiberrascht ihn der Unterschied zwisehen der unmittelbar gegebenen sinnliehen Erfahrung und der abgeleiteten psyehisehen, die dutch Hineinversetzen in das Seelenleben anderer gewonnen
wird. Um diesen Untersehied zu erklitren, geht er nicht auf den tieferen
Ursprung desselben zurtiek, sondern maeht er v611ig willktirlich die
Unterseheidung zwisehen kausalen und verstiindlichen Zusammenh~ngen. Denn mit Reeht halt B i n s w a n g e r I) ihm in seiner Kritik
vor, daft es eine ,,petitio prineipii" ist, wenn J a s p e r s behauptet, daft
wir allein uns hineindenken k6nnen, wie psychisehe Zusti~nde oder
Ereignisse auseinander entstehen und miteinander zusammenhhngen,
abet daft wit hier nieht kausal erkl~,ren k6nnen. Wir haben sehon
gesehen, wie J a s p e r s diesen Gegensatz yon seiten der Kausalitht aus
dadureh kiinstlieh versehi~rft hat, daft er den Begriff Kausalit~tt unschaff lieft, und durch seine Behauptung, dab die Naturwissensehaft
nut mit kausalen Zusammenhhngen zu tun hat. Wit haben festgestellt,
daft auch in der sinnlichen Erfahrung entschieden Beziehungen bestehen,
die noch nieht als kausale betraehtet wreden k6nnen, n~imlich der Verband der naiven unerkli~rten sinnlichen Erfahrung. Diese letzteren
Zusammenhi~nge sind auf sinnlichem Gebiet von genau derselben Art
wie die einfaeh erlebten Zusammenhi~nge unserer introspektiven Wahrnehmung. I n beiden wird eine Aufeinanderfolge des Gesehehens erlebt
sehleehthin, und fiir beide besteht die Evidenz yon etwas, was nieht
1) Binswanger, L., Psychologische Tagesfragen innerhalb der klinisehen
Psychiatric. Zeitsehr. f. d. ges. Psych. u. Neurol. 26, H. ].
R->
20
J . H . van der Hoop:
weiter zu beweisen oder abzuleiten ist. Aus dem Material, welches in
dem veri~nderten Geschehen auf sinnlichem und introspektivem Gebiet
enthalten ist, unterscheidet unser Geist bestimmte Einzelheiten und
stcllt zwischen diesen einen kausalen Zusammenhang her. Wir miissen
also hier in erster Linie unterscheiden zwischen den versti~ndliehen
Zusammenhimgen, wie wir diese in uns selbst als evident erleben, und
den verstiindlichen Zusammenhiingen, die wir bei andern zu sehen
glauben. Diese letzteren entlehnen ihre Wahrscheinlichkeit zwei
Dingen: 1. dem Umstande, dam wir sie in uns selbst als evident erleben k6nnen, wodurch sie also an sich Evidenz erhalten, und 2. dem
Umstande, ob die sinnlich wahrnehmbaren J~ui~erungen von andern
uns befi~higen, diese Beziehungen nachzuffihlen in dem psychischen
Geschehen anderer. Die versti~ndlichen Zusammenhi~nge selbst sind
also, was das Problem betrifft, ob hier Kausalit~t mSglich ist, stets
abhhngig v o n d e r eignen Introspektion. Wenn wir kausalen Zusammenhang in unsere eigenen psychischen Relationen bringen, ist kein einziger
Grund vorhanden, diesen kausalen Zusammenhang diesen psychischen
Relationen vorzuenthalten, wenn wir sie andern zuschreiben. Daneben
steht die ganz andere Frage, ob dieses l~bertragen unseres eigenen
psychischen Erlebens auf andere berechtigt ist, und bejahendenfalls
nnter welchen Bedingungen.
Wenn wir zun~tchst die Frage der psychischen Kausalit~t betrachten, dann ist es schwer einzusehen, wie J a s p e r s diese leugnen kann.
Wenn wir in dem Strome unseres psychischen Erlebens, den J a s p e r s
in so wohlberedter Weise beschrieben hat, bestimmte Einzelheiten
unterscheiden, dann ist es nicht klar, warum wir hierdurch unser Bedtirfnis, Ursache und Folge zu sehen, nicht sollten befriedigen kSnnen.
Unsere eigene Introspektion lehrt uns auch, daI~ wir in uns selber
nnbestreitbare kausale Zusammenh~nge feststellen. Wenn J a s p e r s
behauptet, da$ dies keine echte Kausalit~t ist, unterlii,i~t er es fibrigens
ganz, auch nur irgendwie nachzuweisen, worin denn der Unterschied
mit der echten Kausalit~t besteht. Wenn J a s p e r s davon spricht,
da[.~ Seelisches ,, a u s" Seelischem hervorgeht, gibt er damit auch eigentlich schon den Zusammenhang yon Ursache und Folge zu.
Es bleibt nun noch die Frage offen, wie man den Zusammenhang
zwischen dem Hineinversetzen in das Seelenleben anderer und der eigehen introspektiven Erfahrung betrachten mul~. Denn es ist wohl
deutlieh, daf3 dies nicht immer ganz in derselben Weise geschieht,
daf~ in den meisten Fi~llen dieses Hineinversetzen nicht auf dem Wege
der logischen Uberzeugung stattfindet und da$ wir oft v o n d e r Rolle,
die unsere eigene introspektive Erfahrung dabei spielt, nichts verspfiren. Wenn wir ein Theaterstfick sehen, eine Erfahrung erz~hlen
b6ren oder eine Geschichte lesen, dann kann dies unmittelbar auf
U-ber die kausalen und verstiindlichen Zusammenh~tnge naeh Jaspers.
21
uns wirken, so dab wit v611ig mitleben, .und dab ohne irgendwelche Erw~gung die Gefiihle und Vorstellungen in uns aus demjenigen entstehen, was wir sehen und hSren. Automatisch wird dann in uns das
psychische Geschehen anderer reproduziert. Durch die sinnlichen
Vorstellungen, die wir erhalten, werden aus unserm Schatze introspektiver Erfahrung die Gefiihle und Vorstellungen erweckt und gruppiert. Diese Sachlage ist fiir die meisten Menschen aber eine ziemlich
seltene. Meistens wirken Erwi~gungen mit, wenn diese auch nicht
immer bewuBt sind, und in diesen Erw~gungen zeigen sich schon kausalo
Beziehungen. Dies kommt deutlich zum Ausdruck, wenn es gilt, Folgerungen zu ziehen oder Voraussagen zu machen aus demjenigen, was
man durch Hineinversetzen erfahren hat. Es ergeben sich dann Schliisse,
die auf die eigene Erfahrung verweisen, wenn auch der kausale Zusammenhang nur mangelhaft formuliert wird.
,,Man gibt sieh selten Rechenschaft davon," sagt H e y m a n s 1)
,,in welchem Umfange eine gewisse Kenntnis der psychischen Gesetze
unter dem gesamten Einflusse der nie ganz fehlenden Selbsterfahrung
und des ti~glichen Umganges mit andern zu einem gemeinschaftliehen
Besitz von uns allen geworden ist. Zweifelsohne bringen wir uns, soweir wir uns nieht absichtlich mit wissenschaftlich psychologischen
Studien besch~ftigt haben, diese Kenntnis nut selten und mangelhaft
zum BewuBtsein; aber dies verhindert uns nicht, sie im t~glichen
Leben mit groBer Leichtigkeit und Sieherheit anzuwenden und dadurch
den unwiderlegbaren Beweis zu liefern, dab wir sie besitzen. Es
geht damit wie mit der Warenkenntnis des praktischen Kaufmannes
und der Witterungskenntnis des Seemannes oder des Bauern; allgemeine Regeln werden nicht formuliert und kSnnten auch nicht formuliert werden; aber die zahllosen Erfahrungen, aus welchen sie abstrahiert
h~tten werden kSnnen, haben, jede ffir sich, ihr unmerkbar diinnes
Schichtchen ~berzeugungsgefiihl abgesetzt und so atlmi~hlieh einert
festen Boden gebildet, dem, wenn er auch niemals vom Lichte des klaren
Bewuf3tseins bestrahlt wurde, wohlbegrtindete Urteile entsprief~er~
kSnnen."
Wenn man, wie dies seitens des Psychologen geschieht, das Licht
der Introspektion noch klarer in diesen ProzeB des Hineinversetzens
in das Seelenleben anderer hineinleuchten l~flt, dann erweist sieh dies
immer mehr als ein DeduktionsprozeB, bei welchem kausale Nelationen
eine wiehtige Nolle spielen. Das Hineinversetzen in andere kann sich
dann einem rein psychologischen Experimente n~hern. H e y m a n s
setzt dies folgendermaBen auseinander: ,,Wie man weiB, hat das Wort
Experiment im wissenschaftlichen Sprachgebrauch eine scharfumgrenzte
Bedeutung: man versteht darunter d a s a b s i c h t l i c h e I n w i r k u n g 1) Op. eit. Das sp/iter Folgende ist teilweise v(rkuIzt wicd(rgegeben.
22
,I. II. vatl dtw lfoop:
s t e l l e n b e s t i m m t c r U r s a c h e n in d e r A b s i c h t , a u s d e r W a h r nehmung der sich daran anschliel~enden Folgen zu besserer
Einsicht
in d e n u r s ~ c h l i c h e n Z u s a m m e n h a n g
zwischen
b e i d e n z u g c l a n g e n . " H e y m a n s untersucht, nachdem er auf die
Wichtigkeit des Experiments ffir die generalisierenden Wissenschaften
hingewiesen hat, welche Bedeutung es in den erkli~renden Wissenschaften
besitzt. Hier, z. B. bei Geologie und Astronomie, tritt das Experiment
vicl weniger in den Vordergrund.
,,In weitaus den mcisten FMlen beschri~nkt man sich auf die sorgfi~ltige Beobachtung der zu erkli~renden konkreten Tatsache, auf das
Aufstellen einer Annahme fiber ihre vermutlichen Ursachen und auf das
Best~tigen dieser Annahme, in der Weise,. da[~ man aus den angenommenen Ursachen mit Hilfe allgemeiner physischer oder chemischer
Gesetze die zugehSrigen Wirkungen ableitet und diese mit den vorliegenden Data vergleicht. Zeigt sich, dan die Annahme diese Probe
besteht, dab sie somit in der angedeuteten Weise yon allen Eigentfimlichkeiten, die man bei der zu erkl~trenden Tatsache bemerkt hat,
Rechenschaft geben kann, dann ist damit ihre wahrscheinliche Richtigkeit nachgewiesen, und es kann neben der deduktiven Best~tigung eine
experimentelle unterbleiben. Abet vielleicht sind die Gesetze, die bei
der deduktiven Best~tigung angewandt wurden, nicht vollst~ndig bekannt, oder es bleibt Zweifel bestehen, ob alle Umsti~nde in hinreichendem
Mal~e beriicksichtigt wurden. Ein Experiment, welches die Umsti~nde
in vollkommenster Weise reproduziert, wiirde dann yon grS[~ter Bedeutung sein; abet dies l~2t sich in Astronomie und Geologie nur vereinzelt in allerbescheidenstcm Umfange ermSglichen. In solchen
F~llen benutzt man dann wohl einmal ein Analogie-Experiment, indcm
man in verkleinertem MaBstabe ktinstlich ~hnliche Ursachen einfiihrt,
wie man diese bei der zu erkl~renden Erscheinung vermutet. So liel~
z . B . P l a t e a u , um die Kant-Laplacesche Hypothese fiber das Entstehen unseres Sonnensystcms zu prfifen, eine Kugel aus OlivenS1 in
einer Fliissigkeit yon gleichem spezifischen Gewicht drehen und konstatierte dabei die Erscheiuungen der Abplattung der Pole, Abscheidung yon Ringen nnd AuflSsung dieser Ringe in kleinere Kugeln.
Was derartigen Untersuchungcn ihren mchr oder weniger streng beweisenden Charakter verleiht, ist die vorhergehende, auf Reihen yon
Tatsachcn begriindete Sichcrheit, da[~ in der Natur das GroBe und das
Kleine in ]etzter Instanz yon denselben Gesetzen beherrscht wird."
Ein dcrartiges Analogie-Experiment ganz derselben Art ist nun
das Hineinversetzen eines Psychologen in das Seelenleben eines andern
Menschen auf Grund bestimmter J~ul]erungen dieses andern. H e y m a n s
erl~utert dies n~her, indem cr sagt: ,,Die tiigliche Effahrung lehrt und
die psychologische Untersuchung hat es au[~er allem Zweifel gestellt,
U-her die kausal(,n und versfiindlit'he,,Zusammenhiing(~na('h ,laspers.
23
da[~ reproduzierte (erinnerte oder eingebildete) Gedanken, Empfin,
dungen und Begierden w i r k l i c h e Gedanken, Empfindungen und Be.
gierden sind, von derselben Art, nur schw~cher als die urspriinglichen,
ur~d in derselben Weise, nur in geringerem Ma•e, t~tig wie diese. Was
wir bei dem Hineinversetzen in andere in uns selbst zustande bringen,
ist also nichts anderes als eine geschw~chte, aber iibrigens identische
Wiederholung eines Stiickes wirklichen oder m6glichen BewuStseinslebens. Da und soweit jedoch diese geschw~chte Wiederholung in Wesea
und Wirken dem Urspriinglichen gleich ist, k6nnen wir auch an dem
ersteren die weiteren Entwicklungen und Verwicklungen studieren, die
sich in dem letzteren gezeigt haben oder gezeigt haben wtirden." Die
]~eproduktion in uns selbst des psyehischen Lebens, das wir bei einem
andern voraussetzen, ist also ein psychisches Analogie-Experiment.
,,Die Fehlerquellen, vor welchen der Untersucher sich in acht zu
nehmen hat, sind hier derselben Art wie bei derartigen Experimenten
in der Astronomie oder der Geologie. Sie liegen haupts~chlieh in der
Schwierigkeit, bei der Nachahmung die zu priifenden Faktoren in
gleichen Intensit~tsverhaltnissen einzufiihren, wie sie in dem Original
bestanden haben werden, und in der MSglichkeit, dal~ andere Faktoren,
die in dem Original fehlten, sich nicht vollst~ndig eliminieren lassen."
Bei n~herer Untersuchung werden also die sogenannten verst~ndlichen Zusammenh~nge yon J a s p e r s hier vSllig in derselben Weise
seitens der erkl~renden Psychologie gebraucht, wie die kausalen Zusammenh~nge seitens der erkl~renden Naturwissenschaften, und kann
man zwischen diesen beiden keinen essentiellen Unterschied naehweisen.
Wenn wir die psychische Kausaliti~t und die naturwissenschaftliche
Kausaliti~t als dieselbe, aber auf ein anderes Erfahrungsmaterial angewandte Kausaliti~t betrachten, dann bleibt, v611ig hiervon getrennt,
noch die Frage often, ob es in der Psychologie denn auch mSglich sei,
ein System yon kausalen Beziehungen, die aus wiederholter Erfahrung
bewiesen sind, zu bilden, wie dies in den Naturwissenschaften geschehen ist. Bei letzteren ist der Erfolg dieses Strebens grog gewesen
und wird immer mehr alles Geschehen in ein Kausaliti~tsschema eingefiigt und auf diese Weise erkli~rlich gemacht. Beziiglich der Psychologie bc stehen fraglos Schwierigkeiten, die bei den Naturwissensehafte
nicht oder in viel geringerem Grade gelten. Eines der sti~rksten
Argumente gegeniiber dem Solipsismus ist die praktische Brauehbarkeit der Naturwissensehaften. Dieses Argument gilt auch ftir das
Projizieren des in sich selbst gefundenen Zusammenhanges auf andere.
Ti~glich k(innen wir erfahren, daf~ es praktisch zutrifft, wenn wir
psychisehe Inhatte von andern naehfiihlen. Was wir in uns selbst in
einen Verband yon Ursache und Wirkung gebracht haben (z. B. da{~
24
J. II. van der Hoop:
wir reizbar gegeniiber andern sind, wenn wir Schmerzen haben), er.
weist sieh auch fiir andere giiltig. Wi~hrend wir in den Naturwissensehaften Besti~tigung fiir die Giiltigkeit eines kausalen Verbandes in
der ~bereinstimmung der Wahrnehmungen anderer mit unsern eigenen
Wahrnehmungen linden, ist diese Besti~tigung ffir die Psyehologie
weniger direkt, well das Hineinversetzen anderer aueh nur ein Deuten
aus den wahrgenommenen J~u[~erungen ist und daher ebenso verkehrt
sein kSnnte wie unser eigenes Hineinversetzen. Wir haben hier abet
eine mehr direkte Erkenntnisquelle, ni~mlich das Naehfragen bei der
Person selbst, in deren Seelenleben wit uns hineinversetzt hatten.
Was bedeutet dies ? Es will besagen, daf~ wir Kontrolle der eigenen
Introspektion yon seiten der untersuchten Person erhalten. Es scheint
mir, da$ wit diese Erkenntnisquelle nicht ohne weiteres auf dieselbe
Stufe mit den unwillkfirliehen J~ui~erungen (Gebi~rden, Gespriich usw.)
und mit den willkiirlichen J~uf3erungen, die keine direkten Mitteilungen
introspektiver Wahrnehmungen sind, stellen miissen. Freilich liegen
hier viel mehr Sehwierigkeiten vor als bei Mitteilung sinnlicher Wahrnehmungen. Die infrospektive Wahrnehmung ist bei den meisten
Mensehen nicht sehr geschi~rft und geschult; es besteht wenig Genauigkeit in der Terminologie, um eine Introspektion zu beschreiben, und
auBerdem wirken meistens allerlei Gefiihlsmotive mit, um die Wahrnehmung zu beeinflussen, so dal~ diese nicht rein wiedergegeben wird.
Dies alles bewirkt, dal3 man, namentlieh bei einfachen Menschen oft
vie1 besser yon ihren unwillkfirliehen J~uSerungen ausgehen kann als
yon ihren introspektiven Mitteilungen. Dieser Umstand schlieBt aber
nieht aus, da$ dort, wo diese Schwierigkeiten zu umgehen sind, die
M6gliehkeit, das psyehische Geschehen anderer kennenzulernen, viel
unmittelbarer ist als bei dem Deutungsverfahren. Wo wir mit Menschen zu tun haben, die eine gefibte Introspektion besitzen, oder wo die
MSglichkeit besteht, diese Introspektion zu iiben, Menschen, die sich
ferner ziemlich gut ausdriicken k6nnen und bei denen wir durch Nachfragen die Bedeutung ihrer ~uSerungen festzustellen verm6gen, und
wo wir schlie$1ich Gefiihlsmotive, welche die Introspektion st5ren,
ausschlieSen oder korrigieren k5nnen, da besteht eine MSglichkeit,
unser Hineinversetzen in andere zu korrigieren und der 0bjektiviti~t
n~herzubringen.
Auf folgender dreifachen Erfahrung beruht die Psychologie: 1. auf
der eigenen Introspektion; 2. auf das Hineinversetzen in das Seelenleben anderer auf dem Wege ihrer J~ul~erungen und 3. auf Mitteilung
anderer von eigenen introspektiven Wahrnehmungen. Fast immer
~verden diese auf dreierlei Weise gewonnenen Erfahrungen zusammenwirken. Das Aufstellen kausaler Zusammenhiinge und die Kontrolle
ihrer allgemeinen Giiltigkeit erfolgt in derselben Weise wie bei den
Uber die kausalen und verst~ndlichen Zusammenh~Lngenach Jaspers.
25
Naturwissenschaften durch fortgesetzte Nachprtifung an einem sehr
groften Erfahrungsmaterial. Dieses Erfahrungsmaterial ist jedoch bei
der Psyehologie noch sehr klein im Verhaltnis zu demjenigen der Naturwissenschaften. In letzteren haben tausende Untersucher seit Jahrhunderten ihre Beobachtungen gesammelt und wurden die Gesetzmaftigkeiten immer wieder gepriift und sch~rfer formuliert. In der
Seelenkunde stehen wir an einem ersten Beginn. Viele Psychologen
bezweifeln, ob hier wohl Gesetzmaftigkeit zu finden ist, aufter in vereinzelten kleinen begrenzten Gebieten. Der Untersucher steht hier
einem Chaos yon Relationen gegentiber, so wie dies die ersten Naturforscher gegeniiber der verwirrenden Vielseitigkeit der Natur getan
haben miissen. Ebensowenig, wie diese ersten Naturuntersucher dies
konnten, werden wir imstande sein, zu sagen, wieweit hier allgemeingtiltige kausale Zusammenhange festzustellen sind. Viele Generationen
werden danach suchen miissen. Hypothesen werden aufgestellt und
wieder verworfen werden. Wir haben bei der psychologisehen Erfahrung
mit fltichtigem und stets wechselndem Material zu tun, und es ist nicht
zu sagen, wie weit die MSglichkeit gehen wird, in demselben scharfe
Zqorstellungen und feste Gesetze zu unterscheiden. Stets wird dabei die
abstrahierende Psyehologie, welche einfache kausale psyehische Relationen aus der wiederholten Erfahrung best~tigt und beweist, der
erklarenden Psychologie gegeniiberstehen, welche die besonderen psychischen Erseheinungen feststellt und aus jenen einfache Gesetzm~ftigkeiten
abzuleiten sucht. Ebenso wie in den Naturwissenschaften wird auch
hier die kausale Erkl~rung zusammengesetzter Erscheinungen nicht
bedeuten, daft eine vollst~ndige Voraussage oder eine Abstrahierung
zu absolut geltender Gesetzm~ftigkeit hier mSglieh sein wtirde. Allerdings wird auch hier eine Weehselwirkung zwischen abstrahierender und
erkl~render Wissensehaft stattfinden. Denn die erkl~renden Wissenschaften hefern den abstrahierenden fortgesetzt neue Untersuchungsprobleme; sie stellen fortgesetzt kausale Beziehungen auf, die n~here
Best~tigung verlangen. Und umgekehrt geben die abstrahierenden
Wissenschaften den erkli~renden eine immer ausgedehntere und festere
Stiitze, sich auf die festgelegten kausalen Gesetze zu berufen. All das
Individuell-Typische, dasjenige, was das Ureigenste eines Menschen
ausmacht, wird niemals in kausale Gesetze zu fassen sein, welche seine
Voraussage ermSglichen; aber doch linden sich in jedem Individuum
genug einfache psyehische Prozesse, die in strenge Gesetzm~ftigkeit
gefaftt werden kSnnen.
Wie welt allgemeingiiltige kausale Beziehungen mSglich sind, kanrl
erst ein riesiges Erfahrungsmaterial uns zeigen. Welcher Teil unserer
individuellen psychisehen Wirklichkeit in allgemeiner Gesetzm~ftigkeit
wiederzugeben ist, bleibt ein Problem, das allein durch langdauernde
26
,I. II. van der lloop:
Untersuchung gel6st werden kann und von dem jede L6sung eine
vorl~ufige sein mu{]. Hier wird die individuelle Erfahrung jedes Untersuchers seinen Standpunkt bestimmen. Die Wissenschaft finder aber
auch hier ihre Ausbreitung durch diejenigen Geister, welche die kausalen
Gesetze auch dort zu finden suchen, wo andere h6chstens verst~ndliche
Zusammenh~tnge sehen.
Z u s a m m e n f a s s e n d k a n n ieh m e i n e E i n w i i n d e gegenJ a s p e r s ' A u f f a s s u n g in d e n b e s p r o e h e n e n P u n k t e n f o l g e n dermaSen formulieren:
1. Die Definition des kausalen Erkli~rens seitens J as p e rs ermangelt
der nStigen Schi~rfe und gibt dadurch im Gebrauch Veranlassung zu
MiBverstimdnis. J a s p e r s h~tlt die Kausaliti~t als Kategorie und die
Best~tigung der Kausalit~tt als wissenschaftlich geltende Gesetzm~Bigkeit nicht genug auseinander. Au[~erdem sieht er nicht, daf] in der
Wissenschaft auch andere als kausale Beziehungen stattfinden, n~im~
lich die einfachen, nicht weiter erkl~rten Wahrnehmungsrelationen.
2. Die verst~indlichen Zusammenh~nge werden yon J a s p e r s als
eine unmittelbare Erfahrung, die in keinem Verband mit dem eigenen
psychischen Erleben steht, betrachtet. Dadurch entgeht ibm die wich:
tige Rolle, welche die eigene Introspektion bei dem Evidentfinden
dieser Erfahrung spielt. Er iibersieht, dai] die Psychologie in erster
Linie durch die Tatsache der eignen Introspektion ermSglicht wird
und dab wir in derselben den Zusammenhang des psychischen Geschehens unmittelbar erleben kSnnen.
Ferner stellt er die Behauptung auf, dab die kausalen Zusammenh~nge, die wit auf psychischem Gebiete bilden, nur scheinbar kausal
seien, ohne dab er im geringsten nachzuweisen sucht, worin der Unterschied gegentiber der eigentlichen Kausaliti~t besteht.
3. Nachdem J a s p e r s so durch undeutliche Formulierungen den
Gegensatz zwischen kausalen und verst~ndlichen Zusammenh~ngen
versch~rft hat, stellt er diesen Gegensatz als essentiell dar. Er fibersieht dabei, dal~ auch auf dem Gebiete der Naturwissenschaften Zusammenh~nge kausaler Art bestehen, die mit den einfach erlebten
Relationen der Psychologie zu vergleichen sind, und dab in der Psychologie aus diesen Relationen kausale Zusammenhi~nge in derselben Weise
gebildet werden kSnnen, wie dies in der Naturwissenschaft aus den
sinnlich erlebten Relationen geschieht. Der Unterschied zwischen
Naturwissenschaft und Psychologie beruht an erster Stelle auf dem
verschiedenen Erfahrungsgebiet, der sinnlichen und der introspektiven
Erfahrung und ferner auf bestimmten Unterschieden im Untersuchen
der allgemeinen Giiltigkeit einer kausalen Beziehung und einem groften
quantitativen Unterschied in kausal festgelegter Erfahrung.
Schliel]lich will ich dieser Kritik der Jaspersschen Auffassung noch
~)ber die kausalen und verstandlichen Zusammenhkng'e nach Jaspers.
27
einige Bemerkungen hinzufiigen. B i n s w a n g e r 1) hat in seiner Kritik
nachgewiesen, daB, falls das intuitive Hineinversetzen in einen psyehischen Verband etwas prinzipiell anderes ist als alle kausale Erkl~rung,
man hieraus folgern mui3, dab man in der Psychologie niemals zu
Gesetzm~,i]igkeiten und Theorien gelangen und niemals eine psychische
Kausalit~t anerkennen kann, was J a s p e r s denn auch folgert. Damit
wiirde die Psychologie als Wissensehaft ausgesehaltet sein. Aus diesem
Grunde ist dieses Problem fiir alle Psyehologie und Psychiatrie so
hervorragend wichtig. Praktisch allerdings macht es nieht viel Unterschied, ob man die psychologischen Relationen als echt oder als scheinbar kausal auffaBt. Gliicklicherweise werden nicht alle Psyehologen
und Psychiater sieh durch diese Unentschiedenheit davon abhalten
lassen, die psychologische Erfahrung systematisch festzulegen und
auszudehnen. Jedoch sind die praktischen Folgen eines Standpunktes
wie desjenigen, den J a s p e r s einnimmt, gewiB nicht zu untersehatzen.
In allererster Linie entsteht durch einen derartigen Standpunkt leicht
eine Geringsehatzung der Psychologie, namentlich bei Gebieten ~ie dem
medizinischen, wo die Untersucher sowohl mit sinnlichem wie mi~
psyehisehem Zusammenhang zu tun haben. J a s p e r s selbst entgeht
dieser Gefahr nicht. Er schreibt, dab ,,die naturwissenschaftlichen
Forscher, die nur mit dem sinnlich Wahrnehmbaren und mit kausaler
Erklarung zu tun haben, eine verstandliehe und berechtigte Abneigung
gegen das psychologisehe Erklaren hu2ern, wenn dasselbe irgendwo
die Stelle ihrer Arbeitsweise einnehmen muir". Auf dem Gebiete der
Psychologie linden wir oft Wettbewerb zwisehen einer materiellen
und einer psychischen Erklarungsweise, und wo beide sich auf Erfahrungen stiitzen, ist dies kein Hindernis. Der Standpunkt J as p ers'
kann aber leicht dahin fiihren, materiellen Erklarungsweisen vager Art,
die mit wenigen wirklieh erfahrenen Tatsachen lose zusammenhangen,
doch den Vorzug vor psychologischen ErklSxungsweisen, die in viel
festerer Weise sich auf ein ausgedehntes Erfahrungsmaterial griindeu,
zu geben. Die Folge ist dann eine dogmatische tIaltung gegeniiber
Problemen, bei denen nur die Erfahrung zu entscheiden hat. Und diese
dogmatische Haltung ist eine feindliehe gegeniiber psychologischen
Erklhrungen, die als nicht wissenschaftlieh betrachtet werden, und sie
sch~idigt dadurch alle Psychologie und Psychopathologic.
lnsbesondere fiihrt die Stellungnahme gegen/iber der Frage, ob
kausale Zusammenhange in dem psychisehen Geschehen anzuerkennen
sind oder nicht, zu einer sehr verschiedenen Auffassung der unbewu[tten Prozesse. J a s p e r s ist hierin sehr konsequent. Nun er einmal
auf Grund seiner Pramissen -- die m. E. verkehrt sind -- zu der Ein1) Op. cit. siehe auch Binswanger, L., Intern. Zeitsehr. f. arztl. Psychoanalyse 1913, S. 383.
28
J. 11. vail der ttoop:
sicht gelangt ist, daft ein fundamenteller Unterschied zwischen kausalen
und verst~ndlichen Zusammenhangen bestehe, sucht er auf psychischem
Gebiet alles zu verbannen, was allein auf Grund kausaler Relationen
angenommen werden k6nnte. Nun effordert das Annehmen unbewuftter psychischer Prozesse eigenflich schon das Anerkennen einer
psychischen Kausalitat. Denn was bedeutet es, wenn man einen gegebenen psychischen Inhalt ableitet aus einem unbewuftten psychischen
Prozeft ? Man hat einen bestimmten Verband erst als verst~ndliehen
Zusammenhang konstatiert, z . B . zwischen dem Gedanken an einen
erlittenen Verlust und Betriibnis oder zwischen einer Beleidigung und
einer Abwehrhaltung. Wenn man nun das Vorkommen von Traurigkeit
oder einer Abwehrhaltung in einem bestimmten Falle der unbewuftten
Vorstellung des betreffenden Verlustes oder der betreffenden Beleidigung
zuschreibt, dann will das nichts anderes besagen, als daft man hier den
verstandlichen Zusammenhang zu einem kausalen erhoben hat, wodutch as m6glieh wird, aus der Folge auf die Ursache zu schlieften. I n
soleh einem Falle kann as sein, daft jemand sagt: ,,Ieh bin mir die Ursache meiner Stimmung nicht bewuftt." Es ist nat[irlich mSglich, daft
er dann mit Ursache eine materielle Ursaehe meint, wie etwa eine
sehlechte Verdauung oder etwas Xhnliehes; aber ebensogut wird der
gew6hnliche Mensch eine derartige Ursaehe psychischer Art annehmen
k6nnen. Mitunter ist es bei introspektiver Untersuehung denn auch
wohl mSglich, diese Ursache zu entdeeken. In diesem Falle ist der
kausale Zusammenhang dann gleichzeitig erfahren als ein verstandlieher. Bei seinem Streben, alle Kausalit~t aus dem Psychischen zu
eliminieren, stSftt J a s p e r s hier auf eine Sehwierigkeit. Er 16st dieselbo
in der Weise auf, daft er nicht von unbewuftten psyehisehen Inhalten
sprieht, sondern yon unbemerkten, womit er ausdriicklieh betont, daft
das Kriterium fiir ihn darin besteht, daft diese angenommenen psychischen Inhalte aueh als verst~ndliche Zusammenh~tnge in derjenigerr
Parson selbst bewuBt zu machen sein miissen, welehe sie in sich selbst
annimmt. Damit entsteht bei J a s p e r s dann die t3berzeugung, daft er
allein verstandliche Zusammenh~nge in dem psychischen Geschehen
anerkennt, wahrend in Wirklichkeit, das unbemerkte Psychische n u t
wenig von demjenigen abweicht, was andere Psyehologen das unbewuftte nennen. Wenn man eine psychische Kausalit~t annimmt, ist
der Begriff des Unbewuftten sehr einfaeh. Es ist dann eine psychologische Hypothese derselben Art, wie die Naturwissensehaften diese
bilden. Wenn in den Naturwissenschaften ein kausaler Verband gelegt
ist, dann sueht man die allgemeine Giiltigkeit desselben dadurch zu
priifen, daft man alle Folgen von derselben Ursache ableitet, auch wenn
diese Ursache nicht sofort naehzuweisen ist. Dazu muft in diesem
Falle diese Ursache dann als Hypothese angenommen werden, welehe
Ober die kausalen und verstiindlichen Zusammenhi{nge nach Jaspers.
29
zuweilen einfach, zuweilen aber auch sehr verwickelt sein kann. So
ist es auch in der Psychologie, wenn man unbewuBte psychische Ursachen annimmt ftir Folgen, welche man sonst aus derartigen bewuBten Ursachen hervorgehen sieht. Der einzige Unterschied ist hier
wieder, dab die Psychologie beim Feststellen derartiger kausaler Zu.
8ammenhi~nge noch in ihren ersten Anfi~ngen steht und die allgemeine
Giiltigkeit in den meisten Fallen noch nicht nachweisen kann. J a s p e r s
bringt auch hier einen verwirrenden Gegensatz hinein dureh seinen
vagen Kausalit~tsbegriff mit dem Einfiihren seines Begriffes von unbemerkten psyehischen Prozessen. Richtig ist hierin, dab wir die
Giiltigkeit der hypothetischen Relationen in uns selbst nur an eiffer
spiiteren introspektiven Untersuchung priifen k6nnen, und daB, wo
dies keine Besti~tigung bringt, die Hypothese allein einen sehr vorli~ufigen Wert hat. Aber in dem Augenblicke, in welehem die psyehisehe Folge eintrat, war die Ursache doch unbemerkt, also unbewuBt
und konnte sie also night als eine verst~ndlicher Zusammenhang erfahren werden. Wenn wir diese psychische Folge dann aus einem unbewuBten oder unbemerkten ProzeB ableiten, dann ist damit der versti~ndliche Zusammenhang zugleieh zum Range eines kausalen Zusammenhanges erhoben. Wenn J a s p e rs hier dennoch aufrecht erhi~lt,
dab er das Unbemerkte nicht in kausalem Verbande mit demjenigen
sieht, was es verursacht, dann kann man dies nicht anders als eine
Gaukelei mit Worten bezeichnen. Damit tri~gt er Unklarheit und Verschwommenheit in das eigentliche Problem hinein, um welches es sich
hier handelt. Das ist hier n~imlich nicht das Problem kausaler oder
versti~ndlicher Erkli~rung, sondern das Problem des MaBstabes allgemeiner Giiltigkeit. Die Frage ist die, bis wieweit man einer hypothetisch
aufgestellten kausalen Relation noch Giiltigkeit -- sei es auch nur eine
vorli~ufige -- zuerkennen und wo man diese als Phantasie betiteln soll.
Richter man sich nach J a s p e r s , auch ohne seine Terminologie zu
iibernehmen, dann wiirde man also hier die Grenze bei denjenigen
Relationen ziehen, die jeder andere unter gtinstigen Umst~nden auch
introspektiv erfahren kSnnte. Das wfirde also einer Naturwissenschaft
entsprechen, die nur dasjenige akzeptiert, was auch jeder andere unter
giinstigen Umsti~nden sinnlich erfahren kann. Hierbei entstehen aber
sehon Schwierigkeiten, weil diese Erfahrung auch in den Naturwissenschaften keine einfache, ungeschulte ist. Die von einem bestimmten
Untersucher gemachte Erfahrung kann bisweilen nur mit grSBter Mfihe
und Vorbereitung von andern kontrolliert werden. Dasselbe ist in
noch h6herem Grade bei introspektiven Untersuchungen der Fall, weft
es oft lange Vorbereitung erfordert, darin die n6tige Fertigkeit zu erlangen. Aber auBerdem erkennt die Naturwissensehaft auch wohl als
allgemeine Gfiltigkeiten an, was nicht sinnlieh wahrgenommen werden
30
J. l]. van der Itoop : ~ bet die kausalen und verstandli('hen Zusammenhiinge us~.
kann, z. B. Atome und Molektile. Diese stfitzen sich jedoch als Hypothese auf eine Anzahl sinnlicher Erfahrungen, die dadurch unter ei n t n
Gesichtspunkt gebracht werden.
Wenn man dies in Betracht zieht, ist zu J a s p e r s ' Kriterium fiir
das Akzeptieren einer psychischen kausalen Relation als mSgheherweise
allgemeingiiltig noch etwas hinzuzufiigen. In erster Linie muB man
dann fordern, dab diese Relation geprfift werde, nicht an der naiven
Introspektion schlechthin, sondern an einer gefibten Introspektion.
Und zweitens muB man die M5glichkeit offenlassen, dab auch in d t r
Psychologie hypothetischt psychische Prozesse als Ursaehe ftir allerlei
psSychische Wahrnehmungen Gfiltigkeit erhalten kSnnen, auch dort,
wo sie nieht unmittelbar introspektiv zu erfahren sind. Selbstredend
wird man hier ebenso wit in den Naturwissensehaften derartige Hypo.
thesen nicht anders als nach ausftihrlicher Untersuchung akzeptieren.
A priori besteht jedoch kein Grund, sit aus erkenntnistheoretischen
Erw/~gungen zu verwerfen.
Von besonderer Bedeutung ist dieses ganze Problem fiir den Standpunkt der psychischen Wissenschaften gegenfiber der Psychologie
F r e u d s . Denn diestr hat nicht nur mehr als jeder andre vor ihm
versti~ndliehe Zusammenhi~nge bei seinen Patienten festgelegt, sondern
zugleich versueht, aus diesen verst~ndlichen Zusammenh~ngen kausale
Gesetzmi~Bigktiten yon allgtmeiner Gfiltigkeit zu bilden. F r e u d selbst
hat diese kausale Gesetzmi~Bigkeit in den meisten Fallen als eine solche
vorli~ufiger Art betrathtet und ist stets bereit gewesen, sie zu imdern,
wenn die Erfahrung nieht mit ihr iibereinstimmte. Abtr doch liegt
in seinem Streben der Glaube an die M6glichkeit allgemeingfiltigtr
kausaler Zusammenhi~nge in der Psychologie. Wenn J a s p e r s mit
Argumenten aus der Erkenntnistheorie die ganze psychisehe Kausalit~t.
bestreitet, dann bewirkt er damit ffir diejenigen, welche seintn Standpunkt akzeptieren, dab sie es weittrhin als unnStig ansehen, die von
F r e u d oder andern aufgestellten psychischen Gesetzm/~Bigkeiten an
der Erfahrung zu priifen, und allein hierdurch kann sich eine fruchtbare kritisehe Besprechung dieser Gesetzm~Bigkeiten entwickeln, was
ffir eint Besti~tigung und einen Ausbau dieser Ansichttn fraglos erwfinscht ist.
Daher sehien es mir der Mfihe wert, naehzuweisen, dab der von
J a s p e r s in dieser Sache eingenommene Standpunkt unrichtig ist und
auf unzul~tnglichen Griinden beruht. Ieh hoffe, durch diese Betrachtung dazu beizutragen, dab sich die Kritik in diesen psyehologischen
Problemen wieder auf die Grundlage der Erfahrung stellen mSge, statt
auf das unfruehtbare Gebiet der dogmatischen ~berzeugung.
|
|
https://openalex.org/W2039352626
|
https://bmcophthalmol.biomedcentral.com/counter/pdf/10.1186/1471-2415-14-84
|
English
| null |
Influence of uncorrected refractive error and unmet refractive error on visual impairment in a Brazilian population
|
BMC ophthalmology
| 2,014
|
cc-by
| 7,848
|
© 2014 Ferraz 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 credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. Abstract Background: The World Health Organization (WHO) definitions of blindness and visual impairment are widely
based on best-corrected visual acuity excluding uncorrected refractive errors (URE) as a visual impairment cause. Recently, URE was included as a cause of visual impairment, thus emphasizing the burden of visual impairment
due to refractive error (RE) worldwide is substantially higher. The purpose of the present study is to determine the
reversal of visual impairment and blindness in the population correcting RE and possible associations between RE
and individual characteristics. Methods: A cross-sectional study was conducted in nine counties of the western region of state of São Paulo, using
systematic and random sampling of households between March 2004 and July 2005. Individuals aged more than
1 year old were included and were evaluated for demographic data, eye complaints, history, and eye exam,
including no corrected visual acuity (NCVA), best corrected vision acuity (BCVA), automatic and manual refractive
examination. The definition adopted for URE was applied to individuals with NCVA > 0.15 logMAR and BCVA ≤0.15
logMAR after refractive correction and unmet refractive error (UREN), individuals who had visual impairment or
blindness (NCVA > 0.5 logMAR) and BCVA ≤0.5 logMAR after optical correction. Results: A total of 70.2% of subjects had normal NCVA. URE was detected in 13.8%. Prevalence of 4.6% of optically
reversible low vision and 1.8% of blindness reversible by optical correction were found. UREN was detected in 6.5%
of individuals, more frequently observed in women over the age of 50 and in higher RE carriers. Visual impairment
related to eye diseases is not reversible with spectacles. Using multivariate analysis, associations between URE and
UREN with regard to sex, age and RE was observed. Conclusion: RE is an important cause of reversible blindness and low vision in the Brazilian population. Keywords: Blindness, Visual impairment, Spectacles, Refractive errors, URE, UREN The WHO definitions of blindness and VI are widely
based on best-corrected visual acuity (BCVA) excluding
uncorrected RE (URE) as a VI cause. Recently, URE was
included as a cause of VI, thus emphasizing the burden
of VI due to RE worldwide is substantially higher. URE
was considered to be responsible for VI in approximately
259 million persons, of whom approximately 42 million
are considered blind with visual acuity less than 3/60 in
the better eye [3]. Influence of uncorrected refractive error and
unmet refractive error on visual impairment in a
Brazilian population Fabio H Ferraz1, José E Corrente2, Paula Opromolla1 and Silvana A Schellini1* Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 * Correspondence: sartioli@fmb.unesp.br
1Ophthalmology Department, Faculdade de Medicina de Botucatu,
Universidade Estadual Paulista - UNESP, Cep: 18618-970 Botucatu, SP, Brazil
Full list of author information is available at the end of the article Background Refractive error (RE) is a remediable cause of visual im-
pairment (VI), which is considered to be a social burden
with a simple and cost‐effective treatment. RE has been
included as one of the five priorities of the World Health
Organization (WHO) in the global initiative for eliminating
avoidable blindness [1]. RE has severe social and economic
effects on individuals and communities, restricting educa-
tional and employment opportunities of otherwise healthy
individuals [2]. Several population‐based surveys have reported URE
or presenting corrected (with habitual correction) VA
point out the enormous burden of URE as reversible and
amenable to rehabilitation VI cause [4,5]. * Correspondence: sartioli@fmb.unesp.br
1Ophthalmology Department, Faculdade de Medicina de Botucatu,
Universidade Estadual Paulista - UNESP, Cep: 18618-970 Botucatu, SP, Brazil
Full list of author information is available at the end of the article Page 2 of 10 Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 A substantial proportion (34%) of the population from
Tehran lacked proper spectacles for correcting RE,
although a considerable percentage would greatly benefit
from spectacles. In addition, UREN was more likely
among the elderly, less educated, and those with myopia,
although the reasons for the high rate of UREN were
not identified [10]. The prevalence of RE determined in a population
study was 40%, and 25-40% of these subjects utilized
optical correction; however, approximately 80% of these
corrections were outdated [6]. Visual acuity (VA) with proper correction increased by
at least one line in 54% of people who participated in
the Baltimore Eye Study, and 7.5% experienced an increase
of three lines or more [7]. The primary causes of low vision and blindness in a
Brazilian city were URE, cataract, and retinal diseases. The primary cause of presenting low vision was RE
(72.3%), and cataract was the most prevalent cause of
blindness (50%). Low vision was observed in 5.2% (95%
CI: 4.3–6.1) of the population, whereas blindness was
observed in 2.2% (95% CI: 1.6–2.8) of the population. Unilateral presenting low vision and unilateral presenting
blindness were found in 8.3% (95% CI: 7.2–9.5) and 3.7%
(95% CI: 2.9–4.4) of the population, respectively. Best cor-
rected low vision was noted in 1.3% of the population
(95% CI: 0.9–1.7), and best corrected blindness was found
in 0.4% of people (95% CI: 0.2–0.7) [12]. Background As part of the National Health and Nutrition Examin-
ation Survey (NHANES), an evaluation of the USA popu-
lation demonstrated that 83.3% of those with VI could
achieve good VA (VA ≥20/40 in the better-seeing eye)
with refractive correction [8]. A study of RE in Latinos from Arizona demonstrated
that RE are associated with increasing age and female
gender and that RE have been associated with decreased
quality of life and limitations in vision-dependent activ-
ities, as shown by fewer opportunities for education and
employment and reduced productivity, resulting in indi-
ces of marginalization [9]. g
According to other studies, more than 33% of those
who need spectacles did not have an appropriate pre-
scription, and more than 25% of these individuals could
experience visual improvement with proper correction
of their RE. Using appropriate spectacles improved VA
by at least one line in 26.7% of the studied population and
by as much as four lines or more in 5.9% (95% CI: 5.2% -
6.7%). The prevalence of URE was 7.1%; unmet need
(UREN) was more likely to be observed among the elderly,
less educated, and those with myopia, although the rea-
sons behind the high rate of URE were not identified [10]. The spectacle coverage rate in rural and urban popula-
tions 30 years of age in Bangladesh was 25.2% [2]. This
rate is lower than other reported values [10], although it is
difficult to compare results because the sample population
in other reports was urban and had a wider age range. l h
h
h
d f
h
l Blindness in another Brazilian region was approximately
0.5% (regional variations range from 0.25% to 0.75%) [13],
and causes of VI were RE (42.7%), cataract (23.6%),
age-related macular degeneration (5.4%) and glaucoma
(4.0%) [14]. According to other studies, more than 33% of those
who need spectacles did not have an appropriate pre-
scription, and more than 25% of these individuals could
experience visual improvement with proper correction
of their RE. Using appropriate spectacles improved VA
by at least one line in 26.7% of the studied population and
by as much as four lines or more in 5.9% (95% CI: 5.2% -
6.7%). The prevalence of URE was 7.1%; unmet need
(UREN) was more likely to be observed among the elderly,
less educated, and those with myopia, although the rea-
sons behind the high rate of URE were not identified [10]. Background Population studies involving RE in Brazilians are scarce,
and the impact of RE on VI has not been established. The
purpose of this study was to determine the prevalence of
low vision (VI and blindness) attributable to RE and the
improvement of VA as a result of appropriate optical
correction in a Brazilian population. The spectacle coverage rate in rural and urban popula-
tions 30 years of age in Bangladesh was 25.2% [2]. This
rate is lower than other reported values [10], although it is
difficult to compare results because the sample population
in other reports was urban and had a wider age range. Sampling procedure
l
b
d A population-based cross-sectional ophthalmic survey of
households was conducted in the west region of state
of Sao Paulo, Brazil. The eligible population consisted
of permanent, non-institutionalized residents aged ≥1
to 90 years between March 2004 and July 2005. The
current investigation followed the tenets of the Declaration
of Helsinki and was approved by Ethical Committee of
Faculdade de Medicina de Botucatu, state of Sao Paulo,
Brazil. All of the participants provided written informed
consent before participating in the study. Although the definitions vary, there are primarily
two definitions used in studies involving RE: “Met
need” describes the subjects who had VA less than 6/12 in
the better eye without correction but who achieved 6/12
or greater in the better eye with their current distance
spectacles, and “unmet need” (UREN) represents the sub-
jects who had VA less than 6/12 in the better eye without
correction and could achieve 6/12 or greater in the better
eye with correction but did not wear spectacles or did not
achieve such correction with their current spectacles
[2,11]. UREN includes persons in whom the optical cor-
rection is sufficient for removing the individuals from the
category of VI. The region has sixty-eight municipalities, of which nine
were included in the study. Table 1 shows the locations of
the municipalities and the total populations in 2003. The sample initially consisted of 3,600 residences, and
3,012 were evaluated, which corresponded to 83.6% of the
total sample. The overall prevalence of RE in Latino adults living in
Arizona was 64% in at least one eye and 51% in both
eyes. Of subjects with RE in at least one eye, 35% had
URE and 33% of those with RE could benefit from a new
pair of spectacles [9]. The participants were selected using a random, strati-
fied, household cluster sampling technique. The house-
holds to be evaluated were selected according to the local
census data (Instituto Brasileiro de Geografia e Estatística, Ferraz et al. Sampling procedure
l
b
d BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Page 3 of 10 Table 1 Spatial location, the estimated population for the year 2000 and sample size of each participating municipality
Municipality
Location*
Population**
Sample (N)
South latitude
West latitude
Arandu
23°08′11″
49°03′16″
6065
746
Areiópolis
22°40′09″
48°39′47″
10296
758
Bofete
23°05′53″
48°15′31″
7356
692
Conchas
23°00′48″
48°00′22″
14904
1013
Itaí
23°24′49″
49°05′34″
21039
1020
Pereiras
23°04′24″
47°58′32″
6226
895
Pratânia
22°48′34″
48°39′57″
3950
697
Manduri
23°00′10″
49°19′28″
8271
1020
Taguaí
23°27′07″
49°24′38″
7468
813
*Google Earth, 2012; **IBGE (Demographic census in the year 2000). Table 1 Spatial location, the estimated population for the year 2000 and sample size of each participating municipality mated population for the year 2000 and sample size of each participating municipality analysis, the VA was converted to the logarithm of the
minimum angle of resolution (logMAR). 2000): the first house was selected randomly; the next
house was the sixth house on the even-numbered side of
the street and so on. The randomly selected household
received a letter of invitation to participate in the study. The individuals who agreed to participate were contacted
by telephone to schedule an appointment. All occupants
of the household were eligible to participate in the study. If there was no answer when the examiners contacted
the household or if people refused to participate in
the research, the first house to the right was selected. If the next household refused to participate, the first house
to the left of the initial house was selected and so on. Slit lamp biomicroscopy (Shinn-Nippon, Japan) was
performed, followed by one drop of 1% cyclopentolate in
each eye once (for people aged 1–39 years) and refractive
examination after 30 minutes or 1% tropicamide (in those
aged ≥40 years) and fundus examination at the slit lamp
utilizing a 90D Volk lens (Mentor, USA). Intraocular
pressure was evaluated using a non-contact tonometer
(Canon TX-F, Japan) and if the intraocular pressure
was higher than 21 mmHg, the measurement was repea-
ted using a Goldman tonometer (Haag-Streit, USA). Autorefraction (Topcon KR-7000, Japan) was performed
for all subjects independent of VA. A subjective refraction
examination was performed by ophthalmologists using a
phoropter (Topcon VT10, Japan), assisted by autorefr-
action data, and confirmed using a retinoscope (Welch
Allyn, USA) for those persons with a VA below 20/20. Data collection
l A single survey team conducted the study and all of the
data collection were conducted using a Mobile Ophthal-
mic Unit. All study personnel underwent training and all
procedures were standardized before beginning the study. Specific observations were performed by 1–2 members of
the team to minimize interobserver variability. Trained
health care workers filled out a detailed questionnaire
regarding the demographic data (sex, skin color, and age),
wearing and availability of spectacles, family history of eye
diseases and presence of eye abnormalities. Each parti-
cipant received an ophthalmic examination in which VA
was measured for the right eye followed by the left eye
with a consistently illuminated Snellen chart with tum-
bling E within a light box placed 5 meters from the par-
ticipant. The VA was retested with the patient’s existing
refraction. If the corrected VA was less than 20/20, an
objective cycloplegic refraction (using the dilatation pro-
tocols listed below) was performed and the BCVA was
recorded using the refraction result. If the subject was un-
able to read the largest letter at 5 m with objective refrac-
tion, testing was repeated at 1 m. If the subject was unable
to read the largest letter at 1 m, the VA was recorded as
count fingers (CF), hand movements (HM), light percep-
tion (LP) or no light perception (NLP). Using statistical Statistical analysis Correction of RE provided greater benefit to individuals
over 50 years and under 70 years of age (Figure 2). There was a high correlation between the right and left
eye RE data (Spearman r = 0.88). The analysis of the
right eye RE and their demographic associations pro-
duced similar results to those in whom left eye RE was
associated with demographic variables; hence, the results
relating to the better eye are reported. The statistical
software package used was SPSS version 15.0 (SPSS for
Windows Inc., Chicago, IL, USA). With respect to BCVA > 0.15 logMAR, 4.7% of the
individuals were in the 1st age group, and there was
a progressive increase in the following groups, reaching
more than 63% after 70 years. BCVA > 1.3 logMAR repre-
sented a smaller percentage of persons compared to the
other segments; 38.1% of individuals over 70 years of age
maintained low vision or blindness (Figure 3). A descriptive analysis was performed using the mean,
median and respective measures of dispersion (standard
deviation and interquartile range). The proportion and
prevalence data are presented in graphs, adopting 95%
Confidence Intervals (CIs) and p values (significant at
the p < 0.05 level). The prevalence of individuals with low vision and
blindness who benefited from spectacles and who were
removed from the category of extreme VI were also studied
by measuring the difference between the frequencies of
UCVA and BCVA to low vision (0.5 < AV ≤1.3 logMAR)
and blindness (>1.3 logMAR). According to these criteria,
prevalence of 4.6% of optically reversible low vision and
1.8% of blindness reversible by optical correction were
found. Regarding age groups, these proportions were
higher for subjects with low vision, especially after the age
of 50, with nearly 12.5% having low vision that was revers-
ible. For blindness, this difference was less significant,
although there was a 4.9% decrease in the category with
optical correction, as observed in individuals older than
70 years (Figure 4). Univariate analysis was performed to determine the
presence of an association between the variables, and
multiple logistic regression analysis was used to fit the
best model for independent variables (all of the key vari-
ables analyzed in univariate analysis were included in
multivariate models) to determine the predictive factors
for VI, correctable VI and UREN. Definitions of RE The spherical equivalent (SE) was calculated as the spher-
ical error plus half the cylindrical error. We adopted the
definitions of RE from the Baltimore Eye Study [7] as
follows: myopia is defined as SE ≤−0.5 D, high myopia
as ≤−3.0D, hyperopia as SE ≥+0.5 D, high hyperopia
as ≥+3.0 D and astigmatism as DC ≤−0.5 D. Anisome-
tropia is defined as a difference in SE between the right
and left eyes of ≥1.0 D. The WHO categories of vision loss were used to
define blindness and severe visual impairment [1] and
separated VA into the following four strata: VA ≥0.15
logMAR (0.7 Snellen) was considered to be normal
VA; 0.15 logMAR (0.7 Snellen) < VA ≤0.5 logMAR
(0.3 Snellen) was considered to be moderate vision impair-
ment; 0.5 logMAR (0.3 Snellen) < VA ≤1.3 logMAR (0.05
Snellen) was considered to be severe visual impairment;
and VA > 1.3 logMAR (0.05 Snellen) was considered to be
blindness. Page 4 of 10 Page 4 of 10 Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 The definitions for characterizing the improvement of
VA by refraction examination were as follows: presented with moderate VI (0.15logMAR < UCVA ≤
0.5logMAR), 10.2% presented with severe VI (0.5log-
MAR > UCVA ≥1.3logMAR), and 4.2% presented with
blindness (UCVA > 1.3logMAR). presented with moderate VI (0.15logMAR < UCVA ≤
0.5logMAR), 10.2% presented with severe VI (0.5log-
MAR > UCVA ≥1.3logMAR), and 4.2% presented with
blindness (UCVA > 1.3logMAR). 1) URE (uncorrected RE) was defined as subjects who
presented VA > 0.15 logMAR (0.7 Snellen) in the better
eye but achieved ≤0.15 logMAR BCVA after refractive
correction in the better eye; After best optical correction (BCVA), the frequency of
individuals with normal VA increased to 84.1%, with a
decrease in the frequencies of the other categories. This
difference of 13.8% represents the prevalence of indi-
viduals with URE. With the correction of RE, 60.7% of
individuals with moderate VI reached normal VA, and
15.7% of persons with severe VI reached the category of
moderate loss. Approximately 18.9% of individuals who
were considered to be blind with URE reached the level
of low vision after optical correction (Figure 1). Definitions of RE 2) UREN (unmet need RE) was defined as subjects
who had an uncorrected VA worse than 0.5 logMAR
or 0.3 Snellen in the better eye and could achieve
BCVA ≤0.5 logMAR after refractive correction of the bet-
ter eye but did not wear spectacles or did not achieve such
correction with their present spectacles [2]. The treatments considered for RE were expectant,
such as optical correction with improvement of VA, VI
despite adequate optical correction, and blindness even
with spectacles. Amblyopia (BCVA > 0.15 logMAR) was present in at
least one eye from 3% of children in the first decade of life. Considering the severe amblyopia (BCVA > 0.5 logMAR)
1,15% of eyes in the same age had this condition. Statistical analysis Odds ratios (ORs) (pre-
sented with 95% CIs) were used in the univariate analysis
of VI, correctable VI and UREN with key variables. Results The prevalence of UREN, represented by persons being
removed from the category of VI with optical correction,
was 6.5% (95% CI: 6.0-7.1) (Figure 5). There is a clear fre-
quency for individuals in their 7th decade with 13.4%
(95% CI: 10.9-15.9) and 8th decade with 13.0% (95% CI:
10.1-16.0), which reveals a greater benefit from refractive
correction for these segments. Between 20 years and
29 years, this difference was 6.7% (95% CI: 5.2-8.3)
(Figure 5). A total of 3,012 households were included in the study. A total of 8,010 subjects were selected, and 7,654 under-
went ophthalmic examinations. The primary reasons for
non-participation were work commitments, not meeting
the inclusion criteria, and refusal to participate. Those
who did not meet the inclusion criteria were women
(62%), 3% below 40 years of age, 9% between 40 and 59
and 86% above. The municipalities were homogeneous
for frequency of participation, ranging from 9.0% to 13.3%. The VA was measured in 7,362 individuals, and 70.2% pre-
sented with normal vision (UCVA ≤0.15logMAR), 15.4% UREN was evaluated according to the type of RE. The
frequency of UREN for myopia, hyperopia and astigma-
tism of lower grades and for anisometropia remained Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Page 5 of 10 Figure 1 Distribution of uncorrected visual acuity categories (UCVA) according increased vision by spectacles (BCVA) in west region of
state of São Paulo, Brazil – 2004/2005. Figure 1 Distribution of uncorrected visual acuity categories (UCVA) according increased vision by spectacles (BCVA) in west region of
state of São Paulo, Brazil – 2004/2005. n of uncorrected visual acuity categories (UCVA) according increased vision by spectacles (BCVA) in west region of
Brazil – 2004/2005. revealing a decrease of approximately 33% for men over
women (URE:OR 0.7; 95% CI: 0.6-0.8; and UREN:OR
0.7, 95% CI: 0.5-0.8). between 7.8% and 13.2%. In patients with high myopia,
35.8% (95% CI: 30.5 - 41.0) were removed from the cat-
egory of VI with optical correction, and for individuals
with high hyperopia, the frequency of UREN was 34.5%
(95% CI: 29.0 - 39.1). An association with age was also found. Results In individuals
<50 years of age, the chance of URE was significantly
lower than in those >60 years (p < 0.001), reaching nearly
1/10 individuals in the 1st age group (OR 0.1; 95% CI:
0.1-0.2) and 1/4 in the 2nd decade of life (OR 0.2; 95%
CI: 0.2-0.3) compared to individuals >70 years of age. In
individuals between the ages of 60 and 69 years, there
was a higher frequency of persons with URE, and the
frequency of BCVA for normal VA was approximately
80% more than for the last age group (OR 1.8; 95% CI:
1.3 - 2,3). Regarding UREN, significance was found only in
the 1st and 2nd decades, when the chance of having
UREN was much lower compared to individuals >70 years
of age (OR 0.0; 95% CI: 0.005-0.8; and OR 0.1; 95% CI:
0.1-0.2, respectively). Univariate and multivariate analyses The variables were included in logistic regression models
using univariate analyses to establish the likelihood of
association with the improvement of VA with RE correc-
tion. Considering URE and UREN as dependent variables,
with the exception of self-reported skin color, all other
related determinants were considered likely predictors
(p < 0.001).The logistic regression models for URE and
UREN, according to the association variables, are presen-
ted in Table 2. Following the criteria of URE or UREN, we found a
significant association of prevalence with sex (p < 0.001), Figure 2 Frequency of best corrected vision acuity and no corrected vision acuity and its difference (URE), according to age in west
region of state of São Paulo, Brazil – 2004/2005. Figure 2 Frequency of best corrected vision acuity and no corrected vision acuity and its difference (URE), according to age in west
region of state of São Paulo, Brazil – 2004/2005. Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Page 6 of 10 Figure 3 Relative frequency of visual acuity levels less than 0,15 logMAR after spectacles, according to age in west region of state of
São Paulo, Brazil – 2004/2005. For patients with RE, a significant association with SE
(p < 0.001) was observed. When myopia was absent,
there was an approximate 1/5 chance of URE and a 1/10
chance of UREN compared to the myopic carriers (OR
0.2; 95% CI: 0.2-0.2; OR, 0.1; 95% CI: 0.1-0.14, respect-
ively). In the absence of hyperopia, the chance of URE
and UREN was approximately 1/3 and 1/4 lower, respect-
ively, compared to those for hyperopia carriers (OR 0.3;
95% CI: 0.3-0.4; OR 0.2; 95% CI: 0.2-0.3). (OR 0.6; 95% CI: 0.4-0.7). There was no significant differ-
ence in the association between anisometropia and URE
and there was no association between URE and UREN
with regard to the systemic diseases and astigmatism cy-
lindrical axes. Discussion Initiatives to characterize the distribution profile of VI
and identify reversible causes are fundamental for estab-
lishing preventive and therapeutic strategies to control
the major causes of blindness. However, astigmatism demonstrated a significant associ-
ation only with URE. When astigmatism was absent, the
chance of URE was almost 1/2 compared to astigmatism
(OR 0.6; 95% CI: 0.51-0.71). This significance was not
observed for UREN, indicating that astigmatism alone was
not sufficient to determine the optically correctable VI. An analysis of demographic data of the cities in the
study stratified by age and gender shows that there was
a predominance of women in almost all age groups and
a flattening of men in the 3rd and 4rth age groups, most
likely because the male is more likely to work in these
age groups, reflecting a bias in sampling. Optical correction exhibited a significant role in the
reversal of VI for anisometropic carriers, with a lower
chance of UREN for non-anisometropics, approxi-
mately two times lower than for those with anisometropia Approximately 70% of the participants had normal
VA, requiring no refraction adjustment. Improving the Figure 4 Prevalence and Confidence Interval (95%) of spectacle reversible visual impairment, according to age in west region of state
of São Paulo, Brazil – 2004/2005. Figure 4 Prevalence and Confidence Interval (95%) of spectacle reversible visual impairment, according to age in west region of state
of São Paulo, Brazil – 2004/2005. Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Page 7 of 10 Figure 5 Prevalence of Unmet Need according to age in west region of state of São Paulo, Brazil – 2004/2005. Discussion Table 2 Results of multivariate analysis through logistic regression models for enhancement criteria of URE and UREN
URE OR (IC 95%)
P value
UREN OR (IC 95%)
P value
Gender
Man
0.71 (0.61 – 0.83)
< 0.001
0.67 (0.54 – 0.83)
< 0.001
Woman
1
1
Age
1 to 9
0.14 (0.08 – 0.24)
< 0.001
0.02 (0.005 – 0.8)
< 0.001
10 to 19
0.23 (0.16 – 0.34)
< 0.001
0.15 (0.09 – 0.24)
< 0.001
20 to 29
0.44 (0.31 – 0.61)
0.03
0.4 (0.27 – 0.61)
0.16
30 to 39
0.42 (0.30 – 0.58)
0.009
0.34 (0.22 – 0.51)
0.83
40 to 49
0.61 (0.46 – 0.82)
0.21
0.40 (0.27 – 0.59)
0.15
50 to 59
1.21 (0.92 – 1.59)
< 0.001
0.71 (0.50 – 1.00)
< 0.001
60 to 69
1.77 (1.34 – 2.34)
<0.001
1.06 (0.75 – 1.48)
< 0.001
70 or +
1
1
Background
No background
1.02 (0.87 – 1.20)
0.77
0.88 (0.71 – 1.10)
0.27
Background
1
1
Astigmatism axis
Vertical
1
1
Horizontal
1.01 (0.84 – 1.22)
0.34
0.95 (0.74 – 1.21)
0.48
Myopia
Yes
1
1
No
0.19 (0.15 – 0.24)
< 0.001
0.1 (0.07 – 0.14)
< 0.001
Hyperopia
Yes
1
1
No
0.34 (0.28 – 0.42)
< 0.001
0.24 (0.17 – 0.34)
< 0.001
Astigmatism
Yes
1
1
No
0.6 (0.51 – 0.71)
< 0.001
0.83 (0.66 – 1.06)
0.13
Anisometropia
Yes
1
1
No
1.04 (0.85 – 1.26)
0.67
0.56 (0.44 – 0.70)
< 0.001 Table 2 Results of multivariate analysis through logistic regression models for enhancement crite
URE OR (IC 95%)
P value
UREN OR (IC 95%) tivariate analysis through logistic regression models for enhancement criteria of URE and UREN
URE OR (IC 95%)
P value
UREN OR (IC 95%)
P value Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Page 8 of 10 VA to normal in 13.8% of the participants after BCVA cor-
responds to the prevalence of URE cases in this popula-
tion that is a randomized sample of a Brazilian region. A review of published data on URE as a cause of
blindness and visual impairment in adults aged ≥40 years
in sub-Saharan Africa (SSA) showed that the proportion
of moderate VI (PVA ≤6/60 and >6/18) due to URE
ranged from 12.3% to 57.1%. Discussion Although URE is a leading
cause of VI, URE does not represent a major cause of
blindness in SSA [23]. Since there are many concepts in this topic, Table 3
presents the primary features regarding the definitions
of VI, the different criteria used for classification of URE
and UREN and their frequencies, thus establishing a par-
allel comparison with our and other studies worldwide
[9,11,12,15-20]. Definitions represent a problem to com-
pare studies. The prevalence of URE in Australia was
10.2% [11]. However, authors adopted 6/9 (0.18 log-
MAR) as the limit of normal VA, in contrast to the 0.15
logMAR adopted in our study. Another difference was
the age groups. The Australian study included only individ-
uals aged over 49 years and we considered all age groups to
determine URE and considered vision improvement of two
lines of the Snellen vision chart in the URE group, inde-
pendent of the final level of VA [11]. In the current study,
only the change of grade adopted was used as a crite-
rion, which may influence the comparative analysis. A Chinese study that used criteria similar to ours
showed a prevalence of 24.8% for undercorrected vision;
the met need was 10.4%, the URE was 13.2%, and the
prevalence of mild visual impairment was 12.9% with
presenting vision and 5.3% after BCVA [24]. The frequency of URE in another study involving
individuals of all ages was 22.6%, considering the criteria
for improvement of vision to be two or more lines
with the BCVA for individuals with VA of 20/25 to
20/200 [9]. Our study showed that URE was present in all age
groups, with a considerable increase in prevalence over
50 years (24% for patients over the age of 50 years),
which reflects a greater benefit from optical correction
after this age. Nevertheless, the frequency of individuals
who have maintained some degree of VI, even with
BCVA, was also proportionally larger in the elderly. We
believe that with increasing age, the need for optical
devices becomes greater; in addition, the presence of eye
diseases that result in poor vision also increases. Considering another region of the state of Sao Paulo,
Brazil and specific age groups, we assessed the presenting
vision of older adults and noted that the prevalence of
blindness was 1.5%, which decreased to 1.1% with BCVA. Discussion In school children, the prevalence of uncorrected VI
was 4.8%, which decreased to 12.4% with refractive
correction [22]. Table 3 Comparative analysis for results and criteria of URE, UREN and visual impairment between our and others
populational surveys
SURVEY (%)
URE
Criteria
UREN
Criteria
Low vision
Criteria
Blind
Criteria
*Ferraz et al., 2014 São
Paulo State, Brazil
13.8
Dif BCVA ≥0.15 -
NCVA ≥0.15
6.5
Dif BCVA > 0.5 -
NCVA > 0.5)
9.8
1.3 ≤VA < 0.5
4.1
VA < 1.3
Ramke et al., 2012 [19]
Timor-Leste, Afrique
3.7
NCVA < 6/18 ≥6/18
with pinhole
9.6
VA < 20/40
Enhancement 2 lines
-
-
-
-
Brian et al., 2011 [18]
Figi, Japan
10.3
Presenting corrected
vision ≥6/18
4.8
Uribe et al., 2011 [9]
Tucson/Nogales, USA
22.57
Enhancement 2 lines
Barnes et al., 2011 [21]
Ta’u Island, Samoa, USA
-
-
-
-
10.5
6/60 ≤VA < 6/18
4.8
VA < 6/60
Schellini et al., 2009 [12]
Botucatu Eye Study, Brazil
-
-
5.5
Dif BCVA ≥20/60 -
NCVA ≥20/60)
5.2
20/400 ≤VA < 20/60
2.2
VA <20/400
Varma et al., 2008 [16]
La Puente, California
15.1
Enhancement 2 lines
8.9
Dif BCVA ≥20/40 -
NCVA ≥20/40)
-
-
-
-
Ntim-Amponsah, 2007 [15]
Gana, Afrique
11.9
Enhancement 2 lines
-
-
-
-
-
-
Ramke et al., 2007 [17]
Timor-Leste, Afrique
-
-
11.7
Dif BCVA ≥6/18 -
NCVA ≥6/18)
-
6/60 ≤VA < 6/18
-
VA < 6/60
Dandona et al., 2002 [20]
Andhra Pradesh, Índia
-
-
4.49
Dif BCVA ≥6/12 -
NCVA ≥6/12)
-
VA < 6/12
-
-
Thiagalingam et al., 2002 [11]
Blue Montains, Australia
10.2
VA < 6/9 Enhancement
2 lines
-
-
-
-
-
-
Note: *Ferraz et al.,2014 correspond to the present study. VA: 6/120 Sn = 20/400 Sn = 1.3 logMAR; 6/60 Sn = 20/200 Sn = 1.0 logMAR; 6/18 Sn = 20/60 Sn = 0.5
logMAR; 20/40 Sn = 0.3 logMAR; 6/9 Sn = 20/30 Sn = 0.18 logMAR. Discussion Table 3 Comparative analysis for results and criteria of URE, UREN and visual impairment between our and others
populational surveys Table 3 Comparative analysis for results and criteria of URE, UREN and visual impairment between our and others
populational surveys rative analysis for results and criteria of URE, UREN and visual impairment between our and others Table 3 Comparative analysis for results and criteria of URE, UREN and visual impairment betwee
populational surveys Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Page 9 of 10 Page 9 of 10 The data for subjects with UREN showed that approxi-
mately 13% of individuals >60 years of age presented
UCVA > 0.5 logMAR, i.e., individuals with VI no longer
had this condition after corrective lenses. However,
when severe VI or blindness is present, the likelihood of
recovering VA with spectacles is lower because of the
existence of important chronic degenerative diseases,
such as diabetic retinopathy, glaucoma, cataracts, macular
age-related degeneration, vitreo-retinal changes, corneal
irregularities, high RE and amblyopia, which may present
with severe VI and may not show significant improvement
in VA with optical correction. the prevalence was higher than that reported in the
present study. The discrepancy may be associated
with the different parameters accepted for the defin-
ition of UREN. Compared to the findings in India [2],
the prevalence of cases of UREN was higher in the
USA [16]. Applying the criterion of VI recommended by the
WHO, the prevalence of UREN in Timor Leste reached
11.7% [17]; and at Mount Figi, with a setting similar to
the present study, the URE was 10.3%, whereas the UREN
was 4.8% [18]. The prevalence of UREN in Timor-Leste
was almost twice that found in the present study. This
difference can be attributed to socioeconomic conditions
because there is much poverty in Timor-Leste. Another
aspect that contributes to this difference is that the sample
in Timor-Leste consisted of individuals aged > 40 years
[17], which shows a higher UREN; this was also observed
in the current study, in which the prevalence of UREN in
persons >60 years was approximately 13%. There is a direct association between the prevalence of
blindness and VI with age, especially at advanced ages,
confirming the presence of other problems contrary to
visual improvement through refraction in the elderly. Discussion It
is particularly startling that in “developed countries”,
between 7% and 34% of older people have VI that could
be reversed by appropriate spectacles. There is a strong
relationship between impaired vision in older people and
reduced quality of life and increased risk of accidents,
particularly falls [25]. Many factors and different definitions used in other
population studies limit the usefulness of comparing the
prevalence findings for UREN. Thus, a careful analysis
of the sampling characteristics, regional differences, and
socio-economic characteristics of the country and the
study population demographics should be done. Further-
more, the criteria used to define VI are not uniform;
thus, comparative analyses of the results may not be
informative. Brazil is a country of great miscegenation, which com-
plicates the analysis of the influence of race. In the
present study, we considered self-reported skin color,
confirming that the majority of the population living in
the state of Sao Paulo is white. The causes of blindness
in the USA differ according to race; 50% of whites who are
blind have macular degeneration related to age; in blacks,
more than 33% of the causes of blindness result from cata-
racts; and among Hispanics, glaucoma causes blindness in
28% of the population; however, the primary condition
related to VI in the three groups is cataracts [26]. Regarding the type of ametropia, UREN cases were
more prevalent among high RE (SE ≤−3.00D and SE ≥
3.00D). It is natural to expect that for higher refraction
values, visual limitation is more pronounced, and cases
without properly adjusted spectacles are expected to be
more frequent. Among subjects with low RE, the lower
limitation is the lack of spectacles, which is better
tolerated. A population‐based, cross‐sectional survey with cluster
random sampling was used to select 50 clusters of 30
people over the age of 40 years in India; the survey dem-
onstrated that “met refractive error need” in the sample
was 2.2% and that UREN was 11.7% [17]. It is important to remember that URE and UREN in-
directly reflect the quality of health care and access to it. Many of the individuals who were examined in our study
had not prior access to screening for RE, and a screening
may have improved their VA condition. This fact must
be acknowledged to guide the development of eye health
programs. Discussion The prevalence of UREN found in this study was 6.5%,
representing the proportion of individuals who were
removed from the condition of VI with optical correction. In Bangladesh, analyzing more than 11,000 people, the
prevalence of UREN was 7.2%, when limiting the VI
to 6/12 (0.3 logMAR); using a new limit of 6/18 (0.5
logMAR), the same authors found a prevalence of 4.1%
for UREN [2]. This analysis is similar to that used in our
study and therefore allows a better comparison, thus
revealing the major VI attributed to the lack of optical
correction in Brazil. Author details
1 1Ophthalmology Department, Faculdade de Medicina de Botucatu,
Universidade Estadual Paulista - UNESP, Cep: 18618-970 Botucatu, SP, Brazil. 2Biostatistics Department, Instituto de Biociências de Botucatu, Universidade
Estadual Paulista - UNESP Botucatu Brazil Ophthalmology Department, Faculdade de Medicina de Botucatu,
Universidade Estadual Paulista - UNESP, Cep: 18618-970 Botucatu, SP, Brazil. 2Biostatistics Department, Instituto de Biociências de Botucatu, Universidade Universidade Estadual Paulista - UNESP, Cep: 18618-970 Botucatu, SP, Brazil. 2Biostatistics Department, Instituto de Biociências de Botucatu, Universidade
Estadual Paulista - UNESP, Botucatu, Brazil. y
25. Evans BJ, Rowlands G: Correctable visual impairment in older people: a
major unmet need. Ophthalmic Physiol Opt 2004, 24(3):161–180. 25. Evans BJ, Rowlands G: Correctable visual impairment in older people: a
major unmet need. Ophthalmic Physiol Opt 2004, 24(3):161–180. 26. Congdon N, O’Colmain B, Klaver CC, Klein R, Muñoz B, Friedman DS,
Kempen J, Taylor HR, Mitchell P, Eye Diseases Prevalence Research Group:
Causes and prevalence of visual impairment among adults en the
United States. Arch Ophthalmol 2004, 122(4):477–485. 26. Congdon N, O’Colmain B, Klaver CC, Klein R, Muñoz B, Friedman DS,
Kempen J, Taylor HR, Mitchell P, Eye Diseases Prevalence Research Group:
Causes and prevalence of visual impairment among adults en the
United States. Arch Ophthalmol 2004, 122(4):477–485. Received: 8 January 2014 Accepted: 19 June 2014
Published: 25 June 2014 Conclusion The analysis of prevalence and logistic regression
models shows that 13.8% of the study participants exhib-
ited improved VA with spectacles and that the vision
of 6.5% with blindness and low vision was improved
by optical correction. This important benefit was re-
lated to age, and was observed more frequently in
persons over 50 years and with high RE. The data of our
study point up the importance of refractive correction
on VI. However, in the USA, two criteria for UREN are con-
sidered: the BCVA necessary to obtain a driver’s license
is 20/40 (0.3 logMAR) or the improvement of two
lines of sight, regardless of prior VA, and the preva-
lence of UREN ranged from 8.9% to 9.6%. In both cases, Page 10 of 10 Ferraz et al. BMC Ophthalmology 2014, 14:84
http://www.biomedcentral.com/1471-2415/14/84 Competing interests 19. Ramke J, Brian G, Naduvilath T: Refractive error and presbyopia in
timor-leste: the impact of 5 years of a national spectacle program. Invest Ophthalmol Vis Sci 2012, 53(1):434–9. All the authors declare that they have no competing interests. 20. Dandona R, Dandona L, Srinivas M, Giridhar P, Mc Carty C, Rao GN:
Population-based assessment of refractive error in India: the Andhra
Pradesh eye disease study. Clin Exp Ophthalmol 2002, 30(2):84–93. Abbreviations 16. Varma R, Wang MY, Ying-Lai M, Donofrio J, Azen SP: The prevalence and
risk indicators of uncorrected refractive error and unmet refractive need
in latinos: the Los Angeles Latino Eye Study. Invest Ophthalmol Vis Sci
2008, 49(12):5264–5273. BCVA: Best corrected visual acuity; CF: Count fingers; CI: Confidence interval;
HM: Hands movements; LogMAR: Logarithm of minimal angle resolution;
LP: Light perception; NCVA: No corrected visual acuity; NLP: No light BCVA: Best corrected visual acuity; CF: Count fingers; CI: Confidence interval;
HM: Hands movements; LogMAR: Logarithm of minimal angle resolution;
LP: Light perception; NCVA: No corrected visual acuity; NLP: No light
perception; RE: Refractive error; SE: Spherical equivalent; URE: Uncorrected
refractive error; UREN: Unmet refractive error; VA: Visual acuity; VI: Visual
impairment; WHO: World Health Organization. 17. Ramke J, Toit R, Palagyi A, Brian G, Naduvilath T: Correction of refractive
error and presbyopia in Timor‐Leste. Br J Ophthalmol 2007, 91(7):860–866. perception; RE: Refractive error; SE: Spherical equivalent; URE: Uncorrected
refractive error; UREN: Unmet refractive error; VA: Visual acuity; VI: Visual
impairment; WHO: World Health Organization. y
18. Brian G, Pearce MG, Ramke J: Refractive error and presbyopia among
adults in Fiji. Ophthalmic Epidemiol 2011, 18(2):75–82. adults in Fiji. Ophthalmic Epidemiol 2011, 18(2):75–82. Authors’ contributions
f FHF performed the acquisition, data analysis and writing. JEC and PO
contributed to the analysis data. SAS was the responsible for the study
design and revised the manuscript. All authors read and approved the final
manuscript. y
y
21. Barnes SS, Utu PJM, Sumida L, O’Carroll DC, Jenkins TL, Corboy J: Survey on
visual impairment and refractive errors on Ta’u Island, American Samoa. J Ophthalmol Vis Res 2011, 6(1):32–35. 22. Salomão SR, Mitsuhiro MR, Belfort R Jr: Visual impairment and blindness:
an overview of prevalence and causes in Brazil. An Acad Bras Cienc 2009,
81(3):539–549. Acknowledgements This work has been supported by grants from FAPESP - Fundação de
Amparo para a Pesquisa do Estado de São Paulo, Brazil. We are greatful to 23. Sherwin JC, Lewallen S, Courtright P: Blindness and visual impairment due
to uncorrected refractive error in sub-Saharan Africa: review of recent
population-based studies. Br J Ophthalmol 2012, 96(7):927–930. Chancelor for Research of the Universidade Estadual Paulista who provided
publication fees. 24. Zhu M, Tong X, Zhao R, He X, Zhao H, Liu M, Zhu J: Visual impairment and
spectacle coverage rate in Baoshan district, China: population-based
study. BMC Public Health 2013, 13:311–326. References doi:10.1186/1471-2415-14-84
Cite this article as: Ferraz et al.: Influence of uncorrected refractive error
and unmet refractive error on visual impairment in a Brazilian
population. BMC Ophthalmology 2014 14:84. 1. World Health Organization Vision 2020: Global initiative for the elimination of
avoidable blindness. Geneva: WHO; 2000. Fact Sheet No 1213. 1. World Health Organization Vision 2020: Global initiative for the elimination of
avoidable blindness. Geneva: WHO; 2000. Fact Sheet No 1213. 2. Bourne RRA, Dineen BP, Huq DMN, Ali SM, Johnson GJ: Correction of
refractive error in the adult population of Bangladesh: meeting the
unmet need. Invest Ophthalmol Vis Sci 2004, 45(2):410–417. 2. Bourne RRA, Dineen BP, Huq DMN, Ali SM, Johnson GJ: Correction of
refractive error in the adult population of Bangladesh: meeting the
unmet need. Invest Ophthalmol Vis Sci 2004, 45(2):410–417. 3. Dandona L, Dandona R: What is the global burden of visual impairment? BMC Med 2006, 16(12):4–6. 3. Dandona L, Dandona R: What is the global burden of visual impairment? BMC Med 2006, 16(12):4–6. 4. Resnikoff S, Pascolini D, Mariotti SP, Pokharel GP: Global magnitude of
visual impairment caused by uncorrected refractive errors in 2004. Bull WHO 2008, 86(1):63–70. 4. Resnikoff S, Pascolini D, Mariotti SP, Pokharel GP: Global magnitude of
visual impairment caused by uncorrected refractive errors in 2004. Bull WHO 2008, 86(1):63–70. 5. Bourne RRA: Uncorrected refractive error and presbyopia:
accommodating the unmet need. Br J Ophthalmol 2007, 91(7):848–850. 5. Bourne RRA: Uncorrected refractive error and presbyopia: 6. Muñoz B, West SK: Blindness and visual impairment in the Americas and
the Caribbean. Brit J Ophthalmol 2002, 86(5):498–504. 7. Katz J, Tielsch JM, Sommer A: Prevalence and risk factors for refractive
errors in an adult inner city population. Invest Ophthalmol Vis Sci 1997,
38(2):334–340. 8. Vitale S, Cotch MF, Sperduto RD: Prevalence of visual impairment in the
United States. JAMA 2006, 295(18):2158–2163. 8. Vitale S, Cotch MF, Sperduto RD: Prevalence of visual impairment in the
United States. JAMA 2006, 295(18):2158–2163. 9. Uribe JA, Swenor BK, Muñoz BE, West SK: Uncorrected refractive error in a
latino population: Proyecto VER. Ophthalmology 2011, 118(5):805–811. 10. Fotouhi A, Hashemi H, Raissi B, Mohammad K: Uncorrected refractive
error and spectacle utilization rate in Tehran: the unmet need. Brit J Ophthalmol 2006, 90(5):534–537. References Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
and take full advantage of: p
11. Thiagalingam S, Cumming RG, Mitchell P: Factors associated with
undercorrected refractive errors in an older population: the Blue
Mountains Eye Study. Brit J Ophthalmol 2002, 86(9):1041–1045. 12. Schellini SA, Durkin SR, Hoyama E, Hirai FE, Cordeiro R, Casson RJ, Selva D,
Padovani CR: Prevalence and causes of visual impairment in a Brazilian
population: the Botucatu Eye Study. BMC Ophthalmol 2009, 19(9):8. doi: 10.1186/1471-2415-9-8. • Convenient online submission 13. Kara-José N, Arieta CEL: South American programme: Brazil. J Com Eye
Health 2000, 13(1):55–56. 14. Arieta CEL, Delgado AMN, Kara José N, Temporini ER, Alves MR, Moreira
Filho DC: Refractive errors and cataract as causes of visual impairment in
Brazil. Ophthalmic Epidemiol 2003, 10(1):15–22. 15. Ntim-Amponsah CT: Contribution of refractive errors to visual impairment
in patients at Korle-Bu Teaching Hospital. Ghana Med J 2007, 41(7):68–71. 15. Ntim-Amponsah CT: Contribution of refractive errors to visual impairment
in patients at Korle-Bu Teaching Hospital. Ghana Med J 2007, 41(7):68–71.
|
https://openalex.org/W2005882808
|
https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0073182&type=printable
|
English
| null |
VO2max Trainability and High Intensity Interval Training in Humans: A Meta-Analysis
|
PloS one
| 2,013
|
cc-by
| 6,608
|
Introduction Additionally, 7% of subjects showed a gain of 0.1 L ? min21 or
less while 8% of subjects improved by 0.7 L ? min21 or more. The benefits of an active lifestyle are well documented [1–3]. Many of these benefits are also associated with higher levels of
cardiorespiratory fitness (VO2max) which may exert protective
effects that are independent of traditional risk factors [3,4]. Additionally, for individuals with low physical fitness, even modest
improvements in fitness can have substantial health benefits. However, some individuals may have a limited ability to increase
their cardiorespiratory fitness (trainability) in response to endur-
ance exercise training [5,6]. Based on this distribution of VO2max responses it appears that
the ‘‘trainability’’ of at least some subjects is low or non-existent
with little or no improvement in cardiorespiratory fitness in spite of
20 weeks of structured exercise training [5,6]. These observations
are in contrast to reports from smaller studies that have used either
interval training (IT), or interval training in combination with
continuous training (CT) and shown more robust increases in
VO2max with at least some evidence of marked responses in all
subjects [7–15]. A key study advancing the idea that some humans have limited
trainability comes from Bouchard et al. studied 483 sedentary
white adults from 99 nuclear families who completed a standard-
ized 20-wk endurance training program [5,6]. The subjects trained
three times per week on a treadmill. Initially, they trained at a
heart rate that correlated to 55% of their baseline VO2max for
30 minutes per session. Every two weeks the intensity and duration
of the exercise was progressively increased until each subject was
training for 50 minutes at a heart rate associated with 75% of their
baseline VO2max. This level of intensity and duration was reached
by the 14th week of training and maintained until the conclusion
of the study. Using this approach, they found a mean increase in
VO2max of ,0.4 L ? min21 with a SD of .0.2 L/min. In this context, we sought to explore the hypothesis that all
subjects can show marked improvements in VO2max if training
programs that include periods of high intensity (,90% of
VO2max) exercise are used. A fundamental rationale underpin-
ning our analysis is that the biology of VO2max trainability needs
to be evaluated using regimens designed to maximize physiological
adaptations. Andrew P. Bacon1, Rickey E. Carter2, Eric A. Ogle3, Michael J. Joyner1* Andrew P. Bacon1, Rickey E. Carter2, Eric A. Ogle3, Michael J. Joyner1* 1 Department of Anesthesiology, Mayo Clinic, Rochester, Minnesota, United States of America, 2 Department of Health Sciences Research, Division of Biomedical Statistics
and Informatics, Mayo Clinic, Rochester, Minnesota, United States of America, 3 Creighton University Medical School, Omaha, Nebraska, United States of America 1 Department of Anesthesiology, Mayo Clinic, Rochester, Minnesota, United States of America, 2 Department of Health Sciences Rese
and Informatics, Mayo Clinic, Rochester, Minnesota, United States of America, 3 Creighton University Medical School, Omaha, Neb Abstract Competing Interests: The authors have declared that no competing interests exist. * E-mail: joyner.michael@mayo.edu September 2013 | Volume 8 | Issue 9 | e73182 Abstract Endurance exercise training studies frequently show modest changes in VO2max with training and very limited responses in
some subjects. By contrast, studies using interval training (IT) or combined IT and continuous training (CT) have reported
mean increases in VO2max of up to ,1.0 L ? min21. This raises questions about the role of exercise intensity and the
trainability of VO2max. To address this topic we analyzed IT and IT/CT studies published in English from 1965–2012. Inclusion criteria were: 1)$3 healthy sedentary/recreationally active humans ,45 yrs old, 2) training duration 6–13 weeks,
3) $3 days/week, 4) $10 minutes of high intensity work, 5) $1:1 work/rest ratio, and 6) results reported as mean 6 SD or
SE, ranges of change, or individual data. Due to heterogeneity (I2 value of 70), statistical synthesis of the data used a random
effects model. The summary statistic of interest was the change in VO2max. A total of 334 subjects (120 women) from 37
studies were identified. Participants were grouped into 40 distinct training groups, so the unit of analysis was 40 rather than
37. An increase in VO2max of 0.51 L ?min21 (95% CI: 0.43 to 0.60 L ? min21) was observed. A subset of 9 studies, with 72
subjects, that featured longer intervals showed even larger (,0.8–0.9 L ? min21) changes in VO2max with evidence of a
marked response in all subjects. These results suggest that ideas about trainability and VO2max should be further evaluated
with standardized IT or IT/CT training programs. Citation: Bacon AP, Carter RE, Ogle EA, Joyner MJ (2013) VO2max Trainability and High Intensity Interval Training in Humans: A Meta-Analysis. PLoS ONE 8(9):
e73182. doi:10.1371/journal.pone.0073182 Received April 15, 2013; Accepted July 18, 2013; Published September 16, 2013 Received April 15, 2013; Accepted July 18, 2013; Published September 16, 2013 Copyright: 2013 Bacon et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This publication was partially supported by Grant Number UL1 TR000135 from the National Center for Advancing Translational Sciences (NCATS), the
Mayo Foundation, and Caywood Professorship to MJJ. 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. Study Eligibility Criteria and Literature Search 4) Subjects had to train a minimum of 3 days per week for 6–
13 weeks. At least two, and preferably three, training sessions
had to be interval training. A search of PubMed was developed and conducted by a
reference librarian looking for English language studies occurring
between the years of 1968–2010 using the following search terms:
interval training, VO2max, interval exercise + high/low intensity,
maximum O2, maximum/maximal VO2, maximal oxygen con-
sumption, peak oxygen uptake, maximal aerobic capacity, and the
following limits: humans, English. The primary author of each
eligible study was searched for in PubMed using the authors name
and the search term: exercise. Searches were also run on other
authors known by the investigators to have published papers that
used a combination of interval and continuous training. The
references of all eligible studies were also reviewed to identify other
potentially eligible studies that might have been missed using the
approaches outlined above. Subsequently, these studies were
searched for in PubMed using the specific authors and article
reference titles. Only published material was used. Figure 1 is a
schematic of our search strategy. 5) Subjects had to be trained on either a cycle ergometer or by
running with a minimum work: relief ratio of 1 min on:1 min
off. 6) During each interval training session subjects had to have a
minimum cumulative time of 10 minutes at high intensity. Due to the heterogeneity of training programs in the various
studies we felt it was critical for the ‘‘work’’ period of the
exercise sessions to be at intensities that were likely at least 80–
85% of VO2max or higher. In some studies the desired
intensities were set and monitored rigorously via power output
or heart rate and in some cases the authors had to make a
reasoned estimate. This was especially the case with some of
the running training studies that used timed runs (for example
reference 23). 7) Results had to be reported in pre and post mean VO2max
values 6 SD or SE, as ranges of change, or individual data. In order to be considered eligible for inclusion, studies had to
meet the following criteria: In order to be considered eligible for inclusion, studies had to
meet the following criteria: 8) Subjects could not be engaged in high intensity training before
the start of the study. 1) Studies had to include a minimum of 3 subjects. Study Eligibility Criteria and Literature Search 2) All subjects were previously healthy and between 18–45 years
of age. Introduction To test this hypothesis, we evaluated the changes in
VO2max in response to interval training (IT) or combined IT and
continuous training (CT) reported in 37 studies [7–43]. We also
sought to gain insight into the idea that shorter periods of IT might
be either superior or more time efficient at generating increases in
VO2max in comparison to traditional continuous training. September 2013 | Volume 8 | Issue 9 | e73182 PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org 1 Interval Training and VO2max Figure 1. Schematic of our study identification and screening approach. doi:10.1371/journal.pone.0073182.g001 Figure 1. Schematic of our study identification and screening approach. doi:10.1371/journal.pone.0073182.g001 provided in ml ? kg21 ? min21 a group estimate was calculated
using the mean weight and pre VO2max in L ? min21. provided in ml ? kg21 ? min21 a group estimate was calculated
using the mean weight and pre VO2max in L ? min21. Methods Study Eligibility Criteria and Literature Search Summary measures The principle summary measure utilized was group difference
in pre and post training means for VO2max expressed in L N
min21, calculated with a 95% confidence interval using a random
effects model [44]. As a sensitivity analysis to the random effects
model, a fixed effects model was also fit to the data to estimate the
degree of heterogeneity, indicated by I2. We used L N min21 to
avoid the potential confounding effect of significant weight loss
and to better compare our analysis with the data from Bouchard
et al. [5]. Mean difference was employed as it allowed us to
calculate the effect size, which was then compared to the effect size
of Bouchard et al. [5]. A standardized change in VO2max (mean
change for each study divided by the standard deviation of change)
was also analyzed using the same random effects modeling
framework. Study Selection 3) The initial fitness level of the subjects had to fall within the
range of untrained/sedentary to recreationally active, defined
as 55 ml ? kg21 ? min21 or lower for men and 49.5 ml ? kg21 ? min21 or lower for women. Studies were included with
recreationally trained individuals if they were in the minority
and if individual data was reported, allowing us to recalculate
the pre and post training VO2max values and their associated
SDs without the trained individuals. When VO2max was not Two independent investigators (M.J.J and A.B.) screened the
titles and abstracts of all studies identified by the various search
methodologies to determine their potential eligibility. Studies that
did not have an abstract, along with studies that were deemed
potentially eligible, had their full text reviewed in order to
determine if they met the criteria for inclusion in the meta-
analysis. In order to avoid double counting of studies that reported
different aspects of the physiological responses to training, the PLOS ONE | www.plosone.org September 2013 | Volume 8 | Issue 9 | e73182 September 2013 | Volume 8 | Issue 9 | e73182 2 Interval Training and VO2max studies reported treadmill and cycle VO2max values, the treadmill
values were used. studies reported treadmill and cycle VO2max values, the treadmill
values were used. study design (training methodology, number of subjects, study
duration) and subject characteristics (age, pre and post VO2max)
of all accepted studies were compared. When studies with
common authors, study design, and subject characteristics were
found, the study with the larger number of subjects was used. This
was done because it appeared that some training studies generated
multiple publications with, for example, cardiorespiratory data the
focus of one paper, and the metabolic adaptations to training the
focus of a second paper. Data Extraction and Synthesis Data extraction was performed by one investigator (A.B.) who
used a standardized form that allowed for the extraction of study
characteristics (author, title, number of subjects, study duration,
age range, work: relief ratio, frequency of training, mean pre and
post training VO2max values in L ? min21 and in ml ? kg21 ? min21 along with the associated standard errors of the mean
(SEM) and standard deviations (SD)). In order to evaluate the possibility of publication bias, a funnel
plot of the mean differences was constructed and assessed. The
funnel plot (Figure 2) indicated the potential for publication bias
(e.g., smaller studies had larger effect sizes reported), so an
imputed model was considered with fictional studies representing
the complementary effect sizes to observed studies. A ‘Trim and
Fill’ analysis was conducted to further assess for publication bias by
providing an estimated pooled effect with the imputed studies
while ‘trimming’ (removing) the most extreme small studies [45]. Comprehensive Meta Analysis Software (Biostat) version 2.2.064
was used for all analyses. When needed, pre and post VO2max values, along with pre and
post SD values, were converted into L N min21 to limit the
potentially confounding effects of changes in body weight that
might have occurred with training. Pre and post SEM values were
converted into SD. The calculated values were included in the
data extraction sheet. For several studies mean, SD, and pre post
correlation were recalculated from individual data. In the majority
of studies, only the pre and post measurements were reported (i.e.,
the standard deviation of the change or the correlation of the pre
and post measurements were not reported). Accordingly, the
correlation was conservatively set at 0.5 for these cases. When Figure 2. Funnel plot of standard errors observed for the reported articles by the reported difference in means. The open circles are
observed studies whereas the solid circles are imputed studies to assess the role of publication on the estimated effect. The two estimates, denoted
by the open and filled diamonds for the observed and imputed studies, respectively, agree qualitatively with one another suggesting that the
findings may be robust in the presence of publication bias. doi:10.1371/journal.pone.0073182.g002 Figure 2. Funnel plot of standard errors observed for the reported articles by the reported difference in means. The open circles are
observed studies whereas the solid circles are imputed studies to assess the role of publication on the estimated effect. Data Extraction and Synthesis The two estimates, denoted
by the open and filled diamonds for the observed and imputed studies, respectively, agree qualitatively with one another suggesting that the
findings may be robust in the presence of publication bias. doi:10.1371/journal.pone.0073182.g002 Figure 2. Funnel plot of standard errors observed for the reported articles by the reported difference in means. The open circles are
observed studies whereas the solid circles are imputed studies to assess the role of publication on the estimated effect. The two estimates, denoted
by the open and filled diamonds for the observed and imputed studies, respectively, agree qualitatively with one another suggesting that the
findings may be robust in the presence of publication bias. doi:10.1371/journal.pone.0073182.g002 Figure 2. Funnel plot of standard errors observed for the reported articles by the reported difference in means. The open circles are
observed studies whereas the solid circles are imputed studies to assess the role of publication on the estimated effect. The two estimates, denoted
by the open and filled diamonds for the observed and imputed studies, respectively, agree qualitatively with one another suggesting that the
findings may be robust in the presence of publication bias. doi:10.1371/journal.pone.0073182.g002 September 2013 | Volume 8 | Issue 9 | e73182 PLOS ONE | www.plosone.org 3 Interval Training and VO2max Figure 3. Forest plot for the synthesis of 37 articles (40 trained cohorts) identified in the systematic review. The estimates reported for
each study are the means and 95% confidence intervals for the change in VO2max in L ? min21. The summary diamonds at the bottom of the plot
represent the summarized effects using fixed and random effects models, where the random effects estimates are considered the primary findings for
this study due to heterogeneity (I2 = 70). The estimated increase in VO2max as a result of interval training was 0.51 L ? min21 (95% CI: 0.43 to 0.60 L ? min21; p,0.001). doi:10.1371/journal.pone.0073182.g003 Figure 3. Forest plot for the synthesis of 37 articles (40 trained cohorts) identified in the systematic review. The estimates reported for
each study are the means and 95% confidence intervals for the change in VO2max in L ? min21. The summary diamonds at the bottom of the plot
represent the summarized effects using fixed and random effects models, where the random effects estimates are considered the primary findings for
this study due to heterogeneity (I2 = 70). Results estimate that the subjects performed at least 10 minutes of work at
high intensity. Burke reported that their subjects trained to
exhaustion; therefore it was assumed that they performed at least
10 minutes of work at high intensity [17. Warburton reported that
their subjects performed interval training until the amount of work
performed equaled the amount of work that would have been
performed by the subject if they had been performing continuous
training [14]. Since the subjects in the continuous training group
worked for 30–48 min/day at 64.363.7% of their VO2max we
assumed that the subjects performing interval training worked for
at least 10 minutes at high intensity. Finally, Roca reported that
their subjects trained less than 10 minutes at high intensity on one
day of their high intensity training. Additionally, this was the only
study in which interval training did not account for at least half of
all training days for the test subjects. However, this exception was
justified because the continuous component was judged to be
strenuous enough to make up for the diminished interval
component [10]. Data Extraction and Synthesis The estimated increase in VO2max as a result of interval training was 0.51 L ? min21 (95% CI: 0.43 to 0.60 L ? min21; p,0.001). doi:10.1371/journal.pone.0073182.g003 p
doi:10.1371/journal.pone.0073182.g003 Interval Training and VO2max There was some indication of publication bias in the funnel plot
(Figure 2). Specifically, the estimated effect using the ‘Trim and
Fill’ approach was 0.37 L ? min21 (95% CI: 0.28 to 0.46 L ? min21), but the number of negative studies required to overturn
the observed finding was estimated to be over 4000 (Rosenthal’s
fail-safe N = 4531) [46]. Thus, while Figure 2 shows a slight
attenuation of the result with hypothetical studies imputed to
account for potential publication bias, the results are not
meaningfully changed. Finally, a sensitivity analysis was also
conducted under a fixed effects model. There was significant
heterogeneity in the exercise groups (I2 = 70), but the results of this
analysis agreed qualitatively with the primary random effects
model. Specifically, under the fixed effects model, the estimated
change was 0.45 L ? min21 (95% CI: 0.41 to 0.49 L ? min21;
p,0.001). effects presented in Figure 4 would appear to be shifted right in
comparison to the Heritage data in spite of the fact that some of
the studies were of limited duration (6–8 weeks); used intervals that
were only one minute long and the time spent during the ‘‘work’’
portion of the interval training session was as low as 10 minutes. Thus, assuming the individual subject data used to generate the
summary statistics in this meta-analysis follow roughly a normal
distribution, the distribution of individual changes would be
comparable, if not slightly better, than the Heritage data even
though the overall duration (weeks spent training) were shorter in
the studies we evaluated. The conventional wisdom is that intervals of 3–5 minutes are
especially effective in evoking increases in exercise capacity. Consistent with this idea, the nine studies that generated the
biggest increases in VO2max (,0.85/min) generally used intervals
of 3–5 minutes and high intensity continuous training [7–15]. Additionally, many of these studies presented either individual
data or ranges for VO2max values pre and post training, and
inspection of this data suggests that a marked training response
was seen in all subjects. Thus, given the large increases in VO2max
seen in these studies, we believe that caution must be used in
concluding that at least some humans are incapable (perhaps for
genetic reasons) of increasing their VO2max in response to
endurance exercise training. Interval Training and VO2max To better illustrate the distribution of effects observed through
the systematic review and demonstrated in Figure 3, a weighted
histogram and density plot of the observed effects was created
(Figure 4). Each of the 40 observations included in the analysis was
weighted by the sample size to produce the distribution. In a supplemental analysis, we also evaluated the nine studies
that reported the largest [7–15] and nine studies that reported the
smallest [17,23,30,32,33,37,41–43] mean changes in VO2max. These studies are the ones that would be located in the tails of the
empirical distribution. Specifically, the mean 6 SD increase in
VO2max was 0.2760.05 vs 0.8760.15 L ? min21 (p,0.001) in
this
comparison. Weeks
of
training
(6.961.4 vs
9.761.8;
p = 0.004),
duration
per
week
(123667 vs
209690 min;
p = 0.06), and the duration of the intervals for the entire study
(4796246 vs 6966264 min; p = 0.12) showed general patterns
that suggested the nine studies showing the smallest increases in
VO2max were of shorter duration in terms of both weekly training
and number of weeks. They also appear to have been less intense
(fewer total high intensity minutes) than the nine studies showing
the largest increases, although statistical significance was not
achieved for all comparisons. Finally, many of the interval training
studies reporting large increases in VO2max also used longer (3–
5 min) duration intervals. Along these lines, many of the studies showing the largest
increases in VO2max appeared to follow a pattern similar to the
so-called ‘‘Hickson protocol’’ [7]. This protocol includes 10 weeks
of training 6 days/week with interval and continuous training on
alternate days. Interval training consists of six 5 minute sessions on
a cycle ergometer at a work rate approaching the subjects’
VO2max. These work periods are separated by 2 minutes of active
rest. As the subjects’ power output increases during training, the
exercise intensity is increased as needed. On the non-interval days,
continuous training consists of running as fast as possible for
30 min/day during the 1st week, 35 min/day during the second
week, and 40 min/day or longer thereafter. The original study of Hickson and colleagues noted that
VO2max was continuing to increase at the end of the 10 week
training program [7]. However, their subjects declined to continue
to train due to the extremely arduous nature of the program. This Study Characteristics A total of 211 articles were identified in the initial search. After
screening titles and abstracts, 181 articles were discarded as it was
apparent that they did not meet the study criteria. Figure 1 is a
schematic of our search strategy and displays the criteria for
exclusion. The full text of the remaining 30 articles was examined
in detail. An additional 70 articles were identified through
reference searches. The systematic review resulted in 37 articles
for
the
Meta-analysis. Within
these
37
articles
were
334
participants (120 women) and 40 unique training groups (i.e.,
three articles each contained the results of two training programs). In brief, all studies contained between 3 to 19 healthy subjects with
an age range of 18 to 42 years and pre training VO2max values
ranging from ,26 to 52 ml ? kg21 ? min21. All subjects trained between 6 and 12 weeks using running,
cycling, or a combination of the two modalities with a work relief
ratio between 1:1 and 5:2. In all but six studies [10,14,15,17,32,38]
it was readily apparent that the subjects had trained at high
intensity for 10 minutes or more. Knuttgen and Overend reported
their work: relief ratios and the duration of their interval training,
which allowed us to estimate the number of intervals performed
and the time spent performing high intensity exercise which was
determined to be greater than 10 minutes [15,32]. Slordahl
reported the duration of their interval training but reported their
work: relief ratios as a range [38]. This allowed us to roughly Physiological Responses: Meta-Analysis Results
As a result of the training programs, VO2max increased
(p,0.001). The estimated mean change in VO2max over the
training programs using the random effects model was 0.51 L ? min21 (95% CI: 0.43 to 0.60 L ? min21) (Figure 2). In terms of
standardized effect sizes (estimate divided by standard deviation),
the change in VO2max was 0.86 SDs (95% CI: 0.72 to 0.99 SDs). September 2013 | Volume 8 | Issue 9 | e73182 PLOS ONE | www.plosone.org 4 Interval Training and VO2max Acknowledgments We would like to thank Ann Farrell from the Mayo Library for her help in
the literature search. Additionally, Janet Beckman assisted with manuscript
preparation and Jennifer Taylor helped with the figures. Their help is
greatly appreciated. Flowchart S1
PRISMA Flowchart.
(DOC) Flowchart S1
PRISMA Flowchart. (DOC) Interval Training and VO2max studies along with the data reported in our paper indicate that
some of the peripheral metabolic adaptations to training require
can be elicited by very short periods of high intensity exercise, but
that longer intervals are required to see large changes in cardiac
output and VO2max. The analysis also suggested some effect of
publication bias, particularly with studies with small sample sizes
and small effects. While the estimated change in VO2max
remained statistically significant with various sensitivity analyses,
a clear causal association is inherently limited with this data. observation emphasizes that it may be unrealistic to expect
significant segments of the population to participate in an exercise
training program that permits them to reach their individual upper
limit for VO2max. It should also be noted that the high intensity
continuous running almost certainly contributed to the large
increases in VO2max seen in studies using the Hickson protocol
but it is not possible to determine the relative role of each type of
training. Since there is no genetic data on the subjects from the studies
included in our analysis it is not possible to use them to
retrospectively evaluate the genetic determinants of trainability
that have emerged from Heritage [5]. It is well accepted that the
increases in VO2max with training are due to increases in cardiac
output and peripheral oxygen extraction. However, the contribu-
tion of changes in stroke volume, blood volume, capillary density,
muscle mitochondrial content and many other factors associated
with training induced increases in VO2max might vary on both an
individual basis and perhaps via interaction with specific elements
of a given training program [48–52]. In summary, our analysis indicates that in addition to studies
using training programs consistent with various public health
guidelines, the basic biology of trainability needs to be evaluated
using regimens designed to generate the most robust possible
physiological adaptations. References 1. Blair SN, Morris JN (2009) Healthy hearts–and the universal benefits of being
physically active: physical activity and health. Ann Epidemiol 19: 253–256. 14. Warburton DER, Haykowsky MJ, Quinney HA, Blackmore D, Teo KK, et al. (2004) Blood volume expansion and cardiorespiratory function: effects of
training modality. Med Sci Sports Exerc 36: 991–1000. 2. Moore SC, Patel AV, Matthews CE, Berrington de Gonzalez A, Park Y, et al. (2012) Leisure time physical activity of moderate to vigorous intensity and
mortality: a large pooled cohort analysis. PLoS Med 9: e1001335. g
y
p
15. Knuttgen HG, Mordesjo L-O, Ollander B, Saltin B (1973) Physical conditioning
through interval training with young male adults. Med Sci Sports 5: 220–226. 3. Joyner MJ, Green DJ (2009) Exercise protects the cardiovascular system: effects
beyond traditional risk factors. J Physiol 587: 5551–5558. 16. Berger NJ, Tolfrey K, Williams A, Jones A (2006) Influence of continuous and
interval training on oxygen uptake on-kinetics. Med Sci Sports Exerc 38: 504–
512. 4. Lee DC, Artero EG, Sui X, Blair SN (2010) Mortality trends in the general
population: the importance of cardiorespiratory fitness. J Psychopharmacol 24:
27–35. 17. Burke J, Thayer R, Belcamino M (1994) Comparison of effects of two interval-
training programmes on lactate and ventilatory thresholds. Br J Sports Med 28:
18–21. 5. Bouchard C, Sarzynski MA, Rice TK, Kraus WE, Church TS, et al. (2011)
Genomic predictors of the maximal O2 uptake response to standardized exercise
training programs. J Appl Physiol 110: 1160–1170. 18. Coggan AR, Spina RJ, Kohrt WM, Bier DM, Holloszy JO (1990) Endurance
training decreases plasma glucose turnover and oxidation during moderate-
intensity exercise in men. J Appl Physiol 68: 990–996. 6. Skinner JS, Jaskolski A, Jaskolska A, Krasnoff J, Gagnon J, et al. (2001)
HERITAGE Family Study. Age, sex, race, initial fitness, and response to
training: the HERITAGE Family Study. J Appl Physiol 90: 1770–1776. 19. Coggan AR, Spina RJ, Kohrt WM, Holloszy JO (1993) Effect of prolonged
exercise on muscle citrate concentration before and after endurance training in
men. Am J Physiol (Endocrinol Metab 27) 264: E215–E220. men. Am J Physiol (Endocrinol Metab 27) 264: E215–E220. 7. Hickson RC, Bomze HA, Holloszy JO (1997) Linear increase in aerobic power
induced by a strenuous program of endurance exercise. J Appl Physiol: Respirat
Environ Exercise Physiol 42: 372–376. 20. Author Contributions Conceived and designed the experiments: MJJ. Performed the experi-
ments: APB REC EAO MJJ. Analyzed the data: APB REC EAO MJJ. Contributed reagents/materials/analysis tools: APB REC EAO MJJ. Wrote the paper: APB REC MJJ. Conceived and designed the experiments: MJJ. Performed the experi-
ments: APB REC EAO MJJ. Analyzed the data: APB REC EAO MJJ. Contributed reagents/materials/analysis tools: APB REC EAO MJJ. Wrote the paper: APB REC MJJ. Checklist S1
PRISMA Checklist.
(DOC) g
g p
g
[
]
In addition to the well-known limitations associated with
retrospective analysis of data reported previously, there are
specific limitations to our analysis. First, as detailed above there
was wide variability in training programs used in the studies we
evaluated. Second, about two thirds of the subjects included in the
studies we evaluated were (likely Caucasian) young men and this
could explain at least some of the increased responsiveness that we
saw. However, sex and age generally do not have major effects on
the VO2max responses to training [5,41]. We also did not include
studies in patient populations that have shown marked improve-
ments in exercise capacity with interval training in groups
previously thought to have limited trainability [53]. Nor did we
include a body of work showing that very short bouts of high
intensity exercise followed by longer periods of recovery can have
profound effects on exercise capacity [54]. The findings from these 1. Blair SN, Morris JN (2009) Healthy hearts–and the universal benefits of being
physically active: physical activity and health. Ann Epidemiol 19: 253–256. Discussion Figure 4. Weighted histogram and density plot of the observed
effects of interval training on VO2max. Each of the 40
observations included in the analysis was weighted by the sample size
to produce the distribution with the estimate of the percent of subjects
with a given effect size noted on the Y axis. doi:10.1371/journal.pone.0073182.g004 The main finding of this meta-analysis is that interval training
produces improvements in VO2max slightly greater than those
typically reported with what might be described as adult fitness
based continuous training even though many of the studies were of
short duration with limited training sessions per week. While the
observation that more intense training results in greater increases
in cardiorespiratory fitness is not surprising, our analysis suggests
that longer intervals combined with high intensity continuous
training can generate marked increases in VO2max in almost all
relatively young adults. As noted in the introduction, the Heritage Study demonstrated
a mean increase in VO2max of 0.4 L ? min21 in response to
20 weeks of standardized adult fitness style training and marked
individual variation was observed [5]. This value is also relatively
high in comparison to other large adult fitness style training
programs that show increases in VO2max on the order of 0.2–
0.3 L N min21 [47]. By contrast, the studies we evaluated that used
interval training alone or in combination with continuous training
estimated a mean increase in VO2max of 0.5 L ? min21. Figure 4
demonstrates an estimated distribution of training evoked changes
in VO2max for the studies we evaluated. This figure presents a
distribution of means whereas the Heritage data is of population
values. It is worth noting, however, that the distribution of study Figure 4. Weighted histogram and density plot of the observed
effects of interval training on VO2max. Each of the 40
observations included in the analysis was weighted by the sample size
to produce the distribution with the estimate of the percent of subjects
with a given effect size noted on the Y axis. doi:10.1371/journal.pone.0073182.g004 September 2013 | Volume 8 | Issue 9 | e73182 PLOS ONE | www.plosone.org 5 Interval Training and VO2max Interval Training and VO2max Interval Training and VO2max 27. Hickson RC (1980) Interference of strength development by simultaneously
training for strength and endurance. Eur J Appl Physiol 45: 255–263. 41. Walter AA, Smith AE, Kendall KL, Stout JR, Cramer JT (2010) Six weeks of
high-intensity interval training with and without b-alanine supplementation for
improving cardiovascular fitness in women. J Strength Cond Res 24: 1199–
1207. 28. Hickson RC, Foster C, Pollock ML, Galassi TM, Rich S (1985) Reduced
training intensities and loss of aerobic power, endurance, and cardiac growth. J Appl Physiol 58: 492–499. 42. Weltman A, Weltman JY, Womack CJ, Davis SE, Blumer JL, et al. (1997)
Exercise training decreases the growth hormone (GH) response to acute
constant-load exercise. Med Sci Sports Exerc 29: 669–676. J
pp
y
29. Hickson RC, Hagberg JM, Ehsani AA, Holloszy JO (1981) Time course of the
adaptive responses of aerobic power and heart rate to training. Med Sci Sports
Exerc 13: 17–20. p
43. Womack CJ, Davis SE, Blumer JL, Barrett E, Weltman AL, et al. (1995) Slow
component of O2 uptake during heavy exercise: adaptation to endurance
training. J Appl Physiol 79: 838–845. 30. Hickson RC, Kanakis C Jr, Davis JR, Moore AM, Rich S (1982) Reduced
training duration effects on aerobic power, endurance, and cardiac growth. J Appl Physiol: Respirat Environ Exercise Physiol 53: 225–229. g J
pp
y
44. DerSimonian R, Laird N (1986) Meta-analysis in clinical trials. Control Clin
Trials 7: 177–88. J Appl Physiol: Respirat Environ Exercise Physiol 53: 225–229 31. Hickson RC, Rosenkoetter MA (1981) Reduced training frequencies and
maintenance of increased aerobic power. Med Sci Sports Exer 13: 13–16. 45. Duval S, Tweedie R (2000) Trim and fill: a simple funnel-plot-based method of
testing and adjusting for publication bias in meta-analysis. Biometrics 56: 455–
463. 32. Overend TJ, Paterson DH, Cunningham DA (1992) The effect of interval and
continuous training on the aerobic parameters. Can J Sport Sci 17: 129–134. 46. Rosenthal R (1979) The file drawer problem and tolerance for null results. Psychological Bull 86: 638–641. 33. Perry CGR, Heigenhauser GJF, Bonen A, Spriet LL (2008) High-intensity
aerobic interval training increases fat and carbohydrate metabolic capacities in
human skeletal muscle. Appl Physiol Nutr Metab 33: 1112–1123. 47. Bouchard C, Blair SN, Church TS, Earnest CP, Hagberg JM, et al. (2012)
Adverse metabolic response to regular exercise: is it a rare or common
occurrence? PLoS One 7: e3787. pp
y
34. References Cunningham DA, McCrimmon D, Vlach LF (1979) Cardiovascular response to
interval and continuous training in women. Eur J Appl Physiol 41: 187–197. 8. Coggan AR, Habash DL, Mendenhall LA, Swanson SC, Kien CL (1993)
Isotopic estimation of CO2 production during exercise before and after
endurance training. J Appl Physiol 75: 70–75. 21. Duffield R, Edge J, Bishop D (2006) Effects of high-intensity interval training
the VO2 response during severe exercise. J Sci Med Sport 9: 249–255. 22. Edge J, Bishop D, Goodman C (2006) Effects of chronic NaHCO3 ingestion
during interval training on changes to muscle buffer capacity, metabolism, and
short-term endurance performance. J Appl Physiol 101: 918–925. g J
pp
y
9. Cox ML, Bennett JB III, Dudley GA (1986) Exercise training-induced
alterations of cardiac morphology. J Appl Physiol 61: 926–931. 23. Fox EL, Bartels RL, Klinzing J, Ragg K (1977) Metabolic responses to interval
training programs of high and low power output. Med Sci Sports 9: 191–196. 10. Roca J, Agusti AGN, Alonso A, Poole DC, Viegas C, et al. (1992) Effects of
training on muscle O2 transport on VO2max. J Appl Physiol 73: 1067–1076. 24. Gaesser GA, Wilson LA (1988) Effects of continuous and interval training on the
parameters of the power-endurance time relationship for high-intensity exercise. Int J Sports Med 9: 417–421. 11. Hurley BF, Nemeth PM, Martin WH III, Hagberg JM, Dalsky GP, et al. (1986)
Muscle triglyceride utilization during exercise: effect of training. J Appl Physiol
60: 562–567. 12. Proctor DN, Miller JD, Dietz NM, Minson CT, Joyner MJ (2001) Reduced
submaximal leg blood flow after high-intensity aerobic training. J Appl Physiol
91: 2619–2627. 25. Gurd BJ, Perry CGR, Heigenhauser GJF, Spriet LL, Bonen A (2010) High-
intensity interval training increases SIRT1 activity in human skeletal muscle. Appl Physiol 35: 350–357. 13. Winder WW, Hickson RC, Hagberg JM, Ehsani AA, McLane JA (1979)
Training-induced changes in hormonal and metabolic responses to submaximal
exercise. J Appl Physiol: Respirat Environ Exercise Physiol 46: 766–771. 26. Gyntelberg F, Rennie MJ, Hickson RC, Holloszy JO (1977) Effect of training on
the response of plasma glucagon to exercise. J Appl Physiol: Respirat Environ
Exercise Physiol 43: 302–305. September 2013 | Volume 8 | Issue 9 | e73182 September 2013 | Volume 8 | Issue 9 | e73182 PLOS ONE | www.plosone.org 6 Interval Training and VO2max Interval Training and VO2max Poole DC, Gaesser GA (1985) Response of ventilatory and lactate thresholds to
continuous and interval training. J Appl Physiol 58: 1115–1121. 48. Clausen JP (1977) Effect of physical training on cardiovascular adjustments to
exercise in man. Physiol Rev 57: 779–815. 35. Poole DC, Ward SA, Whipp BJ (1990) The effects of training on the metabolic
and respiratory profile of high-intensity cycle ergometer exercise. Eur J Appl
Physiol 59: 421–429. 49. Holloszy JO, Coyle EF (1984) Adaptations of skeletal muscle to endurance
exercise and their metabolic consequences. J Appl Physiol 56: 831–838. y
36. Ray CA, Cureton KJ (1991) Interactive effects of body posture and exercise
training on maximal oxygen uptake. J Appl Physiol 71: 596–600. 50. Laughlin MH, Roseguini B (2008) Mechanisms for exercise training-induced
increases in skeletal muscle blood flow capacity: differences with interval sprint
training versus aerobic endurance training. J Physiol Pharmacol 59 (suppl 7): 71–
88. g
yg
p
J
pp
y
37. Siegel W, Blomqvist G, Mitchell JH (1970) Effects of a quantitated physical
training program on middle-aged sedentary men. Circulation 41: 19–29. 38. Slordahl SA, Madslien VOE, Stoylen A, Kjos A, Helgerud J, et al. (2004)
Atrioventricular plane displacement in untrained and trained females. Med Sci
Sports Exerc 36: 1871–1875. 51. Levine BD (2008) VO2max: what do we know, and what do we still need to
know? J Physiol 586: 25–34. J
y
52. Laursen PB, Jenkins DG (2002) The scientific basis for High-intensity interval
training. Sports Med 32: 53–73. 39. Smith AE, Walter AA, Graef JL, Kendall KL, Moon JR, et al (2009) Effects of b-
alanine supplementation and high-intensity interval training on endurance
performance and body composition in men; a double-blind trial. J Int Soc Sports
Nutr 6: 5. 53. Kemi OJ, Wisloff U (2010) High-intensity aerobic exercise training improves the
heart in health and disease. J Cardiopulm Rehabil Prev 30: 2–11. heart in health and disease. J Cardiopulm Rehabil Prev 30: 2 40. Spina RJ, Ogawa T, Coggan AR, Holloszy JO, Ehsani AA (1992) Exercise
training improves left ventricular contractile response to b-adrenergic agonist. J Appl Physiol 72: 307–311. 54. Gibala MJ, Little JP, MacDonald MJ, Hawley JA (2012) Physiological
adaptations to low-volume, high-intensity interval training in health and disease. J Physiol 590: 1077–1084. September 2013 | Volume 8 | Issue 9 | e73182 PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org 7 7
|
https://openalex.org/W2980555312
|
https://hal.insa-toulouse.fr/hal-02417659/file/Albina_2019.pdf
|
English
| null |
Influence of Hydrogen Electron Donor, Alkaline pH, and High Nitrate Concentrations on Microbial Denitrification: A Review
|
International journal of molecular sciences
| 2,019
|
cc-by
| 16,619
|
To cite this version: Pierre Albina, Nadège Durban, Alexandra Bertron, Achim Albrecht, Jean-Charles Robinet, et al.. Influence of Hydrogen Electron Donor, Alkaline pH, and High Nitrate Concentrations on Micro-
bial Denitrification: A Review. International Journal of Molecular Sciences, 2019, 20 (20), pp.5163. 10.3390/ijms20205163. hal-02417659 Received: 18 July 2019; Accepted: 15 October 2019; Published: 18 October 2019 Abstract: Bacterial respiration of nitrate is a natural process of nitrate reduction, which has
been industrialized to treat anthropic nitrate pollution. This process, also known as “microbial
denitrification”, is widely documented from the fundamental and engineering points of view for the
enhancement of the removal of nitrate in wastewater. For this purpose, experiments are generally
conducted with heterotrophic microbial metabolism, neutral pH and moderate nitrate concentrations
(<50 mM). The present review focuses on a different approach as it aims to understand the effects of
hydrogenotrophy, alkaline pH and high nitrate concentration on microbial denitrification. Hydrogen
has a high energy content but its low solubility, 0.74 mM (1 atm, 30 ◦C), in aqueous medium limits its
bioavailability, putting it at a kinetic disadvantage compared to more soluble organic compounds. For most bacteria, the optimal pH varies between 7.5 and 9.5. Outside this range, denitrification
is slowed down and nitrite (NO2−) accumulates. Some alkaliphilic bacteria are able to express
denitrifying activity at pH levels close to 12 thanks to specific adaptation and resistance mechanisms
detailed in this manuscript, and some bacterial populations support nitrate concentrations in the range
of several hundred mM to 1 M. A high concentration of nitrate generally leads to an accumulation of
nitrite. Nitrite accumulation can inhibit bacterial activity and may be a cause of cell death. Abstract: Bacterial respiration of nitrate is a natural process of nitrate reduction, which has
been industrialized to treat anthropic nitrate pollution. This process, also known as “microbial
denitrification”, is widely documented from the fundamental and engineering points of view for the
enhancement of the removal of nitrate in wastewater. For this purpose, experiments are generally
conducted with heterotrophic microbial metabolism, neutral pH and moderate nitrate concentrations
(<50 mM). The present review focuses on a different approach as it aims to understand the effects of Keywords: hydrogenotrophic denitrification; high pH; high nitrate concentration; denitrifying
bacteria; nitrite accumulation; acclimation; mineral carbon HAL Id: hal-02417659
https://insa-toulouse.hal.science/hal-02417659v1
Submitted on 3 Feb 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. International Journal of
Molecular Sciences International Journal of
Molecular Sciences Influence of Hydrogen Electron Donor, Alkaline pH,
and High Nitrate Concentrations on Microbial
Denitrification: A Review Pierre Albina 1,2,*, Nadège Durban 1,2, Alexandra Bertron 1
, Achim Albrecht 3,
Jean-Charles Robinet 3 and Benjamin Erable 2 1
Laboratoire Matériaux et Durabilité des Constructions, Université de Toulouse, UPS, INSA. 135, 7 avenue d
Rangueil, 31077 Toulouse CEDEX 04, France; nadege.durban@gmail.com (N.D.);
bertron@insa-toulouse.fr (A.B.) 1
Laboratoire Matériaux et Durabilité des Constructions, Université de Toulouse, UPS, INSA. 135, 7 avenue de
Rangueil, 31077 Toulouse CEDEX 04, France; nadege.durban@gmail.com (N.D.);
b
t
@i
t
l
f (A B ) 2
Laboratoire de Génie Chimique, Université de Toulouse, CNRS, INPT, UPS, 31030 Toulouse, France;
benjamin.erable@ensiacet.fr 2
Laboratoire de Génie Chimique, Université de Toulouse, CNRS, INPT, UPS, 31030 Toulouse, France;
benjamin.erable@ensiacet.fr 3
Andra (Agence nationale pour la gestion des déchets radioactifs), 92298 Châtenay-Malabry, France
achim.albrecht@andra.fr (A.A.); jean-charles.robinet@andra.fr (J.-C.R.) *
Correspondence: pierre.albina@ensiacet.fr 1. Introduction Microbial denitrification is considered as more efficient at high nitrate concentration and more
economical compared to physico-chemical techniques for nitrate removal (reverse osmosis, ion
exchange, electrodialysis, chemical denitrification, adsorption methods) [1,2]. It is a respiration
process leading to the reduction of nitrate while an electron donor (organic matter, hydrogen...) is
oxidized. Nitrate is gradually reduced to nitrite, nitric oxide, nitrous oxide, and finally to dinitrogen
in four successive reactions catalyzed by four microbial reductases. Microbial denitrification is still
insufficiently investigated in non-conventional environments such as high nitrate concentrations,
alkaline pH and hydrogenotrophic metabolism, despite its interest in the processing of various Int. J. Mol. Sci. 2019, 20, 5163; doi:10.3390/ijms20205163 www.mdpi.com/journal/ijms Int. J. Mol. Sci. 2019, 20, 5163 2 of 23 problematic industrial wastes. Therefore, the aim of this literature review is to give some indications of
the possibilities of bacterial denitrification under these three conditions. problematic industrial wastes. Therefore, the aim of this literature review is to give some indications
of the possibilities of bacterial denitrification under these three conditions problematic industrial wastes. Therefore, the aim of this literature review is to give some indications of
the possibilities of bacterial denitrification under these three conditions. problematic industrial wastes. Therefore, the aim of this literature review is to give some indications
of the possibilities of bacterial denitrification under these three conditions Several industries generate effluent and waste that can be highly concentrated in nitrate sometimes
associated with non-advantageous environments such as alkaline pH and absence of organic matter. The disposal of radioactive waste deep underground faces a nitrate leaching issue in an alkaline
environment. High nitrate concentrations (10 mM to 1 M) are expected in the vicinity of the radioactive
waste, which could enhance radionuclide mobility [3–5]. The effluent from a stain-less steel plant was
found to contain concentrations of up to 80 mM nitrate [6] and wastewater from the explosives industry
can reach nitrate concentrations of up to 500 mM [7]. The management of such highly concentrated
nitrate waste has become a major concern for these industries. High nitrate concentrations are fairly
detrimental for microbial denitrification; the maximal nitrate concentrations tested in the literature
range from hundreds of mM [8] to 1 M [9]. In particular, high nitrate concentrations cause nitrite
accumulation, which is described as inhibiting, or even toxic, for bacteria [10–12]. Experimenting with
high nitrate concentrations also requires high concentrations of the counter–ion Na+, K+, Ca2+, etc. 1. Introduction to be added with nitrate. Caution is necessary here as there is no consensus on the effect of these
cations [3]. of the possibilities of bacterial denitrification under these three conditions. Several industries generate effluent and waste that can be highly concentrated in nitrate
sometimes associated with non-advantageous environments such as alkaline pH and absence of
organic matter. The disposal of radioactive waste deep underground faces a nitrate leaching issue in
an alkaline environment. High nitrate concentrations (10 mM to 1 M) are expected in the vicinity of
the radioactive waste, which could enhance radionuclide mobility [3–5]. The effluent from a stain-
less steel plant was found to contain concentrations of up to 80 mM nitrate [6] and wastewater from
the explosives industry can reach nitrate concentrations of up to 500 mM [7]. The management of
such highly concentrated nitrate waste has become a major concern for these industries. High nitrate
concentrations are fairly detrimental for microbial denitrification; the maximal nitrate concentrations
tested in the literature range from hundreds of mM [8] to 1 M [9]. In particular, high nitrate
concentrations cause nitrite accumulation, which is described as inhibiting, or even toxic, for bacteria
[10–12]. Experimenting with high nitrate concentrations also requires high concentrations of the
counter–ion Na+, K+, Ca2+, etc. to be added with nitrate. Caution is necessary here as there is no
consensus on the effect of these cations [3] Alkaline pH can be found in alkaline wastewaters [13], marsh soil management [14,15], alkaline
lakes [16], and in disposal facilities for radioactive wastes. The alkaline environment strongly affects
microbial denitrification. As the pH affects the functioning of all enzymes, it can also create an
imbalance between the reduction kinetics of the four reductases of denitrification. Alkaline pH thus
causes accumulation of metabolic intermediates such as nitrite. The maximal pH tolerated by bacteria,
even alkaliphilic ones, is around pH 11.5 to 12 [17]. consensus on the effect of these cations [3]. Alkaline pH can be found in alkaline wastewaters [13], marsh soil management [14,15], alkaline
lakes [16], and in disposal facilities for radioactive wastes. The alkaline environment strongly affects
microbial denitrification. As the pH affects the functioning of all enzymes, it can also create an
imbalance between the reduction kinetics of the four reductases of denitrification. Alkaline pH thus
causes accumulation of metabolic intermediates such as nitrite. 1. Introduction The maximal pH tolerated by
bacteria even alkaliphilic ones is around pH 11 5 to 12 [17] Hydrogen is an alternative energy source replacing organic matter for denitrifying bacteria. In
subsurface environments or in industrial contexts such as a radioactive waste underground repository,
organic matter concentrations can be low to negligible, while hydrogen can be generated through
water radiolysis, mineral reactions, or iron corrosion [18–21]. Hydrogenotrophic denitrification has
also aroused interest in the field of wastewater treatment as it results in water with low organic matter
content [22,23]. Such denitrification (without organic matter) is considered to result in slower nitrate
reduction and bacterial growth kinetics than heterotrophic denitrification (with organic matter) [24,25]. This is mainly due to the low hydrogen solubility [26,27] and the necessity for hydrogenotrophic
bacteria to assimilate inorganic carbon for growth [28]. bacteria, even alkaliphilic ones, is around pH 11.5 to 12 [17]. Hydrogen is an alternative energy source replacing organic matter for denitrifying bacteria. In
subsurface environments or in industrial contexts such as a radioactive waste underground
repository, organic matter concentrations can be low to negligible, while hydrogen can be generated
through water radiolysis, mineral reactions, or iron corrosion [18–21]. Hydrogenotrophic
denitrification has also aroused interest in the field of wastewater treatment as it results in water with
low organic matter content [22,23]. Such denitrification (without organic matter) is considered to
result in slower nitrate reduction and bacterial growth kinetics than heterotrophic denitrification
(with organic matter) [24,25]. This is mainly due to the low hydrogen solubility [26,27] and the
necessity for hydrogenotrophic bacteria to assimilate inorganic carbon for growth [28] 2. Definition and Biochemical Aspects of Denitrification
2 D fi iti
d Bi
h
i
l A
t
f D
it ifi
ti This co
antiporter that absorb 3 of 23
O3−/NO2
p reduce 2 NO3−+ 5 H2 →4 H2O + N2 + 2 OH−
(2)
m other reductase systems, as it is used in assimilatory nitrate reduction
by the nitrate reduction is then reduced by nitrite reductase (Nir). Two
h
l
d
b
d
ib d
d
it it
d
t
ith
h
b
d (2)
. Tw 2 NO3−+ 5 H2 →4 H2O + N2 + 2 OH−
by the nitrate reduction is then reduced
h
l
d
b
d
ib d
d
i Nitrate respiration is the process in which electrons are transferred from a donor (organic matter,
hydrogen) to the nitrate acceptor (Figure 2). This redox reaction along the respiratory chain cogenerates
a gradient of protons through the bacterial cell membrane, which is finally converted into energy in
the form of ATP by ATP synthase [30]. periplasmic types of enzymes have already been described: cd1-nitrite reductase with a heme-based
active site and nitrite reductase with a copper-based active site [34]. The product of nitrite reduction
nitric oxide, is transformed by the membrane nitric oxide reductase (Nor) which is a member of th
heme-copper oxidases family also capable, of reducing oxygen [35]. The last reduction is made by
nitrous oxide reductase. It is a periplasmic enzyme that contains two Cu cores [29,30,36]. Fi u e 2 S he
ati
e
e e tatio
of the a o i al e
i ato y hai
of de it ifi atio
afte [29 31]
Figure 2. Schematic representation of the canonical respiratory chain of denitrification after [29–31]. Fi
S h
i
i
f h
i
l
i
h i
f d
i ifi
i
f
[29 31
Figure 2. Schematic representation of the canonical respiratory chain of denitrification after [29–31]. g
p
p
y
[
]
3. Influence of High Nitrate Concentration on Denitrification
3.1. Regulation of Denitrification, Nitrite Accumulation
Many denitrifying bacteria are facultative anaerobic: in the presence of oxygen th
denitrification pathway is inhibited, and only aerobic respiration remains as it has the most efficien
Firstly, the electrons from the primary source of electrons (acetate, hydrogen, methanol, etc.)
regenerate co-enzymes, such as NADH, H+. NADH, H+, or other potential electron donors such
as succinate, which transfer their electrons to the respiratory chain [31]. 2. Definition and Biochemical Aspects of Denitrification
2 D fi iti
d Bi
h
i
l A
t
f D
it ifi
ti Microbial denitrification is a biological respiration process involving the successive reduction of
nitrogen compounds: nitrate, nitrite, nitric oxide, and nitrous oxide, to nitrogen. The four steps are
catalyzed by four different enzymes (reductases) (Figure 1) [29]. 2. Definition and Biochemical Aspects of Denitrification
Microbial denitrification is a biological respiration process involving the successive reduction of
nitrogen compounds: nitrate, nitrite, nitric oxide, and nitrous oxide, to nitrogen. The four steps are
catalyzed by four different enzymes (reductases) (Figure 1) [29] y
y
y
(
) (
g
) [
]
Figure 1. Overview of the four steps of microbial denitrification. NO3-
NO2-
N2O
N2
NO
Nitrate
reductase
Nitrite
reductase
Nitric oxide
reductase
Nitrous oxide
Reductase
Figure 1. Overview of the four steps of microbial denitrification. Figure 1. Overview of the four steps of microbial denitrification. Figure 1. Overview of the four steps of microbial denitrification. Microbial denitrification is generally carried out by heterotrophic bacteria using, for example,
acetate as the electron donor (reaction (1)). When the environment is more restrictive, without organic
matter, hydrogen becomes an alternative source of electrons for bacteria [23] (reaction (2)). Microbial
denitrification, whether heterotrophic or hydrogenotrophic, is always accompanied by the
d
ti
f OH i
hi h ff
t th
H f th
i
t if it i
t b ff
d
Microbial denitrification is generally carried out by heterotrophic bacteria using, for example,
acetate as the electron donor (reaction (1)). When the environment is more restrictive, without organic
matter, hydrogen becomes an alternative source of electrons for bacteria [23] (reaction (2)). Microbial
denitrification, whether heterotrophic or hydrogenotrophic, is always accompanied by the production
of OH−ions, which affect the pH of the environment if it is not buffered. (1) OOH + 8 NO3− → 10 CO2 + 4 N2 + 6 H2O + 8 OH−
(1)
5 H
4 H O
N
2 OH
( )
5 CH3COOH + 8 NO3−→10 CO2 + 4 N2 + 6 H2O + 8 OH−
(1) OH + 8 NO3− → 10 CO2 + 4 N2 + 6 H2O + 8 OH−
5 CH3COOH + 8 NO3−→10 CO2 + 4 N2 + 6 H2O + 8 OH− Int. J. Mol. Sci. 2019, 20, 5163
the cytoplasm. 3.1. Regulation of Denitrification, Nitrite Accumulation Schematic representation of the transcriptional regulation of the expression of genes encoding
the different enzymes involved in denitrification in P. denitrificans [31,37]. NO Figure 3. Schematic representation of the transcriptional regulation of the expression of genes
encoding the different enzymes involved in denitrification in P. denitrificans [31,37]. Figure 3. Schematic representation of the transcriptional regulation of the expression of genes encoding
the different enzymes involved in denitrification in P. denitrificans [31,37]. In the well-studied denitrifying strain P. aeruginosa, the regulation is controlled by NarXL (NO3−
and NO2− sensitive), ANR, DNR and NosR (NO and O2 sensitive) [38–41]. To sum up, in denitrifying
bacteria, at the genomic level, there is a substrate regulation with NO3− and a product regulation from
NO and NO2−, the aim of which is to equilibrate the internal concentration of cytotoxic compounds
such as NO2− and NO [31]. Therefore, in culture under favourable conditions, intermediates as NO2−
and NO should not accumulate. H
b li l
l
d
i i
NO
N O
l
i
I
In the well-studied denitrifying strain P. aeruginosa, the regulation is controlled by NarXL (NO3−
and NO2−sensitive), ANR, DNR and NosR (NO and O2 sensitive) [38–41]. To sum up, in denitrifying
bacteria, at the genomic level, there is a substrate regulation with NO3−and a product regulation from
NO and NO2−, the aim of which is to equilibrate the internal concentration of cytotoxic compounds
such as NO2−and NO [31]. Therefore, in culture under favourable conditions, intermediates as NO2−
and NO should not accumulate. However, at a metabolic level, reductases competition can cause NO2− or N2O accumulation. In
the respiratory chain the transporters UQH2 can interact with three reductases (Nar, Nir, and Nos)
and the transporters Cyt c with two reductases (Nir and Nos) [42,43]. UQH2 and Cyt c are therefore
solicited by several electron acceptors at the same time and depending on the environmental
conditions, such as the pH, electron transporters could transfer their electrons preferentially to one
reductase rather than another [43,44]. Thus, at acidic pH (5.5), segmented denitrification was
observed in P. denitrificans [43], i.e. the authors observed accumulation of NO2− and N2O because
UQH2 and Cyt c transferred electrons preferentially to some reductases, while at pH 8.5, there were
no accumulations: UQH2 and Cyt c transferred electrons simultaneously to all reductases. Furthermore, the electron donor also impacts nitrite accumulation depending on the number of
electrons it is likely to supply. 3.1. Regulation of Denitrification, Nitrite Accumulation 3.1. Regulation of Denitrification, Nitrite Accumulation Many denitrifying bacteria are facultative anaerobic: in the presence of oxygen the denitrification
pathway is inhibited, and only aerobic respiration remains as it has the most efficient Gibbs free
energy conservation. When O2 is low and NO3−is available, denitrification is initiated. The
denitrification intermediates NO2−and NO are toxic compounds to bacterial cells [10–12,29], their
internal concentration is regulated below cytotoxic levels to mM and nM respectively [30,31]. Consequently, O2, NO3−, NO2−and NO are among the key signals that impact denitrification
regulation. The regulation of the microbial denitrification at transcriptional level has been extensively
studied using model denitrifying strains such as Paraccocus denitrificans or Pseudomonas aeruginosa. In denitrifying bacteria, the regulation of denitrification reductase gene transcription is managed by
transcription factors of the FNR (Fumarate and Nitrate reductase Regulatory) family [37]. For example,
in P. denitrificans, three types of FNR are involved: NarR (NO3−and NO2−sensitive), NnrR and FnrP
(O2 and NO sensitive). Each one stimulates the transcription of different reductase genes (Figure 3). Int. J. Mol. Sci. 2019, 20, x FOR PEER REVIEW
4 of 22
Gibbs free energy conservation. When O2 is low and NO3− is available, denitrification is initiated. The
denitrification intermediates NO2− and NO are toxic compounds to bacterial cells [10–12,29], their
6
internal concentration is regulated below cytotoxic levels to mM and nM respectively [30,31]. Consequently, O2, NO3−, NO2− and NO are among the key signals that impact denitrification
regulation. The regulation of the microbial denitrification at transcriptional level has been extensively
studied using model denitrifying strains such as Paraccocus denitrificans or Pseudomonas aeruginosa. In
0
denitrifying bacteria, the regulation of denitrification reductase gene transcription is managed by
transcription factors of the FNR (Fumarate and Nitrate reductase Regulatory) family [37]. For
example, in P. denitrificans, three types of FNR are involved: NarR (NO3− and NO2− sensitive), NnrR
and FnrP (O2 and NO sensitive). Each one stimulates the transcription of different reductase genes
4
(Fi
3) (
g
)
Figure 3. Schematic representation of the transcriptional regulation of the expression of genes
encoding the different enzymes involved in denitrification in P. denitrificans [31,37]. nar
NO3-
NO2-
NO3-
+
NO, O2
-
nir
NO
nor
N2O
nos
N2
NarR FnrP
NnrR
NnrR
FnrP NnrR
NO
+
O2
-
NO
+
O2
-
NO
+
O2
-
NO, O2
-
Figure 3. 3.1. Regulation of Denitrification, Nitrite Accumulation In one study, nitrite accumulation occurred when a culture of
Pseudomonas stutzeri was fed with 5 mM of acetate (two atoms of carbon) but did not occur with 5
mM of butyrate (four atoms of carbon) [45]. Butyrate is likely to release 20 electrons during its
oxidation, while acetate releases only eight electrons, so it provides sufficient electrons and avoids
competition among reductases for electron acceptance. Thus, accumulation of intermediates such as
nitrite could occur because of environmental conditions and despite the strict regulation of
transcription. To prevent nitrite accumulation within the cell, bacteria use transporters such as narK
to excrete the nitrite [46]. In a mixed bacterial population, two distinct bacterial phenotypes can affect the nitrate and
However, at a metabolic level, reductases competition can cause NO2−or N2O accumulation. In
the respiratory chain the transporters UQH2 can interact with three reductases (Nar, Nir, and Nos)
and the transporters Cyt c with two reductases (Nir and Nos) [42,43]. UQH2 and Cyt c are therefore
solicited by several electron acceptors at the same time and depending on the environmental conditions,
such as the pH, electron transporters could transfer their electrons preferentially to one reductase
rather than another [43,44]. Thus, at acidic pH (5.5), segmented denitrification was observed in P. denitrificans [43], i.e., the authors observed accumulation of NO2−and N2O because UQH2 and Cyt c
transferred electrons preferentially to some reductases, while at pH 8.5, there were no accumulations:
UQH2 and Cyt c transferred electrons simultaneously to all reductases. Furthermore, the electron
donor also impacts nitrite accumulation depending on the number of electrons it is likely to supply. In
one study, nitrite accumulation occurred when a culture of Pseudomonas stutzeri was fed with 5 mM of
acetate (two atoms of carbon) but did not occur with 5 mM of butyrate (four atoms of carbon) [45]. Butyrate is likely to release 20 electrons during its oxidation, while acetate releases only eight electrons,
so it provides sufficient electrons and avoids competition among reductases for electron acceptance. Thus, accumulation of intermediates such as nitrite could occur because of environmental conditions
and despite the strict regulation of transcription. To prevent nitrite accumulation within the cell,
bacteria use transporters such as narK to excrete the nitrite [46]. p p
,
p
yp
nitrite equilibrium : (i) nitrate respiring bacteria unable to reduce nitrite, (ii) true denitrifying bacteria
4
reducing nitrate and nitrite to dinitrogen [47–50]. 2. Definition and Biochemical Aspects of Denitrification
2 D fi iti
d Bi
h
i
l A
t
f D
it ifi
ti Then electrons are carried
through the respiratory chain by three types of electron transporters: (i) the Coenzyme Q known as
Ubiquinone (UQ) in its oxidized state and Ubiquinol (UQH2) in its reduced state, (ii) the cytochrome
bc1 complex, and (iii) the cytochrome c (Cyt. c) family of proteins containing a heme c [31,32]. Each of
them can interact with several reductases [29,30]. The first reductase is the nitrate reductase (Nar). Three types of bacterial Nar complexes have
been described. The membrane complex NarGHI is a molybdoenzyme, the active site of which faces
the cytoplasm. This complex is usually adjacent to the narK membrane protein; it is an NO3−/NO2−
antiporter that absorbs NO3−and excretes NO2−, Figure 2. The periplasmic reductase Nap reduces
nitrate but cannot contribute to the proton gradient. The last nitrate reductase (Nas), is a periplasmic
complex quite distinct from other reductase systems, as it is used in assimilatory nitrate reduction [33]. The nitrite produced by the nitrate reduction is then reduced by nitrite reductase (Nir). Two periplasmic
types of enzymes have already been described: cd1-nitrite reductase with a heme-based active site and
nitrite reductase with a copper-based active site [34]. The product of nitrite reduction, nitric oxide, is
transformed by the membrane nitric oxide reductase (Nor) which is a member of the heme-copper
oxidases family also capable, of reducing oxygen [35]. The last reduction is made by nitrous oxide
reductase. It is a periplasmic enzyme that contains two Cu cores [29,30,36]. Int. J. Mol. Sci. 2019, 20, 5163 4 of 23 3.1. Regulation of Denitrification, Nitrite Accumulation Growth rates are higher for nitrate respiring bacteria,
5
d h
dl b
d
F
l
h
h
h
h
h
b
b
d
6
In a mixed bacterial population, two distinct bacterial phenotypes can affect the nitrate and nitrite
equilibrium: (i) nitrate respiring bacteria unable to reduce nitrite, (ii) true denitrifying bacteria reducing 5 of 23 Int. J. Mol. Sci. 2019, 20, 5163 nitrate and nitrite to dinitrogen [47–50]. Growth rates are higher for nitrate respiring bacteria, and
they rapidly become dominant. For example, growth rates three times higher have been observed
for nitrate respiring bacteria [51]. Consequently, in the presence of nitrate, the domination of nitrate
respiring bacteria causes nitrite accumulation. Once nitrate is consumed, the true denitrifiers continue
to develop using nitrite and become dominant. In one study, activated sludge was acclimatized to
nitrate concentrations of 190 mM at pH 7 to 9 in SBR reactors. The dominant bacteria in the inoculum
were nitrate respiring bacteria while the bacteria remaining at the culture end were true denitrifying
bacteria [47]. In this experiment, the accumulation of nitrite was pH-dependent; increasing with
higher pH. Glass et al. hypothesized that the activity of true denitrifiers was slowed by alkaline pH. In summary, in a culture inoculated by a mixed population, the bacterial population and the culture
conditions, such as alkaline pH, would impact nitrite accumulation. Therefore, in single strain or
mixed population cultures exposed to high pH or high nitrate concentrations, the nitrite accumulations
should not follow the same patterns. p
Nitrite accumulation is problematic to denitrifying culture and in general for bacterial activity. The
nitrite can inhibit and slow down bacterial activity at relatively low concentrations (tens of mM) [52]. It seems that nitrite can activate the synthesis of bacteriostatic molecules in Bacillus cereus [12]. Several
other bacterial metabolic pathways such as nitrification [11,53,54] or methanogenesis [55] are also
sensitive to the presence of nitrite. Concentrations of 10 mM to 100 mM of nitrite have been described
as responsible for inhibitions of O2 assimilation, proline transport, or phosphorylating oxidation [10]. Moreover, nitrite can inhibit bacterial activity at a genomic level. Concentrations of 10 to 20 mM
of nitrite caused a decrease in the concentration of mRNAs encoding for nitrification enzymes in
the Nitrosospira multiformis and Nitrosospira europaea strains [11]. Other studies have reported nitrite
toxicity [52] and even bacterial cell mortality in the presence of nitrite [10,56]. 3.1. Regulation of Denitrification, Nitrite Accumulation However, some bacteria
could develop resistance to nitrite, for instance P. denitrificans tolerated 140 mM of nitrite in the presence
of oxygen [57]. In conclusion, nitrite accumulation could be one of the major issues when denitrifying
bacteria are cultivated with high nitrate concentrations. 3.2. High Nitrate Concentrations Reported in the Literature Several studies have focused on the treatment of wastewater containing high nitrate concentrations
from 100 to 1000 mM using activated sludge [6,59,63–66]. Experiments are presented in Table 1, showing
the acclimation procedure and the nitrite build-up. The acclimation procedure made it possible to
adapt bacteria to high nitrate concentrations by stepwise increases. As a result, in all experiments the
nitrate was totally reduced, and the distribution of bacterial communities in activated sludge changed
in favour of nitrate respiring bacteria [59]. Table 1. Experiments with activated sludge cultures highly concentrated in nitrate, acclimation
procedure and nitrite accumulation. Experimental Protocol
Acclimation Procedure
Nitrate
(In Culture)
Nitrite
Build-Up
Ref. Ca increase from 50 to
550 g/L at 45 mM
nitrate, pH 8.5
Medium diluted x2 during
2 weeks
45 mM
max 2.5 mM
[6]
Nitrate increase to
580 mM and ionic
strength from 0.8 to 3.0
in SBR, pH 9
Stepwise nitrate increase
from 100 mM to 580 mM in
about 6 weeks
100 mM
215 mM
300 mM
70 mM
140 mM
240 mM
[63]
Test at 140 mM nitrate
in a batch reactor, pH
9/ Nitrate increase to
1000 mM in a
continuous reactor
Stepwise nitrate increase
Preculture: 14 mM to
140 mM in 5 weeks
Culture: 140 to 1000 mM
in 14 weeks
140 mM
50 mM 1
[65]
Nitrate increase to
640 mM in SBR
Step-wise nitrate increase
in the medium from
120 mM to 640 mM in
8 weeks
430 mM
290 mM
120 mM
60 mM
420 mM
290 mM
60 mM
0 mM
[59]
NaCl stress decrease
from 11 to 0 % at
430 mM, in continuous
reactor
Stepwise nitrate increase
from 140 mM to 430 in
3 weeks
430 mM (influent)
70–360 mM
(effluent)
[64]
pH increase from
pH 7.5 to 12 in SBR
Step-wise pH increase
from 7.5 to 11.5 in 8 weeks
60 mM
30–55 mM
(high pH)
[66]
1 Results of the batch culture. Table 1. Experiments with activated sludge cultures highly concentrated in nitrate, acclimation
procedure and nitrite accumulation. From Table 1 it is possible to estimate the proportion of reduced nitrite according to the initial
nitrate concentration in the culture, as presented in Figure 4. Below 100 mM nitrate, the accumulation
of nitrite does not exceed 90% of the initial nitrate concentration. Between 100 and 300 mM of nitrate,
the accumulation of nitrite reaches between 40% and 70%. 3.2. High Nitrate Concentrations Reported in the Literature In the literature, the maximum concentrations of nitrate tested in denitrifying cultures were of
the order of hundreds of mM [45,48,51,58]. For example, an activated sludge culture was fed with
an aqueous solution containing 645 mM of nitrate [59]. Lagoon samples (Oak Ridge, USA) initially
concentrated at 645 mM of nitrate have been almost entirely denitrified (residual concentration of
0.8 mM) within a year [8]. Denariaz et al. [9] have reported the ability of a single strain culture of
Bacillus halodenitrificans to survive at a concentration of 1.06 M of nitrate. In another study, Rhodococcus
sp. was grown on 0.9 M of nitrate and 0.9 M of NaCl in aerobiosis [60]. These studies show that
bacterial activity is possible at nitrate concentrations up to molar concentration in particular conditions. However, careful attention is needed as authors usually report nitrate concentrations from the feeding
medium and not from the culture medium in contact with bacteria. When using a synthetic medium for the cultivation of denitrifying bacteria or mixed consortia, the
generation of such high concentrations of nitrate requires special attention to be paid to the counter-ion
(NH4+, Na+, Ca2+, K+...) added with nitrate. There is no consensus on the effect of these highly
concentrated cations on bacterial growth and activities. Francis and Hatcher compared the effect of
three counter-ions (NH4+, Na+, Ca2+) on the denitrification kinetics of coastal sediments. Cultures
underwent progressive nitrate increases up to 285 mM [3]. For each increase in the concentration
of nitrate, denitrification kinetics were significantly higher when nitrate was added in the form of
NH4NO3. Additions of NaNO3 and Ca(NO3)2 resulted in lower reduction kinetics. In addition, the
salinity of the culture medium also has a significant effect on denitrifying bacterial cultures. In a culture
with biomass initially adapted to 410 mM of NaCl, the NaCl concentration was increased from 8 to
1700 mM [61]. The results showed that the rate of denitrification decreased as the salt concentration
increased. In contrast, some studies have reported rather high NaCl threshold concentrations: 1 M [62], Int. J. Mol. Sci. 2019, 20, 5163 6 of 23 1.2 M [63], 1.9 M [64] and 4.25 M [9]. As an example, seawater contains 0.6 M of NaCl on average. Other studies observed denitrification enhancement by adding NaCl from 6.8 mM to 1.7 M [61] or
calcium up to 3.75 mM [6]. inorganic carbon, utilize hydrogen as an electron donor
acceptor
4.1. Hydrogen Oxidation Catalyzed by Hydrogenase Enzymes acceptor. 4.1. Hydrogen Oxidation Catalyzed by Hydrogenase Enzymes
Hydrogen can be used as an electrons donor by different communities of bacteria reducing O2,
NO3−, Fe2+, SO42−, and CO2 as final electron acceptors [19,67]. Firstly, the reversible oxidation of
hydrogen into protons (H2 ↔ 2 H+ + 2 e−) is catalyzed by bacterial hydrogenases. Then, the electrons
are transferred to intermediates such as NAD+ or bc1 complex, which introduce the electrons into the
denitrification respiratory chain. Hydrogenases consist of a protein part and a metal core constituting
the active site of the enzyme. Hydrogenases are classified in three families differentiated by their
metalcore, which is composed of one iron atom, alone or associated with one nickel or iron atom:
[NiFe], [FeFe], [Fe]. The [NiFe] and [FeFe] hydrogenases have a similar domain organization, they
are heterodimeric enzymes with an active site protected inside a large protein monomer and
connected externally by a channel allowing only hydrogen to enter. The other, smaller monomer
contains FeS clusters to transport electrons to the respiratory chain, Figure 5 [68–71]. The [Fe]
hydrogenase contains a mononuclear metal center and is devoid of iron-sulfur clusters. It has only
been identified in methanogenic Archaea [72]. The distribution of the three hydrogenase types in
bacteria and archaebacteria are presented in Table 2. Hydrogen is rather uncommon in natural
environments and is often associated with the absence of organic matter high temperature or high
Hydrogen can be used as an electrons donor by different communities of bacteria reducing O2,
NO3−, Fe2+, SO42−, and CO2 as final electron acceptors [19,67]. Firstly, the reversible oxidation of
hydrogen into protons (H2 ↔2 H+ + 2 e−) is catalyzed by bacterial hydrogenases. Then, the electrons
are transferred to intermediates such as NAD+ or bc1 complex, which introduce the electrons into the
denitrification respiratory chain. Hydrogenases consist of a protein part and a metal core constituting
the active site of the enzyme. Hydrogenases are classified in three families differentiated by their
metalcore, which is composed of one iron atom, alone or associated with one nickel or iron atom:
[NiFe], [FeFe], [Fe]. The [NiFe] and [FeFe] hydrogenases have a similar domain organization, they are
heterodimeric enzymes with an active site protected inside a large protein monomer and connected
externally by a channel allowing only hydrogen to enter. The other, smaller monomer contains
FeS clusters to transport electrons to the respiratory chain, Figure 5 [68–71]. in bacterial cultures after [6,59,63–65].
4. Hydrogenotrophic Metabolism and Interactions with Denitrification 4. Hydrogenotrophic Metabolism and Interactions with Denitrification
Hydrogen is an alternative energy source for denitrifying microorganisms in selective
environments without organic electron donors. In order to survive in these environments,
denitrifying bacteria must have the capacity to utilize nitrate as a nitrogen source, grow with
Hydrogen is an alternative energy source for denitrifying microorganisms in selective environments
without organic electron donors. In order to survive in these environments, denitrifying bacteria must
have the capacity to utilize nitrate as a nitrogen source, grow with inorganic carbon, utilize hydrogen
as an electron donor and use nitrate as the terminal electron acceptor. 3.2. High Nitrate Concentrations Reported in the Literature For concentrations greater than or equal to
300 mM, nitrite is no longer reduced except in one study [63]. Therefore, when experimenting on high
nitrate concentration attention must be paid to the nitrite accumulation as it could reach concentrations
as high as 420 mM. However, these studies focused on nitrate reduction, and longer experimental
times might have allowed true denitrifying bacteria to proliferate and reduce nitrite. 7 of 23
7 of 22 Int. J. Mol. Sci. 2019, 20, 5163
Int. J. Mol. Sci. 2019, 20, x FOR Figure 4. Proportions of nitrite reduced and accumulated according to the initial nitrate concentration
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
45
60
100
120
140
215
290
300
430
Initial nitrate concentration (mM)
% Nitrite build-up
% Nitrite reduced
References:
[6]
[59] [63] [59] [65] [63] [59] [63] [64]
Figure 4. Proportions of nitrite reduced and accumulated according to the initial nitrate concentration
in bacterial cultures after [6,59,63–65]. Figure 4. Proportions of nitrite reduced and accumulated according to the initial nitrate concentration
i
b
t
i l
lt
ft
[6 59 63 65]
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
45
60
100
120
140
215
290
300
430
Initial nitrate concentration (mM)
% Nitrite build-up
% Nitrite reduced
References:
[6]
[59] [63] [59] [65] [63] [59] [63] [64]
Figure 4. Proportions of nitrite reduced and accumulated according to the initial nitrate concentration
in bacterial cultures after [6,59,63–65]. Initial nitrate concentration (mM) Figure 4. Proportions of nitrite reduced and accumulated according to the initial nitrate concentration
Figure 4. Proportions of nitrite reduced and accumulated according to the initial nitrate concentration
in bacterial cultures after [6,59,63–65]. inorganic carbon, utilize hydrogen as an electron donor
acceptor
4.1. Hydrogen Oxidation Catalyzed by Hydrogenase Enzymes The [Fe] hydrogenase
contains a mononuclear metal center and is devoid of iron-sulfur clusters. It has only been identified
in methanogenic Archaea [72]. The distribution of the three hydrogenase types in bacteria and
archaebacteria are presented in Table 2. Hydrogen is rather uncommon in natural environments and is
often associated with the absence of organic matter, high temperature, or high pressure, etc. Thus, the
hydrogen source is utilized by a rather limited quantity of bacterial species. Most of the organisms
studied as hydrogen-oxidizing denitrifiers belong to the phylum of Proteobacteria [23]. 8 of 23
enhances
d to MBH Int. J. Mol. Sci. 2019, 20, 5163
kinase and acts as a hy
the production of MBH and SH transcription factors, Figure 5. Figure 5. The regulatory [NiFe] hydrogenase and membrane-bound [NiFe] hydrogenase in Ralstonia
eutropha after [69,71]. Figure 5. The regulatory [NiFe] hydrogenase and membrane-bound [NiFe] hydrogenase in Ralstonia
eutropha after [69,71]. Figure 5. The regulatory [NiFe] hydrogenase and membrane-bound [NiFe] hydrogenase in Ralston
eutropha after [69,71]. Figure 5. The regulatory [NiFe] hydrogenase and membrane-bound [NiFe] hydrogenase in Ralstonia
eutropha after [69,71]. A similar regulation system is used by other bacteria, such as Rhodopseudomonas p
Table 2. Phyla producing [NiFe], [FeFe] and [Fe] hydrogenase, with examples of strains. A similar regulation system is used by other bacteria, such as Rhodopseudomonas p
Table 2. Phyla producing [NiFe], [FeFe] and [Fe] hydrogenase, with examples of strains. A similar regulation system is used by other bacteria, such as Rhodopseudomonas p
Table 2. Phyla producing [NiFe], [FeFe] and [Fe] hydrogenase, with examples of strains. g
y
y
,
p
p
[
However, many different regulatory pathways have been identified in bacteria. For instance
Cyanobacterium Synechocystis three transcription factors regulate its hydrogenase: two positiv
acting regulators, LexA and AbrB1 and one repressor, AbrB2 [79]. In Escherichia coli, th
transcription factors regulate its hydrogenase-1, ArcA and AppY enhance the hydrogen
production while IscR represses it. ArcA and AppY compete with IscR to bind with the hydrogen
gene promoter [93]. 4.2. Mineral Carbon Assimilation
Phylum
Specie, Genus
Hydrogenase
Ref. Crenarchaeota (Archaea)
Thermoproteus neutrophilus
[NiFe]
[73]
Euryarchaeota (Archaea)
Methanothermobacter marburgensis
Thermococcus sp. [Fe], [NiFe]
[74]
[75]
Actinobacteria
Streptomyces avermitilis
[NiFe]
[76]
Aquificae
Aquifex aeolicus
[NiFe]
[77]
Chloroflexi
Thermomicrobium roseum
[NiFe], [FeFe]
[78]
Cyanobacteria
Synechocystis sp. [NiFe]
[79]
Firmicutes
Clostridium sp. [NiFe],[FeFe]
[80]
Proteobacteria
Paracoccus denitrificans
Thauera sp. Hydrogenophaga sp. 4.2. Mineral Carbon Assimilation In environments devoid of organic substrates, hydrogenotrophic bacteria have to assimilate
mineral carbon for growth. The enzymes involved in carbon assimilation are the carboxylases. The
mineral carbon assimilation requires energy in the form of reduced co-enzyme (NADH,H+, FADH,H+)
and ATP. For instance, in the Calvin cycle, 3 ATP and 3 NADH,H+ are consumed per equivalent of
CO2 to produce glyceraldehyde-3-phosphate [94]. There are currently six known bacterial pathways
leading to the assimilation of mineral carbon [49,50,95]: -
the reductive pentose phosphate (Calvin–Benson) cycle [94] -
the reductive acetyl-CoA (Wood–Ljungdahl) pathway -
the reductive citric acid cycle, the 3-hydroxypropionate bicycle -
the dicarboxylate/4-hydroxybutyrate cycle -
the 3-hydroxypropionate/ 4-hydroxybutyrate cycle. Carboxylases are able to assimilate mineral carbon as CO2 or HCO3−. The availability of these
forms is dependent on the pH, as CO2 can hydrate itself into carbonate species (H2CO3, HCO3−and
CO32−) according to the pH. This hydration (H2O + CO2 ↔H2CO3 ↔HCO3−+ H+↔CO3−+ 2 H+)
causes acidification. Most bacterial carboxylases assimilate the CO2 form. However, at pH between 6.4
(pKa of (H2CO3/HCO3−)) and 10.3 (pKa of (HCO3−/CO32−)), the HCO3−form is dominant in solution. Bacteria have adapted by using carbonic anhydrases to catalyze the formation of CO2 from HCO3−[96],
or by using several carboxylases capable of fixing the HCO3−form [97,98]. Mineral carbon can be supplied in aqueous solution either by bubbling CO2 (g) or by adding
soluble carbonates (H2CO3, HCO3−, CO32−). The continuous supply of CO2 (g) rapidly acidifies the
pH of bacterial culture media [99]. In contrast, the addition of soluble carbonate buffers the solution. A
study reported faster bacterial adaptation to hydrogenotrophy using HCO3−as carbon source rather
than CO2 (g) [100]. In addition, the mineral carbon supply must be balanced with a nitrogen supply in
order to have an optimal carbon/nitrogen ratio for bacterial growth. In theory, 0.2 mg HCO3−-C/mg
NO3—N would be required [23]. In practice, higher C/N mass ratios have been used in order to prevent
carbon limitation [28]. Ratios should be chosen with care; C/N ratios that are too high can lead to
alternative nitrate reduction pathways, such as nitrate reduction to ammonium, while C/N ratios that
are too low lead to the inhibition of denitrification [23]. inorganic carbon, utilize hydrogen as an electron donor
acceptor
4.1. Hydrogen Oxidation Catalyzed by Hydrogenase Enzymes Pseudomonas stutzeri
Escherichia coli
Ralstonia eutropha
Rhodopseudomonas palustris
[NiFe], [FeFe]
[81,82]
[83]
[84,85]
[50]
[86]
[69,87]
[88]
Thermotogae
Thermotoga maritima
[FeFe]
[89]
Spirochaetes
Treponema primitia
[FeFe]
[90] The regulation of hydrogenase production has been extensively studied in Ralstonia eutropha
for industrial purposes [69,91,92]. In R. eutropha four [NiFe] hydrogenases have been identified: a
membrane-bound hydrogenase (MBH) linked to the respiratory chain by a cytochrome b, a cytoplasmic
soluble hydrogenase (SH), an actinobacterial-type hydrogenase (not well known yet) and a regulatory
hydrogenase (RH) [87,91]. The RH forms a tight complex with a histidine protein kinase and acts as a
hydrogen sensor. In the presence of hydrogen, the RH kinase complex enhances the production of
MBH and SH by phosphorylation/dephosphorylation signals transmitted to MBH and SH transcription
factors, Figure 5. A similar regulation system is used by other bacteria, such as Rhodopseudomonas palustris [88]. However, many different regulatory pathways have been identified in bacteria. For instance, in
Cyanobacterium Synechocystis three transcription factors regulate its hydrogenase: two positively acting
regulators, LexA and AbrB1 and one repressor, AbrB2 [79]. In Escherichia coli, three transcription factors Int. J. Mol. Sci. 2019, 20, 5163 9 of 23 regulate its hydrogenase-1, ArcA and AppY enhance the hydrogenase production while IscR represses
it. ArcA and AppY compete with IscR to bind with the hydrogenase gene promoter [93]. regulate its hydrogenase-1, ArcA and AppY enhance the hydrogenase production while IscR represses
it. ArcA and AppY compete with IscR to bind with the hydrogenase gene promoter [93]. 4.3. Comparison between hydrogenotrophic and heterotrophic denitrification Interest in hydrogenotrophic denitrification for wastewater treatment has grown in recent decades,
due to its low production of sludge [22,23,101]. In hydrogenotrophic cultures, denitrification and
growth rate are lower than in heterotrophic cultures. In batch cultures of activated sludge, an
initial concentration of 14 mM nitrate was reduced at 2.1 mM/d in heterotrophy and at 1.3 mM/d
in hydrogenotrophy [25]. This difference can be explained by the additional energy expended for
mineral carbon assimilation compared to organic carbon assimilation or the kinetic disadvantage of
using hydrogen with low solubility. The aqueous solubility of hydrogen is 0.74 mM at 30 ◦C, thus
hydrogen bioavailability can be limiting in fast biological processes [26]. In order to prevent hydrogen
limitation, reactor designs have been optimized using porous membrane, hollow fiber, and silicone tube
reactors [23]. These reactors are designed to improve the supply of hydrogen to bacterial cells. Thus,
they result in better denitrification kinetics than simple batch reactors. In addition, based on Henry’s
law, the utilization of high hydrogen pressure makes it possible to increase the hydrogen solubility. To
illustrate this beneficial effect, using a continuous reactor fed with 1 mM nitrate, the nitrate reduction
rates were respectively 43 and 170 mM/d at PH2 = 0.4 bar (1.5 bar total) and at PH2 = 1.3 bar (3 bar
total) [102]. In conclusion, hydrogenotrophic bacterial cultures often result in lower denitrification 10 of 23 Int. J. Mol. Sci. 2019, 20, 5163 kinetics than in heterotrophic cultures [22,24]. However, in some studies, the optimization of hydrogen
transfer to bacterial cells has made it possible to obtain denitrification kinetics comparable to those
of heterotrophic denitrification [102–104]. An overview of the nitrate reduction rate observed in the
literature according to the pH and the nitrate concentration is presented in Table 3. Concentrations
from 0.1 to 40 mM and pH from 6.5 to 9.5 have been explored. The maximal nitrate reduction rate
did not exceed an order of magnitude of 100 mM/d, except for the experiment with high hydrogen
pressure and very low nitrate concentration [102]. kinetics than in heterotrophic cultures [22,24]. However, in some studies, the optimization of hydrogen
transfer to bacterial cells has made it possible to obtain denitrification kinetics comparable to those
of heterotrophic denitrification [102–104]. An overview of the nitrate reduction rate observed in the
literature according to the pH and the nitrate concentration is presented in Table 3. 4.3. Comparison between hydrogenotrophic and heterotrophic denitrification Concentrations
from 0.1 to 40 mM and pH from 6.5 to 9.5 have been explored. The maximal nitrate reduction rate
did not exceed an order of magnitude of 100 mM/d, except for the experiment with high hydrogen
pressure and very low nitrate concentration [102]. Table 3. Overview of nitrate maximal reduction rates in hydrogenotrophic cultures testing different
pH and nitrate concentrations ranges. Inoculum
Experimental
Set-Up
pH
Nitrate
mM
Nitrate Maximal
Reduction Rate
Ref. Activated
sludge
Continuous reactor,
heterotrophy or
hydrogenotrophy
6.5–8.7
0.8–2.3
ND
[105]
Consortium
Pressured Batch
reactor
7.1
0.07–0.7
356.4 mM/d
[102]
Alcaligenes
eutrophus
Continuous and
batch reactors
7.1–9
1.8–3.2
50.0 mM/d
[27]
Paraccocus
denitrificans
Semi-batch reactors
6.5–9.5
40
8.4 mM/gDW/d 1
[106]
Activated
sludge
Batch reactors
6.4–7
0.5–14.3
5.5 mM/d
[104]
Activated
sludge
Batch and
continuous reactors
ND
14
1.3 mM/d
[25]
Activated
sludge
Continuous reactor
7–9.5
1
31 mM/d
[107]
Activated
sludge
Sequencing batch
reactors
7–9.5
1.4
27.4 mM/d
[101]
1 Expressed in terms of dry weight. Table 3. Overview of nitrate maximal reduction rates in hydrogenotrophic cultures testing different
pH and nitrate concentrations ranges. 5.1. Basics of pH Effect on Denitrification 5.1. Basics of pH Effect on Denitrification The pH impacts all enzymes that work properly at an optimal pH. In consequence, the majority of
neutrophilic denitrifying bacteria have an optimal pH ranging between 7.5 and 9.5 [47,104,106,108]. At a lower pH, denitrification activity is slowed down. In the denitrification process, reductases or
electron transporters are affected by the pH. Under the influence of the pH, electron transporters
may preferentially give their electrons to specific reductases. For example, a study was carried out
to measure nitrite reductase activity and nitrous oxide reductase activity according to pH variation
from 6.4 to 9.2 [44]. Cytochrome c was more oxidized by nitrite reductase than by nitrous oxide
reductase at pH < 7.3 and vice versa at pH > 7.3 [44]. Besides the acidic pH impact on the enzymes,
the bacterial activity could be slowed by the formation of nitrous acid (HNO2) from nitrite. Nitrous
acid is a cytotoxic compound that can easily cross bacterial membranes [57]. For pH values above the classical optimal pH range of 7.5 to 9.5, the denitrification kinetics recorded
in the literature are generally slower and nitrite accumulations have often been observed [104,105]. In addition, the alkalinization of microbiological culture media is accompanied by an increase in the
occurrence of precipitates. Denitrifying tests were performed for pH values from 7.7 to 9.5 [107]. At
pH 9.5, in the presence of soluble carbonates, the increasing pH led to the precipitation of calcium
carbonates, thereby modifying the bioavailability of carbonate and Ca2+ ions in the solution. Other
precipitates (CaHPO4, Ca(H2PO4)2, Ca3(PO4)2, etc.) are likely to form depending on the pH and Int. J. Mol. Sci. 2019, 20, 5163 11 of 23 the nutrients that may be added [105]. All these precipitation phenomena could limit the nutrients
available for proper bacterial denitrification. On the other hand, bacterial denitrification has an effect on pH. The reactions below describe
the reduction from nitrate to nitrite ((3) and (4)), then nitrite to nitric oxide ((5) and (6)), then nitric
oxide to dinitrogen ((7) and (8)) with acetate or hydrogen. The nitrite reduction to nitric oxide ((5) and
(6)) is the only reduction step that produces OH−with either acetate or hydrogen [105]. Therefore, at
alkaline pH, stopping the nitrite reduction would be a way for bacteria to avoid further pH increases. 5.1. Basics of pH Effect on Denitrification This would provide an explanation for the many observations of nitrite accumulations in denitrifying
cultures performed in alkaline media. 4 H2 + 4 NO3−→4 NO2−+ 4 H2O
(3) (3) CH3COOH + 4 NO3−→2 CO2 + 4 NO2−+ 2 H2O
(4) (4) OOH + 4 NO3−→2 CO2 + 4 NO2−+ 2 H2O 4 H2 + 8 NO2−→8 NO + 8 OH− (5) CH3COOH + 8 NO2−+ 2 H2O →2 CO2 + 16 NO + 8 OH− (6) 4 H2 + 4 NO →2 N2 + 4 H2O
(7) 4 H2 + 4 NO →2 N2 + 4 H2O (7) CH3COOH + 4 NO →2 CO2 + 2 N2 + 2 H2O
(8) (8) However, in heterotrophic denitrification, organic matter (such as acetate) is oxidized to CO2,
which has an acidifying action and could compensate for OH−alkalinization. Therefore, calculations
of pH were made to understand the pH evolution in heterotrophic cultures supplemented with acetate
and a carbonate buffer. In the pH range of 8 to 14, considering that all the strong base OH−reacts with
CO2 to produce HCO3−and then with HCO3−to produce CO32−, equation (1) can be rewritten by
introducing equation (9). 5 CH3COOH + 8 NO3−→7 HCO3−+ 3 CO32−+ 4 N2 + 4 H2O
(9) (9) Therefore, the pH can be calculated from the Henderson-Hasselbalch equation by determining
the final concentration of HCO3−and CO32−depending on the nitrate reduced, Table 4. Therefore, the pH can be calculated from the Henderson-Hasselbalch equation by determining
he final concentration of HCO3−and CO32−depending on the nitrate reduced, Table 4. Table 4. Calculation of pH in a culture buffered with carbonate and fed with acetate according to the
reduced nitrate concentration. Table 4. Calculation of pH in a culture buffered with carbonate and fed with acetate according to the
reduced nitrate concentration. Equivalents
[HCO3−]produced ⇔7/8 [NO3−]reduced
[CO32−] produced ⇔3/8
[NO3−]reduced
Final carbonate concentrations
[CO32−]final = [CO32−]initial + [CO32−]produced = [CO32−]initial + 3/8
[NO3−]reduced [HCO3−]final = [HCO3−]initial + [HCO3−]produced =
[HCO3−]initial + 7/8 [NO3−]reduced
Henderson-Hasselbalch equation
pH = 10.32 + Log
[CO2−
3 ]final
[HCO−
3 ]final
! Final equation
pH = 10.32 + Log
[CO2−
3 ]initial+ 3
8 [NO−
3 ]reduced
[HCO−
3 ]initial+ 7
8 [NO−
3 ]reduced
! Final equation Therefore, the pH can be expressed as in equation (10). If the nitrate concentration is significantly
higher than the initial carbonate concentration, the pH tends to 10 (= 10.32 + log (3/7)). 5.1. Basics of pH Effect on Denitrification Therefore,
during the denitrification with acetate, the pH may acidify or alkalinize depending on whether the Int. J. Mol. Sci. 2019, 20, 5163 12 of 23 initial pH is higher or lower than 10. This pattern is reported in the literature as “self-acidification” at
alkaline pH [23,57,104] and “self-alkalinization” at acidic pH [58,109]. pH = 10.32 + Log
h
CO2−
3
i
i + 3
8 ×
h
NO−
3
i
h
HCO−
3
i
i + 7
8 ×
h
NO−
3
i
(10) (10) In the case of hydrogenotrophic denitrification, there is no CO2 production. The pH can only
increase due to the production of OH−, which can react with HCO3−to form CO32−. Therefore, the pH
from a hydrogenotrophic culture buffered with carbonate can be calculated from equation (2) and the
Henderson-Hasselbalch equation, Table 5. Table 5. Calculation of pH in culture buffered with carbonate and fed with hydrogen according to the
reduced nitrate concentration. Equivalents
[HCO3−]consumed ⇔[OH−]produced ⇔[NO3−]reduced
[CO32−]produced ⇔[OH−]produced ⇔[NO3−]reduced
Final carbonate concentrations
[CO32−]final= [CO32−]initial + [CO32−]produced = [CO32−]initial +
[NO3−]reduced
[HCO3−]final= [HCO3−]initial – [HCO3−]consumed = [HCO3−]initial –
[NO3−]reduced
Henderson-Hasselbalch equation
pH = 10.32 + Log
[CO2−
3 ]final
[HCO−
3 ]final
! Final equation1
pH = 10.32 + Log
[CO2−
3 ]initial+[NO−
3 ]reduced
[HCO−
3 ]initial–[NO−
3 ]reduced
! 1: does not apply if [HCO3−]initial < [NO3−]reduced, in this case, the pH is directly calculated from [OH−]. 1: does not apply if [HCO3−]initial < [NO3−]reduced, in this case, the pH is directly calculated from [OH−]. During hydrogenotrophic denitrification, as expressed in equation (11), the pH increases regardless
of the initial pH. Moreover, the pH could also increase during mineral carbon assimilation. When
hydrogenotrophic bacteria assimilate CO2 and HCO3−for growth, the carbonate equilibrium is affected
and the pH increases. pH = 10.32 + Log
h
CO2−
3
i
i +
h
NO−
3
i
h
HCO−
3
i
i −
h
NO−
3
i
(11) (11) In conclusion, in hydrogenotrophic cultures, the pH would increase during the denitrification
and during the mineral carbon assimilation. Consequently, hydrogenotrophic bacteria without any
means of acidifying the pH are more sensitive to alkaline pH than heterotrophic bacteria, which are
able to acidify pH above 10 in the presence of acetate. An overview of the nitrate reduction rate observed in the literature in heterotrophic cultures is
presented in Table 6. 5.1. Basics of pH Effect on Denitrification Concentrations from 10 to 1000 mM and pH from 5.5 to 12 are explored. The
maximal nitrate reduction rate was an order of magnitude of 10 to 1000 mM/d. Higher ranges of pH
and nitrate concentration were explored in heterotrophy than in hydrogenotrophy (see Table 3). The
nitrate reduction rates, up to 5000 mM/d, were also higher in heterotrophy. Int. J. Mol. Sci. 2019, 20, 5163 13 of 23 Table 6. Overview of nitrate maximal reduction rates in heterotrophic cultures testing different pH and
nitrate concentrations ranges. Table 6. Overview of nitrate maximal reduction rates in heterotrophic cultures testing different pH and
nitrate concentrations ranges. Inoculum
Experimental
Set-Up
pH
Nitrate
mM
Nitrate Maximal
Reduction Rate
Ref. P. denitrificans
Batch reactor
ND
17
36 mM/d
[110]
P. denitrificans
Batch reactor,
an/aerobic transition
5.5–9.5
25
60 mM/d
[43]
P. denitrificans
Batch reactor, high
cell density
6.4–9.2
25
4887 mM/d
[44]
P. denitrificans
Continuous reactor
an/aerobic transition
6.8–7.5
25
6 mM/d
[58]
Activated
sludge
Sequencing batch
reactors
6.5–9
192
600 mM/d
[47]
Activated
sludge
Batch reactor
10–12
15
2 mM/d
[54]
Activated
sludge
Sequencing batch
reactors
7.2
120–645
1710 mM/d
[59]
Activated
sludge
Sequencing batch
reactors
7.5–12
120
1177 mM/d
[66]
Activated
sludge
Sequencing batch
reactors
7.5–9
192–580
564 mM/d
[63]
Bacillus
halodenitrificans
Batch reactor
7.5–9
1006
ND
[9]
Activated
sludge
Sequencing batch
reactors
8.5
42
137 mM/d
[6]
Activated
sludge
Expanded granular
sludge bed
6–8
142–1000
99.9 % removal
efficiency
[65]
5 2 Bacterial Adaptations to Alkaline pH 5.2. Bacterial Adaptations to Alkaline pH 5.2. Bacterial Adaptations to Alkaline pH Most bacterial processes are significantly slowed down in an alkaline medium. However, some
bacteria described as alkaliphilic grow optimally at pH above 9 [111]. Alkaliphilic bacteria such as
Bacillus sp. were isolated from alkaline ecological niches [112] and have been extensively studied
recently for industrial purposes [113,114]. Several protective mechanisms that allow alkaliphilic
bacteria to maintain their metabolic activity at high pH can be illustrated by the example of the genus
Bacillus sp. These mechanisms seek to keep the internal pH of the cells as low as possible and to adapt
the internal enzymatic activity to high pH levels [115,116] (Figure 6). In Bacillus sp. the first protective barrier, the bacterial wall, has additional acidic polymers and
peptidoglycans installing a selective permeability to Na+ and H+ while blocking OH−anions [115,116]. Then, on the bacterial membrane, transporters ensure that the pH in the cytoplasm is maintained as
low as possible by a constant flow of protons inwards. In alkaliphilic bacteria, there are several types of
membrane transporters allowing protons to be absorbed: Na/H anti-transporters, K/H anti-transporters,
and the Mrp (Na/H) anti-transporter [117]. The Mrp anti-transporter is a super enzymatic complex
encoded by several genes [117]. It has a crucial role in the absorption of protons and has been identified
in several alkaliphilic bacterial strains [111,117]. These cellular mechanisms of protection would
only generate a maximum difference of about 2 pH units between the cytoplasm and the culture
medium [17,115]. Sturr et al. showed that the internal pH of B. pseudofirmus was maintained to 8.3
when the external pH was 10.8 [118]. However, this bacterium was no longer able to regulate its
intracellular pH for external pH above 11.4. 14 of 23
dapt Int. J. Mol. Sci. 2019, 20, 5163
Bacillus sp These mec
97 the internal enzymatic activity to high pH levels [115,116] (Figure 6). Figure 6. Protective mechanisms of Bacillus sp. cultivated at pH 10.5, adapted from after [111,117]. Figure 6. Protective mechanisms of Bacillus sp. cultivated at pH 10.5, adapted from after [111,117]. Figure 6. Protective mechanisms of Bacillus sp. cultivated at pH 10.5, adapted from after [111,117]. Figure 6. Protective mechanisms of Bacillus sp. cultivated at pH 10.5, adapted from after [111,117]. In Bacillus sp. the first protective barrier, the bacterial wall, has additional acidic polymers and
1
peptidoglycans installing a selective permeability to Na+ and H+ while blocking OH− anions [115,116]. 5.2. Bacterial Adaptations to Alkaline pH 2
Then, on the bacterial membrane, transporters ensure that the pH in the cytoplasm is maintained as
3
low as possible by a constant flow of protons inwards. In alkaliphilic bacteria, there are several types
4
of membrane transporters allowing protons to be absorbed: Na/H anti-transporters, K/H anti-
5
transporters, and the Mrp (Na/H) anti-transporter [117]. The Mrp anti-transporter is a super
6
enzymatic complex encoded by several genes [117]. It has a crucial role in the absorption of protons
7
and has been identified in several alkaliphilic bacterial strains [111,117]. These cellular mechanisms
8
of protection would only generate a maximum difference of about 2 pH units between the cytoplasm
9
and the culture medium [17,115]. Sturr et al. showed that the internal pH of B. pseudofirmus was
0
maintained to 8.3 when the external pH was 10.8 [118]. However, this bacterium was no longer able
1
to regulate its intracellular pH for external pH above 11.4. 2
Therefore, bacteria also need to adapt to the alkalinization of their internal pH to maintain their
3
Therefore, bacteria also need to adapt to the alkalinization of their internal pH to maintain their
activity. A major challenge would be to adapt the respiratory chain, which at neutral pH generates a
proton gradient used for ATP synthesis or molecule transports. However, at alkaline pH, the proton
gradient is reversed. To maintain nutrient absorption, alkaliphilic bacteria use a gradient of Na+
ions. The sodium gradient created by membrane transporters replaces the proton gradient for the
transport of nutrients (Figure 6). Thus, sodium is a key factor involved in the resistance to alkaline pH. Adaptations related to the functioning of ATP-synthase have also been reported to counter-balance the
low concentration of protons in the periplasm [117]. In the respiratory chain, enzymes group together
into super-complexes to facilitate proton transport to ATP-synthase and improve promiscuity with
ATP-synthase. The cytoplasmic membrane is organized into micro-domains that allow the respiratory
chain and ATP-synthase to be compartmentalized and fixed nearby. Finally, ATP-synthase, itself, is
modified to improve its affinity for protons [117]. Therefore, bacteria also need to adapt to the alkalinization of their internal pH to maintain their
13
activity. A major challenge would be to adapt the respiratory chain, which at neutral pH generates a
14
proton gradient used for ATP synthesis or molecule transports. However, at alkaline pH, the proton
15
gradient is reversed. 5.2. Bacterial Adaptations to Alkaline pH To maintain nutrient absorption, alkaliphilic bacteria use a gradient of Na+ ions. 16
The sodium gradient created by membrane transporters replaces the proton gradient for the transport
17
of nutrients (Figure 6). Thus, sodium is a key factor involved in the resistance to alkaline pH. 18
Adaptations related to the functioning of ATP-synthase have also been reported to counter-balance
19
the low concentration of protons in the periplasm [117]. In the respiratory chain, enzymes group
20
together into super-complexes to facilitate proton transport to ATP-synthase and improve
21
promiscuity with ATP-synthase. The cytoplasmic membrane is organized into micro-domains that
22
allow the respiratory chain and ATP synthase to be compartmentalized and fixed nearby Finally
23
Amino acid substitutions were also observed on various enzymes not necessarily involved in
respiration, allowing them to operate efficiently at alkaline pH [119]. The optimal pH for proteins of
alkaliphilic bacteria is, therefore, higher than those of neutrophilic bacteria. Horikoshi [111] highlighted
an extracellular protease with an optimal pH of 11.5. This enzyme was able to maintain its protease
activity up to pH 13.0. Amino acids sequence analyses of a protease [120], an amylase [121] and a
phosphoserine aminotransferase of Bacillus sp. showed a common trend in amino acid substitutions. Negatively charged amino acids tended to be replaced by neutral amino acids. Amino acids such as
lysine were replaced by arginine, which has a higher pKa. At the protein structural level, an increase
in the number of hydrogen or hydrophobic bonds was observed [122]. allow the respiratory chain and ATP-synthase to be compartmentalized and fixed nearby. Finally,
23
ATP-synthase, itself, is modified to improve its affinity for protons [117]. 24
Amino acid substitutions were also observed on various enzymes not necessarily involved in
25
respiration, allowing them to operate efficiently at alkaline pH [119]. The optimal pH for proteins of
26
alkaliphilic bacteria is, therefore, higher than those of neutrophilic bacteria. Horikoshi [111]
27
highlighted an extracellular protease with an optimal pH of 11.5. This enzyme was able to maintain
28
These adaptation strategies have mostly been demonstrated from specific alkaliphilic bacterial
species of the genus Bacillus. These bacteria are not necessarily denitrifying. However, there are
alkaliphilic denitrifying bacteria, such as Halomonas desiderata, which have been isolated from a soda
lake [123]. This species has shown an ability to grow and catalyze nitrate reduction in aqueous media
from pH 10 to pH 12 [124–126]. 5.2. Bacterial Adaptations to Alkaline pH It is likely that this type of alkaliphilic denitrifying bacteria would use
the same mechanisms as described for the genus Bacillus. g
5.3. pH Threshold Values Surprisingly, one of the main difficulties when experimenting with alkaline bacterial cultures is
to create and maintain a high pH in the culture medium [17]. The use of buffers such as phosphate 15 of 23 Int. J. Mol. Sci. 2019, 20, 5163 and carbonate can be an option based on their high pKa: pKa (HCO3−/CO32−) = 10.32 and pKa
(HPO42−/PO43) = 12.32. Besides the medium limitation, it seems that there is a limit between pH 11.5
and pH 12 beyond which the physiology of bacterial cells is no longer possible. Many alkaliphilic
bacteria already have their cellular activity significantly slowed down above pH 11 [112,123,124]. For instance, several studies have compared bacterial reduction kinetics for pH values of 10, 11 and
12 [53,54]. A first study tested the reduction of Cr (IV) [53] with Lake Mono sediments (California,
USA), a second tested the reduction of nitrate with Buxton sediments [54]. In both studies, the activity
was slowed at pH 11 and no activity was observed at pH 12. In contrast, other works reported bacterial
survival for pH 12 or even higher [114,124,127]. However, as stated by Sorokin, particular attention
must be paid to the operating conditions and a critical eye kept on what is reported [17]: (i) the pH
of the culture is sometimes not maintained during the experiment or even not indicated, (ii) the pH
reported in the feed medium is likely to be different from the culture pH in contact with bacteria. For
example, alkaliphilic bacteria isolated from an alkaline lake were cultivated at a pH adjusted to very
high values (up to 13.2) [116]. But the pH decreased over time and bacterial growth was only observed
when the pH had decreased below 12.0. In another experiment, the authors correctly indicated a
difference of 2 pH units between the alkaline pH in the feeding medium and the pH in the culture [66]. 6. Perspectives, Denitrification at Alkaline pH, with High Nitrate Concentration and with
Hydrogen as Electron Source 6. Perspectives, Denitrification at Alkaline pH, with High Nitrate Concentration and with
Hydrogen as Electron Source The impact of the association of high nitrate concentrations and alkaline pH on bacterial
denitrification has not been well studied, especially with hydrogen as an energy source. Yet there is a
strong interest in industrial perspectives, for nuclear waste repository management for instance [128,129]. In Figure 7, the different nitrate concentrations and pH investigated in the literature are summed up. It
brings to light an important lack of knowledge concerning denitrifying cultures at high pH and high
nitrate concentrations. In particular, there are no studies that have simultaneously tested a pH above 9
and a nitrate concentration above 120 mM. Therefore, future exploratory experiments conducted at
high pH and high nitrate concentration should bring appreciable knowledge. Despite the lack of experiments at high pH and high nitrate concentrations, speculations can be
made about the behaviour of bacteria in this type of environment, based on the paragraphs above. Concentrations of the order of 100 mM and pH values above 9.5 are likely to cause nitrite accumulations
(up to 100% of the initial nitrate concentration). Particular attention should be paid to monitoring nitrite
as it is likely to inhibit bacterial activity at low concentrations (tens of mM). Moreover, while testing
high nitrate concentrations, attention must be paid to the counter ion added with the nitrate as it could
affect both pH and nitrate resistance. When testing alkaline pH, the pH must be buffered and must be
closely monitored as denitrifying activity modifies the pH. Carbonates could be used as a buffer at
alkaline pH, especially since they provide a mineral carbon source for bacteria in hydrogenotrophy. It seems unlikely that hydrogenotrophic denitrifying bacteria would be active at pH > 11, as the
alkalinization concomitant with their activity would quickly raise the pH to the threshold around 11.5
to 12. 16 of 23
15 of 22 Int. J. Mol. Sci. 2019, 20, 5163
Int. J. Mol. Sci. 2019, 20, x FO Figure 7. and/or at
3 7. Conclusions Despite the lack of experiments at high pH and high nitrate concentrations, speculations can be
4
made about the behaviour of bacteria in this type of environment, based on the paragraphs above. 5
Concentrations of the order of 100 mM and pH values above 9.5 are likely to cause nitrite
6
accumulations (up to 100% of the initial nitrate concentration). Particular attention should be paid to
7
Exploring microbial denitrification in environments associated with alkaline pH, high nitrate
concentration and hydrogen as electron donor seems possible at pH up to 11 and nitrate concentrations
up to hundreds of mM. However, there is a lack of research associating these conditions and the
potential negative effects of the three have generally been studied separately. monitoring nitrite as it is likely to inhibit bacterial activity at low concentrations (tens of mM). 8
Moreover, while testing high nitrate concentrations, attention must be paid to the counter ion added
9
with the nitrate as it could affect both pH and nitrate resistance. When testing alkaline pH, the pH
0
must be buffered and must be closely monitored as denitrifying activity modifies the pH. Carbonates
1
could be used as a buffer at alkaline pH, especially since they provide a mineral carbon source for
2
bacteria in hydrogenotrophy. It seems unlikely that hydrogenotrophic denitrifying bacteria would
3
be active at pH > 11, as the alkalinization concomitant with their activity would quickly raise the pH
4
to the threshold around 11.5 to 12. 5
The maximal nitrate concentrations tested in the literature are generally about a few hundred
mM of nitrate. At these concentrations, nitrite accumulation can reach 100% of the initial nitrate
concentration. Nitrite is generally described as cytotoxic for bacterial cells at low concentrations (tens
of mM). Some authors have succeeded in cultivating bacterial strains in culture media containing 1 M
of nitrate. The counter ion added with nitrate, and more generally the salinity of the solution, is a
major factor affecting the survival of bacteria. Some bacteria are tolerant to high salinities while others
are inhibited by high concentrations of sodium. In addition, in a consortium, the composition of the
bacterial population is decisive in the nitrite/nitrate balance. 7. 6. Perspectives, Denitrification at Alkaline pH, with High Nitrate Concentration and with
Hydrogen as Electron Source Literature overview of the experiments of bacterial denitrification conducted at alkaline pH
0
100
200
300
400
500
600
700
800
900
1000
6
7
8
9
10
11
12
Nitrate (mM)
pH
[47]
[105]
[59]
[64]
[43]
[104]
[101]
[63]
[44]
[58]
[54]
[9]
[124]
[109]
[119]
[57]2,3
[64]
[60] 3
[106]
[113]
[65]
[8]
[28]
Single strain culture
Consortia
Heterotrophy
Hydrogenotrophy
1 = pH unknown
2 = nitrite without nitrate
3 = aerobic culture
Figure 7. Literature overview of the experiments of bacterial denitrification conducted at alkaline pH
and/or at high nitrate concentrations. Figure 7. Literature overview of the experiments of bacterial denitrification conducted at alkaline pH
Figure 7. Literature overview of the experiments of bacterial denitrification conducted at alkaline pH
and/or at high nitrate concentrations. References 1. Mohsenipour, M.; Shahid, S.; Ebrahimi, K. Removal techniques of nitrate from water. Asian J. Chem. 2014, 26,
7881–7886. [CrossRef]
2. Kapoor, A.; Viraraghavan, T. Nitrate Removal from Drinking Water—Review. J. Environ. Eng. 1997, 123, 1. Mohsenipour, M.; Shahid, S.; Ebrahimi, K. Removal techniques of nitrate from water. Asian J. Chem. 2014, 26,
7881–7886. [CrossRef]
2. Kapoor, A.; Viraraghavan, T. Nitrate Removal from Drinking Water—Review. J. Environ. Eng. 1997, 123, 2. Kapoor, A.; Viraraghavan, T. Nitrate Removal from Drinking Water—Review. J. Environ. Eng. 19
371–380. [CrossRef] Kapoor, A.; Viraraghavan, T. Nitrate Removal from Drinking Water—Review. J. Environ. Eng. 1997, 123
371–380. [CrossRef] 3. Francis, C.W.; Hatcher, C.W. Biological Denitrification of High-Nitrates Wastes Generated in the Nuclear Industry;
Environmental Sciences Division, Oak Ridge National Laboratory: Oak Ridge, TN, USA, 1980. 3. Francis, C.W.; Hatcher, C.W. Biological Denitrification of High-Nitrates Wastes Generated in the Nuclear Industry;
Environmental Sciences Division, Oak Ridge National Laboratory: Oak Ridge, TN, USA, 1980. 4. Albrecht, A.; Bertron, A.; Libert, M. Microbial Catalysis of Redox Reactions in Concrete Cells of Nuclear
Waste Repositories: A Review and Introduction. In Cement-Based Materials for Nuclear Waste Storage; Springer:
New York, NY, USA, 2013; pp. 147–159. 4. Albrecht, A.; Bertron, A.; Libert, M. Microbial Catalysis of Redox Reactions in Concrete Cells of Nuclear
Waste Repositories: A Review and Introduction. In Cement-Based Materials for Nuclear Waste Storage; Springer:
New York, NY, USA, 2013; pp. 147–159. 5. Stroes-Gascoyne, S.; Sergeant, C.; Schippers, A.; Hamon, C.J.; Nèble, S.; Vesvres, M.-H.; Barsotti, V.;
Poulain, S.; Le Marrec, C. Biogeochemical processes in a clay formation in situ experiment: Part D—Microbial
analyses—Synthesis of results. Appl. Geochem. 2011, 26, 980–989. [CrossRef] 5. Stroes-Gascoyne, S.; Sergeant, C.; Schippers, A.; Hamon, C.J.; Nèble, S.; Vesvres, M.-H.; Barsotti, V.;
Poulain, S.; Le Marrec, C. Biogeochemical processes in a clay formation in situ experiment: Part D—Microbial
analyses—Synthesis of results. Appl. Geochem. 2011, 26, 980–989. [CrossRef] y
y
6. Fernández-Nava, J.; Marañón, E.; Soons, J.; Castrillón, L. Denitrification of wastewater containing high
nitrate and calcium concentrations. Bioresour. Technol. 2008, 99, 7976–7981. [CrossRef] 6. Fernández-Nava, J.; Marañón, E.; Soons, J.; Castrillón, L. Denitrification of wastewater containing high
nitrate and calcium concentrations. Bioresour. Technol. 2008, 99, 7976–7981. [CrossRef] 7. Marecik, R.; Biega´nska-Marecik, R.; Cyplik, P.; Ławniczak, Ł.; Chrzanowski, Ł. Phytoremediation of Industrial
Wastewater Containing Nitrates, Nitroglycerin, and Nitroglycol. Pol. J. Environ. Stud. 2013, 22, 773–780. 8. Napier, J.; Bustamante, R.B. In-Situ biodenitrification of the S-3 ponds. and/or at
3 7. Conclusions Conclusions
6
Exploring microbial denitrification in environments associated with alkaline pH, high nitrate
7
concentration and hydrogen as electron donor seems possible at pH up to 11 and nitrate
8
concentrations up to hundreds of mM. However, there is a lack of research associating these
9
o ditio
a d the
ote tial
e ati e effe t of the th ee ha e
e e ally bee
tudied e a ately
0
In hydrogenotrophic cultures, denitrification and cell growth kinetics are generally slower than in
heterotrophic cultures. One explanation is the availability of hydrogen, which is poorly soluble in
aqueous media. The obligation for hydrogenotrophic bacteria to assimilate mineral carbon for growth
is also a limiting factor. In addition, hydrogenotrophic denitrification appears to be more sensitive to
high pH and more likely to cause nitrite accumulation than heterotrophic denitrification. conditions and the potential negative effects of the three have generally been studied separately. 0
The maximal nitrate concentrations tested in the literature are generally about a few hundred
1
mM of nitrate. At these concentrations, nitrite accumulation can reach 100% of the initial nitrate
2
concentration. Nitrite is generally described as cytotoxic for bacterial cells at low concentrations (tens
3
The pH is a determining factor for the survival of bacteria, the maximum limit values, below
which microbial activity is possible, being between pH 11.5 and 12. The reduction of nitrite to nitric
oxide generates alkalinity and, as a result, nitrite is likely to accumulate at alkaline pH. For most
bacteria, denitrification is therefore incomplete for pH > 9.5, nitrite accumulation is observed, and
reductions kinetics are slowed down. The whole denitrification process has an opposite impact on the Int. J. Mol. Sci. 2019, 20, 5163 17 of 23 pH if the electron donor is organic or hydrogen. Heterotrophic bacteria are able to acidify the pH when
the initial pH is high, while hydrogenotrophic bacteria only alkalinize the pH. This crucial difference
explains why hydrogenotrophic bacteria are more sensitive to alkaline pH. pH if the electron donor is organic or hydrogen. Heterotrophic bacteria are able to acidify the pH when
the initial pH is high, while hydrogenotrophic bacteria only alkalinize the pH. This crucial difference
explains why hydrogenotrophic bacteria are more sensitive to alkaline pH. Author Contributions: Conceptualization, P.A. and N.D.; validation, B.E., A.B., J.-C.R. and/or at
3 7. Conclusions and A.A.; resources J.-C.R.;
writing—original draft preparation, P.A.; writing—review and editing, P.A., B.E., A.B., and A.A.; supervision, B.E.;
project administration, A.B.; funding acquisition, A.B. Funding: This work was funded by the Andra (Agence nationale pour la gestion des déchets radioactifs) and the
University of Toulouse Conflicts 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. Abbreviations
FNR
Fumarate and Nitrate reductase Regulatory (also NarR, NnrR and FnrP)
UQ
Ubiquinone
NAD+
Nicotinamide adenine dinucleotide
FAD+
Flavin adenine dinucleotide
ATP
Adenosine triphosphate
Cyt. c
Cytochrome c
Nar
Nitrate reductase (NarGHI, NapAB and NasA are also different nitrate reductases)
Nir
Nitrite reductase (NirS and NiK are different nitrite reductases)
Nor
Nitric oxide reductase
Nos
Nitrous oxide reductase References [CrossRef] 21. Pedersen, K. Microbial life in deep granitic rock. FEMS Microbiol. Rev. 1997, 20, 399–414. [CrossRef]
22. Devlin, J.F.; Eedy, R.; Butler, B.J. The effects of electron donor and granular iron on nitrate transformation
rates in sediments from a municipal water supply aquifer. J. Contam. Hydrol. 2000, 46, 81–97. [CrossRef] 2. Devlin, J.F.; Eedy, R.; Butler, B.J. The effects of electron donor and granular iron on nitrate transforma
rates in sediments from a municipal water supply aquifer. J. Contam. Hydrol. 2000, 46, 81–97. [CrossRe 23. Karanasios, K.A.; Vasiliadou, I.A.; Pavlou, S.; Vayenas, D. V Hydrogenotrophic denitrification of potable
water: A review. J. Hazard. Mater. 2010, 180, 20–37. [CrossRef] [PubMed] 24. Mateju, V.; Krejci, J.; Janoch, T. Biological water denitrification—A review. Enzym. Microb. Technol. 1992, 14,
170–183. [CrossRef] 25. Ergas, S.J.; Reuss, A.F. Hydrogenotrophic denitrification of drinking water using a hollow fibre membrane
bioreactor. J. Water Supply 2001, 50, 161–171. [CrossRef] 26. Liu, F.; Huang, G.; Fallowfield, H.; Guan, H.; Zhu, L.; Hu, H. Study on Heterotrophic-Autotrophic Denitrification
Permeable Reactive Barriers (HAD PRBs) for In Situ Groundwater Remediation; Springer Briefs in Water Science
and Technology; Springer: Berlin/Heidelberg, Germany, 2014; ISBN 978-3-642-38153-9. 7. Chang, C.C.; Tseng, S.K.; Huang, H.K. Hydrogenotrophic denitrification with immobilized Alcalige
eutrophus for drinking water treatment. Bioresour. Technol. 1999, 69, 53–58. [CrossRef] 28. Ghafari, S.; Hasan, M.; Aroua, M.K. Improvement of autohydrogenotrophic nitrite reduction rate through
optimization of pH and sodium bicarbonate dose in batch experiments. J. Biosci. Bioeng. 2009, 107, 275–280. [CrossRef] 29. Pelmont, J. Biodégradations et Métabolismes: Les Bactéries pour les Technologies de l’Environnement; EDP Sciences:
Les Ulis, France, 2005; ISBN 286883745X. 30. Chen, J.; Strous, M. Denitrification and aerobic respiration, hybrid electron transport chains and co-evolution. Biochim. Biophys. Acta-Bioenerg. 2013, 1827, 136–144. [CrossRef] 31. van Spanning, R.J.M.; Richardson, D.J. Introduction to the Biochemistry and Molecular Biology of
Denitrification. Biol. Nitrogen Cycle 2007, 3–20. [CrossRef] 32. Kuˇcera, I.; Kˇrivánková, L.; Dadák, V. The role of ubiquinone in linking nitrate reductase and cytochrome
o to the respiratory chain of Paracoccus denitrificans. Biochim. Biophys. Acta-Bioenerg. 1984, 765, 43–47. [CrossRef] 33. Richardson, D.J.; van Spanning, R.J.M. The Prokaryotic Nitrate Reductases. Biol. Nitrogen Cycle 2007, 21–35. [CrossRef] 4. Rinaldo, S.; Cutruzzolà, F. Nitrite Reductases in Denitrification. Biol. Nitrogen Cycle 2007, 37–55. [Cross 34. Rinaldo, S.; Cutruzzolà, F. Nitrite Reductases in Denitrification. Biol. Nitrogen Cycle 2007, 37–55. [CrossRef]
35. Suharti de Vries, S.; Pouvreau, L.A.M. References Environ. Prog. 1988, 7, 13–16. [CrossRef] 9. Denariaz, G.; Payne, W.J.; Gall, J.L.E. A Halophilic Denitrifier, Bacillus halodenitrificans sp. nov. Int. J. Syst. Bacteriol. 1989, 39, 145–151. [CrossRef] 10. Yarbrough, J.M.; Rake, J.B.; Eagon, R.G. Bacterial Inhibitory Effects of Nitrite: Inhibition of Active Transport,
But Not of Group Translocation, and of Intracellular Enzymes. Appl. Environ. Microbiol. 1980, 39, 831–834. 11. Cua, L.S.; Stein, L.Y. Effects of nitrite on ammonia-oxidizing activity and gene regulation in three
ammonia-oxidizing bacteria. FEMS Microbiol. Lett. 2011, 319, 169–175. [CrossRef] 12. Custer, M.C.; Hansen, J.N. Lactoferrin and Transferrin Fragments React with Nitrite to form an Inhibitor of
Bacillus cereus Spore Outgrowth. Appl. Environ. Microbiol. 1983, 45, 942–949. 13. Park, H.I.; Choi, Y.J.; Pak, D. Autohydrogenotrophic denitrifying microbial community in a glass beads
biofilm reactor. Biotechnol. Lett. 2005, 27, 949–953. [CrossRef] [PubMed] Int. J. Mol. Sci. 2019, 20, 5163 18 of 23 14. Bai, J.; Zhao, Q.; Wang, J.; Lu, Q.; Ye, X.; Gao, Z. Denitrification potential of marsh soils in two natural
saline-alkaline wetlands. Chin. Geogr. Sci. 2014, 24, 279–286. [CrossRef] 15. Simek, M.; Cooper, J.E. The influence of soil pH on denitrification: Progress towards the understanding of
this interaction over the last 50 years. Eur. J. Soil Sci. 2002, 345–354. [CrossRef] 16. Ruiz-Romero, E.; Alcántara-Hernández, R.; Cruz-Mondragon, C.; Marsch, R.; Luna-Guido, M.L.;
Dendooven, L. Denitrification in extreme alkaline saline soils of the former lake Texcoco. Plant Soil
2009, 319, 247–257. [CrossRef] 17. Sorokin, D.Y. Is there a limit for high-pH life? Int. J. Syst. Evol. Microbiol. 2005, 55, 1405–1406. [CrossRef] 18. Gales, G.; Libert, M.-F.; Sellier, R.; Cournac, L.; Chapon, V.; Heulin, T. Molecular hydrogen from water
radiolysis as an energy source for bacterial growth in a basin containing irradiating waste. FEMS Microbiol. Lett. 2004, 240, 155–162. [CrossRef] 19. Libert, M.; Bildstein, O.; Esnault, L.; Jullien, M.; Sellier, R. Molecular hydrogen: An abundant energy source
for bacterial activity in nuclear waste repositories. Phys. Chem. Earth 2011, 36, 1616–1623. [CrossRef] 20. Grebliunas, B.D.; Perry, W.L. Carbon limitation of sediment bacterial production and denitrification in high
nitrate low carbon systems. Environ. Earth Sci. 2016, 75, 662. [CrossRef] 21. Pedersen, K. Microbial life in deep granitic rock. FEMS Microbiol. Rev. 1997, 20, 399–414. [CrossRef]
22. Devlin, J.F.; Eedy, R.; Butler, B.J. The effects of electron donor and granular iron on nitrate transformation 1. Pedersen, K. Microbial life in deep granitic rock. FEMS Microbiol. Rev. 1997, 20, 399–414. References Nitric Oxide Reductase: Structural Variations and Catalytic Mechanism. Biol. Nitrogen Cycle 2007, 57–66. [CrossRef] 35. Suharti de Vries, S.; Pouvreau, L.A.M. Nitric Oxide Reductase: Structural Variations and Catalytic Mechanism. Biol. Nitrogen Cycle 2007, 57–66. [CrossRef] 36. Zumft, W.G.; Körner, H. Nitrous Oxide Reductases. Biol. Nitrogen Cycle 2007, 67–81. [CrossRef] 37. Crack, J.C.; Hutchings, M.I.; Thomson, A.J.; Le, N.E. Biochemical properties of Paracoccus denitrificans FnrP:
Reactions with molecular oxygen and nitric oxide. JBIC J. Biol. Inorg. Chem. 2016, 21, 71–82. [CrossRef]
[PubMed] 38. Rinaldo, S.; Arcovito, A.; Giardina, G.; Castiglione, N.; Brunori, M.; Cutruzzolà, F. New insights into the
activity of Pseudomonas aeruginosa cd 1 nitrite reductase. Biochem. Soc. Trans. 2008, 36, 1155–1159. [CrossRef] Int. J. Mol. Sci. 2019, 20, 5163 19 of 23 19 of 23 39. Giardina, G.; Rinaldo, S.; Johnson, K.A.; Di Matteo, A.; Brunori, M.; Cutruzzolà, F. NO sensing in Pseudomonas
aeruginosa: Structure of the Transcriptional Regulator DNR. J. Mol. Biol. 2008, 378, 1002–1015. [CrossRef] 40. Rinaldo, S.; Giardina, G.; Brunori, M.; Cutruzzolà, F. N-oxide sensing in Pseudomonas aeruginosa: Expression
and preliminary characterization of DNR, an FNR–CRP type transcriptional regulator. Biochem. Soc. Trans. 2005, 33, 184–186. [CrossRef] 41. Kuroki, M.; Igarashi, Y.; Ishii, M.; Arai, H. Fine-tuned regulation of the dissimilatory nitrite reductase gene
by oxygen and nitric oxide in Pseudomonas aeruginosa. Environ. Microbiol. Rep. 2014, 6, 792–801. [CrossRef] 41. Kuroki, M.; Igarashi, Y.; Ishii, M.; Arai, H. Fine-tuned regulation of the dissimilatory nitrite reductase gene
by oxygen and nitric oxide in Pseudomonas aeruginosa. Environ. Microbiol. Rep. 2014, 6, 792–801. [CrossRef]
42. Kornaros, M.; Zafiri, C.; Lyberatos, G. Kinetics of denitrification by Pseudomonas denitrificans under growth
conditions limited by carbon and/or nitrate or nitrite. Water Environ. Res. 1996, 68, 934–945. [CrossRef] 42. Kornaros, M.; Zafiri, C.; Lyberatos, G. Kinetics of denitrification by Pseudomonas denitrificans under growth
conditions limited by carbon and/or nitrate or nitrite. Water Environ. Res. 1996, 68, 934–945. [CrossRef] 43. Thomsen, J.K.; Geest, T.; Cox, R.P. Mass Spectrometric Studies of the Effect of pH on the Accumulation of
Intermediates in Denitrification by Paracoccus denitrificans. Appl. Environ. Microbiol. 1994, 536–541. 44. Kucera, I.; Dadak, V.; Matyasek, R. The influence of pH on the kinetics of dissimilatory nitrite reduction in
Paracoccus denitrificans. Biochim. Biophys. Acta 1986, 848, 1–7. [CrossRef] 45. Van Rijn, J.; Tal, Y.; Barak, Y. Influence of volatile fatty acids on nitrite accumulation by a Pseudomonas
stutzeri strain isolated from a denitrifying fluidized bed reactor. References Appl. Environ. Microbiol. 1996, 62, 2615–2620. [PubMed] 46. Li, G.; Vilcherrez, D.; Carvajal-arroyo, J.M.; Sierra-alvarez, R.; Field, J.A. Exogenous nitrate attenuates nitrite
toxicity to anaerobic ammonium oxidizing (anammox) bacteria. Chemosphere 2016, 144, 2360–2367. [CrossRef]
[PubMed] 47. Glass, C.C.; Silverstein, J. Denitrification Kinetics of High Nitrate Concentration Water: pH Effect on
Inhibition and Nitrite Accumulation. Water Res. 1998, 32, 831–839. [CrossRef] 48. Wilderer, P.A.; Jones, W.L.; Daub, U. Competition in denitrification systems affecting reduction rate and
accumulation of nitrite. Water Res. 1987, 21, 239–245. [CrossRef] 49. Liessens, J.; Vanbrabant, J.; De Vos, P.; Kersters, K.; Verstraete, W. Mixed culture hydrogenotrophic nitrate
reduction in drinking water. Microb. Ecol. 1992, 24, 271–290. [CrossRef] 50. Szekeres, S.; Kiss, I.; Kalman, M.; Soares, M.I.M. Microbial population in a hydrogen-dependent denitrification
reactor. Water Res. 2002, 36, 4088–4094. [CrossRef] 51. Turk, O.; Mavinic, D.S. Benefits of using selective inhibition to remove nitrogen from highly nitro
wastes. Environ. Technol. Lett. 1987, 8, 419–426. [CrossRef] 52. Bollag, J.-M.; Henninger, N.M. Effects of nitrite toxicity on soil bacteria aerobic and anaerobic conditions. Soil
Biol. Biochem. 1978, 10, 377–381. [CrossRef] 53. Watts, M.P.; Khijniak, T.V.; Boothman, C.; Lloyd, J.R. Treatment of alkaline Cr(VI)-contaminated leachate
with an alkaliphilic metal-reducing bacterium. Appl. Environ. Microbiol. 2015, 81, 5511–5518. [CrossRef] ,
;
j
,
;
,
;
y , J
(
)
with an alkaliphilic metal-reducing bacterium. Appl. Environ. Microbiol. 2015, 81, 5511–5518. [CrossRef]
54. Rizoulis, A.; Steele, H.M.; Morris, K.; Lloyd, J.R. The potential impact of anaerobic microbial metabolism
during the geological disposal of intermediate-level waste. Environ. Sci. 2012, 76, 3261–3270. [CrossRef] 54. Rizoulis, A.; Steele, H.M.; Morris, K.; Lloyd, J.R. The potential impact of anaerobic microbial metabolism
during the geological disposal of intermediate-level waste. Environ. Sci. 2012, 76, 3261–3270. [CrossRef] 55. Banihani, Q.; Sierra-Alvarez, R.; Field, J.A. Nitrate and nitrite inhibition of methanogenesis during
denitrification in granular biofilms and digested domestic sludges. Biodegradation 2009, 20, 801–812. [CrossRef] [PubMed] 56. Marais, J.P.; Therion, J.J.; Mackie, R.I. Effect of nitrate and its reduction products on the growth and activity
of the rumen microbial population. Br. J. Nutr. 1988, 59, 301–313. [CrossRef] [PubMed] 57. Hartop, K.R.; Sullivan, M.J.; Giannopoulos, G.; Gates, A.J.; Bond, P.L.; Yuan, Z.; Clarke, T.A.; Rowley, G.;
Richardson, D.J. The metabolic impact of extracellular nitrite on aerobic metabolism of Paracoccus denitrificans. Water Res. 2017, 113, 207–214. [CrossRef] [PubMed] 58. Baumann, B.; van der Meer, J.R.; Snozzi, M.; Zehnder, A.J. References Inhibition of denitrification activity but not of
mRNA induction in Paracoccus denitrificans by nitrite at a suboptimal pH. Antonie Van Leeuwenhoek 1997, 72,
183–189. [CrossRef] [PubMed] 59. Dhamole, P.B.; Nair, R.R.; Souza, S.F.D.; Lele, S.S. Denitrification of high strength nitrate waste. Bioresour. Technol. 2007, 98, 247–252. [CrossRef] 60. Blasco, R.; Martínez-Luque, M.; Madrid, M.P.; Castillo, F.; Moreno-Vivián, C. Rhodococcus sp. RB1 grows
in the presence of high nitrate and nitrite concentrations and assimilates nitrate in moderately saline
environments. Arch. Microbiol. 2001, 175, 435–440. [CrossRef] 61. Mariángel, L.; Aspé, E.; Martí, M.C.; Roeckel, M. The effect of sodium chloride on the denitrification of saline
fishery wastewaters. Environ. Technol. 2008, 29, 871–879. [CrossRef] Int. J. Mol. Sci. 2019, 20, 5163 20 of 23 20 of 23 62. Dinçer, A.R.; Kargi, F. Salt Inhibition of Nitrification and Denitrification in Saline Wastewater. Environ. Technol. 1999, 20, 1147–1153. [CrossRef] 63. Glass, C.; Silverstein, J. Denitrification of high-nitrate, high-salinity wastewater. Water Res. 1999, 33, 223–229. [CrossRef] 64. Miao, Y.; Liao, R.; Zhang, X.X.; Liu, B.; Li, Y.; Wu, B.; Li, A. Metagenomic insights into salinity effect on
diversity and abundance of denitrifying bacteria and genes in an expanded granular sludge bed reactor
treating high-nitrate wastewater. Chem. Eng. J. 2015, 277, 116–123. [CrossRef] 65. Liao, R.; Shen, K.; Li, A.-M.; Shi, P.; Li, Y.; Shi, Q.; Wang, Z. High-nitrate wastewater treatment in an expanded
granular sludge bed reactor and microbial diversity using 454 pyrosequencing analysis. Bioresour. Technol. 2013, 134, 190–197. [CrossRef] [PubMed] 66. Dhamole, P.B.; Nair, R.R.; Lele, S.S. Denitrification of Highly Alkaline Nitrate Waste Using Adapted Sludge. Appl. Biochem. Biotechnol. 2008, 151, 433–440. [CrossRef] [PubMed] 67. Heimann, A.; Jakobsen, R.; Blodau, C. Energetic Constraints on H2-Dependent Terminal Electron Accepting
Processes in Anoxic Environments: A Review of Observations and Model Approaches. Environ. Sci. Technol. 2010, 44, 24–33. [CrossRef] [PubMed] 68. Schwartz, E.; Fritsch, J.; Friedrich, B. H2-Metabolizing Prokaryotes. In The Prokaryotes; Springer:
Berlin/Heidelberg, Germany, 2013; pp. 119–199. 69. Burgdorf, T.; Lenz, O.; Buhrke, T.; van der Linden, E.; Jones, A.K.; Albracht, S.P.J.; Friedrich, B. [NiFe]-hydrogenases of Ralstonia eutropha H16: Modular enzymes for oxygen-tolerant biological hydrogen
oxidation. J. Mol. Microbiol. Biotechnol. 2005, 10, 181–196. [CrossRef] 70. Winkler, M.; Esselborn, J.; Happe, T. Molecular basis of [FeFe]-hydrogenase function: An insight into the
complex interplay between protein and catalytic cofactor. Biochim. Biophys. Acta-Bioenerg. 2013, 1827,
974–985. [CrossRef] 71. Horch, M.;
Lauterbach, L.;
Lenz, O.;
Hildebrandt, P.;
Zebger, I. References The iron-hydrogenase of Thermotoga maritima utilizes ferredoxin and NADH
synergistically: A new perspective on anaerobic hydrogen production J Bacteriol 2009 191 4451–4457 89. Schut, G.J.; Adams, M.W.W. The iron-hydrogenase of Thermotoga maritima utilizes ferredoxin and NADH
synergistically: A new perspective on anaerobic hydrogen production. J. Bacteriol. 2009, 191, 4451–4457. [CrossRef] [PubMed] 90. Ballor, N.R.; Paulsen, I.; Leadbetter, J.R. Genomic Analysis Reveals Multiple [FeFe] Hydrogenases and
Hydrogen Sensors Encoded by Treponemes from the H2-Rich Termite Gut. Microb. Ecol. 2012, 63, 282–294. [CrossRef] 91. Ash, P.A.; Liu, J.; Coutard, N.; Heidary, N.; Horch, M.; Gudim, I.; Simler, T.; Zebger, I.; Lenz, O.; Vincent, K.A. Electrochemical and Infrared Spectroscopic Studies Provide Insight into Reactions of the NiFe Regulatory
Hydrogenase from Ralstonia eutropha with O2 and CO. J. Phys. Chem. B 2015, 119, 13807–13815. [CrossRef] Electrochemical and Infrared Spectroscopic Studies Provide Insight into Reactions of the NiFe Regulatory
Hydrogenase from Ralstonia eutropha with O2 and CO. J. Phys. Chem. B 2015, 119, 13807–13815. [CrossRef]
92. Burgdorf, T.; De Lacey, A.L.; Friedrich, B. Functional analysis by site-directed mutagenesis of the
NAD(+)-reducing hydrogenase from Ralstonia eutropha. J. Bacteriol. 2002, 184, 6280–6288. [CrossRef] 92. Burgdorf, T.; De Lacey, A.L.; Friedrich, B. Functional analysis by site-directed mutagenesis of the
NAD(+)-reducing hydrogenase from Ralstonia eutropha. J. Bacteriol. 2002, 184, 6280–6288. [CrossRef] 93. Nesbit, A.D.; Fleischhacker, A.S.; Teter, S.J.; Kiley, P.J. ArcA and AppY antagonize IscR repression of
hydrogenase-1 expression under anaerobic conditions, revealing a novel mode of O2 regulation of gene
expression in Escherichia coli. J. Bacteriol. 2012, 194, 6892–6899. [CrossRef] 94. Dijkhuizen, L.; Harder, W. Current views on the regulation of autotrophic carbon dioxide fixation via the
Calvin cycle in bacteria. J. Microbiol. 1984, 50, 473–487. [CrossRef] 95. Fuchs, G. Alternative Pathways of Carbon Dioxide Fixation: Insights into the Early Evolution of Life? Annu. Rev. Microbiol. 2011, 65, 631–658. [CrossRef] 96. Blombach, B.; Takors, R. CO2—intrinsic product, essential substrate, and regulatory trigger of microbial and
mammalian production processes. Front. Bioeng. Biotechnol. 2015, 3, 108. [CrossRef] 97. Tong, L. Structure and function of biotin-dependent carboxylases. Cell. Mol. Life Sci. 2013, 70, 863–891. [CrossRef] [PubMed] 98. Chollet, R.; Vidal, J.; O’Leary, M.H. PhosphoEnolPyruvate Carboxylase: A Ubiquitous, Highly Regulated
Enzyme in Plants. Annu. Rev. Plant Physiol. Plant Mol. Biol. 1996, 47, 273–298. [CrossRef] [PubMed] 99. Vasiliadou, I.A.; Siozios, S.; Papadas, I.T.; Bourtzis, K.; Pavlou, S.; Vayenas, D.V. References Comparison of the membrane-bound
and detergent-solubilised hydrogenase from paracoccus denitrificans isolation of the hydrogenase. Biochim. Biophys. Acta-Enzymol. 1979, 570, 43–55. 82. Knuttel, K.; Schneider, K.; Schlegel, H.G.; Muller, A. The membrane-bound hydrogenase from Par
denitrificans. Purification and molecular characterization. Eur. J. Biochem. 1989, 179, 101–108. [Cros 83. Mao, Y.; Xia, Y.; Wang, Z.; Zhang, T. Reconstructing a Thauera genome from a hydrogenotrophic-denitrifying
consortium using metagenomic sequence data. Appl. Microbiol. Biotechnol. 2014, 98, 6885–6895. [CrossRef] g
g
g
g
y
g
p
y
g
consortium using metagenomic sequence data. Appl. Microbiol. Biotechnol. 2014, 98, 6885–6895. [CrossRef]
84. Zhang, Y.; Zhong, F.; Xia, S.; Wang, X.; Li, J. Autohydrogenotrophic denitrification of drinking water using a
polyvinyl chloride hollow fiber membrane biofilm reactor. J. Hazard. Mater. 2009, 170, 203–209. [CrossRef]
85. Yoon, J.-H.; Kang, S.-J.; Ryu, S.H.; Jeon, C.O.; Oh, T.-K. Hydrogenophaga bisanensis sp. nov., isolated from 84. Zhang, Y.; Zhong, F.; Xia, S.; Wang, X.; Li, J. Autohydrogenotrophic denitrification of drinking water using a
polyvinyl chloride hollow fiber membrane biofilm reactor. J. Hazard. Mater. 2009, 170, 203–209. [CrossRef] g,
;
g,
;
,
;
g,
;
, J
y
g
p
g
g
polyvinyl chloride hollow fiber membrane biofilm reactor. J. Hazard. Mater. 2009, 170, 203–209. [CrossRef]
85. Yoon, J.-H.; Kang, S.-J.; Ryu, S.H.; Jeon, C.O.; Oh, T.-K. Hydrogenophaga bisanensis sp. nov., isolated from
wastewater of a textile dye works. Int. J. Syst. Evol. Microbiol. 2008, 58, 393–397. [CrossRef] 85. Yoon, J.-H.; Kang, S.-J.; Ryu, S.H.; Jeon, C.O.; Oh, T.-K. Hydrogenophaga bisanensis sp. nov., isolated from
wastewater of a textile dye works. Int. J. Syst. Evol. Microbiol. 2008, 58, 393–397. [CrossRef] 86. Sargent, F. The Model [NiFe]-Hydrogenases of Escherichia coli. In Advances in Microbial Physiology; Academic
Press: London, UK, 2016; Volume 68, pp. 433–507. 87. Schäfer, C.; Friedrich, B.; Lenz, O. Novel, oxygen-insensitive group 5 [NiFe]-hydrogenase in Ralstonia
eutropha. Appl. Environ. Microbiol. 2013, 79, 5137–5145. [CrossRef] [PubMed] 88. Rey, F.E.; Oda, Y.; Harwood, C.S. Regulation of uptake hydrogenase and effects of hydrogen utilization on
gene expression in Rhodopseudomonas palustris. J. Bacteriol. 2006, 188, 6143–6152. [CrossRef] [PubMed] 88. Rey, F.E.; Oda, Y.; Harwood, C.S. Regulation of uptake hydrogenase and effects of hydrogen utilization on
gene expression in Rhodopseudomonas palustris. J. Bacteriol. 2006, 188, 6143–6152. [CrossRef] [PubMed]
89. Schut, G.J.; Adams, M.W.W. References NAD(H)-coupled hydrogen
cycling–structure–function relationships of bidirectional [NiFe] hydrogenases. FEBS Lett. 2012, 586,
545–556. [CrossRef] 72. Seigo, S.; Oliver, P.; Sonja, V.; Michael, S.; Stagni, M.S. The Crystal Structure of [Fe]-Hydrogenase Reveals the
Geometry of the Active Site. Science 2008, 321, 572–576. 73. Laska, S.; Kletzin, A. Improved purification of the membrane-bound hydrogenase–sulfur-reductase complex
from thermophilic archaea using ϵ-aminocaproic acid-containing chromatography buffers. J. Chromatogr. B
Biomed. Sci. Appl. 2000, 737, 151–160. [CrossRef] 74. Korbas, M.; Vogt, S.; Meyer-Klaucke, W.; Bill, E.; Lyon, E.J.; Thauer, R.K.; Shima, S. The iron-sulfur cluster-free
hydrogenase (Hmd) is a metalloenzyme with a novel iron binding motif. J. Biol. Chem. 2006, 281, 30804–30813. [CrossRef] 75. Lim, J.K.; Kang, S.G.; Lebedinsky, A.V.; Lee, J.-H.; Lee, H.S. Identification of a Novel Class of Membrane-Bound
[NiFe]-Hydrogenases in Thermococcus onnurineus NA1 by In Silico Analysis. Appl. Environ. Microbiol. 2010,
76, 6286–6289. [CrossRef] 76. Liot, Q.; Constant, P. Breathing air to save energy—New insights into the ecophysiological role of high-affinity
[NiFe]-hydrogenase in Streptomyces avermitilis. Microbiologyopen 2016, 5, 47–59. [CrossRef] [PubMed] 77. Infossi, P.; Lojou, E.; Chauvin, J.-P.; Herbette, G.; Brugna, M.; Giudici-Orticoni, M.-T. Aquifex aeolicus
membrane hydrogenase for hydrogen biooxidation: Role of lipids and physiological partners in enzyme
stability and activity. Int. J. Hydrog. Energy 2010, 35, 10778–10789. [CrossRef] 78. Islam, Z.F.; Cordero, P.R.F.; Feng, J.; Chen, Y.-J.; Bay, S.K.; Jirapanjawat, T.; Gleadow, R.M.; Carere, C.R.;
Stott, M.B.; Chiri, E.; et al. Two Chloroflexi classes independently evolved the ability to persist on atmospheric
hydrogen and carbon monoxide. ISME J. 2019, 13, 1801–1813. [CrossRef] [PubMed] 79. Cassier-Chauvat, C.; Veaudor, T.; Chauvat, F. Advances in the function and regulation of hydrogenase in the
cyanobacterium Synechocystis PCC6803. Int. J. Mol. Sci. 2014, 15, 19938–19951. [CrossRef] 80. Mei, N.; Postec, A.; Monnin, C.; Pelletier, B.; Payri, C.E.; Ménez, B.; Frouin, E.; Ollivier, B.; Erauso, G.;
Quéméneur, M. Metagenomic and PCR-Based Diversity Surveys of [FeFe]-Hydrogenases Combined with
Isolation of Alkaliphilic Hydrogen-Producing Bacteria from the Serpentinite-Hosted Prony Hydrothermal
Field, New Caledonia. Front. Microbiol. 2016, 7, 1301. [CrossRef] Int. J. Mol. Sci. 2019, 20, 5163 21 of 23 21 of 23 81. Acta, B.; Bba, P.; Fondamentale, R.; Associd, L.; No, C.; Nucleaires, E. Comparison of the membrane-bound
and detergent-solubilised hydrogenase from paracoccus denitrificans isolation of the hydrogenase. Biochim. Biophys. Acta-Enzymol. 1979, 570, 43–55. 81. Acta, B.; Bba, P.; Fondamentale, R.; Associd, L.; No, C.; Nucleaires, E. References Kinetics of pure cultures of
hydrogen-oxidizing denitrifying bacteria and modeling of the interactions among them in mixed cultures. Biotechnol. Bioeng. 2006, 95, 513–525. [CrossRef] [PubMed] 100. Ghafari, S.; Hasan, M.; Aroua, M.K. Effect of carbon dioxide and bicarbonate as inorganic carbon sources on
growth and adaptation of autohydrogenotrophic denitrifying bacteria. J. Hazard. Mater. 2009, 162, 1507–1513. [CrossRef] 101. Rezania, B.; Cicek, N.; Oleszkiewicz, J.A. Kinetics of Hydrogen-Dependent Denitrification Under Varying
pH and Temperature Conditions. Biotechnol. Bioeng. 2005, 92, 900–906. [CrossRef] 102. Epsztein, R.; Beliavski, M.; Tarre, S.; Green, M. High-rate hydrogenotrophic denitrification in a pressurized
reactor. Chem. Eng. J. 2016, 286, 578–584. [CrossRef] 22 of 23 Int. J. Mol. Sci. 2019, 20, 5163 103. Lee, J.W.; Lee, K.H.; Park, K.Y.; Maeng, S.K. Bioresource Technology Hydrogenotrophic denitrification in a
packed bed reactor: Effects of hydrogen-to-water flow rate ratio. Bioresour. Technol. 2010, 101, 3940–3946. [CrossRef] 104. Vasiliadou, I.A.; Pavlou, S.; Vayenas, D.V. A kinetic study of hydrogenotrophic denitrification. Biochem. 2006, 41, 1401–1408. [CrossRef] 105. Tang, Y.; Zhou, C.; Ziv-El, M.; Rittmann, B.E. A pH-control model for heterotrophic and hydrogen-based
autotrophic denitrification. Water Res. 2011, 45, 232–240. [CrossRef] 106. Chih-Cheng, C.; Szu-Kung, T. The optimum condition for autotrophic denitrification by Paracoccus
denitrificans. J. Chin. Inst. Environ. Eng. 1998, 8, 233–238. 107. Lee, K.-C.; Rittmann, B.E. Effects of pH and precipitation on autohydrogenotrophic denitrification using the
hollow-fiber membrane-biofilm reactor. Water Res. 2003, 37, 1551–1556. [CrossRef] 108. Timmermans, P.; Van Haute, A. Denitrification with methanol Fundamental study of the growth and
denitrification capacity of Hyphomicrobium sp. Water Res. 1983, 17, 1249–1255. [CrossRef] 109. Durban, N.; Rafrafi, Y.; Rizoulis, A.; Albrecht, A.; Robinet, J.-C.; Lloyd, J.R.; Bertron, A.; Erable, B. Nitrate
and nitrite reduction at high pH in a cementitious environment by a microbial microcosm. Int. Biodeterior. Biodegrad. 2018, 134, 93–102. [CrossRef] 10. Blaszczyk, M. Effect of Medium Composition on the Denitrification of Nitrate by Paracoccus denitrific
Appl. Environ. Microbiol. 1993, 59, 3951–3953. [PubMed] 111. Horikoshi, K. Alkaliphiles: Some Applications of Their Products for Biotechnology. Microbiol. Mol. Biol. Rev. 1999, 63, 735–750. 112. Janto, B.; Ahmed, A.; Ito, M.; Liu, J.; Hicks, D.B.; Pagni, S.; Fackelmayer, O.J.; Smith, T.; Earl, J.; Elbourne, L.D.H.;
et al. The genome of alkaliphilic Bacillus pseudofirmus OF4 reveals adaptations that support the ability to
grow in an external pH range from 7.5 to 11.4. Environ. Microbiol. 2012, 13, 3289–3309. [CrossRef] 113. References Thorpe, C.L.; Law, G.T.W.; Boothman, C.; Lloyd, J.R.; Burke, I.T.; Morris, K. The Synergistic Effects of High
Nitrate Concentrations on Sediment Bioreduction. Geomicrobiol. J. 2012, 29, 484–493. [CrossRef] 114. Li, W.; Li, C.; Lin, X.; Liu, Y.; Abbas, G.; Zheng, P. Effects of operation mode on self-alkalization of high-load
denitrifying reactor. Bioresour. Technol. 2015, 187, 282–287. [CrossRef] 115. Pedersen, K.; Nilsson, E.; Arlinger, J.; Hallbeck, L.; O’Neill, A. Distribution, diversity and activity of
microorganisms in the hyper-alkaline spring waters of Maqarin in Jordan. Extremophiles 2004, 8, 151–164. [CrossRef] 116. Roadcap, G.S.; Sanford, R.A.; Jin, Q.; Pardinas, R.; Bethke, C.M. Extremely Alkaline (pH > 12) Ground Water
Hosts Diverse Microbial Community. Ground Water 2006, 44, 511–517. [CrossRef] 117. Preiss, L.; Hicks, D.B.; Suzuki, S.; Meier, T.; Krulwich, T.A. Alkaliphilic bacteria with impact on industrial
applications, concepts of early life forms, and bioenergetics of ATP synthesis. Front. Bioeng. Biotechnol. 2015,
3, 75. [CrossRef] [PubMed] 118. Sturr, M.G.; Guffanti, A.A.; Krulwich, T.A. Growth and Bioenergetics of Alkaliphilic Bacillus finmus OF4 in
Continuous Culture at High pH. J. Bacteriol. Microbiol. 1994, 176, 3111–3116. [CrossRef] [PubMed] 119. Ling, H.L.; Rahmat, Z.; Bakar, F.D.A.; Murad, A.M.A.; Illias, R.M. Secretome analysis of alkaliphilic bacterium
Bacillus lehensis G1 in response to pH changes. Microbiol. Res. 2018, 215, 46–54. [CrossRef] [PubMed] 120. Shirai, T.; Suzuki, A.; Yamane, T.; Ashida, T.; Kobayashi, T.; Hitomi, J.; Ito, S. High-resolution crystal structure
of M-protease: Phylogeny aided analysis of the high-alkaline adaptation mechanism. Protein Eng. 1997, 10,
627–634. [CrossRef] [PubMed] 121. Shirai, T.; Igarashi, K.; Ozawa, T.; Hagihara, H.; Kobayashi, T.; Ozaki, K.; Ito, S. Ancestral Sequence
Evolutionary Trace and Crystal Structure Analyses of Alkaline α-Amylase from Bacillus sp. KSM-1378 to
Clarify the Alkaline Adaptation Process of Proteins. Proteins Struct. Funct. Bioinform. 2007, 66, 600–610. [CrossRef] 122. Dubnovitsky, A.P.; Kapetaniou, E.G.; Papageorgiou, A.C. Enzyme adaptation to alkaline pH: Atomic
resolution (1.08 Å) structure of phosphoserine aminotransferase from Bacillus alcalophilus. Protein Sci. 2005,
14, 97–110. [CrossRef] 123. Shapovalova, A.A.; Khijniak, T.V.; Tourova, T.P.; Muyzer, G.; Sorokin, D.Y. Heterotrophic denitrification
at extremely high salt and pH by haloalkaliphilic Gammaproteobacteria from hypersaline soda lakes. Extremophiles 2008, 12, 619–625. [CrossRef] Int. J. Mol. Sci. 2019, 20, 5163 23 of 23 124. Rafrafi, Y.; Bertron, A.; Albrecht, A.; Erable, B. Surface and bacterial reduction of nitrate at alkaline pH:
Conditions comparable to a nuclear waste repository. Int. Biodeterior. Biodegrad. 2015, 101, 12–22. [CrossRef] 125. © 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/). References Alquier, M.; Kassim, C.; Bertron, A.; Sablayrolles, C.; Rafrafi, Y.; Albrecht, A.; Erable, B. Halomonas desiderata
as a bacterial model to predict the possible biological nitrate reduction in concrete cells of nuclear waste
disposals. J. Environ. Manage. 2014, 132, 32–41. [CrossRef] 126. Rafrafi, Y.; Durban, N.; Bertron, A.; Albrecht, A.; Robinet, J.; Erable, B. Use of a continuous-flow bioreactor to
evaluate nitrate reduction rate of Halomonas desiderata in cementitious environment relevant to nuclear
waste deep repository. Biochem. Eng. J. 2017, 125, 161–170. [CrossRef] 127. Yoshida, T. Acetate biodegradation by anaerobic microorganisms at high pH and high calcium concentration. J. Environ. Radioact. 2011, 102, 170–177. [CrossRef] [PubMed] 128. Bertron, A.; Ranaivomanana, H.; Jacquemet, N.; Erable, B.; Sablayrolles, C.; Escadeillas, G.; Albrecht, A. Physico-chemical interactions at the concrete-bitumen interface of nuclear waste repositories. EPJ Web Conf. 2013, 56, 01002. [CrossRef] 129. Bertron, A. Understanding interactions between cementitious materials and microorganisms: a key to
sustainable and safe concrete structures in various contexts. Mater. Struct. 2014, 47, 1787–1806. [CrossRef] © 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
|
https://openalex.org/W3159125945
|
https://www.frontiersin.org/articles/10.3389/fpsyg.2021.633100/pdf
|
English
| null |
Movement Matters! Understanding the Developmental Trajectory of Embodied Planning
|
Frontiers in psychology
| 2,021
|
cc-by
| 6,578
|
Movement Matters! Understanding
the Developmental Trajectory of
Embodied Planning Lisa Musculus 1*, Azzurra Ruggeri 2,3 and Markus Raab 1,4 1 Department of Performance Psychology, Institute of Psychology, German Sport University Cologne, Cologne, Germany,
2 iSearch, Max Planck Research Group, Max Planck Institute for Human Development, Berlin, Germany, 3 TUM School of
Education, Technical University Munich, Munich, Germany, 4 School of Applied Sciences, London South Bank University,
London, United Kingdom Human motor skills are exceptional compared to other species, no less than their
cognitive skills. In this perspective paper, we suggest that “movement matters!,” implying
that motor development is a crucial driving force of cognitive development, much more
impactful than previously acknowledged. Thus, we argue that to fully understand and
explain developmental changes, it is necessary to consider the interaction of motor and
cognitive skills. We exemplify this argument by introducing the concept of “embodied
planning,” which takes an embodied cognition perspective on planning development
throughout childhood. From this integrated, comprehensive framework, we present a
novel climbing paradigm as the ideal testbed to explore the development of embodied
planning in childhood and across the lifespan. Finally, we outline future research directions
and discuss practical applications of the work on developmental embodied planning for
robotics, sports, and education. Human motor skills are exceptional compared to other species, no less than their
cognitive skills. In this perspective paper, we suggest that “movement matters!,” implying
that motor development is a crucial driving force of cognitive development, much more
impactful than previously acknowledged. Thus, we argue that to fully understand and
explain developmental changes, it is necessary to consider the interaction of motor and
cognitive skills. We exemplify this argument by introducing the concept of “embodied
planning,” which takes an embodied cognition perspective on planning development
throughout childhood. From this integrated, comprehensive framework, we present a
novel climbing paradigm as the ideal testbed to explore the development of embodied
planning in childhood and across the lifespan. Finally, we outline future research directions
and discuss practical applications of the work on developmental embodied planning for
robotics, sports, and education. Edited by:
Melanie Krüger,
Leibniz University of Hannover,
Germany Reviewed by:
Bruno Lara,
Universidad Autónoma del Estado de
Morelos, Mexico
Sarah Berger,
College of Staten Island, United States PERSPECTIVE
published: 28 April 2021
doi: 10.3389/fpsyg.2021.633100 PERSPECTIVE Keywords: embodied cognition, planning, lifespan, development, children 1. INTRODUCTION *Correspondence:
Lisa Musculus
l.musculus@dshs-koeln.de Humans start moving already in the womb, when they are just a few weeks old (Rahilly and
Gardner, 1975), and develop the most sophisticated motor skills throughout the first years of life. Indeed, very young children are already able to thread a needle, build complex LEGO spaceships,
and eat with chopsticks. Eventually, some humans reach a motor mastery that enables them to
perform complicated heart surgeries or execute a triple twisting-double in gymnastics (the Biles
II). Over the first years of childhood, humans’ cognitive skills reach similar levels of extreme
sophistication. Children can memorize entire poems, learn complex game rules, and manage
to perform several tasks at the same time—eating, playing with a doll, binge-watching TV, and
following a conversation simultaneously. Most adults can stay focused on the street and ignore
irrelevant information while driving, and some are eventually able to control air traffic, play
chess, and solve a Rubik’s cube blindfolded. While newborns are far away from mastering any
of these sophisticated motor or cognitive tasks, they will eventually acquire these or comparably
complex skills throughout development. How do motor and cognitive development interact and
impact each other? In this perspective paper, we argue that “movement matters!,” implying that
motor development is a crucial driving force of cognitive development, much more impactful
than previously acknowledged. In this regard, we argue that to fully understand and explain
developmental changes, it is necessary to consider the interaction of motor and cognitive skills
from a developmental embodied cognition perspective. Specialty section:
This article was submitted to
Movement Science and Sport
Psychology,
a section of the journal
Frontiers in Psychology
Received: 24 November 2021
Accepted: 04 March 2021
Published: 28 April 2021
Citation:
Musculus L, Ruggeri A and Raab M
(2021) Movement Matters! Understanding the Developmental
Trajectory of Embodied Planning. Front. Psychol. 12:633100. doi: 10.3389/fpsyg.2021.633100 Specialty section:
This article was submitted to
Movement Science and Sport
Psychology,
a section of the journal
Frontiers in Psychology Received: 24 November 2021
Accepted: 04 March 2021
Published: 28 April 2021 3.1. Motor Planning Motor planning is defined as the ability to organize motor
behavior to accomplish an anticipated goal-directed action. By
definition motor planning processes depend on goal proximity:
To adjust motor behavior to an imminent goal is referred to
as first-order motor planning, whereas adjusting to subsequent
goals is referred to as second-order motor planning (Rosenbaum
et al., 2012; Domellöf et al., 2020). In tasks assessing motor
planning, participants are required to first plan and then execute
a motor sequence, during which the motor system needs to
be controlled and can be adjusted. Classic motor planning
tasks, used with children as well as with adults, are the bar-
transport task (Knudsen et al., 2012), the overturned-glass task
(Adalbjornsson et al., 2008; Knudsen et al., 2012), and the handle
rotation task (Craje et al., 2010). In the bar-transportation task,
for example, children are asked to insert a bar into a small
opening of a box. In the trials requiring two-steps planning,
children need to grasp the bar with a (rather uncomfortable)
thumb-down grip, then rotate the bar by 180 and conclude the
insertion in the much more comfortable thumb-up position. Second-order motor planning is somewhat limited until the age
of 6 years (Benson et al., 2018), although improvements between
the age of 3–6 years have been reported (Knudsen et al., 2012). At the age of 10, children usually reach adult-like motor planning
skills (Benson et al., 2018). Most sophisticated motor and cognitive skills are learned
throughout development. Previous work already proposed that
motor skills are the foundation of cognitive development (Ridler
et al., 2006; Koziol et al., 2012; Gottwald et al., 2016) and provide
the basis for learning (Adolph and Hoch, 2019). Different lines of
research support this claim by showing that cognitive changes are
associated with bodily changes (Hommel and Kibele, 2016), and
that cognitive performance benefits from instructions activating
bodily experience through body analogies (Pouw et al., 2016) or
from acting (Lozada and Carro, 2016). Gottwald et al. (2016)
recently demonstrated an association between motor control and
executive functions in infants, finding that prospective motor
control during reaching (i.e., peak velocity of the first movement)
was correlated to inhibition and working memory. The potential
magnitude of the impact of early motor skills on cognition is
further demonstrated by a study from Ridler et al. (2006) showing
that infants’ gross motor skills predicted executive functions in
adulthood. Citation: Musculus L, Ruggeri A and Raab M
(2021) Movement Matters! Understanding the Developmental
Trajectory of Embodied Planning. Front. Psychol. 12:633100. doi: 10.3389/fpsyg.2021.633100 Musculus L, Ruggeri A and Raab M
(2021) Movement Matters! Understanding the Developmental
Trajectory of Embodied Planning. Front. Psychol. 12:633100. doi: 10.3389/fpsyg.2021.633100 April 2021 | Volume 12 | Article 633100 1 Frontiers in Psychology | www.frontiersin.org Musculus et al. Embodied Planning interactions. Together, bodily growth and the acquisition of new
motor skills enable and support children’s learning, acting as a
driving force of cognitive development (Adolph and Hoch, 2019). Across the lifespan, human experience consists of an alternation
of phases characterized by rapid change and phases of greater
stability. In phases of change, embodiment effects can be captured
particularly well: When our bodies change more dramatically
and motor skills improve notably, as during infancy, childhood,
and adolescence (Portella et al., 2017; Adolph and Hoch, 2019),
or in older age (Cole et al., 2019), the impact of these changes
on cognitive processes can be more easily scrutinized, and a
time-ordered, causal direction can be tested. In what follows, we first introduce developmental embodied
cognition. Second, we exemplify our argument by introducing
the concept of “embodied planning” integrating the motor and
cognitive perspectives on planning and derive developmental
predictions. Third, we present a novel climbing paradigm as
the ideal testbed to capture and explore the development of
embodied planning during childhood and across the lifespan. Finally, we outline future research directions and discuss
practical applications of the work on developmental embodied
cognition, and in particular of embodied planning, for robotics,
sports, and education. In
this
perspective
paper,
we
support
this
claim
by
focusing on the development of planning throughout childhood. Developmental research on motor and cognitive planning exists
unnoticed from each other. However, we argue that both motor
and cognitive components need to be considered jointly to
understand the developmental trajectory of planning and its
relevance for actions in the real world, beyond controlled
lab environments. 2. A DEVELOPMENTAL EMBODIED
COGNITION PERSPECTIVE: WHY
MOVEMENT MATTERS! Hundreds
of
studies
have
documented
the
influence
of
sensorimotor manipulations on cognition, such as abstract
spatial and temporal presentation (Loeffler et al., 2016), memory
retrieval (Dijkstra et al., 2007), number processing (Fischer et al.,
2004), or decision making (Lepora and Pezzulo, 2015). A central
tenet of embodied cognition is that cognitive skills are “deeply
routed” (Wilson, 2002) in the body, sensorimotor experiences,
and the environment (Fischer and Coello, 2016). In this regard,
it is already clear how crucial it is to consider the body as
well as sensorimotor experiences and motor skills when trying
to understand cognitive skills (Glenberg et al., 2013). From an
embodied point of view, the interaction between sensorimotor
and cognitive skills is theoretically predicted and has empirically
been shown to be bidirectional and dynamic, although only
a few studies have addressed the influence of cognition on
sensorimotor processes (Engel et al., 2013). 3.1. Motor Planning In particular, those infants who managed to stand
and walk earlier in their life had superior cognitive skills in their
thirties and showed higher gray-matter density in motor areas
(Ridler et al., 2006). Frontiers in Psychology | www.frontiersin.org 3.5. Methodological and Technological
Advances g
g
The developmental trajectories of motor and cognitive planning
have been studied separately. However, the interaction of
motor and cognitive planning in general, and in particular
during development, is to date not well understood. Specifically,
cognitive planning has largely been investigated with tasks
entailing no (or to a very low degree) motor planning or ignoring
the motor component altogether. In this paper, we introduce the
concept of “embodied planning,” which integrates perspectives
and methods from cognitive and movement sciences. The
integrative
theoretical
approach
and
developmental
predictions
we
propose
have
important
methodological
consequences. To be able to empirically capture and study the
developmental trajectory of embodied planning, new designs,
tasks, and measures have to be developed and implemented. First, experimental designs should allow monitoring intra-
individual changes and inter-individual differences throughout
development. Intra-individual
changes
can
be
tested
in
longitudinal designs (Musculus et al., 2019), as well as in
intervention and training studies (Harbourne and Berger,
2019). Inter-individual differences can be analyzed with cross-
sectional comparisons of different age groups (Berger et al.,
2015; Benson et al., 2018). Ideally, longitudinal, intervention,
or training designs should be combined with cross-sectional
age-group comparisons to best disentangle the developmental
dynamics from individual differences and control for potentially
confounding variables. Embodied planning involves cognitive planning, which takes
place before starting the execution of a motor-cognitive task,
but assumes that one’s bodily state, physical constraints, and
(previous) motor experience provide cues for the planning
process (cf. similar models in choice: embodied choices; Cisek
and Pastor-Bernier, 2014; Wyer, 2016; Raab, 2017). Therefore,
cognitive planning is guided by the awareness of how exactly
a step can be executed through coordination of the motor
systems (Raab et al., 2005), and by the feedback from the motor
implementation at any previous step. Accordingly, embodied
planning can be conceptualized as a dynamic, continuous
feedback-loop between motor and cognitive planning in a goal-
directed planning task, as illustrated in Figure 1. Second, the planning tasks should exert similar demands
on both the motor and the cognitive systems, that is, both
motor and cognitive planning skills should be required to
solve the task, and to a similar extent. Additionally, the
movements executed for and/or during the task need to be task
relevant (Wilson and Golonka, 2013), not simply constituting
a random motor response (pressing a button) that could be
potentially interchanged with any other simple motor reaction
(pulling a lever). 3.2. Cognitive Planning Cognitive planning is defined as the ability to think about
action sequences in advance, thus approaching a task in an
organized, strategic, and efficient manner (Anderson, 2002; Best
et al., 2009), and is considered an essential requirement of There are several reasons why we argue that an embodied
cognition perspective is extremely fruitful, if not necessary, to
understand the developmental trajectory of motor–cognitive Frontiers in Psychology | www.frontiersin.org April 2021 | Volume 12 | Article 633100 2 Musculus et al. Embodied Planning goal-directed behavior. In tasks assessing cognitive planning,
participants are required to plan ahead, evaluate, implement, and
then potentially modify a sequence of actions (Best et al., 2009). Classic cognitive planning tasks used across the lifespan are the
Tower of London (Bull et al., 2004) or maze navigation tasks
(Völter and Call, 2014), where children are asked to move a
reward through multiple levels of a maze. For planning which
route to take, children have to consider whether the passages on
the next levels are open or closed. Being a higher-order cognitive
function that relies on working memory and inhibition (Best and
Miller, 2010; McCormack and Atance, 2011), cognitive planning
skills emerge rather late. For instance, 4-year-olds can plan only
one step ahead, that is, considering only the configuration of
passages onto the immediate next level of the maze, whereas
5-year-olds can plan two steps ahead (Völter and Call, 2014). Planning complex action sequences develops in late childhood or
adolescence (Best et al., 2009), and only by the age of 15 children
reach adult-like cognitive planning skills (Huizinga et al., 2006). Besides, even adults do not always plan as efficiently as possible
(Meder et al., 2019). chronology, showing that although the motor planning skills
reach maturity already around 10 years of age, cognitive planning
develops way beyond age 10, reaching adult-like sophistication
only in late adolescence. This developmental chronology might
suggest that, indeed, cognitive planning skills are preceded by,
fostered by, and build on improved motor planning skills. Zooming in on this proposed developmental trajectory of
embodied planning right on the onset of bodily change, we
would predict that bodily changes first entail learning new
motor skills and adapting already acquired ones, which in turn
would trigger changes in motor planning. 3.2. Cognitive Planning Changes in motor
planning might then impact cognitive planning performance
negatively, taking away additional resources required to fulfill
the new motor planning demands (cf., embodied-cognitive-
load hypothesis Warburton et al., 2013; for a summary of
developmental work, see Berger, 2010; Berger et al., 2018). However, once the new motor skills are mastered and the
corresponding improvements in motor planning are assimilated,
cognitive planning might also improve, benefiting from motor
planning efficiency. 3.5. Methodological and Technological
Advances Third, the measures implemented should be
able to capture motor and cognitive interactions in embodied
planning, ideally online. This is why we propose to combine
movement analysis with reaction times. In developmental
research, movement analysis has been proven an objective, fine-
grained method to assess motor development (van Schaik and
Dominici, 2020). In particular, marker-based motion tracking
systems can provide accurate measures of motor processes 3.4. Developmental Predictions Based on the theoretical notion of embodied planning and the
existing developmental evidence reviewed above, we can derive
predictions at different levels of specificity. In general, we expect
that the development of embodied planning across childhood will
follow a nonlinear trajectory (Best et al., 2009), depicting stronger
changes during infancy, early childhood, and adolescence—
phases of more pronounced bodily change. More specifically,
we predict that bodily changes will affect the motor aspects of
planning first, the improvement of which will promote cognitive
planning. Previous developmental findings support this claimed April 2021 | Volume 12 | Article 633100 Frontiers in Psychology | www.frontiersin.org 3 Musculus et al. Embodied Planning FIGURE 1 | Embodied planning in a climbing paradigm. The figure depicts four steps of embodied planning during a goal-directed climbing task. At the bottom, the
embodied-planning concept is modeled as a dynamic, continuous feedback-loop between motor and cognitive planning. The two upper panels show an interactive
climbing wall (2.40–3.60 m) with touch-sensitive climbing holds, which can light up in different colors and capture reaction times (i.e., ClimbLing system). The climbing
system is synchronized to a movement-analysis system (Vicon; 10 infrared cameras at 119.88 Hz, VICONTM, Oxford, UK), which captures full-body movement
kinematics as indicated by the stick figure of the body. FIGURE 1 | Embodied planning in a climbing paradigm. The figure depicts four steps of embodied planning during a goal-directed climbing task. At the bottom, the
embodied-planning concept is modeled as a dynamic, continuous feedback-loop between motor and cognitive planning. The two upper panels show an interactive
climbing wall (2.40–3.60 m) with touch-sensitive climbing holds, which can light up in different colors and capture reaction times (i.e., ClimbLing system). The climbing
system is synchronized to a movement-analysis system (Vicon; 10 infrared cameras at 119.88 Hz, VICONTM, Oxford, UK), which captures full-body movement
kinematics as indicated by the stick figure of the body. (van Schaik and Dominici, 2020). With marker-based systems,
the position of children’s joints can be tracked with specific
camera systems while they move. During task execution,
movement trajectories in 3D space can be captured (i.e.,
kinematics, see Figure 1). Although developmental studies
exist that analyzed children’s kinematics and response times
(Domellöf et al., 2020), only a few combined the measures
to explore the interaction between motor and cognitive skills
(for an exception, see Gottwald et al., 2016). Domellöf et al. 3.4. Developmental Predictions (2020) analyzed age-related differences in the spatiotemporal
segmentation of the movement path for the wrist, index
finger, and object during a peg fitting task. Their kinematic
analyses provided a more detailed picture of the time course
of motor planning and revealed developmental differences:
While adults rotated the peg during transport, 6–10 year-
old children most often did so only after reaching the
goal. Integrating kinematics to the previously used cognitive
measures allowed to capture that children did not engage in planning ahead as much as adults did, thus demonstrating
less efficient motor planning. Along the same lines, the
work of Gottwald et al. (2016) revealed that the peak
velocity of infants’ first movement in a prospective planning
task captured the extent of their motor planning, which
was related to their higher-order cognitive control. These
studies highlight how the combined analysis of motor and
cognitive processes is necessary to capture embodied-planning
development in childhood. To exemplify the design, task, and measurement requirements
presented, we introduce a novel climbing paradigm to capture the
developmental dynamics of embodied planning accordingly. Frontiers in Psychology | www.frontiersin.org 5. FUTURE RESEARCH DIRECTIONS AND
POTENTIAL APPLICATIONS OF
EMBODIED PLANNING g
y
(
)
Methodologically speaking, goal-directed climbing comprises
motor and cognitive planning before the task and during
execution. In experimental settings, climbing tasks can be easily
adjusted and modified to manipulate cognitive and motor
demands, such that motor planning but only little cognitive
planning is required, or the other way around. In particular,
cognitive planning could be minimized by guiding children
through all steps (i.e., hold) along a predefined route. In
particular, by using an interactive climbing wall (e.g., ClimbLing),
one could indicate the next hold that children should use by
lighting it up. To reduce cognitive planning to a minimum, the
next hold would light up only after the previous hold has been
touched (please refer to Figure 1). At the same time, motor
planning could be reduced to a minimum by asking children to
plan a route without executing it. In particular, children could
be asked to plan a climbing route by just indicating to the
experimenter which holds they would use using a laser pointer
or on an app that displays the climbing wall. Thus, by carefully
designing novel climbing tasks, motor and cognitive planning
processes could be disentangled experimentally. Improvements in embodied planning across the lifespan can be
seen as a goal on its own, or as a means to an end. On the one
hand, research on embodied planning can support coaches and
teachers in developing interventions that target and boost motor
planning skills during the school-age years (Croft et al., 2018),
e.g., by introducing climbing exercises as an integral part of PE
curricula. On the other hand, embodied planning could also serve
as a means to improve sports and academic performance. Recent
results indicate that executive-function training through sports in
school has positive effects with near transfer (Vazou et al., 2016). Embodied-planning training might be especially beneficial for
students with lower academic skills (Pouw et al., 2016) or children
with developmental delay (Harbourne and Berger, 2019). Indeed,
children with a lower level of general mathematical abilities
performed better in a physical problem-solving task when the
instructions provided references to their bodies, for example
when children had to mimic a lever with their arms (Pouw
et al., 2016). Also children with developmental delays profited
from a motor-based problem-solving intervention in terms of
motor and cognitive gains (Harbourne and Berger, 2019). 4. CLIMBING AS A TESTBED FOR
EMBODIED PLANNING Further, experimental climbing tasks can be used to explore
body and action boundaries (van Knobelsdorffet al., 2020; Seifert
et al., 2021), also in children (Croft et al., 2018): A recent study
showed that 6- to 11-year-old children who were more accurate in
judging their reaching capability (i.e., whether they were able to
reach and grasp holds that are near or far away) completed more
climbing routes successfully and did so faster (Croft et al., 2018). 4. CLIMBING AS A TESTBED FOR
EMBODIED PLANNING Climbing to a predefined goal naturally involves embodied
planning, requiring both complex cognitive (Cascone et al., 2013) April 2021 | Volume 12 | Article 633100 Frontiers in Psychology | www.frontiersin.org 4 Musculus et al. Embodied Planning and motor planning (Testa et al., 2003) skills. To successfully
climb, one needs to plan which route to climb—which holds to
use, and in what order—as well as how to execute the route
(Raab, 2017). In particular, climbers need to consider their body
constraints and the motor skills required to execute every single
move. Then, during climbing, continuous sensorimotor (e.g., of
muscles, hands, feet) and cognitive (e.g., which hold should I
use next?) feedback fuels back, dynamically, into the ongoing
planning process. such as the number of holds to indicate planning steps (Huizinga
et al., 2006), the time used to complete the route, and the initial
planning time used before starting task execution (Huizinga
et al., 2006). Complementing these “classical” cognitive planning
variables by capturing gaze patterns during initial route
preparation (Seifert et al., 2017; van Knobelsdorffet al., 2020) and
the time course of movement variability during route execution
can provide a better picture of the planning strategies. Together, due to the close connection of motor and cognitive
planning during goal-directed climbing, the ongoing embodied-
planning dynamics can be captured and the performance in
previous planning steps can be related to the next and so forth. Climbing as a task is useful because completing a route is only
possible by a sequence of embodied-planning steps. Therefore,
the unfolding of motor and cognitive processes from initially
planning a route through route execution can shed light on the
interaction—embodied planning. Crucially, climbing tasks are perfectly suitable to be used with
a very wide age range, as they can be performed (and with
great fun) by young children and adults (Croft et al., 2018). Indeed, children have a natural tendency to climb all sorts of
things, from home furniture to playground constructions, to
trees. Frontiers in Psychology | www.frontiersin.org REFERENCES Cascone, C., Nicotra, R., Mangano, T., Massimino, S., Maugeri, A., Petralia, M. C.,
et al. (2013). Executive functions and sport climbing in adolescence. Acta Med. Mediterr. 29, 91–94. Available online at: https://www.actamedicamediterranea. com/index.php/archive/2013/medica-1/executive-functions-and-sport-
climbing-in-adolescence/document Cascone, C., Nicotra, R., Mangano, T., Massimino, S., Maugeri, A., Petralia, M. C.,
et al. (2013). Executive functions and sport climbing in adolescence. Acta Med. Mediterr. 29, 91–94. Available online at: https://www.actamedicamediterranea. com/index php/archive/2013/medica 1/executive functions and sport Adalbjornsson, C. F., Fischman, M. G., and Rudisill, M. E. (2008). The end-
state comfort effect in young children. Res. Q. Exerc. Sport 79, 36–41. doi: 10.1080/02701367.2008.10599458 climbing-in-adolescence/document Adolph, K. E., and Hoch, J. E. (2019). Motor development: embodied,
embedded, enculturated, and enabling. Annu. Rev. Psychol. 176, 139–148. doi: 10.1016/j.physbeh.2017.03.040 Cisek, P., and Pastor-Bernier, A. (2014). On the challenges and mechanisms
of
embodied
decisions. Philos. Trans. R. Soc. B
Biol. Sci. 369. doi: 10.1098/rstb.2013.0479 Cole, J. H., Marioni, R. E., Harris, S. E., and Deary, I. J. (2019). Brain age and other
bodily “ages”: implications for neuropsychiatry. Mol. Psychiatry 24, 266–281. doi: 10.1038/s41380-018-0098-1 Anderson, P. (2002). Assessment and development of executive function (EF)
during childhood. Child Neuropsychol. 8, 71–82. doi: 10.1076/chin.8.2.71.8724 Benson, S. M. S., Roy, E. A., and Bryden, P. J. (2018). End-state comfort in two
object manipulation tasks: investigating how the movement context influences
planning in children, young adults, and older adults. Dev. Psychobiol. 60,
317–323. doi: 10.1002/dev.21611 Craje, C., Aarts, P., Nijhuis-van der Sanden, M., and Steenbergen, B. (2010). Action
planning in typically and atypically developing children (unilateral cerebral
palsy). Res. Dev. Disabil. 31, 1039–1046. doi: 10.1016/j.ridd.2010.04.007 Berger, S. E. (2010). Locomotor expertise predicts infants’ perseverative errors. Dev. Psychol. 46, 326–336. doi: 10.1037/a0018285 Croft, J. L., Pepping, G. J., Button, C., and Chow, J. Y. (2018). Children’s perception
of action boundaries and how it affects their climbing behavior. J. Exp. Child
Psychol. 166, 134–146. doi: 10.1016/j.jecp.2017.07.012 Berger, S. E., Chin, B., Basra, S., and Kim, H. (2015). Step by step: a microgenetic
study of the development of strategy choice in infancy. Br. J. Dev. Psychol. 33,
106–122. doi: 10.1111/bjdp.12076 Dijkstra, K., Kaschak, M. P., and Zwaan, R. A. (2007). Body posture
facilitates retrieval of autobiographical memories. Cognition 102, 139–149. doi: 10.1016/j.cognition.2005.12.009 Berger, S. E., Harbourne, R. T., and Horger, M. N. (2018). “Cognition-action
trade-offs reflect organization of attention in infancy,” in Advances in Child
Development and Behavior, ed J. B. Benson, Vol. 5. FUTURE RESEARCH DIRECTIONS AND
POTENTIAL APPLICATIONS OF
EMBODIED PLANNING Thus,
making use of the body, activating bodily representation, and
providing (active) sensorimotor experience during embodied-
planning exercises might constitute a promising intervention in
sports and education. Given in regular climbing motor and cognitive planning
constantly interact, the joint consideration of motor and
cognitive measures in climbing experiments is warranted. From the motor side, anthropometric measures and movement
analyses associated with climbing performance should be
captured, such as weight (Mermier et al., 2000; Watts et al.,
2003), height (Watts et al., 2003; Laffaye et al., 2016), body mass
index (Laffaye et al., 2016), grip strength (Mermier et al., 2000),
finger-tip strength (van Knobelsdorffet al., 2020), and Ape-
index (Mitchell et al., 2011). For movement kinematics, spatial
and temporal movement dimensions should be considered (Orth
et al., 2016, 2017). In particular, the immobility–mobility ratio
(IMR) and the geometric index of entropy (GIE) represent
temporal-spatial indices capturing motor planning in climbing
(Orth et al., 2017). Importantly, the movement data should be
time-matched and related to cognitive measures during the task, Broadening the scope, we believe that experimental research
on embodied planning could inform the development of
more accurate and sophisticated models of human movement
to be implemented in developmental robotics. First, fueling
children’s kinematics into a robotic system would support the
development of robots able to move and plan adaptively. Second,
developmental, cognitive, and movement scientists can profit
from the robotic implementation of embodied-planning research
to better understand developmental trajectories and individual
differences in motor and cognitive development, and their Frontiers in Psychology | www.frontiersin.org April 2021 | Volume 12 | Article 633100 5 Musculus et al. Embodied Planning interaction. Researchers could use simulations to test whether
the way a person planned and executed their movements was
functional or not. Along these lines, Ossmy et al. (2018) trained
soccer-playing robots with kinematic walking data generated
by infants during free play. The robots trained with a high
variance of kinematic patterns won the simulated season of
“RoboCup” (Ossmy et al., 2018) against robots trained with a
low variance of kinematics. Similarly, aspects of motor planning
in climbing such as the IMR or GIE could be evaluated. In detail, the kinematics of children climbing and of adults
climbing can be fed into a robotics simulation. In the next step,
the respective efficiency can be modeled, and, based on this,
climbing training could be designed aiming at specific, efficient
movement patterns. 5. FUTURE RESEARCH DIRECTIONS AND
POTENTIAL APPLICATIONS OF
EMBODIED PLANNING of embodied-planning research: Playful embodied-planning
interventions could promote children’s learning in the school
setting and beyond. In the long run, embodied-planning research
could contribute to the development of a new generation of
adaptive robots. ACKNOWLEDGMENTS We thank the members of the Department of Performance
Psychology for their valuable feedback on the manuscript. We thank the members of the Department of Performance
Psychology for their valuable feedback on the manuscript. FUNDING This work was funded by the German Research Foundation,
within the SPP The Active Self (SPP 2134 RA 940/21-1
RU 2272/1-1). AUTHOR CONTRIBUTIONS LM drafted the article, which was edited by and discussed with
AR and MR. All authors contributed to the development of
this perspective and agree to be accountable for the content of
the work. DATA AVAILABILITY STATEMENT The original contributions presented in the study are included
in the article/supplementary material, further inquiries can be
directed to the corresponding author/s. 6. CONCLUSION In this perspective paper, we adopted a developmental embodied
cognition perspective to argue that “movement matters!” for
understanding the emergence and developmental trajectory
of motor and cognitive skills, as cognitive development is
fundamentally driven and constrained by motor development. We
supported
this
claim
by
reviewing
recent
literature
on motor and cognitive planning, so far researched in
isolation. We then introduced the integrative theoretical
concept
of
“embodied
planning,”
together
with
a
novel
climbing paradigm and related measures allowing to test it. Thereby, we intend to bridge the gap between the motor and
cognitive disciplines. Overall, we highlighted the added value REFERENCES Embodied cognition in practice:
exploring effects of a motor-based problem-solving intervention. Phys. Ther. 99, 786–796. doi: 10.1093/ptj/pzz031 Ridler, K., Veijola, J. M., Tanskanen, P. I., Miettunen, J., Chitnis, X., Suckling, J.,
et al. (2006). Fronto-cerebellar systems are associated with infant motor and
adult executive functions in healthy adults but not in schizophrenia. Proc. Natl. Acad. Sci. U.S.A. 103, 15651–15656. doi: 10.1073/pnas.0602639103 Hommel, B., and Kibele, A. (2016). Down with retirement: implications
of
embodied
cognition
for
healthy
aging. Front. Psychol. 7:1184. doi: 10.3389/fpsyg.2016.01184 Rosenbaum, D. A., Chapman, K. M., Weigelt, M., Weiss, D. J., and van der Wel, R. (2012). Cognition, action and objcet mnipulation. Psychol. Bull. 138, 924–946. doi: 10.1037/a0027839 Huizinga, M., Dolan, C. V., and van der Molen, M. W. (2006). Age-related change
in executive function: developmental trends and a latent variable analysis. Neuropsychologia 44, 2017–2036. doi: 10.1016/j.neuropsychologia.2006.01.010 Seifert, L., Cordier, R., Orth, D., Courtine, Y., and Croft, J. L. (2017). Role of route
previewing strategies on climbing fluency and exploratory movements. PLoS
ONE 12:e0176306. doi: 10.1371/journal.pone.0176306 Knudsen, B., Henning, A., Wunsch, K., Weigelt, M., and Aschersleben, G. (2012). The end-state comfort effect in 3-to 8-year-old children in two object
manipulation tasks. Front. Psychol. 3:445. doi: 10.3389/fpsyg.2012.00445 Seifert, L., Dicks, M., Wittmann, F., and Wolf, P. (2021). The perception of nested
affordances: an examination of expert climbers. Psychol. Sport Exerc. 52:101843. doi: 10.1016/j.psychsport.2020.101843 Koziol, L. F., Budding, D. E., and Chidekel, D. (2012). From movement to thought:
executive function, embodied cognition, and the cerebellum. Cerebellum 11,
505–525. doi: 10.1007/s12311-011-0321-y Testa, M., Martin, L., and Debû, B. (2003). 3D analysis of posturo-kinetic
coordination associated with a climbing task in children and teenagers. Neurosci. Lett. 336, 45–49. doi: 10.1016/S0304-3940(02)01245-4 Laffaye, G., Levernier, G., and Collin, J.-M. (2016). Determinant factors in climbing
ability: influence of strength, anthropometry, and neuromuscular fatigue. Scand. J. Med. Sci. Sports 26, 1151–1159. doi: 10.1111/sms.12558 van Knobelsdorff, M. H., van Bergen, N. G., van der Kamp, J., Seifert, L., and
Orth, D. (2020). Action capability constrains visuo-motor complexity during
planning and performance in on-sight climbing. Scand. J. Med. Sci. Sports 30,
2485–2497. doi: 10.1111/sms.13789 Lepora,
N. F.,
and
Pezzulo,
G. (2015). Embodied
choice:
how
action
influences perceptual decision making. PLoS Comput. Biol. 11:e1004110. doi: 10.1371/journal.pcbi.1004110 j
p
Loeffler, J., Raab, M., and Cañal-Bruland, R. (2016). A lifespan perspective on
embodied cognition. Front. Psychol. 7:845. doi: 10.3389/fpsyg.2016.00845 van Schaik, J. E., and Dominici, N. (2020). REFERENCES 54, 1st Edn (Cambridge:
Elsevier Inc.), 45–86. Domellöf, E., Bäckström, A., Johansson, A.-M., Rönnqvist, L., von Hofsten, C., and
Rosander, K. (2020). Kinematic characteristics of second-order motor planning
and performance in 6-and 10-year-old children and adults: effects of age and
task constraints. Dev. Psychobiol. 62, 250–265. doi: 10.1002/dev.21911 Best, J. R., and Miller, P. H. (2010). A developmental perspective on executive
function. Child Dev. 81, 1641–1660. doi: 10.1111/j.1467-8624.2010.01499.x constraints. Dev. Psychobiol. 62, 250–265. doi: 10.1002/dev.21911 Engel, A. K., Maye, A., Kurthen, M., and König, P. (2013). Where’s the action? the pragmatic turn in cognitive science. Trends Cogn. Sci. 17, 202–209. doi: 10.1016/j.tics.2013.03.006 Best, J. R., Miller, P. H., and Jones, L. L. (2009). Executive functions after age 5:
changes and correlates. Dev. Rev. 29, 180–200. doi: 10.1016/j.dr.2009.05.002 Fischer, M. H., and Coello, Y. E. (2016). Foundations of Embodied Cognition:
Conceptual and Interactive Embodiment. New York, NY: Routledge; Taylor &
Francis Group. Bull, R., Espy, K. A., and Senn, T. E. (2004). A comparison of performance on the
towers of london and hanoi in young children. J. Child Psychol. Psychiatry 45,
743–754. doi: 10.1111/j.1469-7610.2004.00268.x April 2021 | Volume 12 | Article 633100 Frontiers in Psychology | www.frontiersin.org 6 Musculus et al. Embodied Planning Fischer, M. H., Warlop, N., Hill, R. L., and Fias, W. (2004). Oculomotor
bias
induced
by
number
perception. Exp. Psychol. 51,
91–97. doi: 10.1027/1618-3169.51.2.91 Pouw, W. T., van Gog, T., Zwaan, R. A., and Paas, F. (2016). Augmenting
instructional animations with a body analogy to help children learn about
physical systems. Front. Psychol. 7:860. doi: 10.3389/fpsyg.2016.00860 Glenberg, A. M., Witt, J. K., and Metcalfe, J. (2013). From the revolution to
embodiment: 25 years of cognitive psychology. Perspect. Psychol. Sci. 8, 573–
585. doi: 10.1177/1745691613498098 Raab, M. (2017). Motor heuristics and embodied choices: How to choose and act. Curr. Opin. Psychol. 16, 34–37. doi: 10.1016/j.copsyc.2017.02.029 Raab, M., Masters, R. S., and Maxwell, J. P. (2005). Improving the “how” and
“what” decisions of elite table tennis players. Hum. Mov. Sci. 24, 326–344. doi: 10.1016/j.humov.2005.06.004 Gottwald, J. M., Achermann, S., Marciszko, C., Lindskog, M., and Gredebäck,
G. (2016). An embodied account of early executive-function development. Psychol. Sci. 27, 1600–1610. doi: 10.1177/0956797616667447 Rahilly, R. O., and Gardner, E. (1975). The timing and sequence of events in the
development of the limbs in the human embryo. Anat. Embryol. 23, 1–23. Harbourne, R. T., and Berger, S. E. (2019). REFERENCES Motion Tracking in Developmental
Research: Methods, Considerations, and Applications, 1st Edn. Progress in Brain
Research, 254, 89–111. Lozada, M., and Carro, N. (2016). Embodied action improves cognition in
children: evidence from a study based on piagetian conservation tasks. Front. Psychol. 7:393. doi: 10.3389/fpsyg.2016.00393 Vazou, S., Pesce, C., Lakes, K., and Smiley-Oyen, A. (2016). More than one
road leads to rome: a narrative review and meta-analysis of physical activity
intervention effects on cognition in youth. Int. J. Sport Exerc. Psychol. 1–26. doi: 10.1080/1612197X.2016.1223423 McCormack, T., and Atance, C. M. (2011). Planning in young children : a review
and synthesis. Dev. Rev. 31, 1–31. doi: 10.1016/j.dr.2011.02.002 Völter, C. J., and Call, J. (2014). Younger apes and human children plan their
moves in a maze task. Cognition 130, 186–203. doi: 10.1016/j.cognition.2013. 10.007 Meder, B., Nelson, J. D., Jones, M., and Ruggeri, A. (2019). Stepwise versus
globally optimal search in children and adults. Cognition 191:103965. doi: 10.1016/j.cognition.2019.05.002 Warburton, E. C., Wilson, M., Lynch, M., and Cuykendall, S. (2013). The cognitive
benefits of movement reduction: evidence from dance marking. Psychol. Sci. 24,
1732–1739. doi: 10.1177/0956797613478824 Mermier, C. M., Janot, J. M., Parker, D. L., and Swan, J. G. (2000). Physiological
and anthropometric determinants of sport climbing performance. Br. J. Sports
Med. 34, 359–365. doi: 10.1136/bjsm.34.5.359 Watts, P., Joubert, L., Lish, A., Mast, J., and Wilkins, B. (2003). Anthropometry
of young competitive sport rock climbers. Br. J. Sports Med. 37, 420–424. doi: 10.1136/bjsm.37.5.420 Mitchell, A. C., Bowhay, A., and Pitts, J. (2011). Relationship between
anthropometric
characteristics
of
indoor
rock
climbers
and
top
roped
climbing
performance. J. Strength
Condition. Res. 25,
94–95. doi: 10.1097/01.JSC.0000395728.22365.7d j
Wilson, A. D., and Golonka, S. (2013). Embodied cognition is not what you think
it is. Front. Psychol. 4:58. doi: 10.3389/fpsyg.2013.00058 Musculus, L., Ruggeri, A., Raab, M., and Lobinger, B. H. (2019). A developmental
perspective on option generation and selection. Dev. Psychol. 55, 745–753. doi: 10.1037/dev0000665 Wilson, M. (2002). Six views of embodied cognition. Psychol. Bull. 9, 625–636. doi: 10.3758/bf03196322 Wyer, R. S. (2016). Priming decisions and motor behavior. Curr. Opin. Psychol. 12,
76–79. doi: 10.1016/j.copsyc.2016.06.002 Orth, D., Davids, K., and Seifert, L. (2016). Coordination in climbing: effect
of skill, practice and constraints manipulation. Sports Med. 46, 255–268. doi: 10.1007/s40279-015-0417-5 Wyer, R. S. (2016). Priming decisions and motor behavior. Curr. Opin. Psychol. 12,
76–79. doi: 10.1016/j.copsyc.2016.06.002 76–79. REFERENCES doi: 10.1016/j.copsyc.2016.06.002 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. Orth, D., Kerr, G., Davids, K., and Seifert, L. (2017). Analysis of relations
between spatiotemporal movement regulation and performance of discrete
actions reveals functionality in skilled climbing. Front. Psychol. 8:1744. doi: 10.3389/fpsyg.2017.01744 Ossmy, O., Hoch, J. E., MacAlpine, P., Hasan, S., Stone, P., and Adolph,
K. E. (2018). Variety wins: soccer-playing robots and infant walking. Front. Neurorobot. 12:19. doi: 10.3389/fnbot.2018.00019 Copyright © 2021 Musculus, Ruggeri and Raab. This is an open-access article
distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the
original author(s) and the copyright owner(s) are credited and that the original
publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these
terms. Copyright © 2021 Musculus, Ruggeri and Raab. This is an open-access article
distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the
original author(s) and the copyright owner(s) are credited and that the original
publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these
terms. Copyright © 2021 Musculus, Ruggeri and Raab. 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. Portella, D. L., Arruda, M., Gómez-Campos, R., Portella, G. C., Andruske, C. L.,
and Cossio-Bolanos, M. A. (2017). Physical growth and biological maturation
of children and adolescents: proposed reference curves. Ann. Nutr. Metab. 70,
329–337. doi: 10.1159/000475998 April 2021 | Volume 12 | Article 633100 Frontiers in Psychology | www.frontiersin.org
|
https://openalex.org/W2949206574
|
https://www.nature.com/articles/s41598-017-18133-z.pdf
|
English
| null |
Isolation and Characterization of Key Genes that Promote Flavonoid Accumulation in Purple-leaf Tea (Camellia sinensis L.)
|
Scientific reports
| 2,018
|
cc-by
| 8,551
|
Isolation and Characterization of
Key Genes that Promote Flavonoid
Accumulation in Purple-leaf Tea
(Camellia sinensis L.) Received: 21 June 2017
Accepted: 6 December 2017
Published: xx xx xxxx Received: 21 June 2017
Accepted: 6 December 2017
Published: xx xx xxxx Xiujuan He1,2, Xuecheng Zhao1, Liping Gao1, Xingxing Shi1, Xinlong Dai 2, Yajun Liu1,
T
Xi 2 &Y
h
W
1 2 Xiujuan He1,2, Xuecheng Zhao1, Liping Gao1, Xingxing Shi1, Xinlong Dai 2, Yajun Liu1,
Tao Xia2 & Yunsheng Wang 1,2 There were several high concentrations of flavonoid components in tea leaves that present health
benefits. A novel purple-leaf tea variety, ‘Mooma1’, was obtained from the natural hybrid population
of Longjing 43 variety. The buds and young leaves of ‘Mooma1’ were displayed in bright red. HPLC
and LC-MS analysis showed that anthocyanins and O-Glycosylated flavonols were remarkably
accumulated in the leaves of ‘Mooma1’, while the total amount of catechins in purple-leaf leaves was
slightly decreased compared with the control. A R2R3-MYB transcription factor (CsMYB6A) and a novel
UGT gene (CsUGT72AM1), that were highly expressed in purple leaf were isolated and identified by
transcriptome sequencing. The over-expression of transgenic tobacco confirmed that CsMYB6A can
activate the expression of flavonoid-related structural genes, especially CHS and 3GT, controlling the
accumulation of anthocyanins in the leaf of transgenic tobacco. Enzymatic assays in vitro confirmed
that CsUGT72AM1 has catalytic activity as a flavonol 3-O-glucosyltransferase, and displayed broad
substrate specificity. The results were useful for further elucidating the molecular mechanisms of the
flavonoid metabolic fluxes in the tea plant. Flavonoids are produced from the phenylpropanoid and malony-CoA pathway, are a large group of plant second-
ary compounds, which fulfill important functions such as defending pathogen infection1, avoiding the damage
from UV irradiation2, and interaction with the plant with temperature and other environments3. There are mainly
six groups of flavonoids in plant tissues, including flavan-3-ols (catechins and proanthocyanidins), anthocyanins,
flavanonols, flavonols, flavones and phenolic acid4. The key components of flavonoids are responsible for the
attractive colors seen in various plant organs (such as leaf, flower, and fruit), avoiding excess light damage, and
aiding pollination and seed dispersal5. In recent years, the health benefit of anthocyanins got more significant
attention. Scientists have systematically investigated and confirmed that anthocyanins could reduce the risk of
lifestyle-related diseases, such as hypertension6, liver disorder7, cerebral disorder8, dysentery and diarrhea9, and
urinary problems10. y p
Tea (Camellia sinensis) is the most widely consumed non-alcoholic beverage. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 21 June 2017
Accepted: 6 December 2017
Published: xx xx xxxx ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z www.nature.com/scientificreports/ genes involved in these flavonoid pathways are evident through model species. In this pathway, the functional
enzymes have been classified into two groups, early-biosynthetic enzymes are required for the synthesis of fla-
vonoids, and late-biosynthetic enzymes are used for the synthesis of anthocyanins, catechins, and flavonols18–20. UDP-glycosyltransferase (UGT) is the last enzyme produced during the anthocyanin and flavonol biosynthesis. It
helps to catalyze the transfer of glucosyl moiety from UDP-glucose to produce the first stable pigment21. However,
because of the competition in the biosynthetic pathways for substrate and multiplex branches, the relationship
among plant flavonoids still remain unclear. g pl
Several studies have reported the polymorphic characteristics of some key genes, which in turn determined
the fluxion of flavonoid pathway22. Numerous studies have suggested that the fluxion of this pathway is tightly
regulated by the transcription factor complex MYB-bHLH-WD40(MBW). MBW complexes are also known
to control various aspects of epidermal cell patterning, such as the development of trichomes and root hairs23. Specific combinations of R2R3-MYB transcription factor with bHLH and WD40 regulate specific pathways of
anthocyanin or PA biosynthesis4,24. The accumulation of anthocyanins requires the activity of MBW complex
consisting of MYB (including PAP1, PAP2, MYB113, MYB114), TT8, and TTG1 in Arabidopsis25. Some studies
have indicated that R2R3-MYB transcription factors played a central role in distinguishing the target gene in
these pathways. Zhao et al. had predicted that R2R3-MYB genes were involved in the flavonoid biosynthesis of
C. sinensis26. However, C.sinensis lacked Sg6 CsMYB genes, which might be due to low anthocyanin content in
the tea plants. p
According to the report from a latest study by Sun et al., isolation of transcription factor R2R3-MYB antho-
cyanin 1 (CsAN1) from purple-leaf tea variety ‘Zijuan’ conferred ectopic accumulation of anthocyanins in
purple-leaf tea27. In this study, a purple-leaf tea variety ‘Mooma 1’ was obtained from the natural hybrid popula-
tion of Longjing 43 variety in Shitai, Anhui, China (latitude 30.15N, longitude 117.50 E). Buds, young leaves and
stems of ‘Mooma 1’ appear red in the spring. A R2R3-MYB factor (CsMYB6A, accession number: KX853535),
and a novel UGT gene (CsUGT72AM1, accession number: KY399734), were isolated and identified by transcrip-
tome sequencing. The component analysis, quantitative reverse transcriptase PCR (qRT-PCR) analysis, and the
over-expression of transgenic tobacco confirmed that CsMYB6A can activate the expression of flavonoid-related
structural genes controlling the accumulation of anthocyanins and flavonols in the leaves. Results
C
i Comparison of leaf color and flavonoid concentrations of different tea varieties. As shown in
Fig. 1a, anthocyanins were notably accumulated in ‘Mooma 1’ leaves. The color of young leaves and stems of
‘Mooma 1’ was bright red, whereas the color of wild-type was yellowish green (Fig. 1c). The sections of tea leaves
were sliced via free-hand sectioning to avoid the loss of anthocyanins. As shown in Fig. 1e and g, anthocyanins in
the purple-leaf tea variety were mainly accumulated and abundant in the palisade mesophyll (Pa) and xylem (Xy)
cells, which were devoid of upper epidermal cells. Comparison of flavonoid compositions of different tea varieties. To investigate whether the flavo-
noid biosynthesis pathway of purple-leaf tea variety was different from the wild type, the flavonoid components
of the fresh leaves were extracted and quantified. Catechins are the main compounds of flavonoids in the tea
leaves, which approximately accounts for 13% of the dry weight. In summer, the amount of catechins in ‘Mooma
1’ leaves was significantly lower than the wild type (P < 0.05), whereas the amount showed no significant in spring
(P = 0.08).hlh The O-Glycosylated flavonol biosynthesis was strengthened in the purple-leaf tea variety. The total amounts
of flavonols in ‘Mooma 1’ leaves (11.26 ± 0.99 ng g−1 DW in spring and 17.52 ± 1.06 ng g−1 DW in summer)
were notably higher than in ‘Longjing 43’ leaves (9.91 ± 0.38 ng g−1 DW in spring and 12.87 ± 2.01 ng g−1 DW in
summer), respectively. In addition, the amounts of flavonols in summer leaves were notably higher than in spring
(P < 0.05).i A representative HPLC profile of anthocyanins in ‘Mooma 1’ was presented in Fig. 2 and Table 1. Eight antho-
cyanins were identified in ‘Mooma 1’ leaf using LC-MS analysis. Total amount of anthocyanins in the spring
leaves (May 10th, average concentration: 591.87 ± 51.1 ng g−1 DW) was notably higher than in the summer (July
20th, 451.11 ± 19.02 ng g−1 DW, P < 0.05), while anthocyanin concentration was very low in the wild type leaf
(undetectable in two Seasons). In general, anthocyanin concentration in the purple-leaf tea was significantly
higher than the wild-type cultivar, indicating that anthocyanin accumulation is responsible for the red coloration
in tea. Comparison of transcriptional difference between purple-leaf and wild-type tea. www.nature.com/scientificreports/ Enzymatic assays of
CsUGT72AM1 in vitro confirmed that CsUGT72AM1 has catalytic activity as flavonol 3-O-glucosyltransferase,
and displays broad substrate specificity. The results are useful to further elucidate the molecular mechanisms of
the flavonoid metabolic fluxes in the tea plant. ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z Isolation and Characterization of
Key Genes that Promote Flavonoid
Accumulation in Purple-leaf Tea
(Camellia sinensis L.) It contains rich catechins
(flavan-3-ol) flavonoids, and around 12–24% of the dry mass of the younger leaves11. Nevertheless, the concentra-
tion of anthocyanins is few to zero in normal tea leaves. Recently, researchers have developed special purple-leaf
tea varieties in different tea growing countries12–15. These special tea varieties have been shown to contain high
quantity of anthocyanins. There are eight anthocyanins that are isolated and identified from anthocyanin-rich
tea14. The health benefits of purple-leaf tea have been preliminarily studied16,17. Hsu et al. study confirmed that
the anthocyanin-rich tea is considered as a novel dietary compound for colorectal cancer chemoprevention16. However, there was no major systematic or global analysis reported on the molecular mechanism of anthocyanin
accumulation in these tea varieties. Flavonoids are derived from the phenylpropanoid metabolic pathway, in which cinnamoyl-(C6-C3) is com-
bined to yield the backbone with three malonyl-CoA units. In recent years, most of the functional and regulatory 1School of Life Science, Anhui Agricultural University, Hefei, Anhui, 230036, China. 2State Key Laboratory of Tea
Plant Biology and Utilization, Anhui Agricultural University, Hefei, Anhui, 230036, China. Xiujuan He, Xuecheng Zhao
and Liping Gao contributed equally to this work. Correspondence and requests for materials should be addressed to
T.X. (email: xiatao62@126.com) or Y.W. (email: wang_li09213@sina.com) ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 1 www.nature.com/scientificreports/ Results
C
i To deeply
investigate anthocyanin and flavonol accumulation in purple-leaf tea, we carried out a comprehensive identi-
fication of transcriptional difference by RNA-Sequencing. Two normalized cDNA libraries from spring leaves
of ‘Mooma1’ and wild type ‘Longjing43’ were sequenced. Following de novo assembly and redundancy reduc-
tion, we obtained a final set of 77,707 unigenes, with an average length of 1004 bp and N50 of 1675 bp (Suppl
Table S2). Of these, 2,293 unigenes exhibited up-regulation, while 1,752 unigenes exhibited down-regulation in
the purple-leaf transcript compared with the wild type (Suppl Figure S1). In total, 54,210 unigenes had hits in all
five public databases with functional annotations (69.8% of the unigenes).l i
By mapping to the KEGG reference pathway, a total of 392 unigenes were assigned to the flavonoid biosyn-
thesis pathway (including flavonoid, anthocyanin, and flavones and flavonol pathways). Among these annotated
unigenes, whole sets of structural genes involved in the flavonoid biosynthesis pathway were indentified. All ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 2 www.nature.com/scientificreports/ www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 1. Phenotypic analysis of the red-leaf mutants of tea plants. (a) Wild-type tea plants and red-
leaf mutants in the tea field; (b) and (c) Young branches of wild-type tea plants and red-leaf mutants; (d)
and (f) Micromorphological images of the mutant leaf, ×40 fold and ×400 fold respectively; (e) and (g)
Micromorphological images of the wild-type leaf staining with p-dimethylaminocinnamaldehyde (DMACA) -
HCl, ×40 fold and ×400 fold respectively; Pa, palisade parenchyma; Gh, glandular hair; Xy, xylem. Note: Fig. 1:
a,b and c were taken by Correspondence authors Yunsheng wang, in shitai, Chizhou, Anhui province, China, in
March, 2013. Figure 1. Phenotypic analysis of the red-leaf mutants of tea plants. (a) Wild-type tea plants and red-
leaf mutants in the tea field; (b) and (c) Young branches of wild-type tea plants and red-leaf mutants; (d)
and (f) Micromorphological images of the mutant leaf, ×40 fold and ×400 fold respectively; (e) and (g)
Micromorphological images of the wild-type leaf staining with p-dimethylaminocinnamaldehyde (DMACA) -
HCl, ×40 fold and ×400 fold respectively; Pa, palisade parenchyma; Gh, glandular hair; Xy, xylem. Note: Fig. 1:
a,b and c were taken by Correspondence authors Yunsheng wang, in shitai, Chizhou, Anhui province, China, in
March, 2013. flavonoid genes were multiple genes, such as 5 CsPAls, 4 CsDFRs, 3 CsCHSs, and 3 CsLARs in tea plant (Fig. 3). Results
C
i Unexpectedly, all the highly (FPKM > 100) and moderately (FPKM > 10) expressed genes, which are related to
flavonoid biosynthesis, found no significant up-regulation in the purple variety. Only two low expressed genes,
CsF3’H and CsDFR2 (FPKM < 10) showed 2- and 1.9-fold higher in purple-leaf than in green-leaf. Several
CsUGTs encoding terminal enzymes by galactosylated modification of flavonoids were remarkably up-regulated
in ‘Mooma1’ leaf. Especially, the expression of CsUGT72AM1 and CsUGT3 in ‘Mooma1’ leaf was increased by
4.2- and 2.5-folds respectively, compared with the value in wild-type tea. The result was further confirmed by
qRT-PCR. q
MYB-bHLH-WD40 (MBW) complexes, activating anthocyanin biosynthesis, were also investigated with the
transcriptome of purple-leaf. The homologues of AtMYB113 (CsMYB6A, NO. CL7132), AtTT8 (CsTT8, NO. Unigene5327) and AtTTG1 (CsTTG1, NO. Unigene4594) were identified. However, CsTT8 and CsTTG1 expres-
sion levels were not significantly up-regulated in ‘Mooma1’ leaf. Only the relative expression level of CsMYB6A
was significantly up-regulated in the leaves of ‘Mooma1’, and was increased by 3.3-folds compared with wild-type. ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 3 www.nature.com/scientificreports/ Figure 2. HPLC chromatogram of flavonoids in wild-type tea plants and red-leaf mutants. (A), (C), and (E)
Representative HPLC chromatograms of flavonoids in wild-type tea plants at 280 nm, 345 nm, and 520 nm,
respectively; (B), (D), and (F) Representative HPLC chromatograms of flavonoids in red-leaf mutantsat 280 nm,
345 nm, and 520 nm, respectively. Flavonoide compounds with peaks (from NO.1 to NO.24) were listed in
Table 1. Figure 2. HPLC chromatogram of flavonoids in wild-type tea plants and red-leaf mutants. (A), (C), and (E)
Representative HPLC chromatograms of flavonoids in wild-type tea plants at 280 nm, 345 nm, and 520 nm,
respectively; (B), (D), and (F) Representative HPLC chromatograms of flavonoids in red-leaf mutantsat 280 nm,
345 nm, and 520 nm, respectively. Flavonoide compounds with peaks (from NO.1 to NO.24) were listed in
Table 1. 126 R2R3-MYBs from Arabidopsis thaliana and CsMYB6A were used in phylogenetic tree construc-
tion (Fig. 4). Phylogenetic analysis indicated CsMYB6A, attached to subgroup 6 (Sg6), was most similar to
AtMYB113 and shares 63% identity (Fig. 4). MYBs in Sg6 are reported regulators of anthocyanin accumula-
tion28. CsMYB6A-GFP fusion transient expression showed that CsMYB6A protein was exclusively localized in
the nucleus (Suppl Figure S2). Functional analysis of the CsMYB6A gene in Nicotiana tabacum. Results
C
i A R2R3-MYB (PAP1) of
Arabidopsis thaliana could enhance the accumulation of anthocyanins inducing the purple color of the leaf and
stem29. The 35S:CsMYB6A, 35S:AtPAP1 (as positive control), and empty plasmid (as negative control) vectors
were introduced into Tobacco ‘G28’ (Nicotiana tabacum ‘G28’). About 10 independent transgenic tobacco plants
of different genes were obtained. The leaves of CsMYB6A or AtPAP1 transgenic plants exhibited a clear color
change from green of the control host to purple (Fig. 5a). The concentrations of anthocyanins in the leaf of
CsMYB6A and AtPAP1 transgenic tobacco, as detected by HLPC method, were 240 and 340 ng g−1 DW respec-
tively, while undetected in the leaf of empty vector control (Fig. 5b). Additionally, the accumulation of flavonols in
the leaf of CsMYB6A or AtPAP1 transgenic tobacco was remarkably enhanced by 1.89 and 4.15-folds respectively,
compared to the vector control. Environmental temperature and light are considered as important factors that
affect anthocyanin biosynthesis in garden plants. Our data also confirmed that low temperature and red light
accelerated the anthocyanin accumulation in the transgenic tobacco lines (Suppl Figure S3).lf y
g
(
pp
g
)
To investigate whether the flavonoid biosynthesis pathway was affected by over-expression of R2R3-MYBs,
the flavonoid pathway genes, including C4H, 4CL, CHS, CHI, F3’H, F3H, DFR, FLS, LAR, ANS, ANR, and 3GT
were examined by qRT-PCR in vector control and transgenic lines with β-actin (accession number: EU938079)
as reference gene (Fig. 5c). The expression levels of F3H, and 3GT genes in the mature leaf of transgenic lines
was significantly increased by 2-folds in comparison to the vector control lines, especially the level of CHS was
enhanced by 10-folds as compared to the control lines. Therefore, the expression of these genes was stimulated
by the over-expression of CsMYB6A or AtPAP1 in transgenic lines. The result was also confirmed by qRT-PCR
(Fig. 5c). Heterologous expression and enzymic analysis of the recombinant CsUGT72AM1. RNA-Sequencing
data showed that several CsUGTs, especially CsUGT72AM1 and CsUGT3, were remarkably up-regulated in ‘Mooma1’
leaf, compared with the value in wild-type tea. Our previous research had identified a UDP-glycosyltransferase,
CsUGT78A14, which is responsible for the biosynthesis of flavonol 3-O-glucosides30. The expression of CsUGT78A14
was unremarkably up-regulated in the ‘Mooma1’ leaf compared with wild-type control. Phylogenetic analysis, refer-
ring to Arabidopsis UGTs, indicated CsUGT72AM1, CsUGT3 and CsUGT78A14 are the most similar to AtUGT72E1,
AtUGT91A1, and Nt3GT, respectively (Fig. 6). Results
C
i ncentrations (mean ± SD of duplicate assays) of flavonoids in leaves of red-leaf mutant of tea plants. The enzymatic characteristics of CsUGT72AM1 and CsUGT78A14 proteins that were expressed Escherichia
coli cells were evaluated. The purified recombinant CsUGT72AM1 proteins, in accordance with rCsUGT78A14,
can catalyze the glycosylation of quercetin or cyanidin at 3-OH group with UDP-Glucose as the sugar donors in
vitro (Fig. 7a,b). However, the recombinant enzyme demonstrated low activity for anthocyanins, and exhibited
remarkable substrate inhibition, which was consistent with previous published reports31.hl p
p
p
The kinetic parameters of these two recombinant glucosyltransferases for flavonols (kaempferol, quercetin,
and myricetin) were determined in phosphate buffer at pH 7.5. The recombinant enzymes demonstrated highest
activity for flavonols. The Km values of UGT72AM1 for kaempferol, quercetin, and myricetin were 71.81, 94.99,
and 113.15 μM with Vmax values of 17.92, 49.26, and 86.96 nmol min−1, respectively. For UGT78A14, the Km
and Vmax values of kaempferol, quercetin, and myricetin were 81.04, 72.20, and 97.35 μM and 39.84, 42.55, and
48.54 nmol min−1, respectively (Fig. 7c). ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z Results
C
i ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 4 www.nature.com/scientificreports/ Peak
number
Compound
Spring
Summer
Green-leaf
Purple-leaf
Green-leaf
Purple-leaf
Catechins (mg g−1DW)
1
Gallocatechin
14.30 ± 0.29b
9.24 ± 0.63a
18.16 ± 0.67c
18.65 ± 1.48c
2
Epigallocatechin
4.71 ± 0.31a
19.82 ± 1.32c
3.30 ± 0.17a
9.39 ± 8.25b
3
Catechin
1.60 ± 0.20c
1.29 ± 0.11b
0.59 ± 0.17a
1.12 ± 0.12b
4
Epicatechin
6.98 ± 0.44b
6.27 ± 0.50b
4.42 ± 0.65a
4.48 ± 0.67a
5
Epigallocatechin gallate
70.31 ± 1.49b
56.95 ± 4.74a
88.72 ± 2.65d
77.43 ± 2.00c
6
Epicatechin gallate
23.41 ± 0.93a
30.44 ± 2.50c
27.24 ± 0.94b
24.17 ± 0.63a
Total
124.95 ± 1.42a
124.00 ± 9.66a
142.44 ± 4.73c
130.56 ± 1.94b
O-Glycosylated flavonols (mg g−1DW)
7
Myricetin 3-O-galactoside
0.25 ± 0.15a
0.44 ± 0.14ab
0.69 ± 0.12b
1.10 ± 0.14c
8
Myricetin 3-O-glucoside
0.37 ± 0.09a
0.32 ± 0.05a
0.31 ± 0.03a
1.05 ± 0.13b
9
Quercetin 3-O-galactosylrutinoside
1.34 ± 0.18a
1.41 ± 0.10a
4.00 ± 0.01b
5.14 ± 0.88c
10
Quercetin 3-O-glucosylrutinoside
0.55 ± 0.40ab
0.42 ± 0.02a
0.89 ± 0.00b
1.40 ± 0.25c
11
Rutina
0.41 ± 0.00c
0.30 ± 0.00a
0.57 ± 0.01d
0.33 ± 0.01b
12
Kaempferol 3-O-galactosylrutinoside
4.35 ± 0.98a
5.52 ± 0.30b
5.27 ± 0.01ab
5.24 ± 0.53ab
13
Kaempferol 3-O-glucosylrutinoside
1.04 ± 0.56a
1.10 ± 0.05a
0.73 ± 0.01a
1.10 ± 0.09a
14
Kaempferol 3-O-galactoside
0.52 ± 0.12a
0.93 ± 0.05b
0.45 ± 0.11a
1.04 ± 0.10b
15
Kaempferol 3-O-rhamnosylgalactoside
0.69 ± 0.21a
0.61 ± 0.03a
1.14 ± 0.02b
0.53 ± 0.08a
16
Kaempferol 3-O-glucoside
0.38 ± 0.35a
0.61 ± 0.03a
0.40 ± 0.04a
0.59 ± 0.03a
Total
9.91 ± 0.38a
11.68 ± 0.59b
14.43 ± 0.05c
17.52 ± 1.06d
Anthocyanidins (ng g-1DW)
17
Delphinidin-3-O-galactoside
—
14.05 ± 4.06a
—
17.50 ± 1.09a
18
Delphinidin-3-O-glucoside
—
20.70 ± 1.86a
—
21.95 ± 0.18a
19
Cyanidin-3-O-galactoside
—
20.04 ± 1.64b
—
3.00 ± 0.13a
20
Cyanidin-3-O-glucoside
—
1.21 ± 0.22 b
—
0.51 ± 0.19a
21
Delphinidin-3-O-coumaroylgalactoside
—
50.76 ± 3.20a
—
52.36 ± 6.30a
22
Delphinidin-3-O-coumaroylglucoside
—
265.24 ± 23.63a
—
222.82 ± 14.09a
23
Cyanidin-3-O-coumaroylgalactoside
—
149.94 ± 11.43b
—
122.96 ± 1.39a
24
Cyanidin-3-O-coumaroylglucoside
—
69.93 ± 5.92b
—
10.02 ± 1.50a
Total
—
591.87 ± 51.16b
—
451.11 ± 19.02a
Table 1. Concentrations (mean ± SD of duplicate assays) of flavonoids in leaves of red-leaf mutant of tea plants. Discussion
Fl
id Flavonoid components in the leaves of purple-leaf tea. Several health benefits were observed with
tea products, which contain high concentrations of flavonoid components. This drove the scholar’s initiatives to
explore the specialty of tea varieties, including white tea, yellow tea, anthocyanin-rich tea. Several purple-leaf tea
varieties were reported in different tea planting areas12,13,32. A new purple-leaf tea variety ‘Mooma 1’ was reported
in this paper, which was selected from the natural hybrid population of ‘Longjing 43’. The buds and young leaves
of ‘Mooma 1’ displayed bright red color, where the anthocyanins were remarkably accumulated in the palisade
mesophyll tissue, but were absent in the epidermis. A previous study demonstrated that the putative function
of antioxidative defense in the leaves was more possible for anthocyanins located in the mesophyll than in the
epidermal vacuoles33. Flavonoid compounds are considered to be the most important quality parameters of tea products due to their
impact on color and taste properties. Catechins are responsible for astringency and bitterness34. Flavonols induce
a velvety and mouth-coating sensation at very low concentration35. Anthocyanins add to the briskness by com-
plexing with catechins and theaflavins12. Purple-leaf tea products show more astringency with better mouth feel
and sweet after taste than green-leaf tea. Average concentrations of total anthocyanins in the spring or summer ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 5 www.nature.com/scientificreports/ Figure 3. Comparison of transcripts coding flavonoid biosynthetic enzymes in leaves of purple-leaf mutants
and wild-type tea plants. Transcripts coding enzymes involved in the flavonoid pathway were identified by
screening the Camellia sinensis RNA-sequence libraries and NCBI database (https://www.ncbi.nlm.nih.gov/). Black, gray, and white squares enveloping the gene No. represents transcript level are high (FPKM > 100),
medium (100 > FPKM > 10), and low (FPKM < 10), respectively. Gradient color square, from yellow to red,
on the data of Log2
Red/CK representing an increasing gene expression level from 0 to > 3 fold in the purple-leaf
mutants was compared with the wild-type green tea plant. Figure 3. Comparison of transcripts coding flavonoid biosynthetic enzymes in leaves of purple-leaf mutants
and wild-type tea plants. Transcripts coding enzymes involved in the flavonoid pathway were identified by
screening the Camellia sinensis RNA-sequence libraries and NCBI database (https://www.ncbi.nlm.nih.gov/). Black, gray, and white squares enveloping the gene No. represents transcript level are high (FPKM > 100),
medium (100 > FPKM > 10), and low (FPKM < 10), respectively. ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z Discussion
Fl
id The protein sequences contained CsMYB6A
from Camellia sinensis and AtMYBs from Arabidopsis thaliana (http://www.arabidopsis.org/browse/genefamily/
index.jsp). The phylogenetic tree was constructed using MEGA 5 with 1000 bootstrap replicates. Numbers
indicate the percentage of consensus support. found that the expression of the CsMYB6A was most similar to AtMYB113, and was consistent in regulating
anthocyanin synthesis. The different expression levels of CsMYB6A in different cultivars might be due to the
transcriptional modification or post-transcriptional modification27,39. Furthermore, we also investigated the
over-expression of CsMYB6A and AtPAP1 genes in transgenic tobacco, G28. Results showed that there was signif-
icant up-regulation of structural flavonoid genes, especially CHS and anthocyanin 3-O-glucosyltransferase (A3T)
in both CsMYB6A and AtPAP1 transgenic tobacco lines compared with empty-vector control. Interestingly, the
expression levels of CsUGT78A14, the homologous gene of 3GT, demonstrated no significant up-regulation in the
leaves of ‘Mooma 1’, while several other UGTs, especially CsUGT72AM1, were obviously up-regulated compared
with green-leaf tea. These results indicated that the divergent target genes were responsible for the species-specific
differences in regulatory networks. found that the expression of the CsMYB6A was most similar to AtMYB113, and was consistent in regulating
anthocyanin synthesis. The different expression levels of CsMYB6A in different cultivars might be due to the
transcriptional modification or post-transcriptional modification27,39. Furthermore, we also investigated the
over-expression of CsMYB6A and AtPAP1 genes in transgenic tobacco, G28. Results showed that there was signif-
icant up-regulation of structural flavonoid genes, especially CHS and anthocyanin 3-O-glucosyltransferase (A3T)
in both CsMYB6A and AtPAP1 transgenic tobacco lines compared with empty-vector control. Interestingly, the
expression levels of CsUGT78A14, the homologous gene of 3GT, demonstrated no significant up-regulation in the
leaves of ‘Mooma 1’, while several other UGTs, especially CsUGT72AM1, were obviously up-regulated compared
with green-leaf tea. These results indicated that the divergent target genes were responsible for the species-specific
differences in regulatory networks. CsUGT72AM1, an UGT gene, catalyzes the glycosylation of flavonoids. UDP-glycosyltransferases
are the final enzymes produced in anthocyanin and flavonol biosynthesis. 78 UGT family genes, such as
UGT78G113, UGT78D240 were activated with anthocyanidins, flavonols, flavones, coumestans, pterocarpans, and
isoflavones, and were involved in the O-glucosylation of anthocyanins. In our previous study, CsUGT78A14 was
found to be responsible for the biosynthesis of flavonol 3-O-glucosides30. p
yl
g
A novel UGT gene, CsUGT72AM1, showed higher expression level in ‘Mooma1’, and was screened and cloned
from purple-tea leaves. Discussion
Fl
id Gradient color square, from yellow to red,
on the data of Log2
Red/CK representing an increasing gene expression level from 0 to > 3 fold in the purple-leaf
mutants was compared with the wild-type green tea plant. leaves were 591.87 ± 51.1 and 451.11 ± 19.02 ng g−1 DW, respectively, which was very low in the wild type leaves. Additionally, the total amounts of O-Glycosylated flavonols in ‘Mooma 1’ leaves were significantly higher than in
the control leaves. The biosynthetic pathways of anthocyanins, flavonols, and flavan-3-ols (catechins) share common steps in
the phenylpropanoid and flavonoid pathways (from PAL to F3H). Each class of flavonoid was synthesized by a
multienzymatic step reaction branching from the common flavonoid pathway (Fig. 3). Several studies have shown
the competitive relationship between different flavonoids due to competition for the substrate. Interestingly, our
results indicated that anthocyanins and flavonols have a synergistic relationship, and both showed significant
increase in the purple-leaf variety compared with the control variety. Both the compounds may have competition
with catechins in purple-leaf variety, because the total amount of catechins in purple leaves was slightly decreased
compared with the control. However, further research is required to uncover the association between anthocya-
nin and flavonol accumulation. An R2R3-MYB transcription factor, CsMYB6A, promotes flavonoid accumulation in purple-leaf
tea. Several R2R3-MYB transcription factors, combined with other transcription factors (bHLH and WD40),
are known to be involved in the regulation of flavonoid biosynthesis. AN2 from Perunia hybrid36, C1 from Zea
mays37, and PAP1 and PAP2 from Arabidopsis thaliana29 all encode MYB proteins. They regulate the accumula-
tion of different anthocyanin pigments. Pattanaik confirmed that anthocyanin related MYB interacted with other
heterologous species, bHLH, to activate the expression of key flavonoid pathway genes, including CHS and DFR,
which induced anthocyanin synthesis38. These results indicate that regulatory anthocyanin genes are conserved
between species.l p
Our previous study predicted R2R3-MYB genes in flavonoid biosynthesis of C. sinensis, while Sg6 CsM
genes were lacked in the wild-type green-leaf tea26. In the current study of ‘Mooma 1’ purple-leaf cultivars ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 6 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 4. Phylogenetic tree of R2R3-MYB transcription factors. The protein sequences contained CsMYB6A
from Camellia sinensis and AtMYBs from Arabidopsis thaliana (http://www.arabidopsis.org/browse/genefamily/
index.jsp). The phylogenetic tree was constructed using MEGA 5 with 1000 bootstrap replicates. Numbers
indicate the percentage of consensus support. Figure 4. Phylogenetic tree of R2R3-MYB transcription factors. Discussion
Fl
id Phylogenetic study indicated that CsUGT72AM1, which is similar to AtUGT72E1, was
clustered into the 72 UGT family of glucosyltransferases. The 72 UGT subgroup, studied in several previous stud-
ies, was able to catalyze the formation of monolignol 4-O-glucose that is involved in the biosynthesis of lignin41. ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 7 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 5. Phenotypic analysis of transgenic tobacco overexpressing CsMYB6A and AtPAP1. (a) Leaves of
transgenic plants (CsMYB6A and AtPAP1) in comparion with empty-vector transgenic plants; (b) Total lhl l
Figure 5. Phenotypic analysis of transgenic tobacco overexpressing CsMYB6A and AtPAP1. (a) Leaves of
transgenic plants (CsMYB6A and AtPAP1) in comparion with empty-vector transgenic plants; (b) Total
concentrations of anthocyanins and flavonols of transgenic plants. The relative flavonol concentration was
calculated as the ratio between the total peak area at 350 nm; (c) The relative gene expression involved in
flavonoid biosynthesis in transgemic plants compared with the empty vector. Relative FPKM and expression
data were obtained from RNA-sequencing and qRT-PCR analysis, respectively. Figure 5. Phenotypic analysis of transgenic tobacco overexpressing CsMYB6A and AtPAP1. (a) Leaves of
transgenic plants (CsMYB6A and AtPAP1) in comparion with empty-vector transgenic plants; (b) Total
concentrations of anthocyanins and flavonols of transgenic plants. The relative flavonol concentration was
calculated as the ratio between the total peak area at 350 nm; (c) The relative gene expression involved in
flavonoid biosynthesis in transgemic plants compared with the empty vector. Relative FPKM and expression
data were obtained from RNA-sequencing and qRT-PCR analysis, respectively. Figure 5. Phenotypic analysis of transgenic tobacco overexpressing CsMYB6A and AtPAP1. (a) Leaves of
transgenic plants (CsMYB6A and AtPAP1) in comparion with empty-vector transgenic plants; (b) Total
concentrations of anthocyanins and flavonols of transgenic plants. The relative flavonol concentration was
calculated as the ratio between the total peak area at 350 nm; (c) The relative gene expression involved in
flavonoid biosynthesis in transgemic plants compared with the empty vector. Relative FPKM and expression
data were obtained from RNA-sequencing and qRT-PCR analysis, respectively. Several UGT family genes can catalyze the O-glucosylation of flavonoids. For example, UGT72L1 from Medicago
truncatula, which was regulated by Arabidopsis R2R3-MYB (TT2) was specifically active towards the epicatechin,
formatting epicatechin 3′-O-glucoside42. Several UGT family genes can catalyze the O-glucosylation of flavonoids. For example, UGT72L1 from Medicago
truncatula, which was regulated by Arabidopsis R2R3-MYB (TT2) was specifically active towards the epicatechin,
formatting epicatechin 3′-O-glucoside42. Discussion
Fl
id 8 ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z www.nature.com/scientificreports/ Figure 6. Phylogenetic tree of UGT proteins. The protein sequences contained CsUGT72AM1 (accession
number: KY399734), CsUGT78A14 (accession number: KP682360), CsUGT3 from Camellia sinensis
and AtUGTs from Arabidopsis thaliana (http://www.arabidopsis.org/browse/genefamily/index.jsp). The
phylogenetic tree was constructed using MEGA 5 with 1000 bootstrap replicates. Number indicates the
percentage of consensus support. Figure 6. Phylogenetic tree of UGT proteins. The protein sequences contained CsUGT72AM1 (accession
number: KY399734), CsUGT78A14 (accession number: KP682360), CsUGT3 from Camellia sinensis
and AtUGTs from Arabidopsis thaliana (http://www.arabidopsis.org/browse/genefamily/index.jsp). The
phylogenetic tree was constructed using MEGA 5 with 1000 bootstrap replicates. Number indicates the
percentage of consensus support. In this paper, we compared the enzymatic characteristics of CsUGT72AM1 and CsUGT78A14 through in
vitro assays. Our enzymatic assays confirmed that both CsUGT72AM1 and CsUGT78A14 demonstrated cata-
lytic activity as a flavonol or anthocyanin 3-O-glucosyltransferase. The recombinant enzymes CsUGT72AM1
and CsUGT78A14 were highly catalyzed by the addition of glycosyl group from UTP-glucose to flavonols. CsUGT72AM1 displayed broad substrate specificity, by in vitro experiments, recognizing the flavonoid substrates,
including naringenin (N), Eriodictyol (E), kaempferol (K), quercetin (Q), and myricetin (M), as acceptor mole-
cules (Data not shown in this paper). These results indicated that both CsUGT72AM1 and CsUGT78A14 genes
are likely to be involved in the biosynthesis of flavonoid 3-O-glycoside compounds in tea plants. y
yl
g y
p
p
Taken together, our research acquired the key genes, including CsMYB6A and CsUGT72AM1, which regu-
lated the accumulation of anthocyanin and flavonol in purple-leaf tea. CsMYB6A transgenic results indicated
that the regulatory mechanism of flavonoid pathway was conserved between species43. In future, we would focus
on exploiting MYB-target genes using interaction methods. Therefore, CsMYB6A and related CsUGTs are the
first characterized genes that are involved in the anthocyanin biosynthesis in tea leaf organs. Their identification
provides advances in understanding the flavonoid biosynthesis in non-alcoholic beverage crops. Materials and Methods Plant material and standard chemicals. Leaves of tea variety ‘Mooma 1’ and wild type ‘Longjing 43’
(Camellia Sinensis CV ‘Longjing’) were sampled from healthy pants that are grown in the tea garden of Shitai
County, Anhui, China (latitude 30.19 N, longitude 4 E, altitude 20 m above mean sea level). A total of 10 buds ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 9 www.nature.com/scientificreports/ Figure 7. Comparison of the enzymatic activities of the CsUGT72AM1 with CsUGT78A14. (a) HPLC
chromatograms for the enzymatic product of the recombination proteins with quercetin as flavonol acceptor. (b) HPLC chromatograms for the enzymatic product of the recombination proteins with cyanidin as
anthocyanin acceptor. (c) Kinetic parameters of the recombinant proteins for quercetin. Figure 7. Comparison of the enzymatic activities of the CsUGT72AM1 with CsUGT78A14. (a) HPLC
h
t
f
th
ti
d
t f th
bi
ti
t i
ith
ti
fl
l Figure 7. Comparison of the enzymatic activities of the CsUGT72AM1 with CsUGT78A14. (a) HPLC
chromatograms for the enzymatic product of the recombination proteins with quercetin as flavonol acceptor
(b) HPLC chromatograms for the enzymatic product of the recombination proteins with cyanidin as
anthocyanin acceptor. (c) Kinetic parameters of the recombinant proteins for quercetin. Figure 7. Comparison of the enzymatic activities of the CsUGT72AM1 with CsUGT78A14. (a) HPLC
chromatograms for the enzymatic product of the recombination proteins with quercetin as flavonol acceptor. (b) HPLC chromatograms for the enzymatic product of the recombination proteins with cyanidin as
anthocyanin acceptor. (c) Kinetic parameters of the recombinant proteins for quercetin. chromatograms for the enzymatic product of the recombination proteins with quercetin as flavonol acceptor
(b) HPLC chromatograms for the enzymatic product of the recombination proteins with cyanidin as
anthocyanin acceptor. (c) Kinetic parameters of the recombinant proteins for quercetin. and leaves were randomly collected from different branches, frozen immediately in liquid nitrogen, and stored at
−80 °C for RNA-seq, qRT-PCR and HPLC analysis. and leaves were randomly collected from different branches, frozen immediately in liquid nitrogen, and stored at
−80 °C for RNA-seq, qRT-PCR and HPLC analysis. Catechin (C), gallocatechin (GC), epicatechin (EC), epigallocatechin (EGC), epicatechin 3-O-gallate (ECG),
epigallocatechin 3-O-gallate (EGCG) were obtained from Shanghai RongHe Pharmaceutical Co. Myricetin
3-O-glucoside, quercetin 3-O-glucoside, kaempferol, petunidin, cyanidin, cyanidin 3-O-glucoside, and delphin-
din were purchased from Sigma Chemicals Co. Tissue slicing and staining. Samples for observation were prepared by standard free-hand sectioning44. Materials and Methods To slice the tea tissues, fresh carrot was used as a supporter45. The section was observed under a microscope
(Olympus, Tokyo, Japan). The sections were stained using 0.01% (w/v) 4-dimethylaminocinnamaldehyde
(DMACA) in absolute ethanol containing 0.8% w/v hydrochloric acid to observe the presence of catechins in the
tissue of tea leaf46. Analysis of catechins, flavonols, and anthocyanins in leaves. Leaves were ground to a fine powder
in liquid nitrogen. The powder (1 g) was extracted with 5 ml methanol at room temperature for 10 min, followed
by centrifugation at 4000 × g for 15 min. The residue was re-extracted thrice by this method. The supernatants
were filtered through a 0.22 μm membrane. Catechins, flavonols, and anthocyanins were analyzed according to
the liquid chromatography–mass spectrometry (LC-MS) and HPLC methods47. Catechins, flavonols, and antho-
cyanins were quantified at 280 nm, 345 nm, and 530 nm respectively. i
Since only 11 standards were available, myricetin 3-O-glucoside was used as the molar equivalent to quan-
tify its derivatives, quercetin 3-O-glucoside for all the quercetin 3-O-glycosides, kaempferol for kaempferol
3-O-glycosides, petunidin for petunidin 3-O-glycosides, cyanidin for cyanidin 3-O-glycosides, and delphindin
for delphindin 3-O-glycosides. All samples were run in triplicate for both quantitation and multivariate statistical
analysis. cDNA library construction and transcriptome sequencing. Total RNA of tea and tobacco (Nicotiana taba-
cum) leaves was isolated with RNAiso Plus and RNAiso-mate for Plant Tissue kits and treated with DNase I according
to manufacturer’s instructions (Takara, China). RNA quality was examined using 1% agarose gel and the concentra-
tion was determined using a Nanodrap spectrophotometer (Thermo, Waltham, MA, USA). Illumina sequencing was
performed at Beijing Genomics Institute (BGI, Wuhan, China) on the HiSeq™ 2000 platform (Illumina, San Diego,
CA) and the bioproject ID was PRJNA283232 in NCBI (https://www.ncbi.nlm.nih.gov/bioproject/?term). The de ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 10 www.nature.com/scientificreports/ novo assembly, functional annotation, and metabolic pathway analysis were carried out by BGI Institute accord-
ing to the manufacturer’s instructions. Genes involved in flavonoid pathway were further confirmed using BLASTn
and BLASTp tools in Tea tree Genome Database (http://www.plantkingdomgdb.com/tea_tree/). The NCBI accession
numbers of the flavonoid-related Genes were listed in Table S1. qRT-PCR analysis. Quantitative real-time PCR (qRT-PCR) was performed using the SYBR® Premix
Ex Taq™ II (Perfect Real Time) kit (Takara, Japan) on a Peltier Thermal Cycler PTC200 (Bio-Rad, USA) with
gene-specific primer pairs (Table S1). Materials and Methods The related expression level was normalized against the expression level of
the housekeeping gene glyceraldehyde-3-phosphate dehydrogenase (GAPDH) in tea plant48 or actin in tobacco49. The melting curve was performed to determine the PCR product size and to detect possible primer dimers. Triplets of all samples were run. The cycle number at which the reaction crossed an arbitrarily placed threshold
(CT) was determined for each gene, and the relative expression of each gene was determined using the equation
2−ΔΔCT, where ΔΔCT = (CTTarget − CTGAPDH/Actin)sample − (CTTarget − CTGAPDH/Actin)control
50. Transformation of tobacco plants with CsMYB6A. The Gateway Cloning System was used to con-
struct the transformation vectors of CsMYB6A51. The PCR primer pairs for linking the attB adaptors are listed
in the Additional file 2: (Suppl Table S1). CsMYB6A PCR product was cloned into the entry vector pDONR207
by Gateway BP Clonase Enzyme mix according to the manufacturer’s instructions (Invitrogen, USA). The
pDONR207-CsMYB6A entry vector was then transferred into the Gateway plant transformation destination
vector pCB2004 using Gateway LR Clonase (Invitrogen, USA). Recombinant colonies pCB2004-CsMYB6A
and control pCB2004 vectors were selected on kanamycin plates and validated by bacterial colony PCR, fol-
lowed by transformation into EHA105 by electroporation at 2500 V for about 5.5 ms. A single colony con-
taining each target construct was confirmed by PCR and then used for genetic transformation of tobacco. EHA105-pCB2004-CsMYB6A and EHA105-pCB2004 were prepared for transformation. The leaf disc approach
was used for tobacco transformation with 25 mg/L phosphinothricin selection. Expression and purification of recombinant CsUGT72AM1. The cDNA of CsUGT72AM1 were sub-
cloned into the expression vector pMAL-c2X (New England Biolabs, MA, USA). The cloned gene sequences were
also confirmed by colony PCR. The pMAL-CsUGT72AM1 expression vector sand empty vectors were trans-
formed into E. coli Novablue (DE3) competent cells (Novagen, Schwalbach, Germany). Recombinant proteins
were purified according to the manufacturer’s instructions (New England Biolabs, MA, USA). Recombinant
enzyme assays were carried out as described by Cui et al.30. The Km and Vmax of CsUGT72AM1 was determined
using 5 mM UDP-glucose (UDP-Glc) as the sugar donor and 1.5–200 μM of flavonols as acceptors (kaempferol
and quercetin) in phosphate buffer (pH 7.5). Reaction samples lacking recombinant proteins were used as blank
controls. Reactions were stopped by mixing the reaction solutions with 100% methanol. All the kinetic assays
were incubated at 30 °C for 10 min and repeated in triplicate. Bioinformatics and statistical analyses. Materials and Methods Multiple sequence alignment was performed using ClustalX
(http://www.clustal.org). Phylogenetic tree was constructed using protein sequences from several plant MYBs and
UGTs by Neighbor-Joining distance analysis using MEGA5.0 (http://www.megasoftware.net/). Branches corre-
sponding to partitions reproduced in less than 50% bootstrap replicates are collapsed. The evolutionary distances
were computed using the p-distance method.if p
g
p
Data were presented as mean ± SD. Statistically significant differences between the groups were determined
with Student’s t-test using SPSS software (SPSS, Chicago, IL, USA). P < 0.05 was considered to be statistically
significant. ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z References Identification of the astringent taste compounds in black tea infusions by comb
instrumental analysis and human bioresponse. Journal of agricultural and food chemistry 52, 3498–3508 (2004). 36. Quattrocchio, F., Wing, J. F., Leppen, H. T., Mol, J. N. & Koes, R. E. Regulatory genes controlling anthocyanin pigmentati
functionally conserved among plant species and have distinct sets of target genes. The Plant Cell 5, 1497–1512 (1993). ll
l
l
h
l
b
f h
f
l
Th h
37. Consonni, G., Geuna, F., Gavazzi, G. & Tonelli, C. Molecular homology among members of the R gene family in maize. The Plant
Journal 3, 335–346 (1993). P
k S
l I
l
d f
l h
f
fl
l
fi R R MYB
l
f
b
l 8. Pattanaik, S. et al. Isolation and functional characterization of a floral tissue-specific R2R3 MYB regulator from tobacco. Planta 231
1061–1076 (2010). 39. Li, Y.-Y. et al. MdCOP1 ubiquitin E3 ligases interact with MdMYB1 to regulate light-induced anthocyanin biosynthesis and red fruit
coloration in apple. Plant physiology 160, 1011–1022 (2012). p y
gy
0. Tohge, T. et al. Functional genomics by integrated analysis of metabolome and transcriptome of Arabidopsis plants over-expressing
an MYB transcription factor. The Plant Journal 42, 218–235 (2005).h h
1. Yonekura-Sakakibara, K. & Hanada, K. An evolutionary view of functional diversity in family 1 glycosyltransferases. The Plan
Journal 66, 182–193 (2011). 42. Pang, Y., Peel, G. J., Sharma, S. B., Tang, Y. & Dixon, R. A. A transcript profiling approach reveals an epicatechin-specific
glucosyltransferase expressed in the seed coat of Medicago truncatula. Proceedings of the National Academy of Sciences 105,
14210–14215 (2008).i 43. Quattrocchio, F., Wing, J. F., Va, K., Mol, J. N. & Koes, R. Analysis of bHLH and MYB domain proteins: species-specific regulatory
differences are caused by divergent evolution of target anthocyanin genes. The Plant Journal 13, 475–488 (1998). b
d
h d f
l
d
f
h
d
d
h l
l fh
44. Lux, A., Morita, S., Abe, J. & Ito, K. An improved method for clearing and staining free-hand sections and whole-mount samples. Annals of Botany 96, 989–996 (2005).i f
y
5. Liu, Y., Gao, L., Xia, T. & Zhao, L. Investigation of the site-specific accumulation of catechins in the tea plant (Camellia sinensis (L. O. Kuntze) via Vanillin− HCl Staining. Journal of agricultural and food chemistry 57, 10371–10376 (2009). 46. Abeynayake, S. References 1. Jasiński, M., Kachlicki, P., Rodziewicz, P., Figlerowicz, M. & Stobiecki, M. Changes in the profile of flavonoid accumulation in
Medicago truncatula leaves during infection with fungal pathogen Phoma medicaginis. Plant Physiology & Biochemistry 47, 847–853
(2009).l 2. Li, J., Ou-Lee, T.-M., Raba, R., Amundson, R. G. & Last, R. L. Arabidopsis flavonoid mutants are hypersensitive to UV-B irradiation
The Plant Cell 5, 171–179 (1993).f h
3. Azuma, A., Yakushiji, H., Koshita, Y. & Kobayashi, S. Flavonoid biosynthesis-related genes in grape skin are differentially regulated
by temperature and light conditions. Planta 236, 1067–1080 (2012). y
g
4. Winkel-Shirley, B. Flavonoid biosynthesis. A colorful model for genetics, biochemistry, cell biology, and biotechnology. Plant
physiology 126, 485–493 (2001).l 5. van Tunen, A. J., Mur, L. A., Recourt, K., Gerats, A. & Mol, J. Regulation and manipulation of flavonoid gene expression in anthers
of petunia: the molecular basis of the Po mutation. The Plant Cell 3, 39–48 (1991).f ph
(
)
6. Jennings, A. et al. Higher anthocyanin intake is associated with lower arterial stiffness and central blood pressure in women
American Journal of Clinical Nutrition 96, 781 (2012). 7. Chang, J. J. et al. Mulberry anthocyanins inhibit oleic acid induced lipid accumulation by reduction of lipogenesis and promotion of
hepatic lipid clearance. Journal of Agricultural & Food Chemistry 61, 6069 (2013).f p
p
f
g
y
8. Rahman, M. M., Ichiyanagi, T., Komiyama, T., Sato, S. & Konishi, T. Effects of anthocyanins on psychological stress-induced
oxidative stress and neurotransmitter status. Journal of agricultural and food chemistry 56, 7545–7550 (2008).l 9. Hidalgo, M. et al. Potential anti-inflammatory, anti-adhesive, anti/estrogenic, and angiotensin-converting enzyme inhib
activities of anthocyanins and their gut metabolites. Genes & nutrition 7, 295–306 (2012).f y
g
10. Kuo, C.-Y. et al. Hibiscus sabdariffa L. extracts reduce serum uric acid levels in oxonate-induced rats. Journal of Functional Foods 4,
375–381 (2012).f 11. Wang, Y. & Ho, C.-T. Polyphenolic chemistry of tea and coffee: a century of progress. Journal of agricultural and food chemistry 57,
8109–8114 (2009). 2. Joshi, R., Rana, A. & Gulati, A. Studies on quality of orthodox teas made from anthocyanin-rich tea clones growing in Kangra valley
India. Food chemistry 176, 357–366 (2015). ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 11 www.nature.com/scientificreports/ 13. Modolo, L. V. et al. Crystal structures of glycosyltransferase UGT78G1 reveal the molecular basis for glycosylation
deglycosylation of (iso) flavonoids. Journal of molecular biology 392, 1292–1302 (2009). References g y
yl
f
gy
14. Saito, T. et al. Anthocyanins from new red leaf tea ‘Sunrouge’. Journal of agricultural and food chemistry 59, 4779–4782 (2011) 15. Terahara, N., Takeda, Y., Nesumi, A. & Honda, T. Anthocyanins from red flower tea (Benibana-cha), Camellia sine
Phytochemistry 56, 359–361 (2001).f 6. Hsu, C.-P., Shih, Y.-T., Lin, B.-R., Chiu, C.-F. & Lin, C.-C. Inhibitory effect and mechanisms of an anthocyanins-and anthocyanidins
rich extract from purple-shoot tea on colorectal carcinoma cell proliferation. Journal of agricultural and food chemistry 60
3686–3692 (2012). 17. Maeda-Yamamoto, M. et al. Chemical analysis and acetylcholinesterase inhibitory effect of anthocyanin-rich red leaf tea (cv. Sunrouge). Journal of the Science of Food and Agriculture 92, 2379–2386 (2012).il ). Journal of the Science of Food and Agriculture 92, 2379–2386 (201 g
f
f
g
8. Dixon, R. A., Xie, D. Y. & Sharma, S. B. Proanthocyanidins–a final frontier in flavonoid research? New phytologist 165, 9–28 (2005) g
f
f
g
18. Dixon, R. A., Xie, D. Y. & Sharma, S. B. Proanthocyanidins–a final frontier in flavonoid research 18. Dixon, R. A., Xie, D. Y. & Sharma, S. B. Proanthocyanidins–a final frontier in flavonoid research? New phytologist 165, 9–28 (2005). 19. Tanner, G. J. et al. Proanthocyanidin biosynthesis in plants purification of legume leucoanthocyanidin reductase and molecular
cloning of its cDNA. Journal of Biological Chemistry 278, 31647–31656 (2003).l yil
p y
g
19. Tanner, G. J. et al. Proanthocyanidin biosynthesis in plants purification of legume leucoanthocyanidin reductase and molecular
cloning of its cDNA. Journal of Biological Chemistry 278, 31647–31656 (2003). i
ts cDNA. Journal of Biological Chemistry 278, 31647–31656 (2003). g
f
g
y
0. Winkel‐Shirley, B. Evidence for enzyme complexes in the phenylpropanoid and flavonoid pathways. Physiologia Plantarum 107
142–149 (1999).ll 1. Chen, W.-H. et al. Downregulation of putative UDP-glucose: flavonoid 3-O-glucosyltransferase gene alters flower coloring in
Phalaenopsis. Plant cell reports 30, 1007–1017 (2011).h p
p
(
)
22. Nesi, N., Jond, C., Debeaujon, I., Caboche, M. & Lepiniec, L. The Arabidopsis TT2 gene encodes an R2R3 MYB domain protein that
acts as a key determinant for proanthocyanidin accumulation in developing seed. The Plant Cell 13, 2099–2114 (2001). y
p
y
p gh
23. Wang, S., Barron, C., Schiefelbein, J. & Chen, J. G. Distinct relationships between GLABRA2 and single-repeat R3 MYB transcri
factors in the regulation of trichome and root hair patterning in Arabidopsis. New phytologist 185, 387–400 (2010). References g
g
p y
g
4. Terrier, N. et al. Ectopic expression of VvMybPA2 promotes proanthocyanidin biosynthesis in grapevine and suggests additiona
targets in the pathway. Plant physiology 149, 1028–1041 (2009). targets in the pathway. Plant physiology 149, 1028–1041 (2009) g
p
y
p y
gy
25. Gonzalez, A., Zhao, M., Leavitt, J. M. & Lloyd, A. M. Regulation of the anthocyanin biosynthetic pathway by the TTG1/bHLH/Myb
transcriptional complex in Arabidopsis seedlings. The Plant Journal 53, 814–827 (2008).hl h
26. Zhao, L. et al. The R2R3-MYB, bHLH, WD40, and related transcription factors in flavonoid biosynthesis. Functional & integrative
genomics 13, 75–98 (2013). g
7. Sun, B. et al. Purple foliage coloration in tea (Camellia sinensis L.) arises from activation of the R2R3-MYB transcription factor
CsAN1. Scientific Reports 6 (2016).l fi
p
8. Hichri, I. et al. Recent advances in the transcriptional regulation of the flavonoid biosynthetic pathway. Journal of Experimenta
Botany 62, 2465 (2011). 29. Borevitz, J. O., Xia, Y., Blount, J., Dixon, R. A. & Lamb, C. Activation tagging identifies a conserved MYB regulator of
phenylpropanoid biosynthesis. The Plant Cell 12, 2383–2393 (2000).i p
y p
p
yh
0. Cui, L. et al. Identification of UDP-glycosyltransferases involved in the biosynthesis of astringent taste compounds in tea (Camellia
sinensis). Journal of Experimental Botany 67, 2285–2297 (2016).l f
p
y
1. Kovinich, N., Saleem, A., Arnason, J. T. & Miki, B. Functional characterization of a UDP-glucose: flavonoid 3-O-glucosyltransferase
from the seed coat of black soybean (Glycine max (L.) Merr. Phytochemistry 71, 1253–1263 (2010).i 32. Kerio, L. C., Wachira, F. N., Wanyoko, J. K. & Rotich, M. K. Total polyphenols, catechin profiles and antioxidant activity of tea
products from purple leaf coloured tea cultivars. Food chemistry 136, 1405–1413 (2013). 3. Kytridis, V. P. & Manetas, Y. Mesophyll versus epidermal anthocyanins as potential in vivo antioxidants: evidence linking the putative
antioxidant role to the proximity of oxy-radical source. Journal of Experimental Botany 57, 2203–2210 (2006).f p
y
y
f
p
y
34. Kallithraka, S., Bakker, J. & Clifford, M. Evaluation of Bitterness and Astringency of (+)-Catechin and (−)-Epicatechin in Red Wine
and in Model Solution. Journal of Sensory Studies 12, 25–37 (1997).i p
y
y
f
p
34. Kallithraka, S., Bakker, J. & Clifford, M. Evaluation of Bitterness and Astring
and in Model Solution. Journal of Sensory Studies 12, 25–37 (1997).i f
y
35. Scharbert, S., Holzmann, N. & Hofmann, T. References W., Panter, S., Mouradov, A. & Spangenberg, G. A high-resolution method for the localization of proanthocyanidins
in plant tissues. Plant Methods 7, 13 (2011).ll 47. Wang, Y. et al. Influence of shade on flavonoid biosynthesis in tea (Camellia sinensis (L.) O. Kuntze). Scientia horticulturae 141, 7–16
(2012).ii 8. Jiang, X. et al. Tissue-specific, development-dependent phenolic compounds accumulation profile and gene expression pattern in
tea plant [Camellia sinensis]. PLoS One 8, e62315 (2013). 49. Pang, Y., Peel, G. J., Wright, E., Wang, Z. & Dixon, R. A. Early steps in proanthocyanidin biosynthesis in the model legume Medicago
truncatula. Plant physiology 145, 601–615 (2007). 50. Livak, K. J. & Schmittgen, T. D. Analysis of relative gene expression data using real-time quantitative PCR and the 2(−Delta Delta
C(T)) Method. Methods 25, 402–408 (2001). 51. Lei, Z. Y. et al. High-throughput Binary Vectors for Plant Gene Function Analysis. Journal of Integrative Plant Biology 49, 556
(2007). ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 12 www.nature.com/scientificreports/ Acknowledgements g
We thank the Chengbi Xiang Lab. (University of Science and Technology of China, Hefei city, China) for
excellent assistance transgenic expression in tobacco leaves. We also thank Huarong Tan for assistance with the
LC/MS analysis. This work was supported by the Natural Science Foundation of China (31770729,31570694,
31470689, 31300577, 31270730, and 31200229), the Postgraduate Foundation of Anhui Agricultural University,
Anhui Province China (2017yjs-36), the Natural Science Foundation of Anhui Province (1708085QC51), the
Collegiate Natural Science Foundation of Anhui Province (KJ2016A223), the Natural Science Foundation of
Anhui Province, China (1408085QC51), the Special Foundation for Independent Innovation of Anhui Province,
China (13Z03012). Author Contributions Conception and designed the study: Yunsheng Wang, Tao Xia, Xiujuan He. Drafted the manuscript: Yunsheng
wang, Xiujuan He, Xuecheng Zhao. Performed the experiments: Xuecheng Zhao, Xinlong Dai, Xingxing Shi,
Yajun Liu, Xiujuan He. Analyzed the data: Liping Gao, Xiujuan He, Xuecheng Zhao, Yajun Liu. Contributed
reagents/materials/analysis tools: Liping Gao, Xiaolan Jiang, Xiujuan He, Xingxing Shi, Xinlong Dai, Yajun Liu. All authors read and approved the final manuscript. ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z © The Author(s) 2017 Additional Information Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-017-18133-z Competing Interests: The authors declare that they have no competing interests. Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps an
institutional affiliations. Open Access This article is licensed under a Creative Commons Attribution 4.0 International
License, which permits use, sharing, adaptation, distribution and reproduction in any medium or
format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Cre-
ative Commons license, and indicate if changes were made. The images or other third party material in this
article are included in the article’s Creative Commons license, unless indicated otherwise in a credit line to the
material. If material is not included in the article’s Creative Commons license and your intended use is not per-
mitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the
copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/. © The Author(s) 2017 ScienTific RePorTS | (2018) 8:130 | DOI:10.1038/s41598-017-18133-z 13
|
https://openalex.org/W4361844057
|
https://figshare.com/ndownloader/files/39836076
|
English
| null |
Supplementary Methods, Figures 1-7, Tables 1-6 from HSulf-1 Modulates FGF2- and Hypoxia-Mediated Migration and Invasion of Breast Cancer Cells
| null | 2,023
|
cc-by
| 3,986
|
Small interfering RNA transfections and shRNAs. The control shRNA (non-target shRNA vector, Sigma) contains a hairpin insert
that will generate siRNAs but contains five base pair mismatches to any known human
gene. shRNA for HIF-1α was purchased from Open Biosystems. Lentivirus-GFP vector
encodes GFP when infected. Lentivirus particles were produced by transient transfection
of pLKO.1-HSulf-1, pLKO.1 NTC, pLKO.1 HIF-1α, pLKO.1 HIF-2α, pGIPZ-FGFR2
and pLKO.1 GFP along with packaging vectors (pVSV-G and pGag/pol) in 293T cells. The lentiviral supernatant stocks were collected 48 hours after transduction, filtered with
0.45μm filter and either used for infection or stored at -80oC. Vector titers were
determined by transducing cells with serial dilutions of concentrated lentivirus, in
complete growth medium containing 8μg/ml polybrene (Invitrogen). After day 4, growth
medium was supplemented with puromycin (2μg/ml). The numbers of surviving
colonies were counted under the microscope and titer of lentiviral stocks was calculated
using the formula: Transducing units=number of colonies x lentiviral dilution. All
lentiviral stocks used in the study were selected at a multiplicity of infection of 10. HSulf-1 Modulates FGF-2 and Hypoxia Mediated Migration and
Invasion of Breast Cancer Cells Materials and Methods: Antibodies. Primary antibodies used were as follows: Anti-HSulf-1 (Abcam cat #ab22010), anti-β
actin, and anti-α tubulin (Sigma), anti-HIF-1α and HIF-2α (Novus Biologicals), anti-
FGFR2 and anti-pFGFR2 (Y653/Y654) (Cell signaling Tech), anti-myc (9E10) (Santa
Cruz Biotech Inc), anti-streptavidin –HRP antibody (Endogen). MTT assay. MCF10DCIS cells and batch clones were plated in 96 well plate and subjected to
indicated treatments for 24 hours. To quantify viable cells, cells were incubated for 3
hour with MTT by adding 20 μl of 5 mg/ml MTT into each well containing 100 μl culture
medium. Cells were then washed with PBS and solubilized with DMSO. Absorbance was
measured at 570nm and proliferation was calculated as a percentage of controls. Cell surface Biotinylation. Free and unbound sulfo-NHS-LC-Biotin was removed by washing. Cells were lysed with
1% Triton-RIPA buffer with protease inhibitors. Proteins were estimated and 1mg
extracts were incubated with streptavidin sepharose beads overnight at 4°C to form
biotin-streptavidin complexes. Mixture was centrifuged and beads were washed in RIPA
buffer and samples were boiled in Laemmli buffer subjected to western immunoblotting
with respective antibodies. Hypoxia signature and HSulf-1 expression in clinical samples. BRB Array tools (Version 4.1.0 –Beta_2 Release) was used to perform hierarchical
clustering with K mean cluster using hypoxia gene signature as previously described. The number of clusters was set at 2, and the maximum number of iterations at 2000. Dataset published by Wang et al (36) was used for the classification of tumors as having
hypoxic or non-hypoxic signature. Following the classification, HSulf-1 expression
values for each sample was extracted, and the overall HSulf-1 expression distribution was
analyzed. The median value was used to dichotomize HSulf-1 expression to two groups:
low expressors (expression < median) and high expressors (expression ≥ median), and χ2
analysis was performed between HSulf-1 expression and hypoxia signature to determine
the association between these two phenotypes. Statistical Analyses. The JMP program (version 8.0; SAS Institute Inc, Cary, North Carolina) was used to
perform all statistical analyses. The Cox proportional hazards model was used to assess
the association of HSulf-1 expression and other clinical and pathologic factors, disease
progression, and survival. Multivariate analysis was then performed to identify the
independent prognostic factors as well as to estimate their effects on PFS and OS
adjusted for covariates (ER status, nodal status, grade, and stage). Kaplan-Meier survival curves by HSulf-1 characteristics were calculated and compared using the log-rank test. All statistical tests were 2-tailed, with a significance level set at 5%. HSulf-1 expression
was dichotomized as low (staining score 0 or 1) and high (staining score 2 or 3) to
determine the clinical significance of HSulf-1 expression in Kaplan-Meier survival
analyses. Patient characteristics. The study included 53 patients with primary ductal carcinomas and the corresponding
metastatic lesions (collected between 199-2003). Following surgery, both the primary
tumors and metastatic lesions were cooled immediately and later fixed in formalin. All
patients underwent primary surgery without neoadjuvant treatments. Patient
characteristics are summarized in Table S2. Patient characteristics for primary invasive
breast tumors used for survival analysis by RNA in situ (11) are listed in Table S4. RNA in Situ-Hybridization. RNA in situ-hybridization was performed on breast tumor
microarray as described previously (11). Breast Cancer Tissue Microarray. Tissue microarrays (TMAs) containing three cores from 60 primary invasive breast
cancers (stage II-IV) were constructed. An experienced surgical pathologist evaluated
hematoxylin and eosin stained slides of specimens prior to construction of the tissue
microarray to identify representative tumor areas. Clinicopathologic data are presented in
Table S4. Immunohistochemistry. Representative sections of each specimen were stained with haematoxylin-eosin. For
immunohistochemistry, breast tumor specimens on a tissue microarray embedded in
paraffin were cut at 5-7 µm, mounted on glass and dried overnight at 37°C. All sections,
then, were deparaffinized in xylene, rehydrated through a graded alcohol series and
washed in phosphate-buffered saline (PBS). PBS was used for all subsequent washes and
for antiserum dilution. Tissue sections were quenched sequentially in 3% hydrogen
peroxide in aqueous solution and blocked with PBS-6% non-fat dry milk for 1 h at room
temperature. Slides then were incubated at 4°C overnight with a rabbit polyclonal
antiserum specific for HSulf-1 (Abcam Cat # ab31960) at final 1:100 dilution and CAIX
at a final 1:1000 dilution (Abcam, Cat # ab15086) in PBS-3% non-fat dry milk. After
three washes in PBS to remove the excess of antiserum, the slides were incubated with diluted goat anti-rabbit biotinylated antibody (Vector Laboratories, Burlingame, CA,
U.S.A.) at 1:200 dilution in PBS-3% non-fat dry milk for 1 h. All the slides then were
processed by the ABC method (Vector Laboratories, Burlingame, CA, U.S.A.) for 30 min
at room temperature. Diamonobenzidine (Vector Laboratories, Burlingame, CA, U.S.A.)
was used as the final chromogen and hematoxylin was used as the nuclear counterstain. Negative controls for each tissue section were prepared by leaving out the primary
antiserum. All samples were processed under the same conditions. The expression levels
of both HSulf-1 and CAIX stained cells per field (250 X) at light microscopy was
calculated and compared in different specimens by two separate observers (A.B. and
P.M.) in a double blinded fashion and described as: score 0 (absent); 1 (very low); 2
(moderate); and 3 (high). An average of 22 fields was observed for each breast
specimens. Clinical information was extracted for each specimen, and statistical analyses
were performed by L.L and B.V. Prognostic significance of HSulf-1 expression in breast cancer. We investigated clinical significance of HSulf-1 down-regulation in breast cancer by
determining the potential associations between the HSulf-1 expression levels and
clincopathological parameters (such as tumor histology, grade and estrogen receptor
status, stage, lymph node status, and recurrent disease). A TMA consisted of 60 primary
breast tumors samples (invasive ductal and lobular carcinoma with varying grades and
stages) of the patients treated at the Mayo Clinic were used in the present study. The
median age of the patients analysed in this study was 62.8 years (24.7- 80.9 years). HSulf-1 expression was determined by RNA in situ hybridization as previously described
(11). Intensity of staining was scored from 1-2 (low) and 3-4 (high) by three independent
investigators blinded to the clinical data. Our analysis indicated that 50% of the breast
tumors had loss or lower levels of HSulf-1 expression. Clincopathologic data of the
patients are described in Table S4. Kaplan-Meier survival analysis showed that tumors
with high HSulf-1 expression have longer disease free survival and overall survival than
low HSulf-1 expressing tumors (p value =0.03 and 0.0001, respectively) (Figure S6). The median disease free survival for all the patients was 39 months and median overall
survival was 9.3 years. In both univariate and multivariate analysis there was no
significant association with HSulf-1 expression and ER status, lymph node status and
histology. However, univariate and multivariate analysis confirmed that HSulf-1 mRNA
is an independent prognostic factor for DFS and overall survival (Table S4 and Table
S5). Patient’s characteristics are provided in Table S6. HSulf-1 expression was determined by RNA in situ hybridization as previously described
(11). Intensity of staining was scored from 1-2 (low) and 3-4 (high) by three independent
investigators blinded to the clinical data. Our analysis indicated that 50% of the breast
tumors had loss or lower levels of HSulf-1 expression. Clincopathologic data of the
patients are described in Table S4. Kaplan-Meier survival analysis showed that tumors
with high HSulf-1 expression have longer disease free survival and overall survival than
low HSulf-1 expressing tumors (p value =0.03 and 0.0001, respectively) (Figure S6). The median disease free survival for all the patients was 39 months and median overall
survival was 9.3 years. In both univariate and multivariate analysis there was no
significant association with HSulf-1 expression and ER status, lymph node status and
histology. Prognostic significance of HSulf-1 expression in breast cancer. However, univariate and multivariate analysis confirmed that HSulf-1 mRNA
is an independent prognostic factor for DFS and overall survival (Table S4 and Table
S5). Patient’s characteristics are provided in Table S6. Supplementary figures
Figure S1: (A) Quantitative Real-time PCR shows relative expression of HSulf-1
normalized to actin in MCF7 cells either unexposed or exposed to hypoxia (3% oxygen)
for 16 hours, *p value <0.03. (B) Quantitative Real-time PCR shows relative expression
of HSulf-1 normalized to 18S in SKBr3 cells were either left unexposed or exposed to as
indicated above, *p value <0.04. (C) Quantitative Real-time PCR shows relative
expression of HSulf-1 normalized to 18S in MDA157 cells were either left unexposed or
exposed to as indicated above, *p value <0.018. (D) MCF7, SKBr3 and MDA157 cells
were either left unexposed or exposed to hypoxia (3% oxygen) for 16 hours. Cells were
harvested and subjected to Western immunoblotting with anti-HSulf-1 (Panel 1), anti-
HIF-1α (Panel 2) and anti- α-tubulin (Panel 3) antibodies. Supplementary figures Supplementary figures Figure S1: (A) Quantitative Real-time PCR shows relative expression of HSulf-1
normalized to actin in MCF7 cells either unexposed or exposed to hypoxia (3% oxygen)
for 16 hours, *p value <0.03. (B) Quantitative Real-time PCR shows relative expression
of HSulf-1 normalized to 18S in SKBr3 cells were either left unexposed or exposed to as
indicated above, *p value <0.04. (C) Quantitative Real-time PCR shows relative
expression of HSulf-1 normalized to 18S in MDA157 cells were either left unexposed or
exposed to as indicated above, *p value <0.018. (D) MCF7, SKBr3 and MDA157 cells
were either left unexposed or exposed to hypoxia (3% oxygen) for 16 hours. Cells were
harvested and subjected to Western immunoblotting with anti-HSulf-1 (Panel 1), anti-
HIF-1α (Panel 2) and anti- α-tubulin (Panel 3) antibodies. Figure S2 Figure S2 Figure S2: MCF7 cells were transfected with HIF-1α siRNA oligos and control siRNA
oligos before exposing them to hypoxia (3% oxygen) for indicated time intervals. Quantitative Real-time PCR shows normalized relative expression HIF-1α (A), HSulf-1
(B) and HSulf-2 (C) as described in the Methods section. Levels of these mRNAs were
normalized using β-actin as an endogenous control. *p value <0.05. Figure S2: MCF7 cells were transfected with HIF-1α siRNA oligos and control siRNA
oligos before exposing them to hypoxia (3% oxygen) for indicated time intervals. Quantitative Real-time PCR shows normalized relative expression HIF-1α (A), HSulf-1
(B) and HSulf-2 (C) as described in the Methods section. Levels of these mRNAs were
normalized using β-actin as an endogenous control. *p value <0.05. Figure S2: MCF7 cells were transfected with HIF-1α siRNA oligos and control siRNA
oligos before exposing them to hypoxia (3% oxygen) for indicated time intervals. Quantitative Real-time PCR shows normalized relative expression HIF-1α (A), HSulf-1
(B) and HSulf-2 (C) as described in the Methods section. Levels of these mRNAs were
normalized using β-actin as an endogenous control. *p value <0.05. Figure S3 Figure S3 Figure S3 : MTT assay was performed on MCF10DCIS batch clones after 24 hours of
treatments as indicated. NTC and HSulf-1 depleted HL55 and HL58 were either
subjected to (A) bFGF2 treatment or (B) exposed to normoxia and hypoxia. Supplementary figures (C) NTC and
HIF-1α knockdown (H-718) clones were exposed to hypoxia, (D) NTC and FGFR2
depleted batch clones were treated with bFGF2 or (E) exposed to hypoxia for 24 hours
Figure S3 Figure S3 : MTT assay was performed on MCF10DCIS batch clones after 24 hours of Figure S3 : MTT assay was performed on MCF10DCIS batch clones after 24 hours of
treatments as indicated. NTC and HSulf-1 depleted HL55 and HL58 were either
subjected to (A) bFGF2 treatment or (B) exposed to normoxia and hypoxia. (C) NTC and
HIF-1α knockdown (H-718) clones were exposed to hypoxia, (D) NTC and FGFR2
depleted batch clones were treated with bFGF2 or (E) exposed to hypoxia for 24 hours
before MTT assay. No statistical differences were observed in any of the treatments or
gene knockdown. Figure S3 : MTT assay was performed on MCF10DCIS batch clones after 24 hours of
treatments as indicated. NTC and HSulf-1 depleted HL55 and HL58 were either
subjected to (A) bFGF2 treatment or (B) exposed to normoxia and hypoxia. (C) NTC and
HIF-1α knockdown (H-718) clones were exposed to hypoxia, (D) NTC and FGFR2
depleted batch clones were treated with bFGF2 or (E) exposed to hypoxia for 24 hours
before MTT assay. No statistical differences were observed in any of the treatments or
gene knockdown. Figure S4: (A and B) pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid transfected
Figure S4 Figure S4: (A and B) pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid transfected
MCF10DCIS.com cells were subjected to transwell cell migration assay under both
normoxic and hypoxic conditions for 24 hours (A) [*p value =<0.024 (compare vector to
HSulf-1, normoxia) **p value =<0.025 (compare vector to HSulf-1, hypoxia)] or
transwell invasion assay (B) under both normoxic and hypoxic conditions for 24 hours. [*p value =<0.05 (compare vector to HSulf-1, normoxia) **p value =<0.02 (compare
vector to HSulf-1, hypoxia)]. pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid
transfected MCF10DCIS.com cells were subjected to transwell migration assay (C) in the
presence or absence of bFGF2 [10ng/ml] in lower chambers in serum free media. Upper
chamber contained serum free medium and cells.. Supplementary figures [*p value =<0.01 (compare vector to
Figure S4 Figure S4 Figure S4 Figure S4: (A and B) pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid transfected Figure S4: (A and B) pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid transfected
MCF10DCIS.com cells were subjected to transwell cell migration assay under both
normoxic and hypoxic conditions for 24 hours (A) [*p value =<0.024 (compare vector to
HSulf-1, normoxia) **p value =<0.025 (compare vector to HSulf-1, hypoxia)] or
transwell invasion assay (B) under both normoxic and hypoxic conditions for 24 hours. [*p value =<0.05 (compare vector to HSulf-1, normoxia) **p value =<0.02 (compare
vector to HSulf-1, hypoxia)]. pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid
transfected MCF10DCIS.com cells were subjected to transwell migration assay (C) in the
presence or absence of bFGF2 [10ng/ml] in lower chambers in serum free media. Upper Figure S4: (A and B) pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid transfected Figure S4: (A and B) pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid transfected
MCF10DCIS.com cells were subjected to transwell cell migration assay under both
normoxic and hypoxic conditions for 24 hours (A) [*p value =<0.024 (compare vector to
HSulf-1, normoxia) **p value =<0.025 (compare vector to HSulf-1, hypoxia)] or
transwell invasion assay (B) under both normoxic and hypoxic conditions for 24 hours. [*p value =<0.05 (compare vector to HSulf-1, normoxia) **p value =<0.02 (compare
vector to HSulf-1, hypoxia)]. pcDNA3.1 or pcDNA3.1 HSulf-1-myc/His plasmid
transfected MCF10DCIS.com cells were subjected to transwell migration assay (C) in the
presence or absence of bFGF2 [10ng/ml] in lower chambers in serum free media. Upper
chamber contained serum free medium and cells.. [*p value =<0.01 (compare vector to HSulf-1, normoxia) **p value =<0.027 (compare vector to HSulf-1, hypoxia)] or
transwell invasion assay (D) in the presence or absence of bFGF2 [10ng/ml] in lower
chambers in serum free media. * p value =<0.05 (compare vector to HSulf-1, normoxia),
** p value =<0.01(compare vector to HSulf-1, hypoxia). HSulf-1, normoxia) **p value =<0.027 (compare vector to HSulf-1, hypoxia)] or
transwell invasion assay (D) in the presence or absence of bFGF2 [10ng/ml] in lower
chambers in serum free media. * p value =<0.05 (compare vector to HSulf-1, normoxia),
** p value =<0.01(compare vector to HSulf-1, hypoxia). or Figure S5 Figure S5 Figure S5 Figure S5: K means cluster analysis of HSulf-1 expression with hypoxia signature genes
as described in supplementary materials and methods. Supplementary figures The median value was used to
dichotomize HSulf-1 expression to two groups: low expressors (expression < median)
and high expressors (expression ≥ median), and χ2 analyses were performed between
HSulf-1 expression and hypoxia signature to determine the association between these two
phenotypes. Statistically significant inverse correlation was observed between hypoxic
gene signature genes and HSulf-1 expression levels. Tests Between Groups Tests Between Groups
Test
ChiSquare
DF Prob>ChiSq
Log-
Rank
4.4409
1
0.0351*
Wilcoxon
3.6951
1
0.0546
Test
ChiSquare
DF
Prob>ChiSq
Log-
Rank
15.2890
1
<.0001*
Wilcoxon
11.9612
1
0.0005*
Figure S6 Figure S6 Figure S6 Figure S6 Tests Between Groups Tests Between Groups
Test
ChiSquare
DF Prob>ChiSq
Log-
Rank
4.4409
1
0.0351*
Wilcoxon
3.6951
1
0.0546
Test
ChiSquare
DF
Prob>ChiSq
Log-
Rank
15.2890
1
<.0001*
Wilcoxon
11.9612
1
0.0005*
Figure S6 Tests Between Groups
Test
ChiSquare
DF Prob>ChiSq
Log-
Rank
4.4409
1
0.0351*
Wilcoxon
3.6951
1
0.0546 Figure S6: Kaplan-Meier survival analysis was performed to evaluate HSulf-1 mRNA
expression levels with disease-free and overall patient survival (A and B respectively). (A) Statistically significant association was found with HSulf-1 mRNA and disease free
survival. Median disease free survival for patients expressing low HSulf-1 tumors was 31
months (range 2.4 to 197 months) and Mean =71.25, (CI, 44.7-97.8). Median disease free
survival for patients expressing high HSulf-1 tumors was 170 months (range 6 to 204
months) and Mean =116.38, (CI, 86.75-146.0). (B) Statistically significant association
was found with HSulf-1 mRNA and overall survival. Median overall survival for patients
expressing low HSulf-1 tumors was 4.36 years (range 1 to 16 years) and Mean = 7.27
years (CI 9.26-5.28). Median overall survival for patients expressing high HSulf-1
tumors was 14.84 years (range 2.2-17 years) and Mean=11.69 (CI, 13.7-9.7). Figure S7 Figure S7: Proposed model
Figure S7 Figure S7: Proposed model Figure S7: Proposed model Based on our study we propose that under steady state conditions where HSulf-1 is
available, it catalytically removes sulfate moiety from 6-O sulfated heparan sulfate on
HSPGs. This result in decreased FGF2 binding sites on co-receptors (HSPGs) and hence
decreased signaling. However under low oxygen conditions, HIF-1α is stabilized and
shuts down the transcription of HSulf-1 leading to decreased HSulf-1 levels resulting in
increased bFGF2 signaling and hypoxia mediated cell migration and invasion. Supplementary figures Table S1: Primers used for cloning, ChIP and siRNA oligos Promoter Cloning
Primers
pGL3 basic HSulf-1 P1 [-996 to-2145]
XhoI F: CCGCTCGAGCCTTATCCTGCAGCACCAAC
HINDIII
R:CCCAAGCTTATTGCACCTTTTGTATTTCTTTGA
pGL3 basic HSulf-1 P2 [-19 to-989]
XhoI F: CCGCTCGAGAATGTTGGCTTCCCACAGAC
HindIII R:CCCAAGCTTTTTTCAGAGAGAAAGGACTGC
Restrictions sites are bolded. Primers used for
PCR following ChIP
with anti HIF-1α
antibody
P1-ChIP1F: 5’-CAACCACATCTATTGCATCC-3’
P2-CHIP1R: 5’-GTGCTTGTAACACACTGTCT-3’
P1 and P2 primers span the two HRE elements in promoter
construct 1 (-996 to -2145)
P3-CHIP2 F 5’-TCAATGACAGAGTGCAGCCC-3’
P4-CHIP2R: 5’-CACAGGCTGAACTTCAGAAA-3’
P3 and P4 primers span the single HRE element in promoter
construct 2 (-19 to -989). Supplementary figures Primers used for site
directed mutagenesis
of HRE elements
within P1 promoter
construct
HRE Mut 1F: GCAAGTATTAAATAATGTAAATAGCTGA
HRE Mut 1R: TCAGCTATTTACATTATTTAATACTTGC
HRE Mut 2F: GAATAAAATGTCAATGTTAAAAAGCACTT
HRE Mut 2R: AAGTGCTTTTTAACATTGACATTTTATTCT
For both HRE elements, HRE CGTG was mutated to AATG
SiRNA oligos
Control siRNA oligo
Sense ACUUACGAGUGACAGUAGATT
shRNA target
sequence for HSulf-1
HL55 :CCCAAATATGAACGGGTCAAA
HL58: CCAAGACCTAAGAATCTTGAT
shRNA target
sequence for HIF-1α
HL718:CCTAAAGCAGTCTATTTATATT
shRNA target
sequence for HIF-2α
HB17: GCGCAAATGTACCCAATGATA
HB19:CCATGAGGAGATTCGTGAGAA
shRNA target
sequence for FGFR2
shRNA1: CAGAGTTTGTCTGCAAGGTTT
shRNA2: ATGTCCTGACAAGCACAATA Primers used for
PCR following ChIP
with anti HIF-1α
antibody Table S2: Patient Characteristics Table S2: Patient Characteristics able S2: Patient Characteristics
Total number
53
Median age
56 + 13
Invasive Ductal carcinoma
53
Grading
1
2
3
13 (25%)
29 (55%)
11 (20%)
Lymph node metastases
53
CAIX expression in primary tumors
0 (absent)
1 (low)
2 (moderate)
3 (high)
4 (7.5%)
13 (24.5%)
16 (30%)
20 (38%)
CAIX expression in metastases
0 (absent)
1 (low)
2 (moderate)
3(high)
0 (0%)
13 (25%)
16 (30%)
24 (45%)
HSulf-1 expression in primary tumors
0 (Absent)
1 (Low)
2 (Moderate)
3 (high)
8 (15%)
32 (60%)
5 (10%)
8 (15%)
HSulf-1 expression in metastases
0 (Absent)
1 (Low)
2 (Moderate)
3 (high)
31 (58%)
7 (32%)
5 (10%)
0 (0%) Table S3: Chi-square statistical analysis of HSulf-1 and CAIX expression
(A) In Primary Tumors
Test
Chi-Square
Degree of Freedom (DF)
Prob>ChiSq
Pearson
18.755
9
0.0198*
Likelihood Ratio
19.706
9
0.0274*
Warning: 20% of cells have expected count less than 5, ChiSquare suspect
(B) In Metastatic Lesions
Test
Chi-Square
Degree of Freedom (DF)
Prob>ChiSq
Pearson
14.186
4
0.0067*
Likelihood Ratio
11.736
4
0.0194*
Warning: 20% of cells have expected count less than 5, ChiSquare suspect Table S3: Chi-square statistical analysis of HSulf-1 and CAIX expression
(A) In Primary Tumors
Test
Chi-Square
Degree of Freedom (DF)
Prob>ChiSq
Pearson
18.755
9
0.0198*
Likelihood Ratio
19.706
9
0.0274*
Warning: 20% of cells have expected count less than 5, ChiSquare suspect Table S3: Chi-square statistical analysis of HSulf-1 and CAIX expression
(A) In Primary Tumors
Test
Chi-Square
Degree of Freedom (DF)
Prob>ChiSq
Pearson
18.755
9
0.0198*
Likelihood Ratio
19.706
9
0.0274*
Warning: 20% of cells have expected count less than 5, ChiSquare suspect
(B) In Metastatic Lesions
Test
Chi-Square
Degree of Freedom (DF)
Prob>ChiSq
Pearson
14.186
4
0.0067*
Likelihood Ratio
11.736
4
0.0194*
Warning: 20% of cells have expected count less than 5, ChiSquare suspect Table S3: Chi-square statistical analysis of HSulf-1 and CAIX expression (B) In Metastatic Lesions
Test
Chi-Square
Degree of Freedom (DF)
Prob>ChiSq
Pearson
14.186
4
0.0067*
Likelihood Ratio
11.736
4
0.0194*
Warning: 20% of cells have expected count less than 5, ChiSquare suspect Warning: 20% of cells have expected count less than 5, ChiSquare suspect Table S4: Prognostic factors in breast cancer cases compared with disease-free survival. Supplementary figures Clinical parameters
P value
(Univariate)
Risk ratio
Confidence Intervals
Grade
0.177
NA
NA
Histology
0.75
NA
NA
Estrogen receptor
0.751
NA
NA
Lymph node status
0.812
NA
NA
Stage
0.0924
NA
NA
HSulf-1 mRNA
0.01
-0.914
-1.656 to -0.216
Multivariate analysis
Clinical parameters
P value
(Multivariate)
Risk ratio
Confidence Intervals
HSulf-1 mRNA
0.0019
-1.155
-1.931 to -0.423
Grade
0.0209
1.137
0.158 to 2.380
Stage
0.0320
0.771
0.065 to 1.512 ostic factors in breast cancer cases compared with disease-free survival. Table S5: Prognostic factors in breast cancer cases compared with overall survival. Clinical parameters
P value
(Univariate)
Risk ratio
Confidence Intervals
Grade
0.627
NA
NA
Histology
0.303
NA
NA
Estrogen receptor
0.063
-0.389
-0.882 to -0.02
Lymph node status
0.682
NA
NA
Stage
0.456
NA
NA
HSulf-1 mRNA
0.0001
-1.45
-2.281 to -0.716
Multivariate analysis
Clinical parameters
P value
(Multivariate)
Risk ratio
Confidence Intervals
HSulf-1 mRNA
0.0003
-1.36
-2.21 to -0.605
Stage
0.0320
0.771
0.065 to 1.512 gnostic factors in breast cancer cases compared with overall survival. l
i k
i
fid
l Table S5: Prognostic factors in breast cancer cases compared with o Table S6: Characteristics of clinical parameters of breast cancer and HSulf-1 mRNA. Clinical parameters
HSulf-1
Absent-low
HSulf-1
Moderate- high
Patients (n)
Age (years, mean±
SD)
29
61.4±14.6
31
58.2±12.5
Grade
Number with data
Low (1-2)
High (3-4)
29
0
29 (50%)
31
2 (100%)
29 (50%)
Histology
Number with data
Ductal
Lobular
29
27 (49%)
2 (40%)
31
28 (51%)
3 (60%)
Estrogen receptor
Number with data
Negative
Positive
29
6 (37.5%)
23 (52.2%)
31
10 (62.5%)
21 (47.8%)
Lymph node status
Number with data
Negative
Positive
29
26 (57.7%)
3 (20%)
31
19 (42.3%)
12 (80%)
Stage
Number with data
I
II
29
14 (50%)
15 (46.8%)
31
14 (50%)
17 (53.2%)
Median Survival
31 months (range
2.4 to 197 months)
Mean =71.25
(CI 44.7-97.8)
170 months (range 6
to 204 months)
Mean =116.38
(CI 86.75 to 146.0) Characteristics of clinical parameters of breast cancer and HSulf-1 mRNA.
|
https://openalex.org/W2967896683
|
https://pure.au.dk/ws/files/209944236/acp_19_10239_2019.pdf
|
English
| null |
Biogenic and anthropogenic sources of aerosols at the High Arctic site Villum Research Station
|
Atmospheric chemistry and physics
| 2,019
|
cc-by
| 19,259
|
Correspondence: Ingeborg E. Nielsen (ien@envs.au.dk) Correspondence: Ingeborg E. Nielsen (ien@envs.au.dk) Received: 8 February 2019 – Discussion started: 25 March 2019
Revised: 13 July 2019 – Accepted: 16 July 2019 – Published: 13 August 2019 Received: 8 February 2019 – Discussion started: 25 March 2019
Revised: 13 July 2019 – Accepted: 16 July 2019 – Published: 13 August 2019 March and April, rBC averaged 0.1 µg m−3 while decreasing
to 0.02 µg m−3 in May. Abstract. There are limited measurements of the chemical
composition, abundance and sources of atmospheric parti-
cles in the High Arctic To address this, we report 93 d of
soot particle aerosol mass spectrometer (SP-AMS) data col-
lected from 20 February to 23 May 2015 at Villum Research
Station (VRS) in northern Greenland (81◦36′ N). During this
period, we observed the Arctic haze phenomenon with ele-
vated PM1 concentrations ranging from an average of 2.3,
2.3 and 3.3 µg m−3 in February, March and April, respec-
tively, to 1.2 µg m−3 in May. Particulate sulfate (SO2−
4 ) ac-
counted for 66 % of the non-refractory PM1 with the high-
est concentration until the end of April and decreasing in
May. The second most abundant species was organic aerosol
(OA) (24 %). Both OA and PM1, estimated from the sum of
all collected species, showed a marked decrease throughout
May in accordance with the polar front moving north, to-
gether with changes in aerosol removal processes. The high-
est refractory black carbon (rBC) concentrations were found
in the first month of the campaign, averaging 0.2 µg m−3. In Positive matrix factorization (PMF) of the OA mass spec-
tra yielded three factors: (1) a hydrocarbon-like organic
aerosol (HOA) factor, which was dominated by primary
aerosols and accounted for 12 % of OA mass, (2) an Arc-
tic haze organic aerosol (AOA) factor and (3) a more oxy-
genated marine organic aerosol (MOA) factor. AOA domi-
nated until mid-April (64 %–81 % of OA), while being nearly
absent from the end of May and correlated significantly with
SO2−
4 , suggesting the main part of that factor is secondary
OA. The MOA emerged late at the end of March, where it
increased with solar radiation and reduced sea ice extent and
dominated OA for the rest of the campaign until the end of
May (24 %–74 % of OA), while AOA was nearly absent. Correspondence: Ingeborg E. Nielsen (ien@envs.au.dk) The
highest O/C ratio (0.95) and S/C ratio (0.011) was found
for MOA. Our data support the current understanding that
Arctic aerosols are highly influenced by secondary aerosol
formation and receives an important contribution from ma-
rine emissions during Arctic spring in remote High Arctic Atmos. Chem. Phys., 19, 10239–10256, 2019
https://doi.org/10.5194/acp-19-10239-2019
© Author(s) 2019. This work is distributed under
the Creative Commons Attribution 4.0 License.
Biogenic and anthropogenic sources of aerosols at the High Arctic
site Villum Research Station
Ingeborg E. Nielsen1,2, Henrik Skov1,2,5, Andreas Massling1,2, Axel C. Eriksson3,4, Manuel Dall’Osto6,
Heikki Junninen7,10, Nina Sarnela7, Robert Lange1,2, Sonya Collier8, Qi Zhang8, Christopher D. Cappa9, and
Jacob K. Nøjgaard1,2
1Department of Environmental Science, Aarhus University, Roskilde, 4000, Roskilde, Denmark
2Arctic Research Centre, Aarhus University, Aarhus, 8000, Aarhus, Denmark
3Division of Ergonomics and Aerosol Technology, Lund University, P.O. Box 118, 22100, Lund, Sweden
4Division of Nuclear Physics, Lund University, Lund, P.O. Box 118, 22100, Lund, Sweden
5Institute of Chemical Engineering and Biotechnology and Environmental Technology, University of
Southern Denmark, 5230, Odense, Denmark
6Institute of Marine Sciences, CSIC, Passeig Marítim de la Barceloneta, 37–49, 08003, Barcelona, Spain
7Institute for Atmospheric and Earth System Research/Physics, Faculty of Science, University of
Helsinki, 00140 Helsinki, Finland
8Department of Environmental Toxicology, University of California, Davis, CA 95616, USA
9Department of Civil and Environmental Engineering, University of California, Davis, CA 95616, USA
10Institute of Physics, University of Tartu, Ülikooli 18, 50090 Tartu, Estonia
Correspondence: Ingeborg E. Nielsen (ien@envs.au.dk) Atmos. Chem. Phys., 19, 10239–10256, 2019
https://doi.org/10.5194/acp-19-10239-2019
© Author(s) 2019. This work is distributed under
the Creative Commons Attribution 4.0 License. Biogenic and anthropogenic sources of aerosols at the High Arctic
site Villum Research Station
Ingeborg E. Nielsen1,2, Henrik Skov1,2,5, Andreas Massling1,2, Axel C. Eriksson3,4, Manuel Dall’Osto6,
Heikki Junninen7,10, Nina Sarnela7, Robert Lange1,2, Sonya Collier8, Qi Zhang8, Christopher D. Cappa9, and
Jacob K. Nøjgaard1,2
1Department of Environmental Science, Aarhus University, Roskilde, 4000, Roskilde, Denmark
2Arctic Research Centre, Aarhus University, Aarhus, 8000, Aarhus, Denmark
3Division of Ergonomics and Aerosol Technology, Lund University, P.O. Box 118, 22100, Lund, Sweden
4Division of Nuclear Physics, Lund University, Lund, P.O. Box 118, 22100, Lund, Sweden
5Institute of Chemical Engineering and Biotechnology and Environmental Technology, University of
Southern Denmark, 5230, Odense, Denmark
6Institute of Marine Sciences, CSIC, Passeig Marítim de la Barceloneta, 37–49, 08003, Barcelona, Spain
7Institute for Atmospheric and Earth System Research/Physics, Faculty of Science, University of
Helsinki, 00140 Helsinki, Finland
8Department of Environmental Toxicology, University of California, Davis, CA 95616, USA
9Department of Civil and Environmental Engineering, University of California, Davis, CA 95616, USA
10Institute of Physics, University of Tartu, Ülikooli 18, 50090 Tartu, Estonia
Correspondence: Ingeborg E. Nielsen (ien@envs.au.dk) Atmos. Chem. Phys., 19, 10239–10256, 2019
https://doi.org/10.5194/acp-19-10239-2019
© Author(s) 2019. This work is distributed under
the Creative Commons Attribution 4.0 License. Biogenic and anthropogenic sources of aerosols at the High Arctic
site Villum Research Station Ingeborg E. Nielsen1,2, Henrik Skov1,2,5, Andreas Massling1,2, Axel C. Eriksson3,4, Manuel Dall’Osto6,
Heikki Junninen7,10, Nina Sarnela7, Robert Lange1,2, Sonya Collier8, Qi Zhang8, Christopher D. Cappa9, and
Jacob K. Nøjgaard1,2 1Department of Environmental Science, Aarhus University, Roskilde, 4000, Roskilde, Denmark 2Arctic Research Centre, Aarhus University, Aarhus, 8000, Aarhus, Denmark 5Institute of Chemical Engineering and Biotechnology and Environmental Technology, University of
Southern Denmark, 5230, Odense, Denmark 6Institute of Marine Sciences, CSIC, Passeig Marítim de la Barceloneta, 37–49, 08003, Barcelona, Spain
7Institute for Atmospheric and Earth System Research/Physics, Faculty of Science, University of
Helsinki, 00140 Helsinki, Finland 6Institute of Marine Sciences, CSIC, Passeig Marítim de la Barceloneta, 37–49, 08003, Barcelona, Spain
7Institute for Atmospheric and Earth System Research/Physics, Faculty of Science, University of
Helsinki, 00140 Helsinki, Finland 8Department of Environmental Toxicology, University of California, Davis, CA 95616, USA
9Department of Civil and Environmental Engineering, University of California, Davis, CA 95616, USA
10Institute of Physics, University of Tartu, Ülikooli 18, 50090 Tartu, Estonia 8Department of Environmental Toxicology, University of California, Davis, CA 95616, USA
9Department of Civil and Environmental Engineering, University of California, Davis, CA 95616, USA
10I
tit t
f Ph
i
U i
it
f T t
Ülik
li 18 50090 T t
E t
i Department of Environmental Toxicology, University of California, Davis, CA 95616, USA
9Department of Civil and Environmental Engineering, University of California, Davis, CA 95616, USA
10I
tit t
f Ph
i
U i
it
f T t
Ülik
li 18 50090 T t
E t
i 10Institute of Physics, University of Tartu, Ülikooli 18, 50090 Tartu, Estonia 1
Introduction Climate change driven by anthropogenic emission of green-
house gases seriously impacts the Arctic, which has expe-
rienced average temperature increases of twice the global
mean during the last 100 years (AMAP, 2015; IPCC, 2018). Warming has led to destabilization of permafrost (AMAP,
2017) and a longer melting season, resulting in a critical de-
crease in the sea-ice extent (Stroeve et al., 2007). The latter
changes the Earth’s albedo and results in positive sea-ice and
snow-albedo feedbacks, causing further warming (Lenton,
2012). In addition to long-lived greenhouse gases such as
CO2, atmospheric aerosols also have an impact on the ra-
diation balance of the Earth. Aerosols affect the radiative
balance in various ways. They can absorb and scatter solar
radiation, causing either warming or cooling of the atmo-
sphere, respectively. Aerosols can also impact the properties
of clouds, for example affecting cloud reflectivity, by serving
as cloud-condensation and ice nuclei (Twomey, 1977). Due
to aerosols’ climatic importance it is crucial to expand the
knowledge regarding their chemical and physical properties
in the Arctic to reduce the current uncertainty (IPCC, 2013)
with respect to the overall effect of aerosols on Earth’s en-
ergy budget. BC is the most important aerosol for absorbing solar radi-
ation in the atmosphere. Of particular concern for the Arc-
tic, BC deposited on snow and ice-covered surfaces changes
the albedo, leading to increased absorption of solar radiation
and direct heating of the surface (Bond et al., 2013). Conse-
quently, melting accelerates, giving BC an important role es-
pecially in an Arctic context (Bond et al., 2013; Quinn et al.,
2008; AMAP, 2011). Long-range transport of BC to the Arc-
tic is very effective in midwinter, when removal processes are
slowest. Transport reaches a minimum in late spring, where
wet deposition becomes an important removal process (Ab-
batt et al., 2019; AMAP, 2015). Natural emissions from veg-
etation fires can be considerable in spring and early summer
(Mahmood et al., 2016). Overall, the general seasonal cycle
of BC in the Arctic is characterized by the highest concen-
trations being observed between January and April and the
lowest concentrations being observed throughout the sum-
mer, with periodic spikes in concentration throughout the
summer (Sharma et al., 2006). OA is also an important com-
ponent of Arctic aerosols and is composed of many differ-
ent molecules derived from either primary emissions or from
secondary production. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station This is also the case at the High
Arctic station, Villum Research Station (VRS) at Station
Nord in northern Greenland, where this study was conducted. Rahn and Heidam (1981) have previously estimated the aver-
age chemical composition of Arctic sub-micrometer aerosols
during winter and spring as 2 µg m−3 SO2−
4 , 1 µg m−3 or-
ganic aerosol (OA), 0.3–0.5 µg m−3 BC and a few hundred
ng m−3 of other compounds. Since then, SO2−
4
and BC dur-
ing winter and spring have declined at Alert, Mount Zep-
pelin, Utqia˙gvik (formerly known as Barrow) and VRS (Hei-
dam et al., 1999; Hirdman et al., 2010; AMAP, 2015). How-
ever, the total Arctic column burden may have increased
(Sharma et al., 2013). I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10240 areas. In view of a changing Arctic climate with changing
sea-ice extent, biogenic processes and corresponding source
strengths, highly time-resolved data are needed in order to
elucidate the components dominating aerosol concentrations
and enhance the understanding of the processes taking place. sion of the polar dome, a major part of the aerosol mass is
long-range transported from source regions outside the Arc-
tic where the primary source region has been identified as
the northern part of Eurasia (Nguyen et al., 2013; Quinn et
al., 2008; Heidam et al., 2004; Stohl et al., 2007; Christensen,
1997; Abbatt et al., 2019). Studies have shown that main con-
stituents of Arctic aerosols are sulfate (SO2−
4 ) and organics
mixed with a minor fraction of nitrate (NO−
3 ), ammonium
(NH+
4 ), black carbon (BC) and heavy metals (Quinn et al.,
2007; Fenger et al., 2013; Nguyen et al., 2013; Frossard et
al., 2011; Barrie et al., 1981). This is also the case at the High
Arctic station, Villum Research Station (VRS) at Station
Nord in northern Greenland, where this study was conducted. Rahn and Heidam (1981) have previously estimated the aver-
age chemical composition of Arctic sub-micrometer aerosols
during winter and spring as 2 µg m−3 SO2−
4 , 1 µg m−3 or-
ganic aerosol (OA), 0.3–0.5 µg m−3 BC and a few hundred
ng m−3 of other compounds. Since then, SO2−
4
and BC dur-
ing winter and spring have declined at Alert, Mount Zep-
pelin, Utqia˙gvik (formerly known as Barrow) and VRS (Hei-
dam et al., 1999; Hirdman et al., 2010; AMAP, 2015). How-
ever, the total Arctic column burden may have increased
(Sharma et al., 2013). sion of the polar dome, a major part of the aerosol mass is
long-range transported from source regions outside the Arc-
tic where the primary source region has been identified as
the northern part of Eurasia (Nguyen et al., 2013; Quinn et
al., 2008; Heidam et al., 2004; Stohl et al., 2007; Christensen,
1997; Abbatt et al., 2019). Studies have shown that main con-
stituents of Arctic aerosols are sulfate (SO2−
4 ) and organics
mixed with a minor fraction of nitrate (NO−
3 ), ammonium
(NH+
4 ), black carbon (BC) and heavy metals (Quinn et al.,
2007; Fenger et al., 2013; Nguyen et al., 2013; Frossard et
al., 2011; Barrie et al., 1981). I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10241 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station aerosol mass spectrometry (AMS) (Canagaratna et al., 2007;
DeCarlo et al., 2006; Jimenez et al., 2003; Drewnick et al.,
2005; Jayne et al., 2000) has been widely used as an online
method for quantitative analysis of chemical composition of
atmospheric particles. With the addition of a laser vaporizer
(Onasch et al., 2012), its application has been extended to
include refractory aerosol components, including refractory
black carbon (rBC). tic to better understand the key sources and how these vary
over time (Willis et al., 2018). It is crucial to understand natural sources in addition to an-
thropogenic sources of Arctic aerosols. Marine and coastal
marine locations constitute a large part of Arctic, and marine
aerosols comprise both organic and inorganic constituents of
primary and secondary origin. Production of primary marine
aerosols is known to correlate with wind speed and possibly
also other mechanisms (Willis et al., 2018). Primary marine
organic aerosols in Arctic regions are believed to consist of
water-soluble or surface-active organic compounds present
in the surface water or water-insoluble microgels (Willis et
al., 2018; Leck and Bigg, 2005; Orellana et al., 2011). Ma-
rine aerosols play an important role for the climate due to
their optical properties and ability to alter cloud nucleation
(Abbatt et al., 2019; Willis et al., 2018). Biogenic marine
aerosols can scatter solar radiation, which will result in a
negative radiative forcing. Biogenic marine aerosols can also
coat soot particles, which may be transported from wildfires
(AMAP, 2015), which could impact the CCN activity and ab-
sorption by the soot particles (Lange et al., 2018). Methane-
sulfonic acid (MSA), an oxidation product of dimethyl sul-
fide (DMS), is abundant in spring and summer (Abbatt et al.,
2019) and is a key indicator of secondary marine aerosols. MSA levels have been associated with marginal sea ice mov-
ing north (Laing et al., 2013; Quinn et al., 2009; Sharma et
al., 2012). A new satellite-based model suggests that DMS
emissions in the Arctic have increased by 30 % per decade
over the last 2 decades, due to both increased temperatures
and decreased ice cover (Abbatt et al., 2019). I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station A relation-
ship between MSA and the frequency of new particle forma-
tion has also been inferred based on long-term observations
(Dall’Osto et al., 2017), although MSA cannot be the nucle-
ating part. This suggest that DMS is important for summer-
time particles. Another important natural source of Arctic
aerosols is ammonia, which among other things is believed
to originate from migrating sea bird colonies (Croft et al.,
2016). Modeling studies have been shown to better capture
particle burst and growth when an ammonia source from sea
birds was included (Croft et al., 2016, 2019). Additionally,
ammonia can also be transported from boreal wildfires from
lower latitudes. In this study, the time-dependent concentrations of sub-
micrometer particle composition including OA, SO2−
4 , NO−
3 ,
NH+
4 , chloride (Cl−) and rBC are reported at the High Arctic
site VRS. The measurements were conducted by application
of a soot particle aerosol mass spectrometer (SP-AMS) and
auxiliary measurements during the Arctic spring 2015, when
concentrations are expected to peak. The objectives are to
gain better insight into the processes influencing the chemical
composition of High Arctic aerosols and to allocate potential
sources and source types by use of positive matrix factoriza-
tion (PMF). 2.1
Sampling site The atmospheric measurements were carried out at VRS lo-
cated at the Danish military station, Station Nord, in northern
Greenland (Fig. S1, 81◦36′ N, 16◦40′ W, 24 m a.m.s.l.). VRS
is situated in a region with a dry and cold climate where the
annual precipitation is 188 mm and the annual mean temper-
ature is −21 ◦C. The dominating wind direction is southwest-
erly with an average wind speed of 4 m s−1, as apparent from
Fig. S1 (Rasch et al., 2016; Nguyen et al., 2013). The SP-
AMS data were sampled in an atmospheric observatory con-
taining two laboratories, whereas data from a multi-angle ab-
sorption photometer (MAAP) and a filter pack sampler were
collected in a smaller co-located hut (Flyger’s Hut) – both
equipped with particle and gas inlets. The two measurement
sites are located 2.5 km southeast of the military station and
are only 300 m apart. Given the close proximity of the two
laboratories and the lack of hyper-local sources, we expect
both to sample largely the same air mass. A high-volume
sampler (HVS) provided filter samples for off-line analy-
sis. The HVS was located on the outskirts of the military
station, 2.5 km from the main sampling site. More informa-
tion concerning the supplementary instruments can be found
in Supplement. All particulate measurements at the atmo-
spheric observatory were conducted by drawing air through
a slightly heated (absolute 5 ◦C) particle inlet custom-built
by TROPOS (Leipzig, Germany). Sampling took place dur-
ing a CRAICC (Cryosphere-Atmosphere Interactions in a
Changing Arctic Climate) field campaign from 20 February
to 23 May 2015. Many previous Arctic studies have been based on off-line
analysis and filter measurements of ambient aerosols with a
relatively low time resolution from hours up to a week (Hei-
dam et al., 1999, 2004; Skov et al., 2006; Quinn et al., 2007,
2009; Massling et al., 2015; Leaitch et al., 2018; Sharma et
al., 2012). Beside the low time resolution, a disadvantage of
these types of measurements can be evaporate loss or adsorp-
tion of semi-volatile compounds (Lee et al., 2013; Dillner et
al., 2009). Highly time-resolved in situ measurements can
reduce these artifacts while also enabling the possibility of
observing the variations in different chemical species on a
much shorter timescale. In this way, it is possible to look into
the processes behind the observed levels. In the last decade, Atmos. Chem. 2.1
Sampling site Phys., 19, 10239–10256, 2019 1
Introduction Consequently, there are often many
distinct sources of OA. OA can typically contribute up to
one-third of PM1 in the Arctic, though few studies have char-
acterized this component in detail (Barrett et al., 2015; Brock
et al., 2011; Frossard et al., 2011; Kawamura et al., 2010;
Quinn et al., 2002; Shaw et al., 2010; Leaitch et al., 2018;
Chang et al., 2011; Willis et al., 2018). Total OA is relatively
constant or decreasing over time in late winter. However, dur-
ing spring it increases, suggesting that there is photochemi-
cal production of OA (Willis et al., 2018). There is a need for
more detailed measurements of OA composition in the Arc- It is well established that the aerosol concentration in the
Arctic atmosphere is seasonally varying, resulting in higher
loadings during winter and spring compared to summer and
fall, often referred to as “Arctic haze” (Heidam et al., 1999,
2004; Tunved et al., 2013; Quinn et al., 2007; Barrie et al.,
1981; Heidam, 1984). This is explained by a greater acces-
sibility to the lower troposphere in the Arctic from anthro-
pogenic source regions outside the Arctic, due to an expan-
sion of the polar dome (AMAP, 2011) in winter and spring. In addition, during the Arctic winter strong temperature in-
versions create stable stratification where aerosol removal
processes are strongly reduced prolonging their atmospheric
lifetime (Stohl, 2006; Sodemann et al., 2011; AMAP, 2011). The air masses inside the wintertime dome are extremely
dry, limiting aerosol wet deposition, while low turbulence
caused by the stratification and slow vertical exchange re-
duces the dry deposition of aerosols (Sodemann et al., 2011;
Stohl, 2006; Abbatt et al., 2019). The Arctic haze peaks
in early spring (Heidam et al., 1999, 2004; Law and Stohl,
2007; Stohl, 2006; Abbatt et al., 2019). Arctic haze particles
effectively scatter light (Andrews et al., 2011; Schmeisser
et al., 2018) and act as cloud-condensation nuclei (CCN)
(Earle et al., 2011; Komppula et al., 2005). Due to the expan- www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 Atmos. Chem. Phys., 19, 10239–10256, 2019 2.2
The soot particle aerosol mass spectrometer Table 1. Detection limits. The detection limits for the SP-AMS are
calculated from periods sampling through HEPA filters with a time
resolution of 2 min (average from eight HEPA filter periods of 30 to
60 min over the entire campaign). The detection limit for the MAAP
is from Massling et al. (2015). An SP-AMS (Aerodyne Research Inc.) was deployed at VRS
for measuring mass concentration and chemical composition
of sub-micrometer aerosols with a time resolution of 2 min. of sub micrometer aerosols with a time resolution of 2 min. The SP-AMS is described in detail elsewhere (Onasch et al.,
2012). In brief, the instrument samples aerosols into a vac-
uum chamber through an aerodynamic particle lens, which
creates a narrow particle beam. In the vacuum chamber, the
aerosols accelerate to a velocity depending on their vac-
uum aerodynamic diameter, enabling analysis of the aerosol
size distribution. Subsequently, the aerosols undergo vapor-
ization, ionization with 70 eV electron impact and detec-
tion with time-of-flight mass spectrometry. The vaporiza-
tion of aerosols components in the SP-AMS can occur in
two ways: (1) impaction on a tungsten surface at a tem-
perature of 600 ◦C or (2) intersection with the beam of a
continuous-wave 1064 nm intracavity Nd:YAG laser. The
laser extends the application of the AMS to include refrac-
tory particulate matter (R-PM) since it enables vaporization
of strongly infrared light absorbing particles, such as refrac-
tory BC (Onasch et al., 2012). In this study, high-resolution
(HR) mass concentrations of SO2−
4 , NO−
3 , NH+
4 , organics,
Cl−and rBC are obtained from the SP-AMS. Instruments
Species
Lower detection
limit
AMS
HR Org
0.131 µg m−3
HR SO2−
4
0.024 µg m−3
HR NO−
3
0.021 µg m−3
HR NH+
4
0.007 µg m−3
HR Cl
0.014 µg m−3
HR rBC
0.010 µg m−3
MAAP
BC
<0.006 µg m−3 salt aerosols. Thus, reported Cl−in this study is most likely
primarily a sum of organic Cl−and NH4Cl due to the acidic
environment at VRS. However, the partitioning of chloride
between different species has not been investigated further,
since it is not within the scope of this study. A RIE for rBC of
0.46 was found from calibrations with Regal Black (a com-
mercial carbon black). The appropriateness of this RIE for
ambient Arctic rBC is discussed in Sect. 2.4. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 2.2
The soot particle aerosol mass spectrometer Calibrations
with Regal Black and ammonium nitrate were done with
the same frequency. Fragment ions from organic species can
overlap with some of the marker ions for rBC. To minimize
the organic contribution to the nominal rBC signal (at C+
1 an
organic contribution was especially evident), C+
3 was used
to quantify rBC. Thus, the C+
3 signal was scaled with a fac-
tor of 1/0.55 to match the fraction in the Regal Black mass
spectra (Martinsson et al., 2015). The applied collection effi-
ciency (CE) for non-refractory PM and rBC will be discussed
in more detail in a subsequent section. The SP-AMS was operated for 2 min in laser-off mode and
2 min in laser-on mode in V mode and alternated between the
mass spectrum mode and the particle time-of-flight (pToF)
to obtain sub-micrometer particles (PM1). Non-refractory
species are reported for time periods where the laser was
off. The flow rate was controlled regularly with a Gilian
Gilibrator (Sensidyne). During the first part of the campaign,
ionization efficiency (IE) calibrations with ammonium ni-
trate particles were conducted on a weekly basis and during
the last part every second week. To establish the detection
limit and to enable adjustments of the fragmentation tables
a high-efficiency particulate air (HEPA) filter was applied
on a daily basis for a period of 30 to 60 min with a time
resolution of 2 min. The lower detection limit of the different
species was determined as 3 times the standard deviation of
the mass concentration during the HEPA filter periods (Ta-
ble 1). The data were analyzed with the standard AMS Igor
Pro-based (version 6.35 Wavemetrics, Inc) software tools
SQUIRREL (version 1.57G) and PIKA (version 1.16H),
available
at
http://cires1.colorado.edu/jimenez-group/
ToFAMSResources/ToFSoftware/index.html. The analysis
followed the principles described in DeCarlo et al. (2006),
Jimenez et al. (2003); Allan et al. (2004) and Onasch et
al. (2012). www.atmos-chem-phys.net/19/10239/2019/ 10242 2.5
Positive matrix factorization PMF analysis (Paatero, 1997; Paatero and Tapper, 1994;
Lanz
et
al.,
2007;
Ulbrich
et
al.,
2009)
was
con-
ducted on the time-dependent organic mass spectra to
determine
OA
factors
and
potential
sources
of
OA. The
analysis
was
carried
out
with
the
PMF
Eval-
uation Tool Software (PET, v2.08D; available online
at http://cires1.colorado.edu/jimenez-group/wiki/index.php/
PMF-AMS_Analysis_Guide, last access: 8 August 2019) on
mass spectra consisting of HR ions with m/z values from 12
to 100. The detailed procedure is described elsewhere (Ul-
brich et al., 2009; Zhang et al., 2011). The input HR mass
spectra and error matrix with the appropriate ion fragments
were generated in PIKA, where the error matrix was calcu-
lated as the sum of the quadrature of the electronic noise and
Poisson counting for each ion (Allan et al., 2003). Isotopes
were removed from both the data and error matrix since they
would give additional weight to the parent ion in the PMF
analysis. Applying the RIE for rBC of 0.46 determined from Re-
gal Black calibrations, a good correlation between rBC and
BCMAAP is found (Fig. S3b). While there is a strong lin-
ear relationship between the two (R2 = 0.83), the BCMAAP
was about 3 times larger than the SP-AMS rBC (slope =
0.33 ± 0.02). This indicates that the actual RIE for rBC was
lower than the value of 0.46 determined during laboratory
calibrations. A lower RIE can be explained by different par-
ticle size and a more complex morphology of the Arctic soot
compared to the Regal Black used for calibration. An effec-
tive RIE is determined for rBC by forcing the SP-AMS mea-
surements to match the MAAP measurements. For rBC an
effective RIE of 0.15 (= 0.33×0.46) is hence applied in this
study. As described in Ulbrich et al. (2009) “weak” ions with a
signal-to-noise ratio (SNR) between 0.2 and 2 were down-
weighted by a factor of 2, whereas “bad” ions with a SNR
below 0.2 were removed from the data and error matrix. The PMF was executed in exploration mode with a range
of factors (between 1 and 5). The robustness of the solu-
tions was tested by setting different random starting points
(SEED value of 0 to 10; steps = 1) (Zhang et al., 2011). The
detailed procedures for choosing the best solution were based
on Zhang et al. (2011). A solution with three factors (Fig. 2.4
Comparison between instruments A collection efficiency (CE) adjustment is normally applied
to AMS data, which accounts for particle loss in the instru-
ment caused by the inlet and the aerodynamic lens, beam
divergence, and particle bounce effects (Canagaratna et al.,
2007; Onasch et al., 2012). In this study, the parameterization
developed by Middlebrook et al. (2012) has been used where
a time-dependent CE is determined based on the aerosols
chemical composition. Previous studies have shown an in-
creasing CE with particle acidity, the content of nitrate and
relative humidity (Quinn et al., 2006; Jayne et al., 2000;
Matthew et al., 2008). The time-dependent CE varied with
the majority (>97 %) of values between 0.8 and 1 (Fig. S2). In this study, the high CE was due to acidic aerosols. This
is also evident from Fig. S3a, showing that the theoreti-
cal predicted NH+
4 concentration necessary for neutralizing
the mass concentration of inorganic anions is much larger
than the actual NH+
4 concentration measured by the SP-AMS
(slope = 0.14). The acidity is explained by the high amount
of sulfuric acid. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station mobility diameter further brings the SP-AMS into the SMPS
range (DeCarlo et al., 2006; Allan et al., 2003). However,
previous studies (Nguyen et al., 2016; Lange et al., 2018)
have shown that the dominant particle size range at VRS dur-
ing winter and spring months is within detection range of the
SP-AMS. Thus, the number of particles from the SMPS ex-
ceeding the size range measured by the SP-AMS should be
relatively small and thereby not influence the results, since
particles in the lower end of the size distribution do not sig-
nificantly contribute to volume. There was a generally rea-
sonable temporal correspondence between the two measure-
ments. Although there were some periods where they dif-
fered notably they were within the expected range given the
accuracy of the two instruments. A more detailed discussion
about the comparison between the two instruments is pre-
sented in Supplement (Fig. S5). In this study, the MAAP’s default value of 6.6 m2 g−1 has
been applied based on Massling et al. (2015). Uncertainty
in the conversion factor likely impacts the reported absolute
concentrations and potentially the temporal variability. In ad-
dition, a scanning mobility particle sizer (SMPS) measured
the particle number size distribution, which was used for val-
idating the SP-AMS results. The SMPS is custom-built with
a Vienna-type medium column and more information can be
found in Lange et al. (2018). A description of the validation
can be found in Supplement. 2.3
Auxiliary equipment The aerosol light absorption was measured using a MAAP
(Model 5012 Thermo Scientific) operated at a flow rate
of 1 m3 h−1 with an inlet without a size cutoff. Aerosols
were sampled on a filter in which the light absorption at
670 nm was measured by a photometer. Detailed information
about the instrument can be found in Petzold and Schonlin-
ner (2004) and previous MAAP measurements from VRS are
published in Massling et al. (2015). The BC concentration is
determined from the relationship between the aerosol light
absorption coefficient and a specific aerosol absorption coef-
ficient (Petzold and Schonlinner, 2004). The specific absorp-
tion coefficient describes BCs ability to absorb solar radia-
tion at a specific wavelength, which depends on the age of the
aerosol (Petzold et al., 1997; Sharma et al., 2002) and is often
determined based on correlations with thermal–optical mea-
surements of elemental carbon (EC) (Sharma et al., 2004). The default relative ionization efficiency (RIE) values for
OA, SO2−
4 , NO−
3 and Cl−of 1.4, 1.2, 1.1 and 1.3, respec-
tively, were applied, which are based on Canagaratna et
al. (2007). A RIE of 3.5 was applied for NH+
4 . It should
be noted that chloride reported in the current study is mea-
sured with laser off and is thus non-refractory chloride and
largely excludes refractory species such as chloride in sea Atmos. Chem. Phys., 19, 10239–10256, 2019 www.atmos-chem-phys.net/19/10239/2019/ 10243 2.5
Positive matrix factorization 2)
was identified after evaluating Q/Qexp and residuals, inter-
preting the mass spectra and investigating the temporal cor-
relation between the factor time series and potential tracer
species (Ulbrich et al., 2009; Zhang et al., 2011). FPEAK and
seed values were changed to test the stability of the three-
factor solution and, based on the diagnostic plots, a three-
factor solution was selected with a FPEAK and seed value of
zero (Fig. S7). A four-factor solution was scientifically not Comparison of the total PM1 mass concentration (sum of
OA, SO2−
4 , NH+
4 , NO−
3 , Cl−and rBC) with the calculated
total volume from the SMPS assuming spherical particles
was carried out to validate the SP-AMS results. The SMPS
was operated to characterize particles having mobility diam-
eters between 9 and 870 nm. This corresponds to a larger size
range than sampled by the SP-AMS, which has 100 % trans-
mission efficiency within aerodynamic diameters between 70
and 600 nm, and adjustment from aerodynamic diameter to www.atmos-chem-phys.net/19/10239/2019/ www.atmos-chem-phys.net/19/10239/2019/ www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 10244
I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station
Figure 1. Time series from 21 February to 23 May 2015 showing (a) wind direction (◦); mean wind speed (m s−1) and temperature (◦C);
(b) concentrations of Cl, NO−
3 , NH+
4 , rBC, SO2−
4 , and OA from the SP-AMS (µg m−3); and (c) fraction of the aerosol species to the total
PM1. 10244 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station Biogenic and anthropogenic sources of aerosols at the Villum Research Station Figure 1. Time series from 21 February to 23 May 2015 showing (a) wind direction (◦); mean wind speed (m s−1) and temperature (◦C);
(b) concentrations of Cl, NO−
3 , NH+
4 , rBC, SO2−
4 , and OA from the SP-AMS (µg m−3); and (c) fraction of the aerosol species to the total
PM1. to 1.2 µg m−3 in May. It should be emphasized that this aver-
age does not consider particulate water, NaCl and elements,
such as K, Ca, Si, Al and Fe. These elements may addi-
tionally contribute 0.1–0.2 µg m−3 to PM1 (Nguyen et al.,
2013; Heidam et al., 2004). The measurement period covers
the Arctic late winter and spring where high aerosol load-
ings are expected due to the favorable conditions for long-
range transport of aerosols from midlatitudes and slow par-
ticle removal rates. With regard to PM1 concentration, we
hence observe the typical Arctic haze phenomenon. Gener-
ally, the area around VRS is dominated by winds from the
southwest (Nguyen et al., 2013), which is also evident dur-
ing this campaign (Fig. S1). As expected, no diurnal pattern
is observed for any of the chemical species. These are mainly
transported from long distances. For example, the source re-
gions that contributed to ground-level SOx at VRS were as-
signed to Western Europe (7 %), Eastern Europe (9 %), Asia
(2 %), North America (7 %) and Russia being the main emit-
ter by far (75 %) (Heidam et al., 2004). During summer, the
atmospheric circulation is confined within the Arctic region
and is considered essentially local. Thus, marine biogenic
sources that peak during spring and summer are expected
to originate from within the region. www.atmos-chem-phys.net/19/10239/2019/ Arctic sites show sim-
ilar increases in key particulate pollutants in winter and early
spring, where maximum sulfate concentrations may reach
3 µg m−3 as compared to average summer concentrations of meaningful with respect to the chemical composition and re-
turned an O/C ratio ≫1 for one of the factors. Hence, we do
not observe a fourth “continental” factor, which has been pre-
viously observed during the ASCOS cruise track in the sum-
mer and fall seasons around Svalbard (Chang et al., 2011). If present, the continental factor is most likely of negligible
abundance for which reason the PMF analysis cannot differ-
entiate it from other oxygenated organic aerosol (OOA). De-
tailed information regarding the factor combination can be
found in Supplement. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station Previous studies suggest that the main source of SO2 and
SO2−
4
at VRS is long-range transport of anthropogenic emis-
sions mainly originating from Siberia (Heidam et al., 2004;
Nguyen et al., 2013). In winter and early spring, direct emis-
sions of sea salt sulfate and photooxidation of oceanic emis-
sions of DMS were expected to play a minor role, since the
ocean surrounding VRS is frozen at that time of year (Hei-
dam et al., 2004). However, a recent study using both airplane
measurements and modeling suggests that long-range trans-
port of DMS is significant during spring (Ghahremaninezhad
et al., 2017). From the beginning of April, the sea ice ex-
tent of the Northern Hemisphere is markedly reduced and,
at the same time, solar radiation increases (Fig. 3). In this
period, we observe MSA as an ion in the SP-AMS at m/z
78.9854. MSA is formed by atmospheric oxidation of DMS,
which results from bacterial breakdown of dimethylsulfonio-
propionate produced by marine phytoplankton and microal-
gae (Carpenter et al., 2012). In this study, MSA emerges
steadily and peaks the end of April (see Sect. 3.2). Oxida-
tion of DMS may involve the hydroxyl radical, ozone, and
halogen radicals such as Cl−and BrO (Barnes et al., 2006;
Hoffmann et al., 2016). I
thi
t d
th
OA f
ti
i th
d l
t Particulate NH+
4 is found in much lower concentrations
compared to OA and SO2−
4
but with the same transition pat-
tern as the two other species. For the campaign, a significant
correlation is found between SO2−
4
and NH+
4 . However, it is
known that SO2−
4
and NH+
4 do not originate from the same
sources. SO2, a key precursor to SO2−
4 , originates from com-
bustion of fossil fuel and is oxidized to SO2−
4
in the atmo-
sphere. In contrast, ammonia (NH3), which is the precursor
of NH+
4 , derives largely in winter and spring from long-range
transport of emissions from biomass burning and agriculture
(Fisher et al., 2011), whereas in summertime NH3 emissions
from seabird colonies can play a significant role (Croft et
al., 2016). The strong correlation between SO2−
4
and NH+
4
(R2 = 0.70) suggests that the acidity of the particles is rea-
sonably constant over time. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10245 0.1 µg m−3 (Quinn et al., 2007). For example, typical PM1
concentrations were 0.1–0.2 µg m−3 in August to September
during the ASCOS expedition (Chang et al., 2011). Sulfate is
dominated by anthropogenic sources, accounting for 65 % at
Alert (Norman et al., 1999) and 75 % Svalbard (Udisti et al.,
2016) as annual averages. On the contrary, biogenic sources
accounted for 63 % of sulfate in size fractions smaller than
490 nm at Alert during summer (Ghahremaninezhad et al.,
2016). ary and March (Fig. 1). The OA time-dependent concentra-
tion shows relatively large peaks during shorter time periods,
which in some cases can be attributed to a change in wind di-
rection from southwesterly to northerly winds (around 10◦,
Fig. S1). While these wind directions were registered on a
few occasions, they potentially provided local pollution from
the military station located three kilometers away from the
measurement site. These peaks have not been discarded and
the impacts of local pollution will be discussed further in
Sect. 3.2. During the entire campaign, SO2−
4
is the dominant species
that on average makes up almost 70 % of the PM1 mass con-
centration, with the highest concentration until the end of
April and decreasing in May (Fig. 1b–c). This is in accor-
dance with previous findings for SO2−
4
at VRS based on mea-
surements with lower time resolution (Nguyen et al., 2013;
Fenger et al., 2013; Heidam et al., 2004). Atmospheric SO2−
4
is mainly formed as secondary inorganic and only a minor
fraction is from primary emissions (Massling et al., 2015). Secondary SO2−
4
is formed by atmospheric oxidation of sul-
fur dioxide (SO2) and to some extent DMS (as the long-range
transport occurs over sea ice) and is dependent on the ox-
idative capacity of the atmosphere, e.g., the concentration
of hydroxyl radicals (OH). Secondary long-range transported
SO2−
4
depends on atmospheric oxidation of SO2 at the vicin-
ity of the source regions, whereas local transformation (close
to VRS) of SO2 leads to higher concentration of SO2−
4
from
March, where solar radiation is sufficient, with peak radia-
tion exceeding 100 W m−2 (Fig. 3). This is consistent with
results reported from other Arctic sites (Quinn et al., 2007;
Gong et al., 2010; Heidam et al., 2004; Skov et al., 2017). 3.1
Time series Time-dependent OA, SO2−
4 , NO−
3 , NH+
4 , Cl−and rBC con-
centrations [µg m−3] measured by the SP-AMS are presented
in Fig. 1 together with temperature [◦C], mean wind speed
[m s−1] and wind direction [◦] for the time period 21 Febru-
ary to 23 May 2015. Weekly average concentrations can
be found in Fig. S6. Figure 1c shows the time-dependent
mass fraction of the different species. The total measured
PM1 concentration during the field study may seem rela-
tively high, averaging 2.3 µg m−3 – ranging from 2.3, 2.3
and 3.3 µg m−3 in February, March and April, respectively, www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station www.atmos-chem-phys.net/19/10239/2019/ I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station This is furthermore in agreement
with the general assumption that NH+
4 is bound irreversibly
to SO2−
4
(e.g., Seinfeld and Pandis, 2006), in this case as am-
monium bisulfate. Particle-bound NH+
4 has a much longer
lifetime than NH3 (Baek and Aneja, 2004) and is therefore
transported as NH+
4 even to the High Arctic. p
4
g
The average concentrations of NO−
3 and Cl−are 0.03 and
0.02 µg m−3, respectively, which is close to the detection lim-
its. These concentration levels are lower compared to what
has previously been observed at VRS (Fenger et al., 2013;
Heidam et al., 2004). However, the SP-AMS does not typ-
ically measure refractory chloride at normal vaporizer tem-
peratures, such as NaCl (Canagaratna et al., 2007). However,
Ovadnevaite et al. (2012) has demonstrated how the AMS
could be calibrated to measure NaCl in high time resolution. Moreover, Fenger et al. (2013) found that the overall size
distribution of chloride and NO−
3 differed from SO2−
4 , with
Cl−and NO−
3 mainly found in supermicrometer particles
(>1 µm) not detectable by SP-AMS. Based on the size of the
particles and air mass back-trajectories, Fenger et al. (2013)
suggested that the particles originate from local and regional
sources (frost flowers and refreezing leads). Only during cer-
tain periods with specific wind directions were NO−
3 and Cl−
found in accumulation mode particles, which were ascribed
to long-range transported particles (Fenger et al., 2013). Cur-
rent research has suggested that blowing snow might be a
much more dominant source of sea salt aerosols compared to
frost flowers (Huang and Jaeglé, 2017). In this study, the OA fraction is the second largest con-
tributor to PM1 where weekly averages showed a clear de-
crease from mid-April relative to concentrations in Febru- The highest rBC loadings are found in the first month of
the campaign (February), averaging 0.2 µg m−3. In March www.atmos-chem-phys.net/19/10239/2019/ I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station However, we also find that the
R2 value is relatively low (0.18). The reason for this is that
there are periods with particularly high rBC concentrations,
likely originating from local emission sources (e.g., the mil-
itary base), which will be investigated further in the follow-
ing section. Additionally, in April and May SO2−
4
from DMS I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station An even more recent study suggests that only a minor
part of ambient aerosols contained rBC inclusions (Kodros et
al., 2018). We find a significant correlation between the two
species (students t test, level of significance 99.995), con-
sistent with previous studies. However, we also find that the
R2 value is relatively low (0.18). The reason for this is that
there are periods with particularly high rBC concentrations,
likely originating from local emission sources (e.g., the mil-
itary base), which will be investigated further in the follow-
ing section. Additionally, in April and May SO2−
4
from DMS and April, the average is 0.1 µg m−3 which then decreases to
0.02 µg m−3 in May. As with OA, some of the spikes in the
rBC time series are related to a change in wind direction and
likely the result of local pollution from the military station. All data are included here and missing time periods of rBC
(during April and May) are due to technical problems with
the SP-AMS laser. BC is primarily emitted from both anthro-
pogenic and natural combustion sources (Bond et al., 2013). Upon emission, aerosols containing BC grow by conden-
sation and coagulation into the accumulation mode. These
accumulation mode BC-containing particles can be trans-
ported over longer distances during the Arctic haze period
and may serve as cloud seeds in the late spring, when precip-
itation begins to be important in the Arctic (Bond et al., 2013;
AMAP, 2011; Massling et al., 2015; Garrett et al., 2011). Further, condensational growth of the BC-containing parti-
cles may increase the absorption by these particles (Cappa
et al., 2012; Liu et al., 2015). Previous studies have found a
correlation between BC and SO2−
4
at different Arctic stations
(Massling et al., 2015; Eckhardt et al., 2015; Hirdman et al.,
2010). These studies suggest that the two species are inter-
nally mixed and possibly undergo similar transport patterns. Furthermore, comparable correlation slopes were found for
the different Arctic locations, which suggest that source re-
gions of BC and SO2−
4
could be similar throughout the Arc-
tic. An even more recent study suggests that only a minor
part of ambient aerosols contained rBC inclusions (Kodros et
al., 2018). We find a significant correlation between the two
species (students t test, level of significance 99.995), con-
sistent with previous studies. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10246 10246
I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station
Figure 2. (a) High-resolution mass spectra of PMF factors, including hydrocarbon-like organic aerosol (HOA), Arctic haze organic aerosol
(AOA) and marine organic aerosol (MOA), and (b) the factor share of ambient mass concentration. O/C, OM/OC and H/C ratios are
presented for each factor. Figure 2. (a) High-resolution mass spectra of PMF factors, including hydrocarbon-like organic aerosol (HOA), Arctic haze organic aerosol
(AOA) and marine organic aerosol (MOA), and (b) the factor share of ambient mass concentration. O/C, OM/OC and H/C ratios are
presented for each factor. oxidation will make up a larger fraction of total SO2−
4
and
thereby reduce the ratio between rBC and SO2−
4 , which is
also evident from Fig. S4. and April, the average is 0.1 µg m−3 which then decreases to
0.02 µg m−3 in May. As with OA, some of the spikes in the
rBC time series are related to a change in wind direction and
likely the result of local pollution from the military station. All data are included here and missing time periods of rBC
(during April and May) are due to technical problems with
the SP-AMS laser. BC is primarily emitted from both anthro-
pogenic and natural combustion sources (Bond et al., 2013). Upon emission, aerosols containing BC grow by conden-
sation and coagulation into the accumulation mode. These
accumulation mode BC-containing particles can be trans-
ported over longer distances during the Arctic haze period
and may serve as cloud seeds in the late spring, when precip-
itation begins to be important in the Arctic (Bond et al., 2013;
AMAP, 2011; Massling et al., 2015; Garrett et al., 2011). Further, condensational growth of the BC-containing parti-
cles may increase the absorption by these particles (Cappa
et al., 2012; Liu et al., 2015). Previous studies have found a
correlation between BC and SO2−
4
at different Arctic stations
(Massling et al., 2015; Eckhardt et al., 2015; Hirdman et al.,
2010). These studies suggest that the two species are inter-
nally mixed and possibly undergo similar transport patterns. Furthermore, comparable correlation slopes were found for
the different Arctic locations, which suggest that source re-
gions of BC and SO2−
4
could be similar throughout the Arc-
tic. www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station lsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10247 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station
10247
Figure 3. Time series for hydrocarbon-like organic aerosol (HOA), Arctic haze organic aerosol (AOA), marine organic aerosol (MOA) and
tracers (rBC, SO2−
4 ). Sea ice extension in the Northern Hemisphere and shortwave radiation (daily average) are included in the time series
for MOA (see text). Figure 3. Time series for hydrocarbon-like organic aerosol (HOA), Arctic haze organic aerosol (AOA), marine organic aerosol (MOA) and
tracers (rBC, SO2−
4 ). Sea ice extension in the Northern Hemisphere and shortwave radiation (daily average) are included in the time series
for MOA (see text). BBOA. This finding is consistent with previous results that
indicate BBOA levels are typically very low, based on mea-
surements of levoglucosan in the Arctic, (Zangrando et al.,
2013). The time series of HOA and rBC showed a moderate
correlation (R2 = 0.35), which is consistent with the HOA
factor being of primary origin. The relatively low R2 value
(Table 2) can be partly explained by rBC being internally
mixed with SO2−
4
and transported with the AOA factor. The
HOA time series is generally higher in concentration at the
beginning of the measurement period (Fig. 4). The time se-
ries of HOA reveals a number of shorter periods with high
mass loading, which could be caused by local pollution from
the military station 2 km north of the measurement site, due
to a change in wind direction or exhaust plumes from snow
scooters and heavy-duty vehicles occasionally clearing the
road nearby the measurement station for snow (see the wind
rose in Fig. S1). It is not trivial to distinguish local events
and, in this case, the possible local contamination was inves-
tigated by comparing high HOA peaks (>0.45 µg m−3) with
size distribution measurements from the SMPS (Lange et al.,
2018). Periods which were attributed to local contamination
accounted for less than 1 % of OA concentration. Therefore,
essentially the entire HOA concentration is assigned to long-
range transportation, possibly sources with different ratios of
HOA and rBC, which would explain the moderate correlation
between HOA and rBC. BBOA. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station This finding is consistent with previous results that
indicate BBOA levels are typically very low, based on mea-
surements of levoglucosan in the Arctic, (Zangrando et al.,
2013). The time series of HOA and rBC showed a moderate
correlation (R2 = 0.35), which is consistent with the HOA
factor being of primary origin. The relatively low R2 value
(Table 2) can be partly explained by rBC being internally
mixed with SO2−
4
and transported with the AOA factor. The
HOA time series is generally higher in concentration at the
beginning of the measurement period (Fig. 4). The time se-
ries of HOA reveals a number of shorter periods with high
mass loading, which could be caused by local pollution from
the military station 2 km north of the measurement site, due
to a change in wind direction or exhaust plumes from snow
scooters and heavy-duty vehicles occasionally clearing the
road nearby the measurement station for snow (see the wind
rose in Fig. S1). It is not trivial to distinguish local events
and, in this case, the possible local contamination was inves-
tigated by comparing high HOA peaks (>0.45 µg m−3) with
size distribution measurements from the SMPS (Lange et al.,
2018). Periods which were attributed to local contamination
accounted for less than 1 % of OA concentration. Therefore,
essentially the entire HOA concentration is assigned to long-
range transportation, possibly sources with different ratios of
HOA and rBC, which would explain the moderate correlation
between HOA and rBC. Figure
4. (a)
Average
mass
concentration
(µg m−3)
of
hydrocarbon-like organic aerosol (HOA), Arctic haze organic
aerosol (AOA) and marine organic aerosol (MOA) in February,
March, April and May. (b) Mass fraction of HOA, AOA and MOA
in February, March, April and May. Figure
4. (a)
Average
mass
concentration
(µg m−3)
of
hydrocarbon-like organic aerosol (HOA), Arctic haze organic
aerosol (AOA) and marine organic aerosol (MOA) in February,
March, April and May. (b) Mass fraction of HOA, AOA and MOA
in February, March, April and May. Figure
4. (a)
Average
mass
concentration
(µg m−3)
of
hydrocarbon-like organic aerosol (HOA), Arctic haze organic
aerosol (AOA) and marine organic aerosol (MOA) in February,
March, April and May. (b) Mass fraction of HOA, AOA and MOA
in February, March, April and May. Table 2. R2 correlations between PMF factors and tracers (rBC,
MSA, SO2−
4
and NH+
4 ). 3.2
Source apportionment The PMF analysis was conducted for the HR OA mass spec-
tra with one to five PMF factors and a three-factor solution
was chosen (more details can be found in Supplement). Fig-
ure 2 shows the mass spectral profiles of the three different
factors for the entire campaign period. Figure 3 illustrates
time series for the factors and Table 2 shows the correla-
tion of each factor with tracer species. Figure 4 illustrates
the average mass concentration (µg m−3) and the mass frac-
tion of the factors in February, March, April and May. The
PMF analysis yielded three factors: (1) a hydrocarbon-like
organic aerosol factor (HOA), (2) an oxygenated Arctic haze
organic aerosol factor (AOA) dominating winter and early
spring, and (3) a more oxygenated marine organic aerosol
factor (MOA), which builds up in late spring and becomes
the dominating OA throughout late spring. The identification
of these factors is discussed below. The HOA factor is characterized by hydrocarbon frag-
ments, especially at m/z 41, 43, 55, 57, 67, 69 and 71 (C3H+
5 ,
C3H+
7 , C4H+
7 , C4H+
9 , C5H+
7 , C5H+
9 and C5H+
11, respectively)
from chemically reduced organic emissions. The O/C ratio
of 0.11, high signal at m/z 57 and the absence of CO+
2 is
a characteristic of primary combustion sources of fossil ori-
gin, which is similar to other HOA factors found in previous
studies (Zhang et al., 2005; Aiken et al., 2009) and at other
Arctic locations (Frossard et al., 2011). The very small con-
tribution from the CO+
2 at m/z = 44 and the very small abun-
dances of typical biomass burning OA (BBOA) marker ions
at m/z 60 (C2H4O+
2 ) and m/z 73 (C3H5O+
2 ) in the HOA fac-
tor spectrum suggests that the HOA factor is not mixed with Atmos. Chem. Phys., 19, 10239–10256, 2019 www.atmos-chem-phys.net/19/10239/2019/ I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station The MOA factor has a mass spectrum dominated by
m/z 28 and 44 (CO+ and CO+
2 ), of which the latter is prob-
ably a fragment from, e.g., organic acids and acid-derived
species, such as esters (Duplissy et al., 2011). An O/C of
0.95 reveals that the factor is highly oxidized and most likely
photochemically aged. The MOA spectrum resembles a ma-
rine organic plume previously published from Mace Head, in
the northeastern Atlantic Ocean, showing evidence of both
primary and secondary organic aerosols of marine origin
(Ovadnevaite et al., 2011). Most abundant peaks in this spec-
trum were oxygenated fragments at m/z 28 and 44. Also
prominent were m/z 27, 39 and 41 from the CH family and
m/z 43 and 55 from the CHO family, which are also found in
the MOA spectrum. The two spectra differ in terms of abun-
dances of CH-like organic matter, but they are different from
the marine organic aerosol factor published during the AS-
COS expedition in the Central Arctic Ocean (Chang et al.,
2011), which shows a closer resemblance with the mass spec-
trum of pure MSA, i.e., dominating peaks at m/z 15, 48, 64
and 79. The distinct peak at m/z 78.9854 is specific for MSA
(Huang et al., 2017) and reveals that MOA has a secondary
biogenic source (Becagli et al., 2013). The resemblance of
MOA from this study with the mass spectrum from Mace
Head and the high O/C ratio of 0.95 indicate that MOA is
composed of chemically aged aerosols from both oxidation
of primary aerosols and secondary organic aerosols (Ovad-
nevaite et al., 2011; Fu et al., 2015). Aerosol growth has
been correlated with the presence of MSA and other organic
species (Willis et al., 2016). OA and to be a good surrogate for secondary organic aerosols
(SOA) in multiple studies (Ng et al., 2010; Zhang et al., 2007,
2011). Oxygen-containing functional groups produce m/z 43
(C2H3O+) and m/z 44 (CO+
2 ) fragments, which are promi-
nent peaks in OOA mass spectra (Ng et al., 2010), including
those of MOA and AOA found in this study. These factors
are highly OOA factors with O/C ratios of 0.63 and 0.95,
respectively. According to Jimenez et al. (2009) these fac-
tors would be classified as low-volatility OOA (LV-OOA). I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station There is strong evidence that OOA is secondary in nature
and several studies of aging indicate that OA converges to-
wards LV-OOA following numerous steps of atmospheric ox-
idation (Jimenez et al., 2009). The AOA is the most abun-
dant factor from the beginning of the campaign through mid-
April. AOA accounts for 64 % of OA mass for the entire field
study but ranges from 64 %, 81 % and 71 % of OA in Febru-
ary, March and April to 20 % in May (Figs. 2b and 4). The
dominating OA appears to originate from long-range trans-
port into the region during winter and spring. At the end
of April and onwards the factor was nearly absent, which
is in agreement with increasing wet deposition in the spring
and a contracting polar dome impairing long-range transport
into northern Greenland (Abbatt et al., 2019). Generally, an
OOA factor mainly consists of SOA but can also include
oxygenated organic species from primary emissions (Zhang
et al., 2005). In this case the AOA factor correlates signif-
icantly (level 99.995) with SO2−
4 , which is mainly formed
by atmospheric oxidation of SO2 suggesting the main part
of the factor being SOA. The correlation is especially good
until mid-April after which SO2−
4
begins to correlate with
MOA. The O/C ratio of 0.63 also indicates a less oxidized
and fresher SOA factor or an SOA formed from generally
larger precursor volatile organic compounds (VOCs), simi-
lar to what has been found in previous studies (O/C between
0.52 and 0.64; Aiken et al., 2008). The AOA mass spectrum
also included mass spectral peaks at m/z 60.021 (C2H4O+
2 )
and 73.029 (C3H5O+
2 ). These fragments are often taken as
being indicative of anhydrous sugar such as levoglucosan and
thereby suggest that biomass burning makes some contribu-
tion to Arctic OA. However, SOA also contributed to the
abundance of C2H4O+
2 (Aiken et al., 2008, 2009; Cubison
et al., 2011; Lee et al., 2010; Saarnio et al., 2013). Quanti-
tatively, the expected abundance of C2H4O+
2 from SOA did
not exceed the measured concentration in this study. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station HOA
AOA
MOA
rBC
MSA
SO2−
4
NH+
4
HOA
–
0.08
0.11
0.35
0.13
0.08
0.04
AOA
–
–
0.14
0.21
0.27
0.67
0.49
MOA
–
–
–
0.07
0.68
0.00
0.03
rBC
–
–
–
–
0.08
0.18
0.15
MSA
–
–
–
–
–
0.02
0.00
SO2−
4
–
–
–
–
–
–
0.70
NH+
4
–
–
–
–
–
–
–
www.atmos-chem-phys.net/19/10239/2019/ Table 2. R2 correlations between PMF factors and tracers (rBC,
MSA, SO2−
4
and NH+
4 ). HOA
AOA
MOA
rBC
MSA
SO2−
4
NH+
4
HOA
–
0.08
0.11
0.35
0.13
0.08
0.04
AOA
–
–
0.14
0.21
0.27
0.67
0.49
MOA
–
–
–
0.07
0.68
0.00
0.03
rBC
–
–
–
–
0.08
0.18
0.15
MSA
–
–
–
–
–
0.02
0.00
SO2−
4
–
–
–
–
–
–
0.70
NH+
4
–
–
–
–
–
–
– Table 2. R2 correlations between PMF factors and tracers (rBC,
MSA, SO2−
4
and NH+
4 ). Oxygenated aerosols from numerous field campaigns in
the Northern Hemisphere are deconvolved into HOA and
OOA. OOA has been shown to account for a large fraction of www.atmos-chem-phys.net/19/10239/2019/ www.atmos-chem-phys.net/19/10239/2019/ www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10248 4
Conclusion In the transition from polar night to polar day we observed
elevated PM1 concentration ranging from an average of 2.3,
2.3 and 3.3 µg m−3 in February, March and April, respec-
tively, to 1.2 µg m−3 in May. We concluded SO2−
4
to be the
most abundant species in sub-micrometer aerosols with the
highest concentration up to the end of April and decreasing
in May. This is in accordance with previous findings from
VRS but also at Alert (Norman et al., 1999) and Svalbard
(Udisti et al., 2016), where SO2−
4
has been apportioned to be
65 % and 75 % anthropogenic, respectively. While not pre-
viously quantified at VRS, OA was found to be the second
largest contributor to PM1 (24 %). As for the other species,
OA showed a decrease in concentration from mid-April rela-
tive to February and March. rBC concentrations were found
to be highest in the first month and then decrease through-
out the campaign with average concentrations of 0.2, 0.1, 0.1
and 0.02 µg m−3 in February, March, April and May, respec-
tively. y
Source apportionment analysis yielded three factors, iden-
tified as a hydrocarbon-like organic aerosol (HOA), arc-
tic haze organic aerosol (AOA) and marine organic aerosol
(MOA) with O/C ratios of 0.11, 0.63 and 0.95, respectively. HOA, being the least oxidized factor, made up 12 % of OA,
of which 1 % of OA was demonstrated to be contamination
from the nearby military camp. AOA and MOA made up
86 % of OA averaged across the campaign, with AOA aver-
aging 64 % and MOA 22 % (2 % residuals). AOA and MOA
showed evidence of SOA. Furthermore, the resemblance of
MOA to a previously published marine organic plume was
indicative of MOA having a primary organic component. The
sum of long-range-transported HOA and AOA make up the
vast majority of OA during the Arctic haze period. AOA and
MOA exhibit distinct temporal variability. The less oxidized
AOA builds up during the Arctic haze period and dominates
until early spring (64 %–81 % of OA), during which both
the absolute and relative contribution to the OA burden de-
creases substantially. In contrast, MOA emerges only after
early spring but is then by far the dominating OA from the
end of April and onwards (24 %–74 % of OA). I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station parison is difficult due to different methods and time peri-
ods (Narukawa et al., 2008). Until the beginning of April,
the sea ice extent is constant at around 14.5 million square
kilometers in the Northern Hemisphere (Fig. 3). Hereafter,
about a month after the onset of polar daytime, the sea ice
surface area starts to decline. After 6 weeks starting from a
constant sea ice extent in mid-May, this is reduced by 2 mil-
lion square kilometers corresponding to a 14 % loss of ice-
covered surface area. Consequently, more open waters allow
for higher DMS emissions (Abbatt et al., 2019) and atmo-
spheric oxidation of DMS to MSA involving OH. This can be
visualized from the strong coupling between DMS concen-
tration and chlorophyll a from DMS-producing phytoplank-
ton (Park et al., 2013). Moreover, Becagli et al. (2016) con-
cluded that oceanic primary production was related to melt-
ing of sea ice and extension of marginal sea ice areas based
on satellite-derived chlorophyll a and measurements of MSA
(Becagli et al., 2016). Also, open leads and marginal ice
zones provide primary marine aerosols (Willis et al., 2018). Indeed, previous findings suggest that biogenic productiv-
ity in open oceans and sea ice zones and the emission of
DMS are responsible for increased new particle formation,
as sea ice pack extent retreats (Dall’Osto et al., 2017). Quinn
and co-workers reported increased concentrations of MSA
at Utqia˙gvik from 2000 to 2009 associated with the north-
ward migration of the marginal ice zone (Quinn et al., 2009;
Sharma et al., 2012; Laing et al., 2013). Of the four northern-
most year-round manned observatories at Alert, Mount Zep-
pelin, VRS and Utqia˙gvik, the highest MSA concentrations
are measured at Mount Zeppelin, likely due to its proxim-
ity to open waters around Svalbard, which are a significant
source of DMS from May to August (e.g., Lana et al., 2011). This contrasts with the situation around VRS, which is cov-
ered with ice for most of the year. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station suggested that marine OA other than MSA may account for
more than half of the summertime OA (Croft et al., 2019). These findings encourage further studies of optical proper-
ties and chemical composition and physicochemical param-
eters as CCN ability or hygroscopicity of aerosols prevailing
during polar daytime. parison is difficult due to different methods and time peri-
ods (Narukawa et al., 2008). Until the beginning of April,
the sea ice extent is constant at around 14.5 million square
kilometers in the Northern Hemisphere (Fig. 3). Hereafter,
about a month after the onset of polar daytime, the sea ice
surface area starts to decline. After 6 weeks starting from a
constant sea ice extent in mid-May, this is reduced by 2 mil-
lion square kilometers corresponding to a 14 % loss of ice-
covered surface area. Consequently, more open waters allow
for higher DMS emissions (Abbatt et al., 2019) and atmo-
spheric oxidation of DMS to MSA involving OH. This can be
visualized from the strong coupling between DMS concen-
tration and chlorophyll a from DMS-producing phytoplank-
ton (Park et al., 2013). Moreover, Becagli et al. (2016) con-
cluded that oceanic primary production was related to melt-
ing of sea ice and extension of marginal sea ice areas based
on satellite-derived chlorophyll a and measurements of MSA
(Becagli et al., 2016). Also, open leads and marginal ice
zones provide primary marine aerosols (Willis et al., 2018). Indeed, previous findings suggest that biogenic productiv-
ity in open oceans and sea ice zones and the emission of
DMS are responsible for increased new particle formation,
as sea ice pack extent retreats (Dall’Osto et al., 2017). Quinn
and co-workers reported increased concentrations of MSA
at Utqia˙gvik from 2000 to 2009 associated with the north-
ward migration of the marginal ice zone (Quinn et al., 2009;
Sharma et al., 2012; Laing et al., 2013). Of the four northern-
most year-round manned observatories at Alert, Mount Zep-
pelin, VRS and Utqia˙gvik, the highest MSA concentrations
are measured at Mount Zeppelin, likely due to its proxim-
ity to open waters around Svalbard, which are a significant
source of DMS from May to August (e.g., Lana et al., 2011). This contrasts with the situation around VRS, which is cov-
ered with ice for most of the year. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station Biomass
burning is generally assumed to play a significant role in the
context of the composition of the Arctic aerosol (Stohl et al.,
2013), where recent publications using isotopes of carbon
reports that biomass burning or biofuel used to account for
up to 57 % of EC at the Arctic station Zeppelin at Svalbard
during high-pollution events in winter (Winiger et al., 2015). However, levoglucosan is prone to atmospheric oxidation by
hydroxide radicals (OH) (Hennigan et al., 2010; Hoffmann et
al., 2010), which could degrade the markers during transport
to northern Greenland. This can explain the low abundance
of levoglucosan markers measured in this study. p
Figures 3 and 4 illustrate HOA and AOA decreasing
around mid-April, while MOA builds up from the end of
March. In 2015, Arctic sunrise onset was on 28 February
at VRS, where the sun became visible for a few minutes. Polar daytime initiates photochemistry and hence the pro-
duction of OH radicals (Seinfeld and Pandis, 2006) and re-
active halogen radicals (Hoffmann et al., 2016; Barnes et
al., 2006). From mid-April, the sun is above the horizon all
day until the beginning of September. Still, solar radiation
varies over the day and hence the OH production. In con-
trast, the concentration of OH during buildup of Arctic haze
is correspondingly low with ozone being the major oxidant
during the dark winter. In Fig. 3, the daily averaged solar
radiation (W m−2) and sea ice extent (km2) in the North-
ern Hemisphere are shown together with the time series of
MOA. While MOA is less abundant during February and
March, this factor greatly increases in April, when radiation
exceeds approximately 100 W m−2. In April, the highest OA
concentrations is observed where AOA accounts for around
70 % of OA (Fig. 4). In May, MOA becomes the dominat-
ing OA while AOA nearly disappears. At the same time, we
observe the lowest concentration of OA (0.01 µg m−3) con-
sisting of 75 % MOA (Fig. 4). This is significantly higher
than observed at Alert by Narukawa et al. (2008), where ma-
rine organic matter contributed 45 % to aerosol total carbon
in late spring (26 April–6 May 2000). However, direct com- Atmos. Chem. Phys., 19, 10239–10256, 2019 www.atmos-chem-phys.net/19/10239/2019/ I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10249 I. E. Atmos. Chem. Phys., 19, 10239–10256, 2019 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station
ially in the spring In view of chang-
dependent Research (project NUMEN grant no DFF FTP 4005 in the Arctic, especially in the spring. In view of chang-
ing biogenic processes and corresponding source strengths of
aerosol precursors in a changing Arctic climate with chang-
ing sea-ice extent, additional high-time-resolution measure-
ments are urgently needed in order to elucidate the organic
components dominating aerosol summer mass and number
concentrations. dependent Research (project NUMEN, grant no. DFF-FTP-4005-
00485B). dependent Research (project NUMEN, grant no. DFF-FTP-4005-
00485B). Review statement. This paper was edited by Kostas Tsigaridis and
reviewed by three anonymous referees. References Data availability. All data used in this publication are available to
the community and can be accessed by request to the corresponding
author, Ingeborg Elbæk Nielsen (ien@envs.au.dk), or Jacob Klenø
Nøjgaard (jakn@envs.au.dk). Abbatt, J. P. D., Leaitch, W. R., Aliabadi, A. A., Bertram, A. K.,
Blanchet, J.-P., Boivin-Rioux, A., Bozem, H., Burkart, J., Chang,
R. Y. W., Charette, J., Chaubey, J. P., Christensen, R. J., Cirisan,
A., Collins, D. B., Croft, B., Dionne, J., Evans, G. J., Fletcher,
C. G., Galí, M., Ghahremaninezhad, R., Girard, E., Gong, W.,
Gosselin, M., Gourdal, M., Hanna, S. J., Hayashida, H., Herber,
A. B., Hesaraki, S., Hoor, P., Huang, L., Hussherr, R., Irish, V. E., Keita, S. A., Kodros, J. K., Köllner, F., Kolonjari, F., Kunkel,
D., Ladino, L. A., Law, K., Levasseur, M., Libois, Q., Liggio, J.,
Lizotte, M., Macdonald, K. M., Mahmood, R., Martin, R. V., Ma-
son, R. H., Miller, L. A., Moravek, A., Mortenson, E., Mungall,
E. L., Murphy, J. G., Namazi, M., Norman, A.-L., O’Neill, N. T.,
Pierce, J. R., Russell, L. M., Schneider, J., Schulz, H., Sharma, S.,
Si, M., Staebler, R. M., Steiner, N. S., Thomas, J. L., von Salzen,
K., Wentzell, J. J. B., Willis, M. D., Wentworth, G. R., Xu, J.-
W., and Yakobi-Hancock, J. D.: Overview paper: New insights
into aerosol and climate in the Arctic, Atmos. Chem. Phys., 19,
2527–2560, https://doi.org/10.5194/acp-19-2527-2019, 2019. Abbatt, J. P. D., Leaitch, W. R., Aliabadi, A. A., Bertram, A. K.,
Blanchet, J.-P., Boivin-Rioux, A., Bozem, H., Burkart, J., Chang,
R. Y. W., Charette, J., Chaubey, J. P., Christensen, R. J., Cirisan,
A., Collins, D. B., Croft, B., Dionne, J., Evans, G. J., Fletcher,
C. G., Galí, M., Ghahremaninezhad, R., Girard, E., Gong, W.,
Gosselin, M., Gourdal, M., Hanna, S. J., Hayashida, H., Herber,
A. B., Hesaraki, S., Hoor, P., Huang, L., Hussherr, R., Irish, V. E., Keita, S. A., Kodros, J. K., Köllner, F., Kolonjari, F., Kunkel,
D., Ladino, L. A., Law, K., Levasseur, M., Libois, Q., Liggio, J.,
Lizotte, M., Macdonald, K. M., Mahmood, R., Martin, R. V., Ma-
son, R. H., Miller, L. A., Moravek, A., Mortenson, E., Mungall,
E. L., Murphy, J. G., Namazi, M., Norman, A.-L., O’Neill, N. T.,
Pierce, J. R., Russell, L. M., Schneider, J., Schulz, H., Sharma, S.,
Si, M., Staebler, R. M., Steiner, N. S., Thomas, J. L., von Salzen,
K., Wentzell, J. J. B., Willis, M. D., Wentworth, G. 4
Conclusion The fact that
MOA emerges at a time where long-range transport is im-
paired by increased deposition and a contracting polar dome
indicates that the sources of this factor are more regional in
nature. This is supported by the confined atmospheric circu-
lation within the Arctic region during summer (Heidam et al.,
2004). This demonstrates the importance of biogenic sources Considering the stronger oxidizing environment starting
in April, we expect MOA to be abundant until fall (Chang
et al., 2011). MOA constitutes 22 % of OA on average dur-
ing our measurement period, ranging from 2 % to 3 % of OA
in February and March to 24 % and 74 % of OA in April
and May, respectively (Figs. 2b and 4). Thus, MOA is by
far the most abundant OA from the end of April and on-
wards. MOA dominates the OA mass after polar sunrise and
persists during polar daytime so the aerosol’s optical im-
pact might be substantial. At the same time, MOA dominates
when the overall PM1 concentration is very low and particle
numbers are low, and hence CCN concentrations can be low. The observed transition between AOA and MOA is in agree-
ment with Narukawa et al. (2008), who observed a transi-
tion between fossil-fuel-influenced OA to marine OA. MOA
may contain oxidation products of DMS and other VOCs of
oceanic origin, as well as a variety of primary components in-
cluding saccharides such as mannitol in addition to insoluble
gels (Croft et al., 2019; Leck and Bigg, 2005; Orellana et al.,
2011; Fu et al., 2013; Ovadnevaite et al., 2011). In line with
our findings, modeling at several sites in the Canadian Arctic www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 10250 References R., Xu, J.-
W., and Yakobi-Hancock, J. D.: Overview paper: New insights
into aerosol and climate in the Arctic, Atmos. Chem. Phys., 19,
2527–2560, https://doi.org/10.5194/acp-19-2527-2019, 2019. Supplement. The supplement describes site information, sup-
plementary
instruments,
collection
efficiency,
validation
of
SP-AMS data and key diagnostics for the PMF solution. The
supplement
related
to
this
article
is
available
online
at: https://doi.org/10.5194/acp-19-10239-2019-supplement. Supplement. The supplement describes site information, sup-
plementary
instruments,
collection
efficiency,
validation
of
SP-AMS data and key diagnostics for the PMF solution. The
supplement
related
to
this
article
is
available
online
at: https://doi.org/10.5194/acp-19-10239-2019-supplement. Author contributions. IEN and JKN carried out the field measure-
ments, and IEN did the analysis of the SP-AMS data. JKN and
IEN carried out the PMF analysis and took the lead in writing the
manuscript. HS supervised the project and provided critical feed-
back, participated in the field campaign and helped shape the re-
search and manuscript. HJ and NS helped monitor the SP-AMS
during the field campaign and commented on the manuscript. SC,
QZ and CDC helped interpret the SP-AMS data set and provided
critical feedback on the manuscript. AM and RL participated in
the field campaign, discussed the analysis and commented on the
manuscript. ACE and MDO discussed the analysis and results and
commented on the manuscript. Aiken, A. C., Decarlo, P. F., Kroll, J. H., Worsnop, D. R., Huff-
man, J. A., Docherty, K. S., Ulbrich, I. M., Mohr, C., Kim-
mel, J. R., Sueper, D., Sun, Y., Zhang, Q., Trimborn, A.,
Northway, M., Ziemann, P. J., Canagaratna, M. R., Onasch,
T. B., Alfarra, M. R., Prevot, A. S. H., Dommen, J., Du-
plissy, J., Metzger, A., Baltensperger, U., and Jimenez, J. L.:
O/C and OM/OC ratios of primary, secondary, and ambi-
ent organic aerosols with high-resolution time-of-flight aerosol
mass spectrometry, Environ. Sci. Technol., 42, 4478–4485,
https://doi.org/10.1021/es703009q, 2008. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station J., DeCarlo, P. F., Kolb, C. E., Davi-
dovits, P., and Worsnop, D. R.: Chemical and microphys-
ical characterization of ambient aerosols with the aerodyne
aerosol mass spectrometer, Mass Spectrom. Rev., 26, 185–222,
https://doi.org/10.1002/mas.20115, 2007. Baek, B. H. and Aneja, V. P.: Measurement and analysis of the rela-
tionship between ammonia, acid gases, and fine particles in east-
ern North Carolina, J. Air Waste Manage. Assoc., 54, 623–633,
https://doi.org/10.1080/10473289.2004.10470933, 2004. Cappa, C. D., Onasch, T. B., Massoli, P., Worsnop, D. R., Bates,
T. S., Cross, E. S., Davidovits, P., Hakala, J., Hayden, K. L.,
Jobson, B. T., Kolesar, K. R., Lack, D. A., Lerner, B. M., Li,
S.-M., Mellon, D., Nuaaman, I., Olfert, J. S., Petäjä, T., Quinn,
P. K., Song, C., Subramanian, R., Williams, E. J., and Zaveri,
R. A.: Radiative absorption enhancements due to the mixing
state of atmospheric black carbon, Science, 337, 1078–1081,
https://doi.org/10.1126/science.1223447, 2012. Barnes, I., Hjorth, J., and Mihalopoulos, N.: Dimethyl sulfide and
dimethyl sulfoxide and their oxidation in the atmosphere, Chem. Rev., 106, 940–975, https://doi.org/10.1021/cr020529+, 2006. Barrett, T. E., Robinson, E. M., Usenko, S., and Sheesley, R. J.: Source Contributions to Wintertime Elemental and Or-
ganic Carbon in the Western Arctic Based on Radiocarbon and
Tracer Apportionment, Environ. Sci. Technol., 49, 13733–13733,
https://doi.org/10.1021/acs.est.5b05128, 2015. Carpenter, L. J., Archer, S. D., and Beale, R.: Ocean-atmosphere
trace
gas
exchange,
Chem. Soc. Rev.,
41,
6473–6506,
https://doi.org/10.1039/c2cs35121h, 2012. Barrie, L. A., Hoff, R. M., and Daggupaty, S. M.: The
Influence
of
Mid-Latitudinal
Pollution
Sources
on
Haze
in the Canadian Arctic, Atmos. Environ., 15, 1407–1419,
https://doi.org/10.1016/0004-6981(81)90347-4, 1981. Chang, R. Y.-W., Leck, C., Graus, M., Müller, M., Paatero, J.,
Burkhart, J. F., Stohl, A., Orr, L. H., Hayden, K., Li, S.-M.,
Hansel, A., Tjernström, M., Leaitch, W. R., and Abbatt, J. P. D.: Aerosol composition and sources in the central Arctic
Ocean during ASCOS, Atmos. Chem. Phys., 11, 10619–10636,
https://doi.org/10.5194/acp-11-10619-2011, 2011. Becagli, S., Lazzara, L., Fani, F., Marchese, C., Traversi, R.,
Severi, M., di Sarra, A., Sferlazzo, D., Piacentino, S., Bom-
marito, C., Dayan, U., and Udisti, R.: Relationship between
methanesulfonate (MS-) in atmospheric particulate and re-
motely sensed phytoplankton activity in oligo-mesotrophic
central Mediterranean Sea, Atmos. Environ., 79, 681–688,
https://doi.org/10.1016/j.atmosenv.2013.07.032, 2013. Christensen, J. H.: The Danish eulerian hemispheric model – a
three-dimensional air pollution model used for the arctic, At-
mos. Environ., 31, 4169–4191, https://doi.org/10.1016/s1352-
2310(97)00264-1, 1997. Becagli, S., Lazzara, L., Marchese, C., Dayan, U., Ascanius, S. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10251 aerosol mass spectrometer data, J. Aerosol Sci., 35, 909–922,
https://doi.org/10.1016/j.jaerosci.2004.02.007, 2004. aerosol mass spectrometer data, J. Aerosol Sci., 35, 909–922,
https://doi.org/10.1016/j.jaerosci.2004.02.007, 2004. Bounding the role of black carbon in the climate system: A sci-
entific assessment, J. Geophys. Res.-Atmos., 118, 5380–5552,
https://doi.org/10.1002/jgrd.50171, 2013. AMAP: The Impact of Black Carbon on Arctic Climate (2011),
edited by: Quinn, P. K., Stohl, A., Arneth, A., Berntsen, T.,
Burkhart, J. F., Christensen, J., Flanner, M., Kupiainen, K.,
Lihavainen, H., Shepherd, M., Shevchenko, V., Skov, H., and
Vestreng, V., AMAP Technical Report No. 4 (2011), Arctic Mon-
itoring and Assessment Programme (AMAP), Oslo, 72 pp., 2011. Brock, C. A., Cozic, J., Bahreini, R., Froyd, K. D., Middlebrook,
A. M., McComiskey, A., Brioude, J., Cooper, O. R., Stohl, A.,
Aikin, K. C., de Gouw, J. A., Fahey, D. W., Ferrare, R. A.,
Gao, R.-S., Gore, W., Holloway, J. S., Hübler, G., Jefferson,
A., Lack, D. A., Lance, S., Moore, R. H., Murphy, D. M.,
Nenes, A., Novelli, P. C., Nowak, J. B., Ogren, J. A., Peis-
chl, J., Pierce, R. B., Pilewskie, P., Quinn, P. K., Ryerson, T. B., Schmidt, K. S., Schwarz, J. P., Sodemann, H., Spackman,
J. R., Stark, H., Thomson, D. S., Thornberry, T., Veres, P.,
Watts, L. A., Warneke, C., and Wollny, A. G.: Characteristics,
sources, and transport of aerosols measured in spring 2008 dur-
ing the aerosol, radiation, and cloud processes affecting Arc-
tic Climate (ARCPAC) Project, Atmos. Chem. Phys., 11, 2423–
2453, https://doi.org/10.5194/acp-11-2423-2011, 2011. AMAP: AMAP Assessment 2015: Black carbon and ozone as
Arctic climate forcers, Arctic Monitoring and Assessment Pro-
gramme (AMAP), Oslo, Norway, vii + 166 pp., 2015. AMAP: Snow, Water, Ice and Permafrost in the Arctic (SWIPA)
2017, Arctic Monitoring and Assessment Programme (AMAP),
Oslo, Norway, xiv + 269 pp., 2017. Andrews, E., Ogren, J. A., Bonasoni, P., Marinoni, A., Cuevas,
E., Rodriguez, S., Sun, J. Y., Jaffe, D. A., Fischer, E. V., Bal-
tensperger, U., Weingartner, E., Coen, M. C., Sharma, S., Mac-
donald, A. M., Leaitch, W. R., Lin, N. H., Laj, P., Arsov, T.,
Kalapov, I., Jefferson, A., and Sheridan, P.: Climatology of
aerosol radiative properties in the free troposphere, Atmos. Res.,
102, 365–393, https://doi.org/10.1016/j.atmosres.2011.08.017,
2011. Canagaratna, M. R., Jayne, J. T., Jimenez, J. L., Allan, J. D.,
Alfarra, M. R., Zhang, Q., Onasch, T. B., Drewnick, F., Coe,
H., Middlebrook, A., Delia, A., Williams, L. R., Trimborn,
A. M., Northway, M. Competing interests. The authors declare that they have no conflict
of interest. Competing interests. The authors declare that they have no conflict
of interest. Aiken, A. C., Salcedo, D., Cubison, M. J., Huffman, J. A., DeCarlo,
P. F., Ulbrich, I. M., Docherty, K. S., Sueper, D., Kimmel, J. R., Worsnop, D. R., Trimborn, A., Northway, M., Stone, E. A.,
Schauer, J. J., Volkamer, R. M., Fortner, E., de Foy, B., Wang,
J., Laskin, A., Shutthanandan, V., Zheng, J., Zhang, R., Gaffney,
J., Marley, N. A., Paredes-Miranda, G., Arnott, W. P., Molina,
L. T., Sosa, G., and Jimenez, J. L.: Mexico City aerosol analysis
during MILAGRO using high resolution aerosol mass spectrom-
etry at the urban supersite (T0) – Part 1: Fine particle composi-
tion and organic source apportionment, Atmos. Chem. Phys., 9,
6633–6653, https://doi.org/10.5194/acp-9-6633-2009, 2009. Acknowledgements. The research was supported by the Arctic Cen-
tre of Research and iCLIMATE at Aarhus University, Cryosphere–
Atmosphere Interaction in a Changing Arctic Climate (CRAICC)
and WOOD combustion – detailed Monitoring related to Acute ef-
fects in Denmark (WOODMAD). Special thanks go to laboratory
technician Bjarne Jensen and the staff at Station Nord for their great
support during the field campaign. Sissel Bjørn Svendsen is grate-
fully acknowledged for her data control of the SMPS data, and the
Villum Foundation is acknowledged for financing the new research
station, Villum Research Station, at Station Nord. Allan, J. D., Jimenez, J. L., Williams, P. I., Alfarra, M. R., Bower,
K. N., Jayne, J. T., Coe, H., and Worsnop, D. R.: Quantitative
sampling using an Aerodyne aerosol mass spectrometer: 1. Tech-
niques of data interpretation and error analysis, J. Geophys. Res.-
Atmos., 108, 4283, https://doi.org/10.1029/2003jd001607, 2003. Financial support. This research has been financially supported
by the Danish Environmental Protection Agency and Danish En-
ergy Agency with means from the MIKA/DANCEA funds for en-
vironmental support to the Arctic Region (project nos. MST-113-
0079, 2016-3025, MST-112-00298) and the Danish Council for In- Allan, J. D., Delia, A. E., Coe, H., Bower, K. N., Al-
farra, M. R., Jimenez, J. L., Middlebrook, A. M., Drewnick,
F., Onasch, T. B., Canagaratna, M. R., Jayne, J. T., and
Worsnop, D. R.: A generalised method for the extrac-
tion of chemically resolved mass spectra from Aerodyne www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station Environ.,
43,
5937–5943,
https://doi.org/10.1016/j.atmosenv.2009.08.009, 2009. Fu, P. Q., Kawamura, K., Chen, J., Qin, M. Y., Ren, L. J.,
Sun, Y. L., Wang, Z. F., Barrie, L. A., Tachibana, E., Ding,
A. J., and Yamashita, Y.: Fluorescent water-soluble organic
aerosols in the High Arctic atmosphere, Sci. Rep.-UK, 5, 9845,
https://doi.org/10.1038/srep09845, 2015. Drewnick, F., Hings, S. S., DeCarlo, P., Jayne, J. T., Gonin, M.,
Fuhrer, K., Weimer, S., Jimenez, J. L., Demerjian, K. L., Bor-
rmann, S., and Worsnop, D. R.: A new time-of-flight aerosol
mass spectrometer (TOF-AMS) – Instrument description and
first field deployment, Aerosol Sci. Technol., 39, 637–658,
https://doi.org/10.1080/02786820500182040, 2005. Garrett, T. J., Brattstrom, S., Sharma, S., Worthy, D. E. J., and Nov-
elli, P.: The role of scavenging in the seasonal transport of black
carbon and sulfate to the Arctic, Geophys. Res. Lett., 38, L16805,
https://doi.org/10.1029/2011GL048221, 2011. Duplissy, J., DeCarlo, P. F., Dommen, J., Alfarra, M. R., Metzger,
A., Barmpadimos, I., Prevot, A. S. H., Weingartner, E., Tritscher,
T., Gysel, M., Aiken, A. C., Jimenez, J. L., Canagaratna, M. R., Worsnop, D. R., Collins, D. R., Tomlinson, J., and Bal-
tensperger, U.: Relating hygroscopicity and composition of or-
ganic aerosol particulate matter, Atmos. Chem. Phys., 11, 1155–
1165, https://doi.org/10.5194/acp-11-1155-2011, 2011. Ghahremaninezhad, R., Norman, A.-L., Abbatt, J. P. D., Lev-
asseur, M., and Thomas, J. L.: Biogenic, anthropogenic and sea
salt sulfate size-segregated aerosols in the Arctic summer, At-
mos. Chem. Phys., 16, 5191–5202, https://doi.org/10.5194/acp-
16-5191-2016, 2016. Gong, S. L., Zhao, T. L., Sharma, S., Toom-Sauntry, D., Lavoue, D.,
Zhang, X. B., Leaitch, W. R., and Barrie, L. A.: Identification of
trends and interannual variability of sulfate and black carbon in
the Canadian High Arctic: 1981–2007, J. Geophys. Res.-Atmos.,
115, D07305, https://doi.org/10.1029/2009jd012943, 2010. Earle, M. E., Liu, P. S. K., Strapp, J. W., Zelenyuk, A., Imre, D.,
McFarquhar, G. M., Shantz, N. C., and Leaitch, W. R.: Fac-
tors influencing the microphysics and radiative properties of
liquid-dominated Arctic clouds: Insight from observations of
aerosol and clouds during ISDAC, J. Geophys. Res.-Atmos., 116,
D00t09, https://doi.org/10.1029/2011jd015887, 2011. Heidam,
N. Z.:
The
Components
of
the
Arctic
Aerosol,
Atmos. Environ., 18, 329–343, https://doi.org/10.1016/0004-
6981(84)90107-0, 1984. Heidam, N. Z., Wahlin, P., and Christensen, J. H.: Tropo-
spheric
gases
and
aerosols
in
Northeast
Greenland,
J. Atmos. Sci.,
56,
261–278,
https://doi.org/10.1175/1520-
0469(1999)056<0261:tgaain>2.0.co;2, 1999. Eckhardt, S., Quennehen, B., Olivié, D. J. L., Berntsen, T. K.,
Cherian, R., Christensen, J. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10252 land during late winter, Atmos. Chem. Phys., 13, 1569–1578,
https://doi.org/10.5194/acp-13-1569-2013, 2013. Cubison, M. J., Ortega, A. M., Hayes, P. L., Farmer, D. K., Day,
D., Lechner, M. J., Brune, W. H., Apel, E., Diskin, G. S., Fisher, Cubison, M. J., Ortega, A. M., Hayes, P. L., Farmer, D. K., Day,
D., Lechner, M. J., Brune, W. H., Apel, E., Diskin, G. S., Fisher,
J. A., Fuelberg, H. E., Hecobian, A., Knapp, D. J., Mikoviny,
T., Riemer, D., Sachse, G. W., Sessions, W., Weber, R. J., Wein-
heimer, A. J., Wisthaler, A., and Jimenez, J. L.: Effects of aging
on organic aerosol from open biomass burning smoke in aircraft
and laboratory studies, Atmos. Chem. Phys., 11, 12049–12064,
https://doi.org/10.5194/acp-11-12049-2011, 2011. Fisher, J. A., Jacob, D. J., Wang, Q. Q., Bahreini, R., Carouge,
C. C., Cubison, M. J., Dibb, J. E., Diehl, T., Jimenez,
J. L., Leibensperger, E. M., Lu, Z. F., Meinders, M. B. J., Pye, H. O. T., Quinn, P. K., Sharma, S., Streets, D. G., van Donkelaar, A., and Yantosca, R. M.: Sources, dis-
tribution, and acidity of sulfate-ammonium aerosol in the
Arctic in winter-spring, Atmos. Environ., 45, 7301–7318,
https://doi.org/10.1016/j.atmosenv.2011.08.030, 2011. Dall’Osto, M., Beddows, D. C. S., Tunved, P., Krejci, R., Strom, J.,
Hansson, H. C., Yoon, Y. J., Park, K. T., Becagli, S., Udisti, R.,
Onasch, T., O’Dowd, C. D., Simo, R., and Harrison, R. M.: Arc-
tic sea ice melt leads to atmospheric new particle formation, Sci. Rep.-UK, 7, 3318, https://doi.org/10.1038/s41598-017-03328-1,
2017. Frossard, A. A., Shaw, P. M., Russell, L. M., Kroll, J. H.,
Canagaratna, M. R., Worsnop, D. R., Quinn, P. K., and
Bates, T. S.: Springtime Arctic haze contributions of sub-
micron organic particles from European and Asian com-
bustion sources, J. Geophys. Res.-Atmos., 116, D05205,
https://doi.org/10.1029/2010jd015178, 2011. DeCarlo,
P. F.,
Kimmel,
J. R.,
Trimborn,
A.,
Northway,
M. J., Jayne, J. T., Aiken, A. C., Gonin, M., Fuhrer,
K., Horvath, T., Docherty, K. S., Worsnop, D. R., and
Jimenez, J. L.: Field-deployable, high-resolution, time-of-flight
aerosol mass spectrometer, Anal. Chem., 78, 8281–8289,
https://doi.org/10.1021/ac061249n, 2006. Fu, P. Q., Kawamura, K., Chen, J., Charrière, B., and Sempéré,
R.: Organic molecular composition of marine aerosols over the
Arctic Ocean in summer: contributions of primary emission
and secondary aerosol formation, Biogeosciences, 10, 653–667,
https://doi.org/10.5194/bg-10-653-2013, 2013. Dillner, A. M., Phuah, C. H., and Turner, J. R.: Effects
of
post-sampling
conditions
on
ambient
carbon
aerosol
filter
measurements,
Atmos. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station E., Cacciani, M., Caiazzo, L., Di Biagio, C., Di Iorio, T., di
Sarra, A., Eriksen, P., Fani, F., Giardi, F., Meloni, D., Mus-
cari, G., Pace, G., Severi, M., Traversi, R., and Udisti, R.: Re-
lationships linking primary production, sea ice melting, and
biogenic aerosol in the Arctic, Atmos. Environ., 136, 1–15,
https://doi.org/10.1016/j.atmosenv.2016.04.002, 2016. Croft, B., Wentworth, G. R., Martin, R. V., Leaitch, W. R., Murphy,
J. G., Murphy, B. N., Kodros, J. K., Abbatt, J. P. D., and Pierce, Croft, B., Wentworth, G. R., Martin, R. V., Leaitch, W. R., Murphy,
J. G., Murphy, B. N., Kodros, J. K., Abbatt, J. P. D., and Pierce,
J. R.: Contribution of Arctic seabird-colony ammonia to atmo-
spheric particles and cloud-albedo radiative effect, Nat. Com-
mun., 7, 13444, https://doi.org/10.1038/ncomms13444, 2016. J. G., Murphy, B. N., Kodros, J. K., Abbatt, J. P. D., and Pierce,
J. R.: Contribution of Arctic seabird-colony ammonia to atmo-
spheric particles and cloud-albedo radiative effect, Nat. Com-
mun., 7, 13444, https://doi.org/10.1038/ncomms13444, 2016. Croft, B., Martin, R. V., Leaitch, W. R., Burkart, J., Chang, R. Y.-W.,
Collins, D. B., Hayes, P. L., Hodshire, A. L., Huang, L., Kodros,
J. K., Moravek, A., Mungall, E. L., Murphy, J. G., Sharma, S.,
Tremblay, S., Wentworth, G. R., Willis, M. D., Abbatt, J. P. D.,
and Pierce, J. R.: Arctic marine secondary organic aerosol con-
tributes significantly to summertime particle size distributions
in the Canadian Arctic Archipelago, Atmos. Chem. Phys., 19,
2787–2812, https://doi.org/10.5194/acp-19-2787-2019, 2019. Bond, T. C., Doherty, S. J., Fahey, D. W., Forster, P. M., Berntsen,
T., DeAngelo, B. J., Flanner, M. G., Ghan, S., Karcher, B., Koch,
D., Kinne, S., Kondo, Y., Quinn, P. K., Sarofim, M. C., Schultz,
M. G., Schulz, M., Venkataraman, C., Zhang, H., Zhang, S.,
Bellouin, N., Guttikunda, S. K., Hopke, P. K., Jacobson, M. Z., Kaiser, J. W., Klimont, Z., Lohmann, U., Schwarz, J. P.,
Shindell, D., Storelvmo, T., Warren, S. G., and Zender, C. S.: Atmos. Chem. Phys., 19, 10239–10256, 2019 www.atmos-chem-phys.net/19/10239/2019/ I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10253 in atmospheric transport and source region emissions, Atmos. Chem. Phys., 10, 9351–9368, https://doi.org/10.5194/acp-10-
9351-2010, 2010. F., Borrmann, S., Weimer, S., Demerjian, K., Salcedo, D., Cot-
trell, L., Griffin, R., Takami, A., Miyoshi, T., Hatakeyama, S.,
Shimono, A., Sun, J. Y., Zhang, Y. M., Dzepina, K., Kimmel,
J. R., Sueper, D., Jayne, J. T., Herndon, S. C., Trimborn, A. M., Williams, L. R., Wood, E. C., Middlebrook, A. M., Kolb,
C. E., Baltensperger, U., and Worsnop, D. R.: Evolution of Or-
ganic Aerosols in the Atmosphere, Science, 326, 1525–1529,
https://doi.org/10.1126/science.1180353, 2009. Hoffmann, D., Tilgner, A., Iinuma, Y., and Herrmann, H.: At-
mospheric Stability of Levoglucosan: A Detailed Laboratory
and Modeling Study, Environ. Sci. Technol., 44, 694–699,
https://doi.org/10.1021/es902476f, 2010. Hoffmann, E. H., Tilgner, A., Schrodner, R., Brauera, P., Wolke,
R., and Herrmann, H.: An advanced modeling study on the im-
pacts and atmospheric implications of multiphase dimethyl sul-
fide chemistry, P. Natl. Acad. Sci. USA, 113, 11776–11781,
https://doi.org/10.1073/pnas.1606320113, 2016. Kawamura, K., Kasukabe, H., and Barrie, L. A.: Secondary for-
mation of water-soluble organic acids and alpha-dicarbonyls
and their contributions to total carbon and water-soluble or-
ganic carbon: Photochemical aging of organic aerosols in
the Arctic spring, J. Geophys. Res.-Atmos., 115, D21306,
https://doi.org/10.1029/2010jd014299, 2010. Huang, J. and Jaeglé, L.: Wintertime enhancements of sea salt
aerosol in polar regions consistent with a sea ice source
from blowing snow, Atmos. Chem. Phys., 17, 3699–3712,
https://doi.org/10.5194/acp-17-3699-2017, 2017. Kodros, J. K., Hanna, S. J., Bertram, A. K., Leaitch, W. R., Schulz,
H., Herber, A. B., Zanatta, M., Burkart, J., Willis, M. D., Abbatt,
J. P. D., and Pierce, J. R.: Size-resolved mixing state of black car-
bon in the Canadian high Arctic and implications for simulated
direct radiative effect, Atmos. Chem. Phys., 18, 11345–11361,
https://doi.org/10.5194/acp-18-11345-2018, 2018. Huang, S., Poulain, L., van Pinxteren, D., van Pinxteren, M., Wu, Z. J., Herrmann, H., and Wiedensohler, A.: Latitudinal and Seasonal
Distribution of Particulate MSA over the Atlantic using a Vali-
dated Quantification Method with HR-ToF-AMS, Environ. Sci. Technol., 51, 418–426, https://doi.org/10.1021/acs.est.6b03186,
2017. Komppula, M., Lihavainen, H., Kerminen, V. M., Kulmala, M., and
Viisanen, Y.: Measurements of cloud droplet activation of aerosol
particles at a clean subarctic background site, J. Geophys. Res.-
Atmos., 110, D06204, https://doi.org/10.1029/2004jd005200,
2005. IPCC: Climate Change 2013: The Physical Science Basis. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station Contri-
bution of Working Group I to the Fifth Assessment Report of the
Intergovernmental Panel on Climate Change, Cambridge Uni-
versity Press, Cambridge, United Kingdom and New York, NY,
USA, 1535 pp., 2013. Laing, J. R., Hopke, P. K., Hopke, E. F., Husain, L., Dutkiewicz, V. A., Paatero, J., and Viisanen, Y.: Long-term trends of biogenic
sulfur aerosol and its relationship with sea surface temperature
in Arctic Finland, J. Geophys. Res.-Atmos., 118, 776, 11770–
11776, https://doi.org/10.1002/2013jd020384, 2013. IPCC: Summary for Policymakers, in: Global Warming of 1.5 ◦C. An IPCC Special Report on the impacts of global warming
of 1.5 ◦C above pre-industrial levels and related global green-
house gas emission pathways, in the context of strengthening the
global response to the threat of climate change, sustainable de-
velopment, and efforts to eradicate poverty, edited by: Masson-
Delmotte, V., Zhai, P., Pörtner, H.-O., Roberts, D., Skea, J.,
Shukla, P. R., Pirani, A., Moufouma-Okia, W., Péan, C., Pid-
cock, R., Connors, S., Matthews, J. B. R., Chen, Y., Zhou, X.,
Gomis, M. I., Lonnoy, E., Maycock,T., Tignor, M., and Water-
field, T., World Meteorological Organization, Geneva, Switzer-
land, 32 pp., 2018. Lana, A., Bell, T. G., Simo, R., Vallina, S. M., Ballabrera-Poy,
J., Kettle, A. J., Dachs, J., Bopp, L., Saltzman, E. S., Ste-
fels, J., Johnson, J. E., and Liss, P. S.: An updated clima-
tology of surface dimethlysulfide concentrations and emission
fluxes in the global ocean, Global Biogeochem. Cy., 25, Gb1004,
https://doi.org/10.1029/2010gb003850, 2011. Lange, R., Dall’Osto, M., Skov, H., Nojgaard, J. K., Nielsen,
I. E., Beddowse, D. C. S., Simob, R., Harrison, R. M., and
Massling, A.: Characterization of distinct Arctic aerosol accu-
mulation modes and their sources, Atmos. Environ., 183, 1–10,
https://doi.org/10.1016/j.atmosenv.2018.03.060, 2018. Jayne, J. T., Leard, D. C., Zhang, X., Davidovits, P., Smith, K. A., Kolb, C. E., and Worsnop, D. R.: Development of an
Aerosol Mass Spectrometer for Size and Composition Analy-
sis of Submicron Particles, Aerosol Sci. Technol., 33, 49–70,
https://doi.org/10.1080/027868200410840, 2000. Lanz, V. A., Alfarra, M. R., Baltensperger, U., Buchmann, B.,
Hueglin, C., and Prévôt, A. S. H.: Source apportionment of sub-
micron organic aerosols at an urban site by factor analytical mod-
elling of aerosol mass spectra, Atmos. Chem. Phys., 7, 1503–
1522, https://doi.org/10.5194/acp-7-1503-2007, 2007. Jimenez, J. L., Jayne, J. T., Shi, Q., Kolb, C. E., Worsnop,
D. R., Yourshaw, I., Seinfeld, J. H., Flagan, R. C., Zhang,
X. F., Smith, K. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station H., Collins, W., Crepinsek, S.,
Daskalakis, N., Flanner, M., Herber, A., Heyes, C., Hodnebrog,
Ø., Huang, L., Kanakidou, M., Klimont, Z., Langner, J., Law,
K. S., Lund, M. T., Mahmood, R., Massling, A., Myriokefali-
takis, S., Nielsen, I. E., Nøjgaard, J. K., Quaas, J., Quinn, P. K.,
Raut, J.-C., Rumbold, S. T., Schulz, M., Sharma, S., Skeie, R. B.,
Skov, H., Uttal, T., von Salzen, K., and Stohl, A.: Current model
capabilities for simulating black carbon and sulfate concentra-
tions in the Arctic atmosphere: a multi-model evaluation using a
comprehensive measurement data set, Atmos. Chem. Phys., 15,
9413–9433, https://doi.org/10.5194/acp-15-9413-2015, 2015. Heidam, N. Z., Christensen, J., Wåhlin, P., and Skov, H.:
Arctic
atmospheric
contaminants
in
NE
Greenland:
lev-
els,
variations,
origins,
transport,
transformations
and
trends
1990–2001,
Sci. Total
Environ.,
331,
5–28,
https://doi.org/10.1016/j.scitotenv.2004.03.033, 2004. Hennigan, C. J., Sullivan, A. P., Collett, J. L., and Robinson,
A. L.: Levoglucosan stability in biomass burning particles ex-
posed to hydroxyl radicals, Geophys. Res. Lett., 37, L09806,
https://doi.org/10.1029/2010gl043088, 2010. Fenger, M., Sørensen, L. L., Kristensen, K., Jensen, B., Nguyen,
Q. T., Nøjgaard, J. K., Massling, A., Skov, H., Becker, T., and
Glasius, M.: Sources of anions in aerosols in northeast Green- Hirdman, D., Burkhart, J. F., Sodemann, H., Eckhardt, S., Jefferson,
A., Quinn, P. K., Sharma, S., Ström, J., and Stohl, A.: Long-term
trends of black carbon and sulphate aerosol in the Arctic: changes Atmos. Chem. Phys., 19, 10239–10256, 2019 www.atmos-chem-phys.net/19/10239/2019/ I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station Mahmood, R., von Salzen, K., Flanner, M., Sand, M., Langner, J.,
Wang, H. L., and Huang, L.: Seasonality of global and Arctic
black carbon processes in the Arctic Monitoring and Assessment
Programme models, J. Geophys. Res.-Atmos., 121, 7100–7116,
https://doi.org/10.1002/2016jd024849, 2016. Orellana, M. V., Matrai, P. A., Leck, C., Rauschenberg, C. D., Lee,
A. M., and Coz, E.: Marine microgels as a source of cloud con-
densation nuclei in the high Arctic, P. Natl. Acad. Sci. USA, 108,
13612–13617, https://doi.org/10.1073/pnas.1102457108, 2011. Martinsson, J., Eriksson, A. C., Nielsen, I. E., Malmborg, V. B.,
Ahlberg, E., Andersen, C., Lindgren, R., Nystrom, R., Nordin,
E. Z., Brune, W. H., Svenningsson, B., Swietlicki, E., Boman,
C., and Pagels, J. H.: Impacts of Combustion Conditions and
Photochemical Processing on the Light Absorption of Biomass
Combustion Aerosol, Environ. Sci. Technol., 49, 14663–14671,
https://doi.org/10.1021/acs.est.5b03205, 2015. Ovadnevaite,
J.,
O’Dowd,
C.,
Dall’Osto,
M.,
Ceburnis,
D.,
Worsnop,
D. R.,
and
Berresheim,
H.:
Detecting
high
contributions
of
primary
organic
matter
to
marine
aerosol: A case study, Geophys. Res. Lett., 38, L02807,
https://doi.org/10.1029/2010gl046083, 2011. Massling, A., Nielsen, I. E., Kristensen, D., Christensen, J. H.,
Sørensen, L. L., Jensen, B., Nguyen, Q. T., Nøjgaard, J. K., Gla-
sius, M., and Skov, H.: Atmospheric black carbon and sulfate
concentrations in Northeast Greenland, Atmos. Chem. Phys., 15,
9681–9692, https://doi.org/10.5194/acp-15-9681-2015, 2015. Ovadnevaite, J., Ceburnis, D., Canagaratna, M., Berresheim, H.,
Bialek, J., Martucci, G., Worsnop, D. R., and O’Dowd, C.: On
the effect of wind speed on submicron sea salt mass concentra-
tions and source fluxes, J. Geophys. Res.-Atmos., 117, D16201,
https://doi.org/10.1029/2011jd017379, 2012. Matthew, B. M., Middlebrook, A. M., and Onasch, T. B.:
Collection efficiencies in an Aerodyne Aerosol Mass Spec-
trometer as a function of particle phase for laboratory
generated
aerosols,
Aerosol
Sci. Technol.,
42,
884–898,
https://doi.org/10.1080/02786820802356797, 2008. Paatero, P. and Tapper, U.: Positive Matrix Factorization –
a Nonnegative Factor Model with Optimal Utilization of
Error-Estimates of Data Values, Environmetrics, 5, 111–126,
https://doi.org/10.1002/env.3170050203, 1994. Paatero, P.: Least squares formulation of robust non-negative
factor
analysis,
Chemom. Intell. Lab. Syst.,
37,
23–35,
https://doi.org/10.1016/s0169-7439(96)00044-5, 1997. Middlebrook, A. M., Bahreini, R., Jimenez, J. L., and Cana-
garatna, M. R.: Evaluation of Composition-Dependent Collec-
tion Efficiencies for the Aerodyne Aerosol Mass Spectrom-
eter using Field Data, Aerosol Sci. Technol., 46, 258–271,
https://doi.org/10.1080/02786826.2011.620041, 2012. Park, K. T., Lee, K., Yoon, Y. J., Lee, H. W., Kim, H. C., Lee, B. Y., Hermansen, O., Kim, T. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10254 Aerosol Mass Spectrometry, Atmos. Chem. Phys., 10, 4625–
4641, https://doi.org/10.5194/acp-10-4625-2010, 2010. Aerosol Mass Spectrometry, Atmos. Chem. Phys., 10, 4625–
4641, https://doi.org/10.5194/acp-10-4625-2010, 2010. by HR-ToF-AMS at a suburban site in Hong Kong during
springtime 2011, J. Geophys. Res.-Atmos., 118, 8625–8639,
https://doi.org/10.1002/jgrd.50658, 2013. Nguyen, Q. T., Skov, H., Sørensen, L. L., Jensen, B. J., Grube,
A. G., Massling, A., Glasius, M., and Nøjgaard, J. K.: Source
apportionment of particles at Station Nord, North East Green-
land during 2008–2010 using COPREM and PMF analysis, At-
mos. Chem. Phys., 13, 35–49, https://doi.org/10.5194/acp-13-35-
2013, 2013. Lee, T., Sullivan, A. P., Mack, L., Jimenez, J. L., Kreidenweis,
S. M., Onasch, T. B., Worsnop, D. R., Malm, W., Wold, C. E., Hao, W. M., and Collett, J. L.: Chemical Smoke Marker
Emissions During Flaming and Smoldering Phases of Labora-
tory Open Burning of Wildland Fuels, Aerosol Sci. Technol., 44,
I–V, https://doi.org/10.1080/02786826.2010.499884, 2010. Nguyen, Q. T., Glasius, M., Sørensen, L. L., Jensen, B., Skov,
H., Birmili, W., Wiedensohler, A., Kristensson, A., Nøjgaard,
J. K., and Massling, A.: Seasonal variation of atmospheric par-
ticle number concentrations, new particle formation and atmo-
spheric oxidation capacity at the high Arctic site Villum Research
Station, Station Nord, Atmos. Chem. Phys., 16, 11319–11336,
https://doi.org/10.5194/acp-16-11319-2016, 2016. Lenton, T. M.: Arctic climate tipping points, A Journal of the Hu-
man Environment, 41, 10–22, https://doi.org/10.1007/s13280-
011-0221-x, 2012. Liu, S., Aiken, A. C., Gorkowski, K., Dubey, M. K., Cappa,
C. D., Williams, L. R., Herndon, S. C., Massoli, P., Fortner,
E. C., Chhabra, P. S., Brooks, W. A., Onasch, T. B., Jayne,
J. T., Worsnop, D. R., China, S., Sharma, N., Mazzoleni, C.,
Xu, L., Ng, N. L., Liu, D., Allan, J. D., Lee, J. D., Flem-
ing, Z. L., Mohr, C., Zotter, P., Szidat, S., and Prevot, A. S. H.: Enhanced light absorption by mixed source black and
brown carbon particles in UK winter, Nat. Commun., 6, 8435,
https://doi.org/10.1038/ncomms9435, 2015. Norman,
A. L.,
Barrie,
L. A.,
Toom-Sauntry,
D.,
Sirois,
A., Krouse, H. R., Li, S. M., and Sharma, S.: Sources
of
aerosol
sulphate
at
Alert:
Apportionment
using
sta-
ble isotopes, J. Geophys. Res.-Atmos., 104, 11619–11631,
https://doi.org/10.1029/1999jd900078, 1999. Onasch, T. B., Trimborn, A., Fortner, E. C., Jayne, J. T., Kok,
G. L., Williams, L. R., Davidovits, P., and Worsnop, D. R.:
Soot Particle Aerosol Mass Spectrometer: Development, Valida-
tion, and Initial Application, Aerosol Sci. Technol., 46, 804–817,
https://doi.org/10.1080/02786826.2012.663948, 2012. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station A., Morris, J. W., and Davidovits, P.:
Ambient
aerosol
sampling
using
the
Aerodyne
Aerosol
Mass Spectrometer, J. Geophys. Res.-Atmos., 108, 8425,
https://doi.org/10.1029/2001jd001213, 2003. Law,
K. S. and
Stohl,
A.:
Arctic
Air
Pollution:
Origins
and
Impacts,
Science,
315,
1537–1540,
https://doi.org/10.1126/science.1137695, 2007. Leaitch, W. R., Russell, L. M., Liu, J., Kolonjari, F., Toom, D.,
Huang, L., Sharma, S., Chivulescu, A., Veber, D., and Zhang, W.:
Organic functional groups in the submicron aerosol at 82.5◦N,
62.5◦W from 2012 to 2014, Atmos. Chem. Phys., 18, 3269–
3287, https://doi.org/10.5194/acp-18-3269-2018, 2018. Jimenez, J. L., Canagaratna, M. R., Donahue, N. M., Prevot, A. S. H., Zhang, Q., Kroll, J. H., DeCarlo, P. F., Allan, J. D., Coe,
H., Ng, N. L., Aiken, A. C., Docherty, K. S., Ulbrich, I. M.,
Grieshop, A. P., Robinson, A. L., Duplissy, J., Smith, J. D., Wil-
son, K. R., Lanz, V. A., Hueglin, C., Sun, Y. L., Tian, J., Laak-
sonen, A., Raatikainen, T., Rautiainen, J., Vaattovaara, P., Ehn,
M., Kulmala, M., Tomlinson, J. M., Collins, D. R., Cubison, M. J., Dunlea, E. J., Huffman, J. A., Onasch, T. B., Alfarra, M. R.,
Williams, P. I., Bower, K., Kondo, Y., Schneider, J., Drewnick, Leck, C. and Bigg, E. K.: Source and evolution of the marine
aerosol – A new perspective, Geophys. Res. Lett., 32, L19803,
https://doi.org/10.1029/2005gl023651, 2005. Lee, B. P., Li, Y. J., Yu, J. Z., Louie, P. K. K., and Chan, C. K.: Physical and chemical characterization of ambient aerosol www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10255 Barrow: 1989–2003, J. Geophys. Res.-Atmos., 111, D14208,
https://doi.org/10.1029/2005JD006581, 2006. Barrow: 1989–2003, J. Geophys. Res.-Atmos., 111, D14208,
https://doi.org/10.1029/2005JD006581, 2006. Quinn, P. K., Miller, T. L., Bates, T. S., Ogren, J. A., An-
drews, E., and Shaw, G. E.: A 3-year record of simul-
taneously measured aerosol chemical and optical properties
at Barrow, Alaska, J. Geophys. Res.-Atmos., 107, 4130,
https://doi.org/10.1029/2001jd001248, 2002. Sharma, S., Chan, E., Ishizawa, M., Toom-Sauntry, D., Gong, S. L.,
Li, S. M., Tarasick, D. W., Leaitch, W. R., Norman, A., Quinn, P. K., Bates, T. S., Levasseur, M., Barrie, L. A., and Maenhaut, W.:
Influence of transport and ocean ice extent on biogenic aerosol
sulfur in the Arctic atmosphere, J. Geophys. Res.-Atmos., 117,
D12209, https://doi.org/10.1029/2011jd017074, 2012. p
g
j
Quinn, P. K., Bates, T. S., Coffman, D., Onasch, T. B., Worsnop,
D., Baynard, T., de Gouw, J. A., Goldan, P. D., Kuster, W. C., Williams, E., Roberts, J. M., Lerner, B., Stohl, A., Petters-
son, A., and Lovejoy, E. R.: Impacts of sources and aging on
submicrometer aerosol properties in the marine boundary layer
across the Gulf of Maine, J. Geophys. Res.-Atmos., 111, D23s36,
https://doi.org/10.1029/2006jd007582, 2006. Sharma, S., Ishizawa, M., Chan, D., Lavoue, D., Andrews, E.,
Eleftheriadis, K., and Maksyutov, S.: 16-year simulation of Arc-
tic black carbon: Transport, source contribution, and sensitivity
analysis on deposition, J. Geophys. Res.-Atmos., 118, 943–964,
https://doi.org/10.1029/2012JD017774, 2013. Quinn, P. K., Shaw, G., Andrews, E., Dutton, E. G., Ruoho-Airola,
T., and Gong, S. L.: Arctic haze: current trends and knowl-
edge gaps, Tellus B, 59, 99–114, https://doi.org/10.1111/j.1600-
0889.2006.00238.x, 2007. Shaw, P. M., Russell, L. M., Jefferson, A., and Quinn, P. K.: Arctic
organic aerosol measurements show particles from mixed com-
bustion in spring haze and from frost flowers in winter, Geophys. Res. Lett., 37, L10803, https://doi.org/10.1029/2010gl042831,
2010. Quinn, P. K., Bates, T. S., Baum, E., Doubleday, N., Fiore,
A. M., Flanner, M., Fridlind, A., Garrett, T. J., Koch, D.,
Menon, S., Shindell, D., Stohl, A., and Warren, S. G.: Short-
lived pollutants in the Arctic: their climate impact and possi-
ble mitigation strategies, Atmos. Chem. Phys., 8, 1723–1735,
https://doi.org/10.5194/acp-8-1723-2008, 2008. Skov, H., Wahlin, P., Christensen, J., Heidam, N. Z., and
Petersen,
D.:
Measurements
of
elements,
sulphate
and
SO2 in Nuuk Greenland, Atmos. Environ., 40, 4775–4781,
https://doi.org/10.1016/j.atmosenv.2006.03.057, 2006. Quinn, P. K., Bates, T. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station S., Schulz, K., and Shaw, G. E.:
Decadal trends in aerosol chemical composition at Barrow,
Alaska: 1976–2008, Atmos. Chem. Phys., 9, 8883–8888,
https://doi.org/10.5194/acp-9-8883-2009, 2009. Skov, H., Massling, A., Nielsen, I. E., Nordstrøm, C., Bossi, R.,
Vorkamp, K., Christensen, J., Larsen, M. M., MHansen, K. M.,
Liisberg, J. B., and Poulsen, M. B.: AMAP core – atmospheric
part: from 1990 to 2015, Results from Villum Research Station,
Technical report no. 101, Aarhus University, DCE – Danish Cen-
tre for Environment and Energy, 2017. Rahn, K. A. and Heidam, N. Z.: Progress in Arctic Air Chem-
istry, 1977–1980 – a Comparison of the 1st and 2nd Symposia,
Atmos. Environ., 15, 1345–1348, https://doi.org/10.1016/0004-
6981(81)90339-5, 1981. Sodemann, H., Pommier, M., Arnold, S. R., Monks, S. A., Stebel,
K., Burkhart, J. F., Hair, J. W., Diskin, G. S., Clerbaux, C.,
Coheur, P.-F., Hurtmans, D., Schlager, H., Blechschmidt, A.-
M., Kristjánsson, J. E., and Stohl, A.: Episodes of cross-
polar transport in the Arctic troposphere during July 2008 as
seen from models, satellite, and aircraft observations, Atmos. Chem. Phys., 11, 3631–3651, https://doi.org/10.5194/acp-11-
3631-2011, 2011. Rasch, M., Frandsen, E. R., Skov, H., and Hansen, J. L.: Site Man-
ual – Villum Research Station Station Nord Greenland, Aarhus
University, 2016. Saarnio, K., Teinilä, K., Saarikoski, S., Carbone, S., Gilardoni, S.,
Timonen, H., Aurela, M., and Hillamo, R.: Online determina-
tion of levoglucosan in ambient aerosols with particle-into-liquid
sampler – high-performance anion-exchange chromatography –
mass spectrometry (PILS–HPAEC–MS), Atmos. Meas. Tech., 6,
2839–2849, https://doi.org/10.5194/amt-6-2839-2013, 2013. Stohl, A.: Characteristics of atmospheric transport into the
Arctic troposphere, J. Geophys. Res.-Atmos., 111, D11306,
https://doi.org/10.1029/2005jd006888, 2006. Stohl, A., Berg, T., Burkhart, J. F., Fjæraa, A. M., Forster, C., Her-
ber, A., Hov, Ø., Lunder, C., McMillan, W. W., Oltmans, S.,
Shiobara, M., Simpson, D., Solberg, S., Stebel, K., Ström, J.,
Tørseth, K., Treffeisen, R., Virkkunen, K., and Yttri, K. E.: Arctic
smoke – record high air pollution levels in the European Arc-
tic due to agricultural fires in Eastern Europe in spring 2006,
Atmos. Chem. Phys., 7, 511–534, https://doi.org/10.5194/acp-7-
511-2007, 2007. Schmeisser, L., Backman, J., Ogren, J. A., Andrews, E., Asmi, E.,
Starkweather, S., Uttal, T., Fiebig, M., Sharma, S., Eleftheriadis,
K., Vratolis, S., Bergin, M., Tunved, P., and Jefferson, A.: Sea-
sonality of aerosol optical properties in the Arctic, Atmos. Chem. Phys., 18, 11599–11622, https://doi.org/10.5194/acp-18-11599-
2018, 2018. Seinfeld, J. H. and Pandis, S. I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station N.: Atmospheric chemistry and
physics: from air pollution to climate change, 2nd edition, Wi-
ley, New York, ISBN 978-0-471-72017-1, 2006. Stohl, A., Klimont, Z., Eckhardt, S., Kupiainen, K., Shevchenko,
V. P., Kopeikin, V. M., and Novigatsky, A. N.: Black carbon in
the Arctic: the underestimated role of gas flaring and residen-
tial combustion emissions, Atmos. Chem. Phys., 13, 8833–8855,
https://doi.org/10.5194/acp-13-8833-2013, 2013. Sharma, S., Brook, J. R., Cachier, H., Chow, J., Gaudenzi, A., and
Lu, G.: Light absorption and thermal measurements of black car-
bon in different regions of Canada, J. Geophys. Res.-Atmos.,
107, 4771, https://doi.org/10.1029/2002JD002496, 2002. Sharma, S., Lavoue, D., Cachier, H., Barrie, L. A., and Gong,
S. L.: Long-term trends of the black carbon concentrations in
the Canadian Arctic, J. Geophys. Res.-Atmos., 109, D15203,
https://doi.org/10.1029/2003JD004331, 2004. Stroeve, J., Holland, M. M., Meier, W., Scambos, T., and Serreze,
M.: Arctic sea ice decline: Faster than forecast, Geophys. Res. Lett., 34, L09501, https://doi.org/10.1029/2007gl029703, 2007. Tunved, P., Ström, J., and Krejci, R.: Arctic aerosol life cycle: link-
ing aerosol size distributions observed between 2000 and 2010
with air mass transport and precipitation at Zeppelin station, Sharma, S., Andrews, E., Barrie, L. A., Ogren, J. A., and Lavoue,
D.: Variations and sources of the equivalent black carbon in
the high Arctic revealed by long-term observations at Alert and www.atmos-chem-phys.net/19/10239/2019/ I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station W., and Hol-
men, K.: Linking atmospheric dimethyl sulfide and the Arc-
tic Ocean spring bloom, Geophys. Res. Lett., 40, 155–160,
https://doi.org/10.1029/2012gl054560, 2013. Narukawa, M., Kawamura, K., Li, S. M., and Bottenheim, J. W.: Stable carbon isotopic ratios and ionic composition of
the high-Arctic aerosols: An increase in δ13C values from
winter to spring, J. Geophys. Res.-Atmos., 113, D02312,
https://doi.org/10.1029/2007jd008755, 2008. Petzold, A., Kopp, C., and Niessner, R.: The dependence of
the specific attenuation cross-section on black carbon mass
fraction and particle size, Atmos. Environ., 31, 661–672,
https://doi.org/10.1016/s1352-2310(96)00245-2, 1997. Ng, N. L., Canagaratna, M. R., Zhang, Q., Jimenez, J. L., Tian,
J., Ulbrich, I. M., Kroll, J. H., Docherty, K. S., Chhabra, P. S., Bahreini, R., Murphy, S. M., Seinfeld, J. H., Hildebrandt,
L., Donahue, N. M., DeCarlo, P. F., Lanz, V. A., Prévôt, A. S. H., Dinar, E., Rudich, Y., and Worsnop, D. R.: Organic aerosol
components observed in Northern Hemispheric datasets from Petzold, A. and Schonlinner, M.: Multi-angle absorption photome-
try – a new method for the measurement of aerosol light absorp-
tion and atmospheric black carbon, J. Aerosol Sci., 35, 421–441,
https://doi.org/10.1016/j.jaerosci.2003.09.005, 2004. ,
,
,
,
,
,
,
,
H., Dinar, E., Rudich, Y., and Worsnop, D. R.: Organic aerosol
components observed in Northern Hemispheric datasets from www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station 10256 Ny-Ålesund, Svalbard, Atmos. Chem. Phys., 13, 3643–3660,
https://doi.org/10.5194/acp-13-3643-2013, 2013. Ny-Ålesund, Svalbard, Atmos. Chem. Phys., 13, 3643–3660,
https://doi.org/10.5194/acp-13-3643-2013, 2013. Zangrando, R., Barbaro, E., Zennaro, P., Rossi, S., Kehrwald, N. M.,
Gabrieli, J., Barbante, C., and Gambaro, A.: Molecular Markers
of Biomass Burning in Arctic Aerosols, Environ. Sci. Technol.,
47, 8565–8574, https://doi.org/10.1021/es400125r, 2013. Twomey,
S.:
The
influence
of
pollution
on
the
shortwave
albedo
of
clouds,
J. Atmos. Sci.,
34,
1149–1152,
https://doi.org/10.1175/1520-
0469(1977)034<1149:TIOPOT>2.0.CO;2, 1977. Zhang, Q., Alfarra, M. R., Worsnop, D. R., Allan, J. D., Coe, H.,
Canagaratna, M. R., and Jimenez, J. L.: Deconvolution and quan-
tification of hydrocarbon-like and oxygenated organic aerosols
based on aerosol mass spectrometry, Environ. Sci. Technol., 39,
4938–4952, https://doi.org/10.1021/es048568l, 2005. (
)
; ,
Udisti, R., Bazzano, A., Becagli, S., Bolzacchini, E., Caiazzo, L.,
Cappelletti, D., Ferrero, L., Frosini, D., Giardi, F., Grotti, M.,
Lupi, A., Malandrino, M., Mazzola, M., Moroni, B., Severi, M.,
Traversi, R., Viola, A., and Vitale, V.: Sulfate source apportion-
ment in the Ny-Alesund (Svalbard Islands) Arctic aerosol, Rend
Lincei-Sci Fis, 27, 85–94, https://doi.org/10.1007/s12210-016-
0517-7, 2016. Zhang, Q., Jimenez, J. L., Canagaratna, M. R., Allan, J. D., Coe,
H., Ulbrich, I., Alfarra, M. R., Takami, A., Middlebrook, A. M., Sun, Y. L., Dzepina, K., Dunlea, E., Docherty, K., De-
Carlo, P. F., Salcedo, D., Onasch, T., Jayne, J. T., Miyoshi,
T., Shimono, A., Hatakeyama, S., Takegawa, N., Kondo, Y.,
Schneider, J., Drewnick, F., Borrmann, S., Weimer, S., Demer-
jian, K., Williams, P., Bower, K., Bahreini, R., Cottrell, L.,
Griffin, R. J., Rautiainen, J., Sun, J. Y., Zhang, Y. M., and
Worsnop, D. R.: Ubiquity and dominance of oxygenated species
in organic aerosols in anthropogenically-influenced Northern
Hemisphere midlatitudes, Geophys. Res. Lett., 34, L13801,
https://doi.org/10.1029/2007gl029979, 2007. Ulbrich, I. M., Canagaratna, M. R., Zhang, Q., Worsnop, D. R., and
Jimenez, J. L.: Interpretation of organic components from Posi-
tive Matrix Factorization of aerosol mass spectrometric data, At-
mos. Chem. Phys., 9, 2891–2918, https://doi.org/10.5194/acp-9-
2891-2009, 2009. Willis, M. D., Burkart, J., Thomas, J. L., Köllner, F., Schneider,
J., Bozem, H., Hoor, P. M., Aliabadi, A. A., Schulz, H., Herber,
A. B., Leaitch, W. R., and Abbatt, J. P. D.: Growth of nucle-
ation mode particles in the summertime Arctic: a case study, At-
mos. Chem. Phys., 16, 7663–7679, https://doi.org/10.5194/acp-
16-7663-2016, 2016. Zhang, Q., Jimenez, J. L., Canagaratna, M. R., Ulbrich, I. M.,
Ng, N. L., Worsnop, D. www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 www.atmos-chem-phys.net/19/10239/2019/ Atmos. Chem. Phys., 19, 10239–10256, 2019 I. E. Nielsen et al.: Biogenic and anthropogenic sources of aerosols at the Villum Research Station R., and Sun, Y.: Understanding at-
mospheric organic aerosols via factor analysis of aerosol mass
spectrometry: a review, Anal. Bioanal. Chem., 401, 3045–3067,
https://doi.org/10.1007/s00216-011-5355-y, 2011. Willis, M. D., Leaitch, W. R., and Abbatt, J. P. D.: Processes Con-
trolling the Composition and Abundance of Arctic Aerosol, Rev. Geophys., 56, 621–671, https://doi.org/10.1029/2018RG000602,
2018. Winiger, P., Andersson, A., Yttri, K. E., Tunved, P., and Gustafsson,
O.: Isotope-Based Source Apportionment of EC Aerosol Parti-
cles during Winter High-Pollution Events at the Zeppelin Ob-
servatory, Svalbard, Environ. Sci. Technol., 49, 11959–11966,
https://doi.org/10.1021/acs.est.5b02644, 2015. Atmos. Chem. Phys., 19, 10239–10256, 2019 www.atmos-chem-phys.net/19/10239/2019/
|
https://openalex.org/W2101932785
|
https://thericejournal.springeropen.com/counter/pdf/10.1186/s12284-014-0009-2
|
English
| null |
Response of an aspartic protease gene OsAP77 to fungal, bacterial and viral infections in rice
|
Rice
| 2,014
|
cc-by
| 11,238
|
© 2014 Alam et al.; licensee Springer. This is an Open Access article distributed under the terms of the Creative Commons
Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction
in any medium, provided the original work is properly credited. Abstract Background: Aspartic protease (APs) plays important roles in plant growth, development and biotic and abiotic
stresses. We previously reported that the expression of a rice AP gene (OsAP77, Os10g0537800) was induced by
probenazole (PBZ), a chemical inducer of disease resistance. In this study we examined some characteristics of this
gene in response to fungal, bacterial and viral pathogens. Results: To elucidate the spatial and temporal expression of OsAP77, the chimeric gene was constructed carrying
the structural gene encoding β-glucuronidase (GUS) driven by the OsAP77 promoter. This construct was introduced
into rice and the transgenic lines were tested to analyze gene expression by fungal, bacterial and viral infections. Inoculation with Magnaporthe oryzae or Xanthomonas oryzae pv. oryzae revealed the enhanced GUS activities in
vascular tissues surrounding the symptom sites by each pathogen. Moreover, GUS activity also increased after
inoculation with Cucumber mosaic virus (CMV). Transgenic plants immersed in a solution containing salicylic acid (SA),
isonicotinic acid (INA), hydrogen peroxide (H2O2) or abscisic acid (ABA) showed an increased level of GUS activity
exclusively in vascular tissues. RT-PCR analysis showed that OsAP77 was induced not only by infection with these
pathogens, but also after treatment with SA, INA, H2O2 or ABA. A knockout mutant line of OsAP77 by the insertion of Tos17
after inoculation with M. oryzae, X. oryzae pv. oryzae or CMV showed an enhanced susceptibility compared to wild type. , y
g
p
2
2
y
exclusively in vascular tissues. RT-PCR analysis showed that OsAP77 was induced not only by infection with these
pathogens, but also after treatment with SA, INA, H2O2 or ABA. A knockout mutant line of OsAP77 by the insertion of Tos17
after inoculation with M. oryzae, X. oryzae pv. oryzae or CMV showed an enhanced susceptibility compared to wild type. Conclusion: These results suggest that the expression of OsAP77 is induced by pathogen infection and defense related
signaling molecules in a vascular tissue specific manner and that this gene has a positive role of defense response against
fungal, bacterial and viral infections. Keywords: Aspartic protease; Rice; Magnaprthe oryzae; Xanthomonas oryzae pv. oryzae; Cucumber mosaic virus; Tos17
mutant; Probenazole; Salicylic acid; Hydrogen peroxide; Abscisic acidv Keywords: Aspartic protease; Rice; Magnaprthe oryzae; Xanthomonas oryzae pv. oryzae; Cucumber mosaic virus; Tos17
mutant; Probenazole; Salicylic acid; Hydrogen peroxide; Abscisic acidv Response of an aspartic protease gene OsAP77 to
fungal, bacterial and viral infections in rice Md Mahfuz Alam1, Hidemitsu Nakamura2,3, Hiroaki Ichikawa2, Akio Miyao2, Hirohiko Hirochika2, Kappei Kobayashi1,
Naoto Yamaoka1 and Masamichi Nishiguchi1* Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Open Access * Correspondence: mnishigu@agrehime-u.ac.jp
1Faculty of Agriculture, Ehime University, 790-8566 Matsuyama, Ehime, Japan
Full list of author information is available at the end of the article Background The TATA box
was observed at 14 positions upstream of the putative
transcription start site in the OsAP77 5′- flanking region
(Additional file 1 and Additional file 2) (Yang et al. 2011;
Hwang et al. 2010). While the CAAT box was found at 7
positions (Additional file 1 and Additional file 2), these
boxes would serve as basal promoter elements for tran-
scription (Yang et al. 2011; Hwang et al. 2010). STRE
elements are important for transcriptional activation in
response to a variety of stress conditions (Siderius and
Mager 1997). Five STREs were identified in the putative
OsAP77 promoter region. The positions and putative
functions of other motifs or elements of the promoter are
listed in Additional file 2. These results indicate that the
putative promoter sequence of OsAP77 might be respon-
sive to external factors. An endogenous retrotransposon Tos17 has been revealed
to be an efficient tool for the functional analysis of rice
genes (Hirochika 2001). The rice mutant lines with the in-
sertion of Tos17 have become a potent tool for practical
use in the systematic analysis of gene function (Kumar and
Hirochika 2001). We used OsAP77 mutant line disrupted
by the insertion of Tos17 for examining the effect of knock-
out of OsAP77. In this paper we present the GUS activity
in vascular tissues of the leaves and the induced expression
of OsAP77 by M. oryzae, X. oryzae pv. oryzae, and several
signaling molecules and an enhanced susceptibility of
OsAP77 knockout mutant line to the pathogens. Background Table 1 PCR primers used in this study
Primer
Nucleotide sequencea Table 1 PCR primers used in this study reported to induce resistance against fungal and bacterial
infections in Arabidopsis and rice (Prasad et al. 2009). Chen et al. (2009) identified the total number of 96 AP
genes in rice and showed the expression data for most
of them. However, those of both OsCDR1/OsAP5 and
OsAP77 were not shown in their list because it includes
only OsAPs of which the expression was detectable in
their test. Both APs have signal peptide and a protease
motif but are different in active sites: presence/absence
in OsCDR1/OsAP77, respectively (Chen et al. 2009). Plants are exposed regularly to various environmental
stresses including biotic stress caused by a wide range of
plant pathogens, such as fungi, bacteria and viruses. How-
ever, to our knowledge, there is no report of OsAP77 in re-
sponse to plant pathogens. Because of the expression of
OsAP77 was induced by PBZ (Shimono et al. 2003), it
would be reasonable to expect that the OsAP77 gene is in-
volved in plant defense against pathogens. As a first step
to elucidate the role of OsAP77 gene in disease defense its
promoter was analyzed using β-glucuronidase (GUS) re-
porter gene system. Transgenic rice plants expressing GUS
under the control of OsAP77 promoter were generated
and used to analyze the spatial patterns of GUS expression
in those plants post fungal, bacterial or viral infection and
by treatments with some defense related signaling mole-
cules. Treatments include: 1) infection with blast fungus
(Magnaporthe oryzae), leaf blight bacterium (Xanthomo-
nas oryzae pv. oryzae) or Cucumber mosaic virus (CMV)
and 2) treatment with salicylic acid (SA), isonicotinic acid
(INA), hydrogen peroxide (H2O2) and abscisic acid (ABA). These molecules have previously been used for analysis of
abiotic stress (Liu et al. 2009). inducible genes (Hwang et al. 2010). A promoter motif
search was carried out to define putative cis-elements in
the above mentioned (1,999 bp) 5′ flanking region of
OsAP77. The potential regulatory elements are the stress-
related transcription factor-binding sites including ABA-
response elements (ABREs), CCAAT boxes, stress response
elements (STREs), the putative cis-acting elements respon-
sible for vascular tissue expression (VTRE) and W-boxes
(Additional file 1 and Additional file 2). Background acids (aas) and has a conserved domain of aspartic pep-
tidase (49–390 aas). Probenazole (PBZ) is a well-known chemical inducer of
plant disease resistance (Watanabe et al. 1977) and has
been used to protect rice from blast disease for more than
three decades in Japan. A previous study was carried out
to elucidate the gene expression profiles of PBZ-treated
rice plants (Shimono et al. 2003). Aspartic protease 77
(OsAP77, Os10g0537800, accession number AK061277)
is a PBZ-inducible gene. Shimono et al. (2003) found
that OsAP77 induced by 10 fold with the microarray
analysis after PBZ treatment (S02370) although it was
under the detection level by northern blot analysis. OsAP77, Os10g39260.1, is composed of 395 amino Aspartic proteases (APs) are widely distributed in all
living organisms, constituting one of the four super fam-
ilies of proteolytic enzymes (Rawlings and Barrett 1999). APs are expressed in different plant organs, such as seed,
grain, tuber, leaf, flower, petal, root and pollen, as well as
in the digestive fluids of carnivorous plants (Chen et al. 2009). Plant APs play versatile roles in protein process-
ing and degradation in different plant organs, as well as
in plant senescence, stress response, programmed cell
death and reproduction (Simoes and Faro 2004). Xia
et al. (2004) reported that CDR1 (At5g33340) in Arabi-
dopsis encodes an AP with a function in bacterial disease
resistance. More recently the overexpression of the rice
ortholog
(OsCDR1/OsAP5,
Os01g08330)
has
been * Correspondence: mnishigu@agrehime-u.ac.jp
1Faculty of Agriculture, Ehime University, 790-8566 Matsuyama, Ehime, Japan
Full list of author information is available at the end of the article Page 2 of 13 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Table 1 PCR primers used in this study
Primer
Nucleotide sequencea
OsAP77 pro-5′
5′-ATGCCCTGCAGGATGACGCAATCAGTCAGACC-3′
OsAP77 pro-3′
5′-ATGCTCTAGAAGTATCAACCAGCGATGCTA-3′
ΔGUS-5′
5′-AGCTCTAGACTATCCCGCCGGGAATGGTGA-3′
ΔGUS-3′
5′-ACGAATTCGGTAGCAATTCCCGA-3′
CMV-R3-cDNA-F-5′
5′-CTGCCTCCTCGGACTTATCC-3′
CMV-R3-cDNA-R-3′
5′-CTGAAACTAGCACGTTGTGC-3′
OsAP-5′
5′-CGGAATTCATGGGAAGGCCAGTGGCAAC-3′
OsAP-3′
5′-CTAGATCTCTAGGAGAGTTTAGTGCAGTC-3′
AP77P-5′
5′-CTCACCGTTGTAGGTAACTG-3′
AP77P-3′
5′-AGTGAGCACGAAATAACTG −3′
Tos17-5′
5′-ATTGTTAGGTTGCAAGTTAGTTAAGA −3′
Actin-5′
5′-GAGTATGATGAGTCGGGTCCAG-3′
Actin-3′
5′-ACACCAACAATCCCAAACAGA-3′
aNucleotides in italic in OsAP77 pro-5′ and OsAP77 pro-3′ indicate SbfI and
XbaI sites, respectively. Table 1 PCR primers used in this study
Primer
Nucleotide sequencea
OsAP77 pro-5′
5′-ATGCCCTGCAGGATGACGCAATCAGTCAGACC-3′
OsAP77 pro-3′
5′-ATGCTCTAGAAGTATCAACCAGCGATGCTA-3′
ΔGUS-5′
5′-AGCTCTAGACTATCCCGCCGGGAATGGTGA-3′
ΔGUS-3′
5′-ACGAATTCGGTAGCAATTCCCGA-3′
CMV-R3-cDNA-F-5′
5′-CTGCCTCCTCGGACTTATCC-3′
CMV-R3-cDNA-R-3′
5′-CTGAAACTAGCACGTTGTGC-3′
OsAP-5′
5′-CGGAATTCATGGGAAGGCCAGTGGCAAC-3′
OsAP-3′
5′-CTAGATCTCTAGGAGAGTTTAGTGCAGTC-3′
AP77P-5′
5′-CTCACCGTTGTAGGTAACTG-3′
AP77P-3′
5′-AGTGAGCACGAAATAACTG −3′
Tos17-5′
5′-ATTGTTAGGTTGCAAGTTAGTTAAGA −3′
Actin-5′
5′-GAGTATGATGAGTCGGGTCCAG-3′
Actin-3′
5′-ACACCAACAATCCCAAACAGA-3′
aNucleotides in italic in OsAP77 pro-5′ and OsAP77 pro-3′ indicate SbfI and
XbaI sites, respectively. Characterization of putative cis-acting elements in the
5′-flanking region of OsAP77 Presence of the transgene was examined from 4 T1 lines
of putative OsAP77::GUS transformants. Then, their T2
progenies (20 individuals in total) were tested. All
primers are listed in Table 1. The PCR-positive indi-
viduals were used for further analyses (Figure 1B and
Table 2). OsAP77::GUS transgene was expressed specific-
ally in vascular tissues of mature leaves of the transgenic In order to better understand the organization of the regu-
latory region of the OsAP77 gene, 1,999 bp fragment of
the 5′-flanking region of OsAP77 was isolated by the com-
binations of primers; OsAP77 pro-5′ and OsAP77 pro-3′,
respectively (Table 1). In general, stress-responsive cis-act-
ing elements are found in the promoter regions of stress- Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Page 3 of 13 Figure 1 Plasmid construct and PCR analysis of OsAp77::GUS-transgenic lines (T2) of rice. (A) Structure of T-DNA region in the expression
construct for rice transformation. Pnos and Tnos, promoter and terminator of nopaline syntase gene, respectively. hpt, hygromycin (hyg) phosphotransferase
conferring resistance to hyg; TiaaM, terminator of iaa monooxygenase gene. Arrows indicate the positions of GUS gene-specific primers (Table 1). (B) Gel
electrophoresis of PCR-amplified GUS fragment. Lanes 1–3 are derived from line 2A; lanes 4–6, 4A; lanes 7–9, 5A; lanes 10–11, 7A; lane 12, positive control
(pBI221 plasmid DNA); lane 13, negative control (non-transgenic line). Figure 1 Plasmid construct and PCR analysis of OsAp77::GUS-transgenic lines (T2) of rice. (A) Structure of T-DNA region in the expression
construct for rice transformation. Pnos and Tnos, promoter and terminator of nopaline syntase gene, respectively. hpt, hygromycin (hyg) phosphotransferase
conferring resistance to hyg; TiaaM, terminator of iaa monooxygenase gene. Arrows indicate the positions of GUS gene-specific primers (Table 1). (B) Gel
electrophoresis of PCR-amplified GUS fragment. Lanes 1–3 are derived from line 2A; lanes 4–6, 4A; lanes 7–9, 5A; lanes 10–11, 7A; lane 12, positive control
(pBI221 plasmid DNA); lane 13, negative control (non-transgenic line). lines (2A, 4A, 5A and 7A) at 4-leaf stage (data not
shown and Table 2). However, the transgenic rice plants
carrying 35S promoter::GUS at the same stage showed
GUS activity not only in vascular tissue but also the
other tissues (data not shown). Characterization of putative cis-acting elements in the
5′-flanking region of OsAP77 Finally, T3 plants of the
GUS-positive line 2A, which shows highest GUS activity
compare to the other lines (data not shown), was used
for further GUS expression experiments in various tis-
sues of mature plants as well as under biotic stress
conditions. growth chamber. In mature plants at the 1-month-old
stage, GUS activity was found in the vascular tissue, but
not in mesophyll cells, epidermal cells or guard cells
(Additional file 3). These findings show that the pro-
moter is responsible for the precise transcriptional regu-
lation that determines the tissue-specific of the gene in
the leaves and roots. Induction of OsAP77 gene expression by probenazole (PBZ)
To confirm whether OsAP77 is induced in leaves by
PBZ, 12-day-old rice plants were treated with PBZ and
GUS gene expression was examined. OsAP77::GUS ex-
pression increased gradually, reached a plateau at 3–5
days and decreased after PBZ treatment. GUS expression
was observed only in vascular tissues (Additional file 4). Expression of GUS in leaves and roots in 4
week-old plants To analyze the tissue-specific expression driven by the
OsAP77 promoter, GUS expression was examined in the
leaves and roots of 4 week-old transgenic T3 plants
(Additional file 3). The plants were maintained in the Expression of OsAP77 under biotic stress Transverse sections of leaves were
shown just below the leaf image. Brown portion is the symptoms by blast fungi and leaf blight bacteria, respectively. The area neighboring the symptoms
stained blue, which is clearly shown in the leaf images as well as in transverse sections. virMo with M. oryzae; virXoo, with X. oryzae pv. oryzae; mock, a needle inoculation with water (wounded); contl., no treatment. Weakly- and strongly-induced GUS activities were ob-
served by mock inoculation (wounding) and a fungal
inoculation, respectively (Figure 2B). In the OsAP77 pro-
moter region, there are several W-boxes which act as a
wounding and pathogen responsive element (Additional
file 1 and Additional file 2) (Hwang et al. 2010). Trans-
verse sections were also prepared using the same leaves to
examine GUS activity patterns in more detail as shown in
Figure 2A and B. However, when inoculated with an aviru-
lent race of blast fungus, OsAP77::GUS expression was
also induced in the vascular tissues (Figure 2B). This was
confirmed by in vitro GUS activity assay (Additional file 5). In the fungus-inoculated leaves, small hypersensitive
reaction (HR) lesions were induced at 1 day post infec-
tion (dpi) without any remarkable fungal development
thereafter, indicating a typical incompatible interaction
(Figure 2B and D) (Sasaki et al. 2004). These data indicate
that the expression of OsAP77 responds to blast fungus
infection and wounding. Weakly- and strongly-induced GUS activities were ob-
served by mock inoculation (wounding) and a fungal
inoculation, respectively (Figure 2B). In the OsAP77 pro-
moter region, there are several W-boxes which act as a
wounding and pathogen responsive element (Additional
file 1 and Additional file 2) (Hwang et al. 2010). Trans-
verse sections were also prepared using the same leaves to
examine GUS activity patterns in more detail as shown in
Figure 2A and B. However, when inoculated with an aviru-
lent race of blast fungus, OsAP77::GUS expression was
also induced in the vascular tissues (Figure 2B). This was
confirmed by in vitro GUS activity assay (Additional file 5). In the fungus-inoculated leaves, small hypersensitive
reaction (HR) lesions were induced at 1 day post infec-
tion (dpi) without any remarkable fungal development
thereafter, indicating a typical incompatible interaction
(Figure 2B and D) (Sasaki et al. 2004). These data indicate
that the expression of OsAP77 responds to blast fungus
infection and wounding. Expression of OsAP77 under biotic stress To gain more direct evidence whether OsAP77 is in-
volved in the response to pathogen attack, transgenic
and non-transgenic plants inoculated with rice blast fun-
gus, rice leaf blight bacterium or CMV were examined
for GUS activity and endogenous OsAP77 expression, re-
spectively. To precisely define the expression pattern of
OsAP77 after blast fungus infection, we examined the
pattern of OsAP77::GUS expression in 6-week-old seed-
lings. OsAP77::GUS showed different patterns of GUS
induction after the infection (virulent and avirulent
races) and wounding with symptom (Figure 2A,B and D). Table 2 Analysis of OsAP77::GUS-transgenic rice plants by
genomic PCR and GUS staining
Transgenic
line
Plants tested
(T2 generation)
PCR-positive
plants
Plants stained
blue
2A
5
5
3
4A
5
4
2
5A
5
4
2
7A
5
4
3
Control
6
0
0 Table 2 Analysis of OsAP77::GUS-transgenic rice plants by
genomic PCR and GUS staining Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Page 4 of 13 Page 4 of 13 Figure 2 Expression patterns of OsAP77::GUS after with fungal and bacterial pathogens. (A) M. oryzae (virulent race 001, virMo); (B) M. oryzae (avirulent race 102.0, avrMo); (C) X. oryzae pv. oryzae. (D) Rice blast and bacterial leaf blight disease symptoms (upper panel) and ethanol
washed symptoms (lower panel). The detached leaves of T3 plant were wounded by a needle-inoculation with/without droplets of conidia suspension
(2×105 conidia ml−1) and X. oryzae pv. oryzae at OD600 of 0.3. Then 48 h later leaves were subjected to GUS staining. Transverse sections of leaves were
shown just below the leaf image. Brown portion is the symptoms by blast fungi and leaf blight bacteria, respectively. The area neighboring the symptoms
stained blue, which is clearly shown in the leaf images as well as in transverse sections. virMo with M. oryzae; virXoo, with X. oryzae pv. oryzae; mock, a needle inoculation with water (wounded); contl., no treatment. Figure 2 Expression patterns of OsAP77::GUS after with fungal and bacterial pathogens. (A) M. oryzae (virulent race 001, virMo); (B) M. oryzae (avirulent race 102.0, avrMo); (C) X. oryzae pv. oryzae. (D) Rice blast and bacterial leaf blight disease symptoms (upper panel) and ethanol
washed symptoms (lower panel). The detached leaves of T3 plant were wounded by a needle-inoculation with/without droplets of conidia suspension
(2×105 conidia ml−1) and X. oryzae pv. oryzae at OD600 of 0.3. Then 48 h later leaves were subjected to GUS staining. Expression of OsAP77 under biotic stress symptoms (Figure 2C and D), which was confirmed by
in vitro assay of GUS activity (Additional file 5B), sug-
gesting that the expression of OsAP77 has roles in the
defense response to bacterial leaf blight (BLB). Increased
GUS activity was detected around the BLB symptom
sites as well as the wounding sites (Figure 2C). As shown
in Figure 2C, GUS activity was restricted to the vascular
tissues around the wounded area, but not in the meso-
phyll cells, guard cells, epidermal cells and vascular tis-
sues in the BLB and wounded areas. These findings
indicate that OsAP77::GUS expression is induced specif-
ically in the vascular tissues in the vicinity of the BLB at
this stage of growth. Increased GUS activity was detected (Figure 3A) 3, 5
and 7 days after CMV inoculation while basal level GUS
activity was observed by mock inoculation (Figure 3B). When inoculated with CMV, OsAP77::GUS expression
was significantly induced only in the vascular tissues and
reached its peak after 5 dpi and then declined slowly
(Figure 3A). These data suggest that OsAP77 expression
is activated upon CMV infection. OsAP77::GUS expression levels appeared to increase in
response to X. oryzae pv. oryzae and wounding with Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Page 5 of 13 Alam et al. Rice 2014, 7:9 Figure 3 Expression patterns of OsAP77::GUS after inoculation with Cucumber mosaic virus (CMV). (A) CMV; (B) Mock. The 4th young
leaves of T3 plants were inoculated with CMV. Then leaves were subjected to GUS staining after time course. Transverse sections of leaves were
shown just below the leaf image. The GUS activity was analyzed in the leaves treated with indicated duration (d, days) after each treatment. Figure 3 Expression patterns of OsAP77::GUS after inoculation with Cucumber mosaic virus (CMV). (A) CMV; (B) Mock. The 4th young
leaves of T3 plants were inoculated with CMV. Then leaves were subjected to GUS staining after time course. Transverse sections of leaves were
shown just below the leaf image. The GUS activity was analyzed in the leaves treated with indicated duration (d, days) after each treatment. Expression of OsAP77 in response to defense related
signaling molecules Expression of OsAP77 in response to defense related
signaling molecules understand the induction of endogenous OsAP77, wild
type rice plants were treated with PBZ, and then used
for total RNA extraction followed by RT-PCR. It was
found that OsAP77 reached its maximum expression at
2 dpi (Figure 5A). Moreover, OsAP77 expression reached
a plateau at 3 and 5 dpi with a virulent race of M. ory-
zae, but it was much earlier induced by an avirulent race
of blast fungus (Figure 5B and C). An earlier and shorter
induction of OsAP77 expression resulted in successful
resistance in case of avrMo. Furthermore, RT-PCR ana-
lysis shows gene expression reached a plateau at 1 dpi
with X. oryzae pv. oryzae (Figure 5D). These results indi-
cate that OsAP77 expression was induced, responding to
M. oryzae and X. oryzae pv. oryzae infections. OsAP77
expression level reached a plateau 5 days after inocula-
tion of rice with CMV (Figure 5F), suggesting that CMV
can infect rice plants and induce the expression of
OsAP77. OsAP77 expression was also induced after
treatment with SA. The response of OsAP77 to SA in-
creased gradually, reached a peak at 2 dpt, and then de-
clined (Figure 5H). More or less similar responses in the
OsAP77 gene expression pattern were observed after To determine whether GUS expression is induced by
defense related signaling molecules, GUS activity in trans-
genic plants and the expression of endogenous OsAP77 in
non-transgenic plants were analyzed after treatment with
SA, INA, H2O2, ABA and methyl jasmonate (MeJA). SA
could stimulate resistance to plant pathogens, including
bacteria, fungi and viruses (Delaney et al. 1994). The result
showed that SA, INA, a biologically active analogue of SA
(Chen et al. 1995), H2O2, or ABA induced GUS activity at 1
day post treatment (dpt), reached a peak at 2 dpt and re-
duced at 3 dpt (Figure 4A,B,C or D, respectively). However,
no effects on GUS activity were found after the treatment
with MeJA (data not shown). RT-PCR analysis of OsAP77 expression by pathogen
infections and defense related signaling molecules
To examine OsAP77 gene expression in relation to some
biotic/abiotic stresses, rice plants were inoculated with
M. oryzae, X. oryzae pv. oryzae or CMV and to treat-
ment with wounding, PBZ, SA, INA or H2O2. To RT-PCR analysis of OsAP77 expression by pathogen
infections and defense related signaling molecules In the roots,
OsAP77::GUS expression was restricted to the vascular
tissues of the primary and lateral roots (maturation
zone). The plant vascular system includes phloem tissues
that transport organic materials and xylem cells that
transport water and soil derived nutrients. The detection
of cis-elements of promoters distinct for vascular tissues
may provide a functional approach to illuminate these
mechanisms (Yin et al. 1997). The GATA motifs, ASL
box (GCATC) and box-II (CCCCT) are present in many
promoter regions and described as vascular tissue-
specific elements (Yin et al. 1997; Hatton et al. 1995). These cis-acting regulatory elements responding to vas-
cular tissue specific expression (VTREs) were also found
in the 5′-flanking region of OsAP77. Therefore, OsAP77::
GUS may be involved in regulating vascular development RT-PCR analysis of OsAP77 expression by pathogen
infections and defense related signaling molecules Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Page 6 of 13 Alam et al. Rice 2014, 7:9 Figure 4 Effects of signaling molecules on OsAP77::GUS expression. (A) 10 mM SA; (B) 5 mM INA; (C) 20 mM H2O2; (D) ABA. The GUS
activity was analyzed in the leaves of T3 plant treated with indicated duration (days) after each treatment. Rice seedlings at 4-leaf stage, seedlings root
were dipped in 3 ml of different solutions and kept at 28°C. The 4th young leaves were cut into 1 cm pieces and used for GUS staining. The GUS activ-
ity was analyzed in the leaves treated with indicated duration (d, days) after each treatment. Figure 4 Effects of signaling molecules on OsAP77::GUS expression. (A) 10 mM SA; (B) 5 mM INA; (C) 20 mM H2O2; (D) ABA. The GUS
activity was analyzed in the leaves of T3 plant treated with indicated duration (days) after each treatment. Rice seedlings at 4-leaf stage, seedlings root
were dipped in 3 ml of different solutions and kept at 28°C. The 4th young leaves were cut into 1 cm pieces and used for GUS staining. The GUS activ-
ity was analyzed in the leaves treated with indicated duration (d, days) after each treatment. previously reported that OsAP77 was PBZ inducible by
the microarray analysis (Shimono et al. 2003). We postu-
lated that this gene might be involved in the defense re-
sponse against pathogens because PBZ is a chemical
inducer of disease resistance (Watanabe et al. 1977). We
took approaches first to analyze OsAP77 gene expres-
sion. Thus we produced the transgenic rice carrying
GUS reporter gene under the control of OsAP77 promoter
(Figure 1A) and then examined it under various conditions. In the mature leaves of 1-month-old plants, OsAP77::
GUS was expressed in the vascular tissues, but not in
other tissues (Additional file 3B), which is why it was
under the detection level by northern blot analysis, but
was expressed 10-folds higher by microarray analysis
after PBZ treatment (Shimono et al. 2003). In the roots,
OsAP77::GUS expression was restricted to the vascular
tissues of the primary and lateral roots (maturation
zone). The plant vascular system includes phloem tissues
that transport organic materials and xylem cells that
transport water and soil derived nutrients. The detection
of cis-elements of promoters distinct for vascular tissues
may provide a functional approach to illuminate these
mechanisms (Yin et al. 1997). RT-PCR analysis of OsAP77 expression by pathogen
infections and defense related signaling molecules The GATA motifs, ASL
box (GCATC) and box-II (CCCCT) are present in many
promoter regions and described as vascular tissue-
specific elements (Yin et al. 1997; Hatton et al. 1995). These cis-acting regulatory elements responding to vas-
cular tissue specific expression (VTREs) were also found
in the 5′-flanking region of OsAP77. Therefore, OsAP77::
GUS may be involved in regulating vascular development INA, H2O2 or ABA (Figure 5I and J, and K). The results
shown for OsAP77 coincide with those using transgenic
rice expressing OsAP77::GUS. previously reported that OsAP77 was PBZ inducible by
the microarray analysis (Shimono et al. 2003). We postu-
lated that this gene might be involved in the defense re-
sponse against pathogens because PBZ is a chemical
inducer of disease resistance (Watanabe et al. 1977). We
took approaches first to analyze OsAP77 gene expres-
sion. Thus we produced the transgenic rice carrying
GUS reporter gene under the control of OsAP77 promoter
(Figure 1A) and then examined it under various conditions. Enhanced susceptibility to M oryzae, X oryzae pv oryzae
or CMV infection in OsAP77 knockout mutant plants
To further investigate the functions of OsAP77 in
defense responses against pathogen infection, M1 pro-
geny of the OsAP77 mutant line was used for genotyp-
ing by PCR with the specific primers (Additional file 6A
and B, Table 1). The expression of OsAP77 was con-
firmed by RT-PCR. The OsAP77 expression level was
highest in WT, OsAP77 (+/+) while it was under the de-
tection level in the mutant homozygous plants OsAP77
(−/−) (Additional file 6C). After the inoculation with
either M oryzae or X oryzae pv oryzae, OsAP77 (−/−)
showed more severe symptoms than OsAP77 (+/+) did
(Figure 6A and B). However, the heterozygous plants,
OsAP77 (+/−), showed the intermediate level of symp-
tom severity between OsAP77 (+/+) and OsAP77 (−/−)
(data not shown). In case of CMV, the accumulation
level of CMV RNA was the highest in OsAP77 (−/−)
(Figure 7). These results suggest clearly that OsAP77
plays positive role to defense against fungal, bacterial
and viral infections. g
In the mature leaves of 1-month-old plants, OsAP77::
GUS was expressed in the vascular tissues, but not in
other tissues (Additional file 3B), which is why it was
under the detection level by northern blot analysis, but
was expressed 10-folds higher by microarray analysis
after PBZ treatment (Shimono et al. 2003). Discussion In this paper we analyzed the special expression pattern
of OsAP77 using GUS reporter gene and the function in
defense response using its knockout mutant rice. We Page 7 of 13 Page 7 of 13 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Figure 5 Expression patterns of OsAP77 in response to pathogen infections and treatments with signal molecules. The treatments of (A)
probenazole (PBZ); (B) M. oryzae with virMo; (C) M. oryzae with avrMo; (D) X. oryzae pv. oryzae with virXoo; (E) wound; (F) CMV; (G) mock; (H) SA;
(I) INA; (J) H2O2; (K) ABA and (L) MeJA. Numbers represent days after treatment and hours (h) in case of M. oryzae with avrMo and wound. Total
RNA was extracted from leaves of T3 plant at indicted time. The actin gene was used as the standard control to show the normalization of the
amount of templates in PCR reactions. Figure 5 Expression patterns of OsAP77 in response to pathogen infections and treatments with signal molecules. The treatments of (A)
probenazole (PBZ); (B) M. oryzae with virMo; (C) M. oryzae with avrMo; (D) X. oryzae pv. oryzae with virXoo; (E) wound; (F) CMV; (G) mock; (H) SA;
(I) INA; (J) H2O2; (K) ABA and (L) MeJA. Numbers represent days after treatment and hours (h) in case of M. oryzae with avrMo and wound. Total
RNA was extracted from leaves of T3 plant at indicted time. The actin gene was used as the standard control to show the normalization of the
amount of templates in PCR reactions. and function in roots and leaves (Additional file 1 and
Additional file 2). We previously found that CMV-SRO could infect rice
without any significant symptoms (Chen et al. 2011). CMV-SRO is a pseudorecombinant containing CMV-SR
RNA1 and 2 and CMV-O RNA3 (Hanada and Tochihara
1987). Here we present that CMV infection caused the
induction of OsAP77::GUS expression (Figure 3A). Since
in rice there are few virus species which are easy to in-
oculate manually, this CMV isolate may be very import-
ant in studying molecular interaction between rice and
viruses as a model system. Since OsAP77 can be induced by PBZ, SA, INA, H2O2
or ABA, which play important roles in signal defense re-
sponses, it is expected that OsAP77 is also responsive to
pathogen infection. The expression of OsAP77::GUS was
examined under biotic stresses, such as fungal, bacterial
or viral infection. Discussion SA and JA/ET defense
pathways interact antagonistically, but emerging records
suggest a more complex signaling network inducing
both positive and negative interactions (Loake and Grant
2007). In our study, SA, not MeJA could mediate the
up-regulation of OsAP77::GUS and endogenous OsAP77
in rice. Thus this gene may participate in SA pathway in
rice. It seems unlikely that the induction of OsAP77::
GUS expression by pathogen infections is caused by an
increased level of SA by pathogen. Although there are
some data of this gene in response to six plant hormones
including ABA and JA (http://ricexpro.dna.affrc.go.jp/
GGEP/), however, it is not clear which plant hormone(s) Plasencia 2011; War et al. 2011). SA and JA/ET defense
pathways interact antagonistically, but emerging records
suggest a more complex signaling network inducing
both positive and negative interactions (Loake and Grant
2007). In our study, SA, not MeJA could mediate the
up-regulation of OsAP77::GUS and endogenous OsAP77
in rice. Thus this gene may participate in SA pathway in
rice. It seems unlikely that the induction of OsAP77::
GUS expression by pathogen infections is caused by an
increased level of SA by pathogen. Although there are
some data of this gene in response to six plant hormones
including ABA and JA (http://ricexpro.dna.affrc.go.jp/
GGEP/), however, it is not clear which plant hormone(s) induced the gene expression. Besides that, there is no data
available on vascular tissue specific expression of this gene
in rice leaves. There are also no expression data of this
gene in the comprehensive list by Chen et al. (2009). Our
data is the first to clearly show the induced expression of
this gene in vascular tissues of leaves by pathogen infec-
tions and defense related signaling molecules. Reactive oxygen species (ROS) play a main role in
crosstalk between biotic and abiotic stress responses
(Fujita et al. 2006). Plants produce antioxidants and
ROS-scavenging enzymes to control the damage made
by harmful molecules (Apel and Hirt 2004). Pathogen
spreading is inhibited by hypersensitive response and cell Figure 7 The accumulation level of Cucumber mosaic virus RNA in the knockout mutant line of OsAP77. The young leaves were inoculated
with Cucumber mosaic virus. Total RNA was extracted from the inoculated leaves at 7 dpi. Upper panel showed analysis of CMV after infection. The actin
gene was used as the standard control to show the normalization of the amount of templates in PCR reactions. Discussion It was found that expression of
OsAP77::GUS as well as OsAP77 was induced with the
fungus, M. oryzae, and the bacterium, X. oryzae pv. ory-
zae (Figure 2A,B and C). In response to wounding stress,
OsAP77::GUS exhibited expression patterns parallel to
but a little weaker than those induced by M. oryzae or
X. oryzae pv. oryzae infection (Figure 2A,B and C). Wounding caused extensive changes in the synthesis of
defense proteins, leading to localized resistance at the
site of the lesion (McConn et al. 1997). These observa-
tions support the hypothesis that the differential expres-
sion of OsAP77::GUS indicates the presence of different
defense mechanisms in a tissue- and organ-specific
manner. Plant hormones such as ABA, JA, ethylene and SA are
essential components of different signaling pathways
involved in plant defense (Hu et al. 2009; Vicent and
Plasencia 2011). The expression pattern of OsAP77 was
analyzed after pathogen infections and the treatment by
some defense related signaling molecules. We found that
OsAP77 can be induced by SA, INA, H2O2 or ABA but
not by MeJA (Figure 4 and Figure 5). SA plays an im-
portant role against pathogens, some insect pests and
abiotic stress, while JA does mostly for the defense
against insect pests and some pathogens (Vicent and Page 8 of 13 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Figure 6 Symptoms in the knockout mutant line of OsAP77 by Magnaporthe oryzae and Xanthomonas oryzae pv. oryzae. (A) and (B)
Symptoms developed at 7 days after inoculation (dpi) by M. oryzae and X. oryzae pv. oryzae, respectively. (C) and (D) Length of necrotic lesions
formed at 7 dpi by M. oryzae and X. oryzae pv. oryzae, respectively. Nb, Nipponbare; Aso, Asominori; Sen, Sensyou; 4 and 6, OsAP77(−/−). M, mock;
I, inoculated. Total 5 lesions were measured each in three replicates. Figure 6 Symptoms in the knockout mutant line of OsAP77 by Magnaporthe oryzae and Xanthomonas oryzae pv. oryzae. (A) and (B)
Symptoms developed at 7 days after inoculation (dpi) by M. oryzae and X. oryzae pv. oryzae, respectively. (C) and (D) Length of necrotic lesions
formed at 7 dpi by M. oryzae and X. oryzae pv. oryzae, respectively. Nb, Nipponbare; Aso, Asominori; Sen, Sensyou; 4 and 6, OsAP77(−/−). M, mock
I, inoculated. Total 5 lesions were measured each in three replicates. Plasencia 2011; War et al. 2011). Discussion ABA acts both synergistically and an-
tagonistically with biotic stress signalling, creating a com-
plex network of interacting pathways with cross-talk at
different levels (Fujita et al. 2006; Yasuda et al. 2008). In
our study, H2O2 was found to induce OsAP77 expres-
sion. However, in our observation SA and ABA both
can
up-regulated
expression
of
OsAP77::GUS
and
OsAP77. The experiments with the knockout mutant line of
OsAP77 showed that the most severe symptoms by M. oryzae and X. oryzae pv. oryzae was observed in OsAP77
(−/−) compared to those in OsAP77 (+/+) (Figure 6). These results showed that OsAP77 participates in the
defense reaction against M. oryzae and X. oryzae pv. ory-
zae. In the OsAP77 mutant line, Tos17 is inserted in the
upstream region (−560) of OsAP77. This is the case
where the insertion of Tos17 in the upstream of a gene
caused the repression of downstream gene expression. To our knowledge, this is the first report on the ex-
pression of OsAP77 induced by fungal, bacterial and
viral infections as well as after the treatment with SA,
INA, H2O2, ABA or wounding and the involvement of
this gene in defense reaction. The data from our study
implicate the importance of comparative analysis in
identifying the expression of OsAP77::GUS in each tissue
and cell type as well as in response to different stresses
in order to understand the complexity underlying mul-
tiple signaling systems. From this point of view, it is sig-
nificant and relevant to characterize the transgenic rice
over-expressing the OsAP77. It is not known how OsAP77 functions for pathogen
infections in vascular tissues. Arabidopsis CDR1 which
was up-regulated by SA, has a signal peptide (1–25 aas)
from the N-terminal portion, is extracellular AP and
accumulates in the intercellular fluid (Xia et al. 2004). Actually OsAP77 is postulated to have a signal peptide
1–20 aas based on the method of Signal PHMM. The
role of CDR1 in defense is suggested to degrade its tar-
get proteins/peptides for generation of an extracellular
peptide elicitor, which may function as a mobile signal
for defense response (Xia et al. 2004). From this point of
view, most plausible scenario for the vascular tissue ex-
pression of OsAP77 may be that OsAP77 accumulates in
the extracellular space, sieve-tubes, where host proteins
may be present, and functions as protease for processing
possible target proteins/peptides into a signal peptide(s). Discussion Nb, Nipponbare (+/+); 3, 4, 5 and 6,
OsAP77 (−/−); 2 and 8, OsAP77 (+/−); M, mock in Nipponbare (+/+). Figure 7 The accumulation level of Cucumber mosaic virus RNA in the knockout mutant line of OsAP77. The young leaves were inoculated
with Cucumber mosaic virus. Total RNA was extracted from the inoculated leaves at 7 dpi. Upper panel showed analysis of CMV after infection. The actin
gene was used as the standard control to show the normalization of the amount of templates in PCR reactions. Nb, Nipponbare (+/+); 3, 4, 5 and 6,
OsAP77 (−/−); 2 and 8, OsAP77 (+/−); M, mock in Nipponbare (+/+). Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Page 9 of 13 OsAP5 because their data was from OsAPs, of which the
gene expression was detectable in their test (Chen et al. 2009). OsAP77 is similar to OsCDR1/OsAP5 in that both
have signal peptide at the N terminus and protease dmotif
and only difference is the presence/absence of active sites
in that motif for OsCDR1/OsAP5 and OsAP77, respect-
ively (Chen et al. 2009). OsCDR1/OsAP5 would be also
expressed in vascular tissues because it has signal peptide
as OsAP77 does. Bi et al. (2005) reported three rice APs,
OsAsp1, OsAsp2 and OsAsp3. OsAsp1 were most abun-
dantly present in early embryo. OsAsp2 appeared in leaf,
callus and immature seeds while OsAsp3 did in leaf,
stem and phloem. However they never mentioned any
functional involvement in the response to biotic stress. OsAP77::GUS was expressed mainly in pollen, vascular tis-
sue of leaf and root meristem (Additional file 3). Thus it
would be possible that OsAP77 has any other function. Re-
cently OsAP25 and OsAP37 have been reported to be in-
volved in programmed cell death for development of
embryo (Niu et al. 2013). death requiring coordinated down regulation of ROS-
scavenging mechanisms (Apel and Hirt 2004). H2O2 is
thought
to
be
produced
through
membrane-bound
NADPH oxidases on pathogen infection or wounding,
then diffuses into cells and activates various plant de-
fenses (Apel and Hirt 2004). Furthermore, ROS produc-
tion is required for ABA-driven stomatal closure, which is
closely related to stomatal penetration resistance (Robert-
Seilaniantz et al. 2011). ABA largely regulated abiotic
stress, while defense against different biotic stress is speci-
fied by antagonism between the SA and JA/ethylene
signalling pathways. Discussion Then this signal molecule may spread through sieve tube
to activate host defense response systemically. It remains
to determine whether OsAP77 are accumulated in sieve
tubes and what are the proteins/peptides targeted for
degradation by OsAP77. Conclusions To conclude, this study has shown the role of OsAP77 in
defense response to fungal, bacterial and viral infections. Plasmid constructs and rice transformation To generate OsAP77::GUS chimeric gene, which contains
the GUS reporter gene under the control of the 5′-flank-
ing region of OsAP77, the OsAP77 promoter region was
isolated using a pair of gene-specific primers designated
AP77 pro-5′ and AP77 pro-3′ (Table 1) that carry the
extra sequences for SbfI and XbaI recognition sites, re-
spectively. The OsAP77 promoter fragment was amplified
by PCR with a DNA polymerase (KOD -Plus-, Toyobo,
Osaka, Japan), and the genomic DNA from (O. sativa cv. Nipponbare) as a template. The fragment with the ac-
curate sequence for OsAP77 promoter was then digested
with SbfI and XbaI and cloned into to a binary vector
pSMAHdN627-M2GUS (Hakata et al. 2010) treated with
the same restriction enzymes followed by dephosphoryla-
tion (Figure 1). The resulting construct was introduced Chen et al. (2009) reported 96 rice AP genes in rice gen-
ome and their expression data in different tissues and
under various conditions. However, it includes no expres-
sion data on OsAP77 and others including OsCDR1/ Page 10 of 13 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 into Agrobacterium tumefaciens strain EHA101 (Hood
et al. 1986) and used to transform rice (O. sativa cv. Nipponbare) as described in Toki et al. (2006). Putative
transformants were selected on a series of selection media
supplemented with 30 mg/L hygromycin B (hyg). The in-
tegration of the expression cassettes in the plant genome
was confirmed by PCR using primers (Table 1) directed
against the OsAP77 promoter (AP77 pro-5′ and AP77
pro-3′) and GUS region (ΔGUS-5′ and ΔGUS-3′). T1, T2,
and T3 progenies were used in the subsequent observa-
tion, and analyses. The PlantCARE database (http://bio-
informatics.psb.ugent.be/webtools/plantcare/html/) was
used for the silico identification of the putative cis-acting
elements in the 5′-flanking region. thick cross-sections using a microtome (Retoratome
REM-710, Yamato Kohki Industrial, Asaka, Saitama,
Japan) and observed under a microscope (Labphoto-2,
Nikon, Tokyo, Japan). Samples were collected from three
transgenic plants (T3 progenies of 2A) for each line and
only the representative one was shown in Figure. DNA extraction and PCR amplification
DNA was extracted from rice leaves by cetyltrimethyl am-
monium bromide-based (CTAB-based) extraction proced-
ure (Doyle and Doyle 1987). Quantity and purity of DNA
was measured using a spectrophotometer (GeneSpec I,
Hitachi High-Technologies Corporation, Tokyo, Japan). Plasmid constructs and rice transformation Integration of the expression cassette in the transgenic
genome was confirmed by PCR with a pair of primers
directed against the OsAP77 promoter (AP77 pro-5′
and AP77 pro-3′) and GUS-coding region (ΔGUS-5′
and ΔGUS-3′) (Table 1). Genomic DNA (100 ng) from
each transgenic line was used as template. pBI221 vector
(Jefferson 1987) was used as a template DNA for positive
control with the GUS-specific primers (Table 1). The PCR
reaction was for 2 min of 94°C preheating, followed by a
30 cycle amplification program (1 min at 94°C for dena-
turation, 1 min at 58°C for annealing, and 1 min at 72°C
for extension) and a final extension at 72°C for 5 min. The
PCR products were analyzed by electrophoresis on a 1.0%
agarose gel followed by staining with ethidium bromide. Plant materials
Wild
i Wild type rice (O. sativa cv. Nipponbare) and the trans-
genic lines were used in this study. OsAP77 mutant line
(NC2562) was obtained from National Institute of Agro-
biological Sciences (NIAS, https://tos.nias.affrc.go.jp/~
miyao/pub/tos17/). The mutant line by the insertion of
Tos17 was selected based on the nucleotide sequence of
OsAP77 as a query as described previously (Chen et al. 2008) and grown in a growth chamber under the condi-
tions at 25°C, 14/8 hr light and dark. In this mutant line
Tos17 is inserted in the upstream region at −560 of
OsAP77. Asominori and Sensyo, which are resistant to
X. oryzae pv. oryzae and M. oryzae respectively, were
gifted by
Drs. H. Ochiai
and
M. Mori at NIAS,
respectively. Rice seeds on the MS agar medium with/
without hygromycin (30 μg/ml) were incubated in a Petri
dish at 27°C under a daily cycle of 16 h continuous light
and 8 h dark. One week later the seedlings were trans-
ferred to small plastic boxes containing commercial soil
for rice cultivation (Iseki, Matsuyama, Japan) and placed
in growth chambers where the temperature ranged be-
tween 23 and 26°C under 16 h daylight and 8 h dark con-
ditions. Approximately three weeks later the plants were
transferred to buckets containing the soil in the growth
chambers. Fungal infection
St
i
f bl
t Strains of blast fungus M. oryzae, virulent race 001,
virMo (MAFF #238988) and avirulent race 102.0, avrMo
(MAFF #238991), were obtained from NIAS Genebank,
(http://www.gene.affrc.go.jp/index_en.php). The fungal
culture and fungal inoculation of rice were carried out
essentially as described previously (Shimono et al. 2003)
with slight modifications. A disk of M. oryzae was put in
the centre of an oatmeal agar medium and incubated in
darkness in a growth chamber at 25°C for 15 days. For
spore induction, the M. oryzae culture was kept under
the continuous illumination for 2–5 days. The spores
were used at the concentration of 2 × 105 conidia/ml
(Shimono
et
al. 2003). Detached
rice
leaves
were
wounded using needles and a droplet of conidia suspen-
sion (2 × 105 conidia/ml) containing 0.05% Tween 20
was applied to the leaf covering the wounded portion
(Wang et al. 2007). The inoculated leaves were incu-
bated under high humid conditions in darkness for 24 h
and then transferred to the dark growth chamber at
25°C. Under such conditions, lesions were induced on the
leaves. At 0, 1, 3, 5 and 7 days after inoculation, the leaf
samples were used for GUS staining as well as for total
RNA extraction followed by RT-PCR analysis. Histochemical GUS-staining assay Histochemical GUS-staining assay
Histochemical GUS staining was performed as previ-
ously described by Jefferson (1987). For testing the ex-
pression level of GUS in leaves, fully expanded 4th leaf
of each seedling at four-leaf stage was used. Flowers,
seeds and roots were directly placed in a 1.5 ml micro-
tube. When fungal or bacterial infection occurred, the
infected areas of leaves were cut out after the disease
symptoms appeared. The samples were then briefly sub-
jected to vacuum infiltration and kept at 37°C overnight. The samples were treated with fresh 70% ethanol several
times, if necessary, until the plant tissues were mostly
decolored. Some of the samples were cut into 30-μm Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Page 11 of 13 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Statistical analysis Data were subjected to software package used for statis-
tical analysis (SPSS version 16, 2007) and significant dif-
ferences between individual means established using a
Student’s t test. Differences at the 5% level were consid-
ered significant and denoted by asterisk among different
groups. Extraction of total RNA and expression analysis Extraction of total RNA and expression analysis
Total RNA was extracted from flowers, panicles, leaf
blades, leaf sheaths and roots of rice plants using TRI re-
agents kit (Molecular Research Center, Cincinnati, Oh,
USA) according to the supplier’s protocol with some
modifications. RT-PCR was performed using RNAs iso-
lated from the above-mentioned tissues. Total RNA was
treated with RNase-free DNase I (Takara Bio, Ohtsu,
Japan) for 30 min at 37°C to remove genomic DNA, and
then the cDNA was synthesized from 1 μg of total RNA
by using RevertAid reverse transcriptase (Thermo Fisher
Scientific, Waltham, MA, USA). A pair of primers, OsAP-
5′ and OsAP-3′ (Table 1), was used to amplify a cDNA
fragment of OsAP77. The amplification was performed at
94°C for 5 min, followed by 30 cycles of amplification (94°C
for 1 min, 60°C for 1 min, and 72°C for 72 s). Actin tran-
script was used as internal standard using primers: Actin-5′
and Actin-3′ (Table 1). The RT-PCR experiments were
done at least three times. Bacterial infection phosphate buffer, pH 7.0) after spreading of Carborun-
dum (600 mesh, Nacalai Tesque Co. Ltd., Kyoto, Japan)
on their adaxial surfaces. The leaves were collected from
the inoculated plants up to 7 days after inoculation and
total RNA extraction followed by RT-PCR analysis using
a pair of primers CMV-R3-cDNA-F-5′ and CMV-R3-
cDNA-R-3′ (Table 1). PCR program was at 94°C for
2 min, followed by 30 or 35 cycles of amplification (94°C
for 45 s, 60°C for 45 s and 72°C for 45 s) followed by the
final extension at 72°C for 5 min. A suspension (500 μl) of X. oryzae pv. oryzae strain 001
(MAFF #311018, NIAS Gene Bank) was spread on a
peptone agar medium and then cultured in darkness in
chamber at 28°C for 48 h. The bacteria were collected
by adding sterilized ultrapure water and the concentra-
tion of bacteria was adjusted to 0.3 OD at 600 nm. For
inoculation of rice with X. oryzae pv. oryzae, rice leaves
were wounded with a needle and the wounded regions
were immersed in the bacterial suspension. Additionally,
a bacterial suspension (20 μl) containing 0.05% Tween
20 was placed the wounded regions of the leaf surfaces. After inoculation, the samples were kept in a growth
chamber at 28°C. After 5 days, 50% of the leaf area was
covered with bacterial leaf blight symptoms. The sam-
ples were then used for GUS staining and RT-PCR. Treatments by defense related signaling molecules
Twelve-day-old rice seedlings were submerged in water
containing 1.0 g/l Oryzemate (24% granules of PBZ)
(Meji Seika Pharma, Tokyo, Japan). After 7 days of treat-
ment with Oryzemate, the youngest leaf was used for
GUS staining (Shimono et al. 2003). Rice seedlings at 4-
leaf stage were dipped in 3 ml each of solutions contain-
ing 10 mM SA, 5 mM INA, 20 mM H2O2, 10 mM ABA
10 mM MeJA and incubated for 72 h in the growth
chamber following the procedure of Mitsuhara et al. (2008) with a slight modification. SA was dissolved in
sterilized water, while INA was first dissolved in di-
methyl sulfoxide (DMSO) and then diluted appropriately
with ultrapure water. H2O2, ABA and MeJA were first
dissolved in 99.5% ethanol and then diluted appropri-
ately with ultrapure water, respectively. Quantitative assay of GUS activity GUS activity was measured by observing cleavage of the
β-glucuronidase substrate 4-methylumbelliferyl β-D-
glucuronide (MUG) (Sigma, USA; Jefferson 1987; Gallagher
1992). Samples (100 mg) of mock, AvrMo, VirMo and
VirXoo infected leaves at different pti were frozen in
liquid nitrogen and homogenized for 15 sec. GUS extrac-
tion buffer [100 mM potassium phosphate pH 7.8, 1 mM
EDTA, 1% Triton X-100, 10% glycerol] (1 ml) was added
and mixed by vortex for 10 sec. Centrifuge at 14000 rpm
for 10 min at room temperature and the supernatant for
each sample (600 μl) was collected and kept on ice for use
in MUG assays and for protein quantification. Sample
extract (10 μl) was mixed with 400 μl assay buffer (GUS
extraction buffer containing 3.2 mM MUG) and incubated
in a dark at 37°C. After 60 minutes 590 μl stop buffer
(200 mM sodium carbonate) was transferred to the
tube. Fluorescence was measured on a RF-1500 Spec-
trofluorophotometer (Shimadzu Co. Ltd., Kyoto, Japan)
at 465 nm when excited at 355 nm. Protein concen-
trations were determined by the method described by
Bradford (1976). Additional files Purified CMV-SRO strain (MAFF #104016, NIAS Gene-
Bank) was used as an inoculum because this isolate had
been found to infect rice plants (Chen et al. 2011). The
4th leaves of the 4-week-old seedlings were inoculated
with a suspension of virus (10 μg/ml in 10 mM sodium Additional file 1: Sequence and structural feature of the OsAP77
5′-flanking sequence. The nucleotide sequence of the 5′-flanking region of
OsAP77. The numbering of nucleotides relative to the putative transcriptional
initiation site (+1) is shown on the left of the sequences. The translation start Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Page 12 of 13 Page 12 of 13 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 and Fisheries of Japan (Rice Genome Project to MN; Green Technology
Project EF-1001 and EF-1004 to HI). site, ATG, is underlined. The putative TATA box is identified by grey back
ground and the putative core promoter (CCAAT) consensus sequences are
highlighted in pink background. The W-boxes are highlighted in yellow and
the putative cis-acting elements responsible for vascular tissue expression
are indicated by green. A stress responsive, MeJA-reponsive, ABA-responsive
elements, GT-1 and GTGA motifs are in underline, red, light blue, deep blue
and dark red, respectively. The locations of cis-elements of interest were
identified by using PLACE and Plant CARE databases. The functions and
consensus sequences of the corresponding elements are shown in Additional
file 2. (AC074196, http://www.ncbi.nlm.nih.gov/). References
l 0358.x Chen H, Samadder PP, Tanaka Y, Ohira T, Okuizumi H, Yamaoka N, Miyao A,
Hirochika H, Ohira T, Tsuchimoto S, Ohtsubo H, Nishiguchi M (2008) OsRecQ1,
a QDE-3 homologue in rice, is required for RNA silencing induced by particle
bombardment for inverted repeat DNA, but not for double-stranded RNA. Plant J 56:274–286. doi:10.1111/j.1365-313X.2008. 0358.x Chen J, Ouyang Y, Wang L, Xie W, Zhang Q (2009) Aspartic proteases gene
family in rice: Gene structure and expression, protein features and
phylogenetic relation. Gene 442:108–118 Chen J, Ouyang Y, Wang L, Xie W, Zhang Q (2009) Aspartic proteases gene
family in rice: Gene structure and expression, protein features and
phylogenetic relation. Gene 442:108–118 Additional file 6: Analysis of progeny of OsAP77 mutant line. (A), (B)
Genotyping using two sets of primers AP77P-5′/AP77P-3′ and Tos17-5′/
AP77P-3′, respectively. Nb, Nipponbare; 1–9, progeny of the mutant line;
H2O, negative control. +/+, OsAP77 (+/+); +/−, OsAP77 (+/−); −/−OsAP77
(−/−). (C) The expression level of the OsAP77 in the mutant M1 progeny
and wild type plants by RT-PCR with primers, OsAP-5′/OsAP-3′. Total RNA
was extracted from leaves from individual plants and used for RT-PCR. (D)
The actin gene was used as the standard control to show the normalization
of the amount of templates in PCR reactions. Chen H, Kobayashi K, Yamaoka N, Nishiguchi M (2011) Further analysis of rice
RNA-dependent RNA polymerase 1 (OsRDR1) in RNA silencing and antiviral
defense. Jpn J Phytopathol 77(1):59 Delaney TP, Uknes S, Vernooij B, Freidrich L, Weyman K, Negrotto D, Gaffney T,
Gut-Rella M, Kessmann H, Ward E, Ryals J (1994) A central role of salicylic acid
in plant disease resistance. Science 266:1247–1250 Doyle JJ, Doyle JL (1987) A rapid DNA isolation procedure for small quantities of
fresh leaf tissue. Phytochem Bull 19:11–15 Fujita M, Fujita Y, Noutoshi Y, Takahashi F, Narusaka Y, Yamaguchi-Shinozaki K,
Shinozaki K (2006) Crosstalk between abiotic and biotic stress responses: a
current view from the points of convergence in the stress signaling
networks. Curr Opin Plant Biol 9:436–442 Fujita M, Fujita Y, Noutoshi Y, Takahashi F, Narusaka Y, Yamaguchi-Shinozaki K,
Shinozaki K (2006) Crosstalk between abiotic and biotic stress responses: a
current view from the points of convergence in the stress signaling
networks. Curr Opin Plant Biol 9:436–442 Received: 8 December 2013 Accepted: 13 May 2014 Additional file 2: Putative cis-acting elements and their sequences,
positions and possible functions in the 5′-regulatory region of the
OsAP77 gene. Additional file 3: Histochemical localization of OsAP77::GUS
expression in 28-day-old T3 plants. M, mesophyl cell; Cc, companion Additional file 3: Histochemical localization of OsAP77::GUS
expression in 28-day-old T3 plants. M, mesophyl cell; Cc, companion
cell; Pp, phloem parenchyma cell, X, xylem; Lv, large vascular bundle; Vb,
bundle sheath. White arrowhead indicates blue stained area. Authors’ contributions
MMA
f
d
f MMA performed most of the experiments and drafted the manuscript. HN
and HI generated OsAP77:GUS plants. AM and HH generated the mutant line. KK,
NY and MN designed the experiments and drafted the manuscript. All authors
read approved the manuscript. Competing interests g
The authors declare that they have no competing interests. Abbreviations
b ABA: Abscisic acid; AP: Aspartic protease; ABRE: Abscisic acid responsive
elements; BLB: Bacterial leaf blight; CMV: Cucumber mosaic virus; GUS: β-D-
glucuronidase; H2O2: Hydrogen peroxide; INA: 2,6-dichloroisonicotinic acid;
MeJA: Methyl Jasmonate; PBZ: Probenazole; SA: Salicylic acid; STRE: Stress
responsive-elements; VTRE: Vascular tissue-responsive elements; W-box: Wounding-
and pathogen-responsive elements. Gallagher SR (1992) Quantitation of GUS activity by fluorometry. In: Gallagher SR
(ed) GUS Protocols: Using the GUS Gene as a Reporter of Gene Expression. Academic, San Diego, CA, pp 47–60 Gallagher SR (1992) Quantitation of GUS activity by fluorometry. In: Gallagher SR
(ed) GUS Protocols: Using the GUS Gene as a Reporter of Gene Expression. Academic, San Diego, CA, pp 47–60 Hakata M, Nakamura H, Iida-Okada K, Miyao A, Kajikawa M, Imai-Toki N, Pang J,
Amano K, Horikawa A, Tsuchida-Mayama T, Song J, Igarashi M, Kitamoto HK,
Ichikawa T, Matsui M, Kikuchi S, Nagamura Y, Hirochika H, Ichikawa H (2010)
Production and characterization of a large population of cDNA-
overexpressing transgenic plants using Gateway-based full-length cDNA
expression libraries. Breed Sci 60:575–585 Author details
1 1Faculty of Agriculture, Ehime University, 790-8566 Matsuyama, Ehime, Japan. 2National Institute of Agrobiological Sciences, 2-1-2 Kan-nondai, 305-8602
Tsukuba, Ibaraki, Japan. 3Present address; Department of Applied Biological
Chemistry, Graduate School of Agricultural Life Sciences, The University of
Tokyo, 1-1-1 Yayoi, 113-8657 Bunkyo-ku, Tokyo, Japan. Received: 8 December 2013 Accepted: 13 May 2014 References
l Apel K, Hirt H (2004) Reactive oxygen species: metabolism, oxidative stress, and
signal transduction. Annu Rev Plant Biol 55:373–399 signal transduction. Annu Rev Plant Biol 55:373–399
Bi X, Khush GS, Bennett J (2005) The rice nucellin gene ortholog OsAsp1 encodes
an active aspartic protease without a plant-specific insert and is strongly
expressed in early embryo. Plant Cell Physiol 46(1):87–98
Bradford MM (1976) A dye binding assay for protein. Anal Biochem 72:248–254
Chen Z, Malamy J, Henning J, Conrath U, Sanchez-Casas P, Silva H, Ricigliano J,
Klessig DK (1995) Induction, modification, and transduction of the salicylic acid
signal in plant defense responses. Proc Natl Acad Sci U S A 92:4134–4137
Chen H, Samadder PP, Tanaka Y, Ohira T, Okuizumi H, Yamaoka N, Miyao A,
Hirochika H, Ohira T, Tsuchimoto S, Ohtsubo H, Nishiguchi M (2008) OsRecQ1,
a QDE-3 homologue in rice, is required for RNA silencing induced by particle
bombardment for inverted repeat DNA, but not for double-stranded RNA. Plant J 56:274 286 doi:10 1111/j 1365-313X 2008 0358 x Additional file 4: Induction of OsAP77::GUS expression by probenazole. The activity of GUS was analyzed in the leaves of T3 plants treated with
probenazole. Rice seedlings at 12-days were dipped in 5 ml GUS staining
solution at 28°C. Up to 7 days, from the youngest leaves 1 cm cuttings were
used for GUS staining. Additional file 5: Quantitative measurement of GUS activity in leaves. The detached leaves of T3 plants were wounded by a needle-inoculation
with/without droplets of conidia suspension (2×105 conidia ml−1) of avrMO
(A)/virMO (B) or VirXoo (B) at OD600 of 0.3. Then at the indicated times leaves
were collected frozen by liquid nitrogen. The bars represent measurements
averaged across the 3 samples from each transgenic line and repeated three
times. Samples with asterisk in each parameter are significantly different:
p < 0.05. Chen H, Samadder PP, Tanaka Y, Ohira T, Okuizumi H, Yamaoka N, Miyao A,
Hirochika H, Ohira T, Tsuchimoto S, Ohtsubo H, Nishiguchi M (2008) OsRecQ1,
a QDE-3 homologue in rice, is required for RNA silencing induced by particle
bombardment for inverted repeat DNA, but not for double-stranded RNA. Plant J 56:274–286. doi:10.1111/j.1365-313X.2008. Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Yasuda M, Ishikawa A, Jikumaru Y, Jikumaru Y, Seki M, Umezawa T, Asami T,
Maruyama-Nakashita A, Kudo T, Shinozaki K, Yoshida S, Nakashita H
(2008) Antagonistic interaction between systemic acquired resistance and the
abscisic acid-mediated abiotic stress response in Arabidopsis. Plant Cell
20:1678–1692
Yin Y, Chen L, Beachy R (1997) Promoter elements required for phloem-specific
gene expression from the RTBV promoter in rice. Plant J 12(5):1179–1188
doi:10.1186/s12284-014-0009-2
Cite this article as: Alam et al.: Response of an aspartic protease gene
OsAP77 to fungal, bacterial and viral infections in rice. Rice 2014 7:9. Yasuda M, Ishikawa A, Jikumaru Y, Jikumaru Y, Seki M, Umezawa T, Asami T,
Maruyama-Nakashita A, Kudo T, Shinozaki K, Yoshida S, Nakashita H
(2008) Antagonistic interaction between systemic acquired resistance and the
abscisic acid-mediated abiotic stress response in Arabidopsis. Plant Cell
20:1678–1692 Jefferson RA (1987) Assaying chimeric genes in plants: The GUS gene fusion
system. Plant Mol Biol Rep 5:387–405 Kumar A, Hirochika H (2001) Application of retrotransposons as genetic tools in
plant biology. Trends Plant Sci 6:127–134 Liu Y, Gao Q, Wu B, Ai T, Guo X (2009) NgRDR1, an RNA-dependent RNA polymerase
isolated from Nicotiana glutinosa, was involved in biotic and abiotic stresses. Plant
Physiol Biochem 47:359–368 Yin Y, Chen L, Beachy R (1997) Promoter elements required for phloem-specific
gene expression from the RTBV promoter in rice. Plant J 12(5):1179–1188 Yin Y, Chen L, Beachy R (1997) Promoter elements required for phloem-specific
gene expression from the RTBV promoter in rice. Plant J 12(5):1179–1188 Loake G, Grant M (2007) Salicylic acid in plant defenc
protagonists. Curr Opin in Plant Biol 10:466–472 Loake G, Grant M (2007) Salicylic acid in plant defence doi:10.1186/s12284-014-0009-2
Cite this article as: Alam et al.: Response of an aspartic protease gene
OsAP77 to fungal, bacterial and viral infections in rice. Rice 2014 7:9. protagonists. Curr Opin in Plant Biol 10:466–472 McConn M, Creelman RA, Bell E, Mullet JE, Browse J (1997) Jasmonate is
essential for insect defense in Arabidopsis. Proc Natl Acad Sci U S A
94:5473–5477 Mitsuhara I, Iwai T, Seo S, Yanagawa Y, Kawahigasi H, Hirose S, Ohkawa Y, Ohashi
Y (2008) Characteristic expression of twelve rice PR1 family genes in response
to pathogen infection, wounding, and defense-related signal compounds
(121/180). Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Mol Genet Genomics 279(4):415–427 Niu N, Liang W, Yang X, Jin W, Wilson ZA, Hu J, Zhang D (2013) EAT1 promotes
tapetal cell death by regulating aspartic proteases during male reproductive
development in rice. Nat Com 4:1445–1455. doi:10.1038/ncomms2396 Prasad BD, Creissen G, Lamb C, Chattool BB (2009) Overexpression of rice (Oryza
sativa L.) OsCDR1 leads to constitutive activation of defense responses in rice
and Arabidopsis. Mol Plant Microbe Int 22:1635–1644 Prasad BD, Creissen G, Lamb C, Chattool BB (2009) Overexpression of rice (Oryza
sativa L.) OsCDR1 leads to constitutive activation of defense responses in rice
and Arabidopsis. Mol Plant Microbe Int 22:1635–1644 Rawlings ND, Barrett AJ (1999) MEROPS: the peptidase database. Nucleic Acids
Res 27:325–331 Rawlings ND, Barrett AJ (1999) MEROPS: the peptidase database. Nucleic Acids
Res 27:325–331 Robert-Seilaniantz A, Grant M, Jones JDG (2011) Hormone crosstalk in plant
disease and defense: more than just JASMONATE-SALICYLATE antagonism. Annu Rev Phytopathol 49:317–343 Sasaki K, Iwai T, Hiraga S, Kuroda K, Seo S, Mitsuhara I, Miyasaka A, Iwano M, Ito H,
Matsui H, Ohashi Y (2004) Ten rice peroxidases redundantly respond to
multiple stresses including infection with rice blast fungus. Plant Cell Physiol
45:1442–1452 Shimono M, Yazaki J, Nakamura K, Kishimoto N, Kikuchi S, Iwano M, Yamamoto K,
Sakata K, Sasaki T, Nishiguchi M (2003) cDNA microarray analysis of gene
expression in rice plants treated with probenazole, a chemical inducer of
disease resistance. J Gen Plant Phathol 69:76–82 Siderius M, Mager WH (1997) General Stress Response: In Search of a Common
Denominator. In: Hohmann S, Mager WH (ed) Yeast Stress Responses. Springer, Heidelberg, pp 213–230 Simoes I, Faro C (2004) Structure and function of plant aspartic proteinases. Eur J
Biochem 271:2067–2075 Simoes I, Faro C (2004) Structure and function of plant aspartic proteinases. Eur J
Biochem 271:2067–2075 Toki S, Hara N, Ono K, Onodera H, Tagiri A, Oka S, Tanaka H (2006) Early infection
of scutellum tissue with Agrobacterium allows high-speed transformation of
rice. Plant J 47:969–976 Toki S, Hara N, Ono K, Onodera H, Tagiri A, Oka S, Tanaka H (2006) Early infection
of scutellum tissue with Agrobacterium allows high-speed transformation of
rice. Plant J 47:969–976 Vicent MRS, Plasencia J (2011) Salicylic acid beyond defence: its role in plant
growth and development. J Exp Bot 62:3321–3338 Vicent MRS, Plasencia J (2011) Salicylic acid beyond defence: its role in plant
growth and development. Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 J Exp Bot 62:3321–3338 Wang H, Hao J, Chen X, Hao Z, Wang X, Lou Y, Peng Y, Guo Z (2007)
Overexpression of rice WRKY89 enhances ultraviolet B tolerance and disease
resistance in rice plants. Plant Mol Biol 65:799–815 Wang H, Hao J, Chen X, Hao Z, Wang X, Lou Y, Peng Y, Guo Z (2007)
Overexpression of rice WRKY89 enhances ultraviolet B tolerance and disease
resistance in rice plants. Plant Mol Biol 65:799–815 War AR, Paulraj MG, War MY, Ignacimuthu S (2011) Jasmonic acid-mediated
induced resistance in groundnut (Arachis hypogaea L.) against Helicoverpa
armigera (Hubner) (Lepidoptera: Noctuidae). J Plant Growth Regul 30:512–523. doi:10.1007/s00344-011- 9213–0 War AR, Paulraj MG, War MY, Ignacimuthu S (2011) Jasmonic acid mediated
induced resistance in groundnut (Arachis hypogaea L.) against Helicoverpa
armigera (Hubner) (Lepidoptera: Noctuidae). J Plant Growth Regul 30:512–523. doi:10.1007/s00344-011- 9213–0
Watanabe T, Igarashi H, Matsumoto K (1977) The characteristics of probenazole. (Oryzemate) for the control of rice blast. J Pesticide Sci 2:291–296 Watanabe T, Igarashi H, Matsumoto K (1977) The characteristics of probenazole. (Oryzemate) for the control of rice blast. J Pesticide Sci 2:291–296 Xia Y, Suzuki H, Borevitz J, Bloun J, Guo Z, Patel K, Dixon RA, Lam C (2004) An
extracellular aspartic protease functions in Arabidopsis disease resistance
signaling. EMBO J 23:980–988 Submit your manuscript to a
journal and benefi t from:
7 Convenient online submission
7 Rigorous peer review
7 Immediate publication on acceptance
7 Open access: articles freely available online
7 High visibility within the fi eld
7 Retaining the copyright to your article
Submit your next manuscript at 7 springeropen.com Submit your manuscript to a
journal and benefi t from:
7 Convenient online submission
7 Rigorous peer review
7 Immediate publication on acceptance
7 Open access: articles freely available online
7 High visibility within the fi eld
7 Retaining the copyright to your article
Submit your next manuscript at 7 springeropen.com Submit your manuscript to a
journal and benefi t from:
7 Convenient online submission
7 Rigorous peer review
7 Immediate publication on acceptance
7 Open access: articles freely available online
7 High visibility within the fi eld
7 Retaining the copyright to your article
Submit your next manuscript at 7 springeropen.com Yang H, Wang M, Gao Z, Zhu C, Guo X (2011) Isolation of a novel RNA-dependent
RNA polymerase 6 from Nicotiana glutinosa, NgRDR6, and analysis of its
response to biotic and abiotic stresses. Acknowledgements The authors are grateful to Drs. I. Mitsuhara, M. Mori and H. Ochiai for the
seeds of transgenic rice carrying GUS driven by 35S promoter of cauliflower
mosaic virus, Sensyo and Asominori, respectively. They also thank M. Kajikawa, S. Ando and Dr. N. Endo-Higashi for their technical assistance on
plasmid construction and production of transgenic rice plants. They are also
grateful for D. Murphy for English correction. This work was supported by
the Program for Promotion of Basic and Applied Researches in Bio-oriented
Industry (BRAIN), the Ministry of Education, Culture, Sports and Technology
of Japan [Grant-in-Aid for Scientific Research for Scientific Research (C),
No. 22119010] to MN and by grants from the Ministry of Agriculture, Forestry Hwang JE, Hong JK, Lim CJ, Chen H, Je J, Yang KA, Kim DY, Choi YJ, Lee SY, Lim
CO (2010) Distinct expression patterns of two Arabidopsis phytocystatin
genes, AtCYS1 and AtCYS2, during development and abiotic stresses. Plant
Cell Rep 29:905–915 Hwang JE, Hong JK, Lim CJ, Chen H, Je J, Yang KA, Kim DY, Choi YJ, Lee SY, Lim
CO (2010) Distinct expression patterns of two Arabidopsis phytocystatin
genes, AtCYS1 and AtCYS2, during development and abiotic stresses. Plant
Cell Rep 29:905–915 Page 13 of 13 Page 13 of 13 Alam et al. Rice 2014, 7:9
http://www.thericejournal.com/content/7/1/9 Mol Biol Rep 38:929–937
|
https://openalex.org/W4385457770
|
https://aacr.figshare.com/articles/journal_contribution/Figure_S5_from_Dynamic_Intestinal_Stem_Cell_Plasticity_and_Lineage_Remodeling_by_a_Nutritional_Environment_Relevant_to_Human_Risk_for_Tumorigenesis/23814560/1/files/41783858.pdf
|
English
| null |
Figure S5 from Dynamic Intestinal Stem Cell Plasticity and Lineage Remodeling by a Nutritional Environment Relevant to Human Risk for Tumorigenesis
| null | 2,023
|
cc-by
| 787
|
Fig S5 Fig S5 B
Stem
R
Div
EC1
EC2
EC3
EC6
EC7
ECx
Goblet1
Goblet2
Goblet3
EE1
EE2
Paneth
Tuft-a
Tuft-b
UK1
UK2
0
10
20
30
% of cluster in each condition
control
4d_NWD1
4d_NWD1-4d_AIN
Fi
A
UMAP 2
UMAP 1
4d-NWD1 vs WT
Pgc1a KO HOM vs WT
4d-NWD1 vs WT
Pgc1a KO HOM
Stem 1
Stem 2
NWD1
NWD1
Ppargc1a KO
C
Ppargc1a K A
UMAP 2
UMAP 1 A B
Stem
R
Div
EC1
EC2
EC3
EC6
EC7
ECx
Goblet1
Goblet2
Goblet3
EE1
EE2
Paneth
Tuft-a
Tuft-b
UK1
UK2
0
10
20
30
% of cluster in each condition
control
4d_NWD1
4d_NWD1-4d_AIN
UMAP 2
UMAP 1
4d-NWD1 vs WT
Pgc1a KO HOM vs WT
Mitochondrial Dysfunction
Granzyme A Signaling
Sirtuin Signaling Pathway
Huntington's Disease Signaling
Coronavirus Pathogenesis Pathway
Inhibition of ARE-Mediated mRNA Degradation Pathway
BAG2 Signaling Pathway
Gluconeogenesis I
Estrogen Receptor Signaling
TCA Cycle II (Eukaryotic)
NER (Nucleotide Excision Repair, Enhanced Pathway)
Cell Cycle Control of Chromosomal Replication
Assembly of RNA Polymerase II Complex
Immunogenic Cell Death Signaling Pathway
Spliceosomal Cycle
Necroptosis Signaling Pathway
MicroRNA Biogenesis Signaling Pathway
Neutrophil Extracellular Trap Signaling Pathway
Oxidative Phosphorylation
Androgen Signaling
EIF2 Signaling
mTOR Signaling
Mismatch Repair in Eukaryotes
Pyrimidine Deoxyribonucleotides De Novo Biosynthesis I
BER (Base Excision Repair) Pathway
-5
0
5
4d-NWD1 vs WT
Pgc1a KO HOM vs WT
Mitochondrial Dysfunction
Granzyme A Signaling
Sirtuin Signaling Pathway
EIF2 Signaling
Huntington's Disease Signaling
Coronavirus Pathogenesis Pathway
BAG2 Signaling Pathway
Pyrimidine Deoxyribonucleotides De Novo Biosynthesis I
Estrogen Receptor Signaling
NER (Nucleotide Excision Repair, Enhanced Pathway)
Spliceosomal Cycle
Immunogenic Cell Death Signaling Pathway
MicroRNA Biogenesis Signaling Pathway
Neutrophil Extracellular Trap Signaling Pathway
Oxidative Phosphorylation
HER-2 Signaling in Breast Cancer
Cell Cycle: G1/S Checkpoint Regulation
Androgen Signaling
Inhibition of ARE-Mediated mRNA Degradation Pathway
Glutaryl-CoA Degradation
Induction of Apoptosis by HIV1
Assembly of RNA Polymerase II Complex
TCA Cycle II (Eukaryotic)
Necroptosis Signaling Pathway
-5
0
5
Stem 1
Stem 2
NWD1
NWD1
Ppargc1a KO
5
0
-5
C
Ppargc1a KO UMAP 2 B Stem
R
Div
EC1
EC2
EC3
EC6
EC7
ECx
Goblet1
Goblet2
Goblet3
EE1
EE2
Paneth
Tuft-a
Tuft-b
UK1
UK2
0
10
20
30
% of cluster in each condition
control
4d_NWD1
4d_NWD1-4d_AIN
UMAP 1 C C C D1 vs WT
KO
Stem 2 4d-NWD1 vs W
Pgc1a KO HO
Mitochondrial Dysfunction
Granzyme A Signaling
Sirtuin Signaling Pathway
Huntington's Disease Signaling
Coronavirus Pathogenesis Pathway
Inhibition of ARE-Mediated mRNA Degradation Pathway
BAG2 Signaling Pathway
Gluconeogenesis I
Estrogen Receptor Signaling
TCA Cycle II (Eukaryotic)
NER (Nucleotide Excision Repair, Enhanced Pathway)
Cell Cycle Control of Chromosomal Replication
Assembly of RNA Polymerase II Complex
Immunogenic Cell Death Signaling Pathway
Spliceosomal Cycle
Necroptosis Signaling Pathway
MicroRNA Biogenesis Signaling Pathway
Neutrophil Extracellular Trap Signaling Pathway
Oxidative Phosphorylation
Androgen Signaling
EIF2 Signaling
mTOR Signaling
Mismatch Repair in Eukaryotes
Pyrimidine Deoxyribonucleotides De Novo Biosynthesis I
BER (Base Excision Repair) Pathway
-5
0
5
4d-NWD1 vs
Pgc1a KO HO
Mitochondrial Dysfunction
Granzyme A Signaling
Sirtuin Signaling Pathway
EIF2 Signaling
Huntington's Disease Signaling
Coronavirus Pathogenesis Pathway
BAG2 Signaling Pathway
Pyrimidine Deoxyribonucleotides De Novo Biosynthesis I
Estrogen Receptor Signaling
NER (Nucleotide Excision Repair, Enhanced Pathway)
Spliceosomal Cycle
Immunogenic Cell Death Signaling Pathway
MicroRNA Biogenesis Signaling Pathway
Neutrophil Extracellular Trap Signaling Pathway
Oxidative Phosphorylation
HER-2 Signaling in Breast Cancer
Cell Cycle: G1/S Checkpoint Regulation
Androgen Signaling
Inhibition of ARE-Mediated mRNA Degradation Pathway
Glutaryl-CoA Degradation
Induction of Apoptosis by HIV1
Assembly of RNA Polymerase II Complex
TCA Cycle II (Eukaryotic)
Necroptosis Signaling Pathway
-5
0
5
Stem 1
Stem 2
NWD1
NWD1
Ppargc1a KO
5
0
-5
Ppargc1a KO 4d-NW
Pgc1a
NWD1
Ppargc1a KO 4d-NW
Pgc1a
Ppargc1a KO -5
0
5
Mitochondrial Dysfunction
Granzyme A Signaling
Sirtuin Signaling Pathway
EIF2 Signaling
Huntington's Disease Signaling
Coronavirus Pathogenesis Pathway
BAG2 Signaling Pathway
Pyrimidine Deoxyribonucleotides De Novo Biosynthesis I
Estrogen Receptor Signaling
NER (Nucleotide Excision Repair, Enhanced Pathway)
Spliceosomal Cycle
Immunogenic Cell Death Signaling Pathway
MicroRNA Biogenesis Signaling Pathway
Neutrophil Extracellular Trap Signaling Pathway
Oxidative Phosphorylation
HER-2 Signaling in Breast Cancer
Cell Cycle: G1/S Checkpoint Regulation
Androgen Signaling
Inhibition of ARE-Mediated mRNA Degradation Pathway
Glutaryl-CoA Degradation
Induction of Apoptosis by HIV1
Assembly of RNA Polymerase II Complex
TCA Cycle II (Eukaryotic)
Necroptosis Signaling Pathway
-5
0
55
0
-5 Mitochondrial Dysfunction
Granzyme A Signaling
Sirtuin Signaling Pathway
Huntington's Disease Signaling
Coronavirus Pathogenesis Pathway
Inhibition of ARE-Mediated mRNA Degradation Pathway
BAG2 Signaling Pathway
Gluconeogenesis I
Estrogen Receptor Signaling
TCA Cycle II (Eukaryotic)
NER (Nucleotide Excision Repair, Enhanced Pathway)
Cell Cycle Control of Chromosomal Replication
Assembly of RNA Polymerase II Complex
Immunogenic Cell Death Signaling Pathway
Spliceosomal Cycle
Necroptosis Signaling Pathway
MicroRNA Biogenesis Signaling Pathway
Neutrophil Extracellular Trap Signaling Pathway
Oxidative Phosphorylation
Androgen Signaling
EIF2 Signaling
mTOR Signaling
Mismatch Repair in Eukaryotes
Pyrimidine Deoxyribonucleotides De Novo Biosynthesis I
BER (Base Excision Repair) Pathway 55
|
https://openalex.org/W2801055682
|
https://europepmc.org/articles/pmc5931308?pdf=render
|
English
| null |
Novel augmented reality solution for improving health literacy around antihypertensives in people living with type 2 diabetes mellitus: protocol of a technology evaluation study
|
BMJ open
| 2,018
|
cc-by
| 4,968
|
Strengths and limitations of this study Introduction Low health literacy is common in
people with type 2 diabetes mellitus (T2DM) (up to
40%), associated with decreased self-efficacy in
managing T2DM and its important complications,
mainly hypertension. This study introduces, for the first
time, an easy-to-use solution based on augmented
reality (AR) on smartphones, to enhance health literacy
around antihypertensive medicines. It assesses the
feasibility of the solution for improving health literacy,
oriented specifically to angiotensin II receptor blockers;
embedding the health literacy improvement into the use
cycle of angiotensin II receptor blockers and providing
continuous access to information as a form of patient
engagement. ►
►This study formally evaluates the new augmented
reality solution from multiple perspectives, that is,
perspective of the researchers, patients, providers
and developers. ►
►Application walkthrough methodology and follow-up
of participants to evaluate health literacy and self-ef-
ficacy are combined to enrich the design and formal
evaluation of the new augmented reality solution. ►
►Prepublication history for
this paper is available online. To
view these files, please visit the
journal online (http://dx.doi.org/
10.1136/bmjopen-2017-01922). ►
►This study is a multidisciplinary partnership between
six organisations, including academia, not-for-profit
organisations, community organisations, private in-
dustries and service provider organisations. ►
►This study only assesses one category of antihy-
pertensive medicines (ie, the angiotensin II recep-
tor blockers) in people living with type 2 diabetes
mellitus. Received 31 August 2017
Revised 27 December 2017
Accepted 16 February 2018 Methods and analysis This is a technology evaluation
study with one technology group (AR plus usual
care) and one non-technology group (usual care). Both groups receive face-to-face communications
with community pharmacists regarding angiotensin
II receptor blockers; the technology group receive
additional AR-enhanced digital consumer medicine
information throughout the use of their medications. The primary outcome is the change in health literacy
and the hypothesis is that the proportions of people
who show high health literacy will be larger in the
technology group. Mixed effects models will be used to
analyse solution effectiveness on outcomes. Multiple
regression models will be used to find additional
variables that might affect the relationship between
health literacy and the AR solution. Methods and analysis This is a technology evaluation
study with one technology group (AR plus usual
care) and one non-technology group (usual care). Both groups receive face-to-face communications
with community pharmacists regarding angiotensin
II receptor blockers; the technology group receive
additional AR-enhanced digital consumer medicine
information throughout the use of their medications. To cite: Ahmadvand A,
Drennan J, Burgess J, et al.
Novel augmented reality solution
for improving health literacy
around antihypertensives
in people living with
type 2 diabetes mellitus:
protocol of a technology
evaluation study. BMJ Open
2018;8:e019422. doi:10.1136/
bmjopen-2017-019422 Abstract To cite: Ahmadvand A,
Drennan J, Burgess J, et al. Novel augmented reality solution
for improving health literacy
around antihypertensives
in people living with
type 2 diabetes mellitus:
protocol of a technology
evaluation study. BMJ Open
2018;8:e019422. doi:10.1136/
bmjopen-2017-019422 Strengths and limitations of this study ►
►This study is not equipped to evaluate more distal
clinical outcomes regarding diabetes and high blood
pressure, such as HbA1C or overall control of blood
pressure. ►
►This study is not equipped to evaluate more distal
clinical outcomes regarding diabetes and high blood
pressure, such as HbA1C or overall control of blood
pressure. Open Access Open Access Protocol Novel augmented reality solution for
improving health literacy around
antihypertensives in people living with
type 2 diabetes mellitus: protocol of a
technology evaluation study Alireza Ahmadvand,1 Judy Drennan,2 Jean Burgess,3 Michele Clark,1
David Kavanagh,4 Kara Burns,1,2 Sarah Howard,5 Fleur Kelly,6 Chris Campbell,7
Lisa Nissen1 Alireza Ahmadvand,1 Judy Drennan,2 Jean Burgess,3 Michele Clark,1
David Kavanagh,4 Kara Burns,1,2 Sarah Howard,5 Fleur Kelly,6 Chris Campbell,7
Lisa Nissen1 Received 31 August 2017
Revised 27 December 2017
Accepted 16 February 2018 Introduction Type 2 diabetes mellitus (T2DM) is a major
challenge to Australia’s healthcare system; by
2030, up to 3 million Australians may poten-
tially develop the condition.1 Hypertension
has been reported in around 70% of people
with known or undiagnosed T2DM.2 Concur-
rent use of multiple medicines (often more
than eight medicines) and limited health
literacy about medicines largely limit optimal
management of T2DM and hypertension.3 Ethics and dissemination Queensland University of
Technology (QUT) Human Research Ethics Committee
has approved the study as a low-risk technology
evaluation study (approval number: 1700000275). Findings will be disseminated via attending scientific
conferences and publishing in peer-reviewed journals. Facilitated by QUT, two press releases have been
published in public media and two presentations have
been made in university classrooms. Almost 60% of adult Australians have low
health literacy which significantly limits their
agency when making health-related self-care
decisions.4 In people with T2DM, low health
literacy is common (up to 40%), associated
with limited knowledge of their condition, 1 Ahmadvand A, et al. BMJ Open 2018;8:e019422. doi:10.1136/bmjopen-2017-019422 Open Access and decreased self-efficacy in managing important cardio-
vascular risk factors, mainly hypertension.5 and decreased self-efficacy in managing important cardio-
vascular risk factors, mainly hypertension.5 literacy. This study assesses the feasibility of a concept for
improving health literacy, oriented specifically to angio-
tensin II receptor blockers in T2DM; embedding the health
literacy improvement into the medicine use cycle and
providing continuous access to information as a form of
patient engagement. This project, therefore, addresses the
important issue of low health literacy in T2DM and hyper-
tension by: Smartphone-based technologies, given their widespread
uptake, offer an opportunity to improve health literacy
via providing easy access to information, including health
information. In parallel, patients use mobile technologies
in diabetes management for self-care, to share informa-
tion, collaborate with peers and improve their engage-
ment with their healthcare providers, which is trusted
to have positive effects on health literacy.6 However,
currently, the packages of medicines as part of the infor-
mation that people living with T2DM receive contain
‘static’ consumer medicine information sheets that many
people may not read, understand or take notice of. Addi-
tionally, the packages and their inserts offer no oppor-
tunity for continued education and increased patient
engagement. y
1. Introducing a novel custom-built AR app to improve
health literacy about antihypertensive medicines in
T2DM. 2. Methods and analysis VALiD is a technology evaluation study with one tech-
nology group (AR plus usual care) and one non-tech-
nology group (usual care). The level of group classification
is the pharmacy. Every pharmacy will be divided into tech-
nology group versus non-technology group and all partic-
ipants coming to either group will be in the technology or
non-technology group correspondingly. g g
Augmented reality (AR) is a novel technology which allows
supplementary digital content to be visualised as informa-
tion overlaid or displayed alongside the user’s view of phys-
ical objects. AR has been effective in improving people’s
literacy, with potentials in health education.7 Our aim is to
develop and test an AR-based solution for improving health
literacy in T2DM around one guideline-endorsed family of
antihypertensive medicines, that is, angiotensin II receptor
blockers. Therefore, the generic and branded packages of
angiotensin II receptor blockers will be enhanced using a
custom-built AR app. Then, digital ‘dynamic’ consumer
medicine information will be displayed seamlessly on top of
the packages (figure 1) to provide a superior complement
to improve health literacy, fostering continued education,
from dispensing throughout the medicine use and refill
cycle. Introduction Evaluating the effects of this solution on people’s
self-efficacy in managing their hypertension. Project plan summary VALiD is a 16-month study with one technology and one
non-technology group. Both groups receive the usual
face-to-face communications with community pharma-
cists regarding angiotensin II receptor blockers. The
technology group receive additional AR-enhanced digital
consumer medicine information throughout the use of
their medicine. The aims are to: 1. Establish a participatory AR design team using devel-
opers, social researchers, diabetes educators, commu-
nity pharmacists and people living with T2DM and
hypertension. y
The short tile of the study is VALiD, the Value of
Augmented reality for improving medicine Literacy in
Diabetes and hypertension. VALiD aims to introduce,
for the first time, an easy-to-use information technology
solution, AR, to enhance condition-oriented health yp
2. Select and define the packages of generic and brand-
ed angiotensin II receptor blockers as AR ‘triggers’. Figure 1 An example of how the augmented reality solution in this study works: Users install specific apps and scan
predefined patterns (eg, package of a medicine) via their smartphone or tablet. These patterns, technically called ‘triggers’,
initiate the retrieval and visualisation of digital content as overlaid information. (A) An ordinary package of telmisartan, a
frequently prescribed angiotensin II receptor blocker. (B) The same package, augmented by the ‘Layar’ app. The app retrieves
extra digital information and conveniently overlays it on top of the package; a clickable YouTube video about high blood
pressure, a link to the Heart Foundation’s website about medication management of high blood pressure and a flip-through
slideshow of the most common side effects of telmisartan are shown. (C) YouTube video is shown instantly after user clicks on
its thumbnail. (Photo credit: Dr Kara Burns. Patient consent for photography taken by Professor Lisa Nissen) Figure 1 An example of how the augmented reality solution in this study works: Users install specific apps and scan
predefined patterns (eg, package of a medicine) via their smartphone or tablet. These patterns, technically called ‘triggers’,
initiate the retrieval and visualisation of digital content as overlaid information. (A) An ordinary package of telmisartan, a
frequently prescribed angiotensin II receptor blocker. (B) The same package, augmented by the ‘Layar’ app. The app retrieves
extra digital information and conveniently overlays it on top of the package; a clickable YouTube video about high blood
pressure, a link to the Heart Foundation’s website about medication management of high blood pressure and a flip-through
slideshow of the most common side effects of telmisartan are shown. Technology group versus non-technology group comparisons 12. Disseminate the results to stakeholders. Both groups will receive face-to-face education regarding
angiotensin II receptor blockers by the pharmacists as
per approved professional guidelines. In addition, partic-
ipants in the technology groups will also have access to
the AR-enhanced education via digital interactive content
in MedAugment, tailored to angiotensin II receptor
blockers and retrieved by scanning the medicine pack-
ages (figure 1). We will implement the following two-part
training programme at the Terry White Chemmart Group
pharmacies: (1) training sessions for pharmacists on the
principles of clear health communication, as well as on
the use of AR as a counselling tool; (2) AR-based educa-
tion to participants when it is time to refill their prescrip-
tions, by providing digital media content about the effects
of angiotensin II receptor blockers, its indication, daily
dosing schedule, precautions, adverse reactions and what
to do should a reaction happens. Research environment and sites The study field will be four selected high daily volume
outpatient pharmacies of Terry White Chemmart Group
pharmacies in Brisbane, Queensland. Two pharmacies
serve as the technology sites while the other two are the
non-technology sites. Terry White Chemmart Group
equips each technology pharmacy with a research-in-
formed pharmacist and at least one smart device with
MedAugment AR app preinstalled for showing the partic-
ipants how to install and use the solution during the
follow-up. The training, as well as baseline and follow-up
assessments happen inside the pharmacies. Project plan summary (C) YouTube video is shown instantly after user clicks on
its thumbnail. (Photo credit: Dr Kara Burns. Patient consent for photography taken by Professor Lisa Nissen) 2 Ahmadvand A, et al. BMJ Open 2018;8:e019422. doi:10.1136/bmjopen-2017-019422 Open Access 3. Transform non-digital consumer medicine informa-
tion about angiotensin II receptor blockers into cre-
ative digital formats. AR app walkthrough Using the app walkthrough method,8 researchers
will help the participants in the technology group in
traversing them to reflect on the technological features
and activity flows of MedAugment app; and in so doing
generate qualitative insights into both the app’s usability
and the digital literacies of the participants. The walk-
through method involves the researchers engaging with
the app, working through and closely documenting
the activities and features it affords while contextual-
ising these affordances within the app’s environment.8
Data collection during this process will take the form of
screenshots or recording the walkthrough while taking
field notes or audio recording reflections. If some devices
do not allow for screen recording, another device will be
used to capture activity on a mobile or tablet screen. The
researchers undertake these walkthroughs twice: 4. Assign digital consumer medicine information to
triggers. 4. Assign digital consumer medicine information to
triggers. 5. Finalise the development of a custom-built AR
app by the team (the app’s trademarked name is
MedAugment). 6. Evaluate usability and customise the design of the AR
app and visualisation of consumer medicine informa-
tion using the ‘app walkthrough’ user experience re-
search method and iterative work with the AR design
team. 7. Divide a group of people with T2DM and hyperten-
sion coming for their angiotensin II receptor block-
er prescriptions into technology or non-technology
groups (based on the pharmacy of access). 1. The walkthrough is undertaken by the researchers
independently at the commencement of the project
to assess the app’s usability and inform any required
design refinements. 8. Train the participants in the technology group to in-
stall the AR app, scan augmented packages and use
digital consumer medicine information. 9. Application walkthrough with a purposive sample of
participants from the technology group. g
2. During the project, the researchers guide participat-
ing users through the walkthrough to capture user ex-
periences and perspectives in a rich and naturalistic
setting to gather varying perspectives as the data are
collected. 10. Follow-up with the participants to evaluate health lit-
eracy and self-efficacy. 11. Follow-up with the participants to assess the accept-
ability, perceived utility and willingness for consum-
ers and organisations to use the AR app. Ahmadvand A, et al. BMJ Open 2018;8:e019422. doi:10.1136/bmjopen-2017-019422 Analysis The primary comparison is the changes in health literacy
between the groups as a continuous variable. The hypoth-
esis is that the proportions of people who show high
health literacy will be larger in the technology groups. Mixed effects models will be used to analyse solution
effectiveness on outcomes. Multiple regression models
are also used to find additional variables that might affect
the relationship between health literacy and the solu-
tion. As for continuous variables, means and SDs (and
medians) are calculated and differences are assessed by
t-tests. For categorical variables, counts and proportions
of key variables of interest are reported and differences
between groups are assessed by Χ2 tests or Fisher's exact
test, as appropriate. ––
eHealth literacy, assessed by eHEALS (the eHealth
Literacy Scale).13 ––
Beliefs about medication, assessed by Beliefs about
Medicines Questionnaire.14 ––
Self-efficacy, assessed by short form of the Patient
Activation Measure15 and self-care ability measure
in the Diabetes Care Profile.16 ––
Self-reported medication adherence, to be as-
sessed by a licensed version of the Morisky Medi-
cation Adherence Scale (MMAS).17 ––
Demographic information (demographics ques-
tionnaire). 2. Follow-up survey at 3 months and 6 months: Participants
will be scheduled for a follow-up interview at 3 and 6
months after the baseline interview (non-technology
group) and the launch of the solution (technology
group). The follow-up surveys will include most of the
measures from the baseline survey that have the po-
tential to change during the study period. Additional
to the follow-up surveys, the acceptability, perceived
utility and willingness for participants in the technol-
ogy group to use the new solution are investigated. The main milestones of the study and their corresponding
time frames are: The main milestones of the study and their corresponding
time frames are: Open Access Open Access groups, the following major types of comparisons will be
made, as appropriate: groups, the following major types of comparisons will be
made, as appropriate: of people with low health literacy in the non-technology
group after follow-up), P2=20% (proportion of people
with low health literacy in the technology group after
follow-up). This sample size will be increased to 82 in
each group (total: 164) to account for possible dropouts,
losses to follow-up and withdrawals of consent. 1. Within-group comparison, in which relevant outcome
measures will be assessed and compared ‘within’ each
group ‘before’ and ‘after’ the intervention (pre-post). 2. Between-group comparison, in which relevant out-
come measures will be assessed and compared be-
tween each independent group. Data collection and outcome measures 1. Baseline survey at pharmacies: Eligible participants who
provide written informed consent are enrolled in the
study and complete the baseline survey. Participants
are given a $15.00 gift voucher after completing
the baseline and each follow-up survey. Within the
pharmacy, a trained interviewer will administer an
in-person baseline interview using a questionnaire
which includes instruments to assess these outcome
measures: 1. Development of MedAugment AR app: April
2017 to August 2017. 1. Development of MedAugment AR app: April
2017 to August 2017. 2. Creating dynamic and engaging AR regarding angio-
tensin II receptor blockers: April 2017 to August 2017. 3. Recruitment and training the participants and fol-
low-up: January 2018 to April 2018. 4. Developing
analytical
frameworks:
December
2017 to February 2018. y
5. Analysing the results: May 2018 to June 2018. ––
Health literacy (primary outcome measure), as-
sessed by Rapid Estimate of Adult Literacy in Med-
icine9; Communicative Health Literacy10 11; and
modified version of the Test of Functional Health
Literacy in Adults (s-TOFHLA).12 6. Reporting and disseminating the results: June 2018 to
July 2018. 6. Reporting and disseminating the results: June 2018 to
July 2018. Ethics and dissemination
Ethical clearance The study has received approval from the Queensland
University of Technology (QUT) Human Research Ethics
Committee as a low-risk technology evaluation study. Before getting ethics approval, the study protocol has
been peer reviewed in two rounds of selection and short-
listing by the funding organisation. 3. Data analytics from the AR apps at 3 and 6 months: VALiD
will use analytics from MedAugment app to get insight
into participants’ behaviour around the usage of the
app. By capturing user data and recording traffic data
(eg, number of clicks, navigation paths, the number
of views and similar), VALiD will analyse user inter-
actions and determine popularity trends for digital
content. Expected outcomes to improve cardiovascular health VALiD is expected to extend the engagement between
community pharmacists and people living with T2DM,
characterised by facilitated education and therefore,
improved health literacy. It improves health literacy
around angiotensin II receptor blockers for the ultimate
improvement of the safety of pharmacological care of
hypertension in T2DM. The AR app will be developed
and evaluated in a multifaceted and participatory way,
involving people living with T2DM and hypertension Sample size justification
Sample size will be n=74 in each group, assuming 80%
power, a one-sided alpha of 0.05, P1=40% (proportion Participants and eligibility criteria Interested people are considered eligible if they are
adults living with T2DM and hypertension, aged between
30 and 60 years; own a mobile phone and data subscrip-
tion; are registered under Australia’s National Diabetes
Services Scheme; are comfortable communicating in
English; able to provide written informed consent; have
used the Terry White Chemmart Group pharmacies for
at least 3 months; have no intention to travel or planned
procedure within 6 months of recruitment; are taking
prescriptions of angiotensin II receptor blockers for at
least 3 months; picking up their own prescriptions of
angiotensin II receptor blockers from corresponding
pharmacies; and are not enrolled in any other diabetes
education programmes. The non-technology group will receive usual pharma-
cist care during the follow-up period. The care involves
the pharmacist discussing every person’s individual treat-
ments, information on the chronic nature of T2DM and
hypertension, and the importance of continuous therapy,
with emphasis on medication adherence. At the end of
the usual care period, all people will be offered the solu-
tion outlined above. To address the inherent complexities of comparing
outcome measures in a research project focused on
education and health literacy, and to assess how the
understanding of AR might affect health literacy or
comparability of the technology versus non-technology 3 Ahmadvand A, et al. BMJ Open 2018;8:e019422. doi:10.1136/bmjopen-2017-019422 Partnerships Acknowledgements of specific organisations or individuals
Karen Kaye, Executive Manager—Client Relations
at NPS MedicineWise; Tyronne Curtis, Director and
Founder of Activate Entertainment; Kaitlyn Porter,
Research Scholar at School of Clinical Sciences, QUT;
Stefanie Duguay, former Research Assistant at QUT’s
Digital Media Research Centre; and Kerry Porter,
Diabetes Educator at Princess Alexandra’s Hospital
Diabetes and Endocrine Clinic will contribute to the
implementation of the study. VALiD is based on the partnership of QUT researchers
with these institutions to seek funding for larger studies
and future projects: (1) NPS MedicineWise: a nation-
ally recognised, independent, not-for-profit organisa-
tion for medicine information and decision support; (2)
Diabetes Queensland: a not-for-profit community-based
organisation for people living with diabetes in the state
of Queensland; (3) Terry White Chemists Group: one
of the largest pharmacy chains in Australia; (4) Acti-
vate Entertainment: creative developer of engaging AR
content as an industry partner; and (5) Princess Alex-
andra Hospital Diabetes and Endocrine Clinic—one of
the largest providers of services to people with diabetes. This partnership aims to expand its focus to other cardio-
vascular diseases and risk factors in the future. Author affiliations
1School of Clinical Sciences, Faculty of Health, Queensland University of Technology,
Brisbane, Queensland, Australia
2School of Advertising, Marketing and Public Relations, QUT Business School,
Queensland University of Technology, Brisbane, Queensland, Australia
3Digital Media Research Centre, Queensland University of Technology, Brisbane,
Queensland, Australia
4School of Psychology and Counselling, Faculty of Health, Queensland University of
Technology, Brisbane, Queensland, Australia
5QUT Library, Queensland University of Technology, Brisbane, Queensland, Australia
6Diabetes Queensland, Brisbane, Queensland, Australia
7Business Management, Terry White Chemmart Group, Brisbane, Queensland,
Australia Storage of data All study data will be stored on secure Microsoft Share-
Point Services websites on QUT’s internal servers. The
principal investigator (LN), members of the steering
committee of the project (JD, JB, MC and DK) and
selected research officers of the project (KB and AA) will
have secure, controlled access to the full data. Funding This study is supported by Australia’s Heart Foundation under
Vanguard Grant scheme 2016–2017 (funding agreement: LM 4156). QUT
will contribute to the funding of this project by the provision of time from its
academics and staff, for research support and the provision of physical space,
expertise, computers and library resources. Terry White Chemmart Group, NPS
MedicineWise, Diabetes Queensland, Activate Entertainment and Princess
Alexandra Hospital provide in-kind contribution in terms of salaries of their
collaborators in this project. Collaborators Tyronne Curtis, Kaitlyn Porter, Kerry Porter, Karen Kaye, Stafanie
Duguay Collaborators Tyronne Curtis, Kaitlyn Porter, Kerry Porter, Karen Kaye, Stafanie
Duguay Contributors AA and LN created the first idea of the study. JD, KB, JB, MC and DK
contributed to the conceptualisation, methodology, outcome measures and grant
seeking for the study. FK, SH and CC contributed to the methodology of the study,
regarding recruitment, AR content and field requirements. AA and LN wrote the first
draft of the manuscript. All authors contributed equally to the editing and revising
of the manuscript in three rounds. LN is the principal investigator, guarantor of the
study and corresponding author of the manuscript. Intellectual property from the start and using a systematic approach towards
the analysis of the AR app and its appropriation. The
outcome of better health literacy around angiotensin II
receptor blockers will be reflected as improved services
for people and evidence-informed support services can
be planned by partners of this project. from the start and using a systematic approach towards
the analysis of the AR app and its appropriation. The
outcome of better health literacy around angiotensin II
receptor blockers will be reflected as improved services
for people and evidence-informed support services can
be planned by partners of this project. The Deputy Vice-Chancellor (Research and Commer-
cialisation) at QUT can collaboratively implement
strategies to commercialise the research outputs
from VALiD, to promote knowledge transfer and to
encourage the uptake of research by end-users. This
can mainly be achieved via consultancies and custom-
ised networking collaboratively with Australia’s Heart
Foundation, Diabetes Queensland, NPS MedicineWise,
Terry White Chemmart Group, Activate Entertainment
and Princess Alexandra Hospital. By leveraging the positive role of pharmacists in
improving medication safety for chronic conditions18
and mobile phones’ potential to transform health service
delivery,19 this concept can be adopted for other cardio-
vascular medicines in future. MedAugment is a registered trademark in Australia. Future larger studies and funding QUT has a pioneering position in research on emerging
mobile technologies for managing chronic conditions. A multidisciplinary cross-faculty team at QUT has proac-
tively started engaging with professional organisations
and developers to evaluate the effectiveness of AR on
improving the care of people living with T2DM and
cardiovascular conditions. The team uses concepts from
health, business, information technology and creative
digital media to bring multiple perspectives to problems,
and encourage innovative solutions. Open Access Sample size justification i
Sample size will be n=74 in each group, assuming 80%
power, a one-sided alpha of 0.05, P1=40% (proportion Ahmadvand A, et al. BMJ Open 2018;8:e019422. doi:10.1136/bmjopen-2017-019422 4 provided the original work is properly cited. See: http://creativecommons.org/
licenses/by/4.0/ provided the original work is properly cited. See: http://creativecommons.org/
licenses/by/4.0/ 9. Parker RM, Baker DW, Williams MV, et al. The test of functional
health literacy in adults: a new instrument for measuring patients'
literacy skills. J Gen Intern Med 1995;10:537–41. © Article author(s) (or their employer(s) unless otherwise stated in the text of the
article) 2018. All rights reserved. No commercial use is permitted unless otherwise
expressly granted. y
10. Ishikawa H, Takeuchi T, Yano E. Measuring functional,
communicative, and critical health literacy among diabetic patients. Diabetes Care 2008;31:874–9. 11. Heijmans M, Waverijn G, Rademakers J, et al. Functional,
communicative and critical health literacy of chronic disease patients
and their importance for self-management. Patient Educ Couns
2015;98:41–8. Dissemination of findings Competing interests None declared. The dissemination of findings will be via attending scien-
tific conferences (as planned, the National Medicine
Symposium 2018), and publishing the results of the study
in peer-reviewed journals. Currently, two press releases
have been published in public media, and two presen-
tations have been made in two university classrooms, all
facilitated by QUT. Patient consent Not required. Ethics approval Queensland University of Technology Human Research Ethics
Committee (approval number: 1700000275). Ethics approval Queensland University of Technology Human Research Ethics
Committee (approval number: 1700000275). Provenance and peer review Not commissioned; externally peer reviewed. Provenance and peer review Not commissioned; externally peer reviewed. Open Access This is an Open Access article distributed in accordance with the
terms of the Creative Commons Attribution (CC BY 4.0) license, which permits
others to distribute, remix, adapt and build upon this work, for commercial use, 5 Ahmadvand A, et al. BMJ Open 2018;8:e019422. doi:10.1136/bmjopen-2017-019422 References 12. Baker DW, Williams MV, Parker RM, et al. Development of a brief
test to measure functional health literacy. Patient Educ Couns
1999;38:33–42. 1. Shaw J, Tanamas S. Diabetes: the silent pandemic and its impact on
Australia. Melbourne: Baker IDI Heart and Diabetes Institute, 2012. (accessed 19 Dec 2017). 13. Norman CD, Skinner HA. eHEALS: The eHealth literacy scale. J Med
Internet Res 2006;8:e27. 2. Australian Institute of Health and Welfare. Australia’s Health 2014. Canberra, Australia: Australia's Health Series, Australian Institute of
Health and Welfare (AIHW), 2014. (accessed 19 Dec 2017). 14. Horne R, Weinman J, Hankins M. The beliefs about medicines
questionnaire: the development and evaluation of a new method for
assessing the cognitive representation of medication. Psychol Health
1999;14:1–24. 3. Webbie K, O’Brien K. Use of Medicines by Australians with Diabetes:
Australian Institute of Health and Welfare (AIHW). 2006. www.aihw.
gov.au/publication-detail/?id=6442467875 (accessed 19 Dec 2017). 15. Hibbard JH, Mahoney ER, Stockard J, et al. Development and testing
of a short form of the patient activation measure. Health Serv Res
2005;40:1918–30. 4. Australian Commission on Safety and Quality in Health Care. Health Literacy: taking action to improve safety and quality. Sydney,
Australia: Australian Commission on Safety and Quality in Health
Care, 2014. 4. Australian Commission on Safety and Quality in Health Care. Health Literacy: taking action to improve safety and quality. Sydney,
Australia: Australian Commission on Safety and Quality in Health
Care, 2014. 16. Fitzgerald JT, Davis WK, Connell CM, et al. Development
and validation of the diabetes care profile. Eval Health Prof
1996;19:208–30. 5. Cavanaugh KL. Health literacy in diabetes care: explanation,
evidence and equipment. Diabetes Manag 2011;1:191–9. 5. Cavanaugh KL. Health literacy in diabetes care: explanation,
evidence and equipment. Diabetes Manag 2011;1:191–9. 5. Cavanaugh KL. Health literacy in diabetes care: explanation,
evidence and equipment. Diabetes Manag 2011;1:191–9. 6. Holtz B, Lauckner C. Diabetes management via mobile phones: a
systematic review. Telemed J E Health 2012;18:175–84. 17. Morisky DE, Ang A, Krousel-Wood M, et al. Predictive validity of
a medication adherence measure in an outpatient setting. J Clin
Hypertens 2008;10:348–54. 6. Holtz B, Lauckner C. Diabetes management via mobile phones: a
systematic review. Telemed J E Health 2012;18:175–84. yp
18. Puspitasari HP, Costa DS, Aslani P, et al. An explanatory model of
community pharmacists' support in the secondary prevention of
cardiovascular disease. Res Social Adm Pharm 2016;12:104–18. 7. Mat-jizat JE, Osman J, Yahaya R, et al. Ahmadvand A, et al. BMJ Open 2018;8:e019422. doi:10.1136/bmjopen-2017-019422 References The use of augmented reality
(AR) among tertiary level students: perception and experience. Australian Journal of Sustainable Business and Society 2016;2:42–9. 19. Hamine S, Gerth-Guyette E, Faulx D, et al. Impact of mHealth
chronic disease management on treatment adherence and patient
outcomes: a systematic review. J Med Internet Res 2015;17:e52. 8. Light B, Burgess J, Duguay S. The walkthrough method: an approach
to the study of apps. New Media & Society 2016 https://doi.org/10.
1177/1461444816675438 (accessed 19 Dec 2017). 8. Light B, Burgess J, Duguay S. The walkthrough method: an approach
to the study of apps. New Media & Society 2016 https://doi.org/10.
1177/1461444816675438 (accessed 19 Dec 2017). 6 Ahmadvand A, et al. BMJ Open 2018;8:e019422. doi:10.1136/bmjopen-2017-019422
|
https://openalex.org/W3008978453
|
https://iris.unito.it/bitstream/2318/1769635/1/s41597-020-0397-7.pdf
|
English
| null |
Tesco Grocery 1.0, a large-scale dataset of grocery purchases in London
|
Scientific data
| 2,020
|
cc-by
| 10,381
|
Background & Summary Background & Summary g
y
Tesco is a British multinational grocery and general merchandise retailer. In 2015, it was 9th highest-grossing
retailer in the world, with 81B in global revenue1 and the biggest grocery retailer in UK, with 28% of market
share2. Tesco operates a loyalty scheme where customers apply for a Clubcard that is used for both in-store and
online purchases to accumulate points that can be later spent to redeem prizes or discount vouchers. With the
customer consent, the record of their purchases is archived and anonymously linked to their Clubcard number. In this paper, we focus on the in-store purchases done in the 411 Tesco shops within the boundaries of Greater
London during the entire year of 2015. We present aggregated and privacy-preserving data views that combine
individual purchases at different spatial granularities, from Lower Super Output Areas (containing around 2,000
residents each, on average) to Boroughs (more than 250k residents, on average). Despite the importance of studying food consumption at scale, there is little data about what people actually
eat over long periods of time. The fine-grained geographical information included in Tesco Grocery 1.0 is the
key to link food consumption data of an entire city to any attribute that can be measured at the level of statistical
census areas. These include cultural aspects (ethnicity3, migration4,5), societal aspects (youth alcohol use6), eco-
nomic factors (deprivation7, inequality8), health determinants (medical prescriptions9, health awareness and daily
habits10,11), and social media discourse (textual12 or visual13 descriptors of geo-referenced posts). Several studies mined grocery sales data (which has not been made publicly available) to, for example, build
recommender systems that are able to suggest what people might like based on their past purchases14–16, or estab-
lish whether healthy foods tend to be pricey17 and, ultimately, whether their purchase tends to be mediated by
price sensitivity. The nutrient composition of ready-made meals was studied18, yet that represented potential
availability of nutrients given the lack of sales data. Only recently, Instacart–a company that delivers groceries
from local stores–published a dataset of 3 million grocery orders from more than 200,000 users19, yet neither
geo-location information nor nutritional information for these orders is available. g
Web data has been used to study the relationship between food and health. Food-related online communities
have made it possible to study dietary patterns across entire countries20–22, and determine how these patterns
relate to local cultures3. www.nature.com/scientificdata www.nature.com/scientificdata 1Nokia Bell Labs, Cambridge, UK. 2University of Turin, Turin, Italy. 3Tesco Labs, Welwyn Garden City, UK. 4C
King’s College London, London, UK. 5ISI Foundation, Turin, Italy. ✉e-mail: lajello@gmail.com Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 Data Descriptor Luca Maria Aiello 1 ✉, Daniele Quercia1,4, Rossano Schifanella 2,5 & Lucia Del Prete3 We present the Tesco Grocery 1.0 dataset: a record of 420 M food items purchased by 1.6 M fidelity
card owners who shopped at the 411 Tesco stores in Greater London over the course of the entire year
of 2015, aggregated at the level of census areas to preserve anonymity. For each area, we report the
number of transactions and nutritional properties of the typical food item bought including the average
caloric intake and the composition of nutrients. The set of global trade international numbers (barcodes)
for each food type is also included. To establish data validity we: i) compare food purchase volumes to
population from census to assess representativeness, and ii) match nutrient and energy intake to official
statistics of food-related illnesses to appraise the extent to which the dataset is ecologically valid. Given its unprecedented scale and geographic granularity, the data can be used to link food purchases
to a number of geographically-salient indicators, which enables studies on health outcomes, cultural
aspects, and economic factors. Background & Summary Websites containing food recipes23 have been mined to: study the complex relationships
among different ingredients;24,25 quantify a recipe’s healthiness26,27 upon which health-conscious food recom-
mender systems were then built;28,29 and relate potential food consumption to health outcomes30. Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 www.nature.com/scientificdata/ Fig. 1 The Tesco Grocery 1.0 data collection process. We obtain the nutritional properties of an area’s typical
product by: (i) considering the purchases made with fidelity cards at tills (raw data); (ii) mapping those
purchases to their nutritional properties (as per product labels); and (iii) collating the nutritional properties at
area-level (based on the areas the fidelity cards were sent to), and averaging those properties out. This results in
the nutritional properties of each area’s typical product. Fig. 1 The Tesco Grocery 1.0 data collection process. We obtain the nutritional properties of an area’s typical
product by: (i) considering the purchases made with fidelity cards at tills (raw data); (ii) mapping those
purchases to their nutritional properties (as per product labels); and (iii) collating the nutritional properties at
area-level (based on the areas the fidelity cards were sent to), and averaging those properties out. This results in
the nutritional properties of each area’s typical product. A particular class of Web data from which food and nutrition information has been extensively extracted
is that of social media data:31 from geo-referenced tweets, food mentions were extracted, and corresponding
caloric values were found to correlate with state-wide obesity rates;12 from images of food, researchers were able
to extract the portrayed food items32,33 and even their ingredients;34 and from geo-referenced images, researchers
were able to study the relationship between food mentions and socio-economic conditions35,36. These datasets
are publicly available, yet they do not reflect sales data: Web data suffer from a number of self-presentation and
self-selection biases, which might yield a distorted picture of actual food consumption patterns37,38. To partly fix
that, we recently analyzed the eating habits of Londoners based on Tesco data39, a richer version of which we now
make publicly available. Next, we detail how the data is collected and aggregated (high-level sketch in Fig. 1). For each spatial aggregation, the
number of areas, the average surface, and the average numbers of residents are reported. Table 1. Statistics for the areas corresponding to the three spatial aggregations. For each spatial aggregation, the
number of areas, the average surface, and the average numbers of residents are reported. Table 1. Statistics for the areas corresponding to the three spatial aggregations. For each spatial aggregation
number of areas, the average surface, and the average numbers of residents are reported. simply multiplying them by these fixed factors: 9 kcal per gram for fats, 7 kcal per gram of alcohol, 4 kcal for pro-
teins and carbohydrates, and 2 kcal for fibers. Our value of kcal is then equal to the total calories reported on the
product label (when available), rounded to the closest unit.hh The GTIN is also associated to a product category. The categorization includes 17 non-overlapping classes:
fruit & vegetables; grains (e.g., bread, rice, pasta); red meat (e.g., pork, beef); poultry; fish; dairy (e.g., milk, cheese);
eggs; fats & oils (e.g., butter, olive oil); sweets (e.g., chocolate, candies); readymade items (e.g., pre-cooked meal);
sauces (e.g., tomato sauce, soups); tea & coffee; soft drinks (e.g., carbonated sodas); bottled water; beer; wine; spirits. All items have been manually labeled and validated according to this categorization. y
g
g
Overall, our dataset is created starting from all the 422,453,987 individual food items purchased from January
1st 2015 to December 31st 2015 by Clubcard owners whose rsidence area is within Greater London’s boundaries. The dataset contains 67,296 unique products (distinct GTINs) purchased at least once. Geographic areas and census statistics. We aggregate individual purchase records at area-level using a
variety of geographic resolutions: LSOA (Lower Super Output Area), MSOA (Medium Super Output Area), Ward,
and LA (Local Authority or, more informally, Borough).hi The choice of these specific aggregation levels is motivated by three main factors. First, they are spatial parti-
tions defined by the Office for National Statistics (ONS–https://www.ons.gov.uk). Many publicly-available official
statistics are provided at the level of these areas and, consequently, most geographic studies on UK data use them
as reference geographic units. Second, the ONS provides the mapping between different levels of spatial aggrega-
tions43, which facilitates the aggregation of our raw data to coarser partitions. The mapping is always exact except
at Ward level, where some higher-granularity areas might lie across the boundaries of multiple Wards. Next, we detail how the data is collected and aggregated (high-level sketch in Fig. 1). The ONS
applies standard guidelines to provide a best-fitting match. Finally, aggregating the data at multiple granularities
will enable a wider range of studies that might benefit from having either a high number of smaller areas contain-
ing fewer datapoints (but still big enough to preserve anonymity); or a lower number of areas characterized by
more robust statistics. In the dataset, for each area, we report a number of basic census statistics collected by the
ONS44 in 2015 including: population, number of males, number of females, number residents aged [0–17], number
residents aged [18–64], number residents aged 65+, average age, surface area, density of residents. Table 1 summa-
rizes the average of some of these statistics. Aggregation of food purchases to areas. Given a purchase done by a customer living in a given area a,
we map the purchase to that area. The same aggregation procedure is applied for all geographical levels, so we use
the generic term area to denote census areas at any level, from LSOA to Borough. For each area, we provide 3 sets
of variables, described below. Penetration. The first group of variables expresses the Tesco penetration in an area. For each area a, we
report the total number of products purchased (quantity (a)). To give an indication of how the customer base is
representative of the overall population in the area, we compute the ratio between the number of unique custom-
ers and the number of residents, as recorded by the census: =
. representativeness a
customers a population a
( )
( )/
( )
(1) Next, we detail how the data is collected and aggregated (high-level sketch in Fig. 1). Next, we detail how the data is collected and aggregated (high-level sketch in Fig. 1). Purchase record collection. Given the use of Clubcards, the information about the purchase of each indi-
vidual product is stored in the following anonymized form: {customer area, GTIN, timestamp}, where the area
is where the customer lives, and the GTIN is the Global Trade Item Number, which is used by companies to
uniquely identify their trade items globally. The purchase record is then joined with a product database that is
maintained by Tesco and it is populated with the information that the producers of the food items provide. The
facts that are printed on the nutrition label40 are: {total energy, net weight, fats, saturated fats, carbohydrates, free
sugars, proteins, fibers}. Only for drinks, their volume and relative volume of alcohol is reported.hh g
p
fi
y
f
p
The total energy is expressed in kilocalories (kcal). The nutrients are expressed in grams (g) and they represent
the total weight of that nutrient in the product. The weight of fat comprises that of saturated fats and the weight of
carbohydrates comprises that of sugar. We compute the total weight of alcohol by multiplying the total volume by
the relative volume of alcohol, and by the density of alcohol. For example, there are 75 grams of alcohol in a 750 ml
bottle of wine with 12.5% alcoholic volume (
)
ml
g
750
0 125
0 8
75
g
ml
⋅
. ⋅
. =
. To obtain the calorie intake at the
nutrient level, we use the conversion factors set by EU directive 90/496/EEC41, which is implemented by all EU
countries and is widely adopted in nutrition studies42. That is, we map grams into corresponding calories by Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 2 www.nature.com/scientificdata/ Area
Number of areas
Avg. surface (km2)
Avg. pop
LSOA
4,833
0.33
1,793
MSOA
983
1.60
8,817
Ward
638
2.46
13,584
Borough
33
47.7
262,634
Table 1. Statistics for the areas corresponding to the three spatial aggregations. For each spatial aggregation, the
number of areas, the average surface, and the average numbers of residents are reported. Table 1. Statistics for the areas corresponding to the three spatial aggregations. For each spatial aggregation, the
number of areas, the average surface, and the average numbers of residents are reported. Table 1. Statistics for the areas corresponding to the three spatial aggregations. =
.
representativeness a
customers a population a
( )
( )/
( )
(1 (1) In the dataset, we provide the min-max normalized versions of these values, which can be used to filter out
areas whose user base differs the most from the census statistics (see Technical Validation Section): =
−
−
.
representativeness
a
representativeness a
min representativeness
max representativeness
min representativeness
( )
( )
{
}
{
}
{
}
norm To capture the energy intake, we compute the total calo-
ries contained in the typical product (i.e., the average number of calories across all products purchased by area
residents): energy a
kcal p
P
( )
( )
,
(5)
p P
a
a
= ∑∈ energy a
P
( )
,
(5)
a
a
= (5) Pa where kcal(p) is the value of kilocalories in p. where kcal(p) is the value of kilocalories in p. Given two foods with the same amount of calories but different energy concentrations, the delivery of pleasure
within people’s brains is quicker for the calorie-dense food. To capture the density of calories rather than simple
calorie counts, we compute: −
=
∑
∑
∈
∈
energy
density a
kcal p
grams p
( )
( )
( )
,
(6)
p P
p P
a
a (6) h reflects the concentration of calories in the area’s typical product.f which reflects the concentration of calories in the area’s typical product.f which reflects the concentration of calories in the area’s typical product. N
ll
l
i
d
l h
h h f
d
i
diff he concentration of calories in the area’s typical product l
Not all calories are created equal though: the food contains different types of nutrients that the body processes
in different ways to produce energy and extract structural material for its growth and maintenance. The food
nutrients we consider are: fats, saturated fats, carbohydrates (carbs), sugar, proteins, fibers, and alcohol. For each
area, we compute the grams of each individual nutrient contained in the typical product: = ∑∈
nutrient a
grams nutrient p
P
( )
(
( ))
,
(7)
i
p P
i
a
a P
,
a (7) Pa where grams(nutrienti(p)) is the grams of nutrienti in product p. We calculate the typical product’s energy content
given by each of these nutrients as: where grams(nutrienti(p)) is the grams of nutrienti in product p. We calculate the typical product’s energy content
iven by each of these nutrients as: −
= ∑
. ∈
energy
nutrient a
kcal nutrient p
P
( )
(
( ))
(8)
i
p P
i
a
a (8) where kcal(nutrienti, p) is the energy intake given by that nutrient in product p. Going beyond individual nutrients, one could study their composite impact. So, we capture the diversity of
nutrients contained in the typical product. =
−
−
.
representativeness
a
representativeness a
min representativeness
max representativeness
min representativeness
( )
( )
{
}
{
}
{
}
norm =
−
−
. representativeness a
min representativeness
max representativeness
min representativeness
( )
{
}
{
}
{
}
(2) (2) We also report the number of days with at least one purchase (purchase-dates(a) ∈ [0; 365]). To provide an
estimate of how often residents of area a go shopping, we supply the collective sum of days any clubcard in area a
has been used (man-day(a)). Nutrients. The second group captures the nutritional properties of the food purchased. Because the num-
ber of people consuming the food purchased with a Clubcard is unknown (e.g., singles vs. families), we cannot
produce reliable estimates of per-capita food purchases. Therefore, we describe each area in terms of its typical
product, whose nutritional values are the average over all the food products bought by the area residents.i We first report the typical food product’s weight (not including drinks) and the typical drink product’s volume: We first report the typical food product’s weight (not including drinks) and the typical drink product’s volume: Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 3 www.nature.com/scientificdata/ = ∑∈
weight a
grams p
P
( )
( )
(3)
p P
a
a
= ∑∈
volume a
liters p
P
( )
( )
,
(4)
p P
a
a = ∑∈
weight a
grams p
P
( )
( )
(3)
p P
a
a (3) Pa = ∑∈
volume a
liters p
P
( )
( )
,
(4)
p P
a
a (4) where Pa is the set of all food products purchased by the residents of area a, and p is one of such products. Th
i t k
f f
d i
d i
l
i
T
t
th
i t k
t th t t l where Pa is the set of all food products purchased by the residents of area a, and p is one of such products
Th
i t k
f f
d i
d i
l
i
T
t
th
i t k
t th t t a
p
p
y
p
p
The energy intake of food is measured in calories. =
−
−
.
representativeness
a
representativeness a
min representativeness
max representativeness
min representativeness
( )
( )
{
}
{
}
{
}
norm = ∑
−
∈
f
a
grams category p
weight a
( )
(
( ))
( )
(15)
category
weight
p P
i
i
a
∑
= −
⋅
−
−
−
H
a
f
a
log f
a
( )
( )
( )
(16)
category
weight
j
category
weight
category
weight
2
j
j = ∑
−
∈
f
a
grams category p
weight a
( )
(
( ))
( )
(15)
category
weight
p P
i
i
a (15) ∑
= −
⋅
−
−
−
H
a
f
a
log f
a
( )
( )
( )
(16)
category
weight
j
category
weight
category
weight
2
j
j (16) Biases and limitations. Representativeness. The sample of people whose purchases are reflected in this
dataset is very large but not random, as it is a set of self-selected people who decided to shop at Tesco and to opt in
for a Clubcard subscription. Therefore, the set of Clubcard owners considered is not representative of the overall
population in terms of demographics, socio-economic factors, or spatial distribution. However, we provide guide-
lines on how to filter the data to increase robustness (see Technical Validation Section). Coverage. As we will show in the Technical Validation section, the concentration of Tesco stores is higher in the
northern part of London. As a result, some areas of the city exhibit low penetration. In the dataset, we provide the
information to identify low-coverage areas and filter them out if needed. Limited scope. The number of purchases considered is very large but by no means covers the full scope of food
consumption habits of London residents. Naturally, this dataset does not reflect food consumption in restaurants. Also, it does not cover the grocery store purchases done in other chains or stores and, even among the Tesco
customers, it does not include information of online purchases and of products purchased by people who do not
own a Clubcard. In short, albeit this dataset reveals trends in food consumption habits at area level, it does not
represent the full picture of daily food consumption. Average product. From our data, there is no way of estimating what is the diet of individual customers. Therefore, the nutrient values are provided as averages over all the items purchased by the residents of an area. =
−
−
.
representativeness
a
representativeness a
min representativeness
max representativeness
min representativeness
( )
( )
{
}
{
}
{
}
norm This is computed as the Shannon entropy H of the distribution of the
calories given by all the nutrients: Going beyond individual nutrients, one could study their composite impact. So, we capture the diversity of
nutrients contained in the typical product. This is computed as the Shannon entropy H of the distribution of the
calories given by all the nutrients: =
∑
f
a
nutrient a
nutrient a
( )
( )
( )
,
(9)
nutrient
i
j
j
i (9) f
a
energy
nutrient a
energy
nutrient a
( )
( )
( )
(10)
energy
nutrient
i
j
j
i
=
−
∑
−
. − (10) ∑
= −
⋅
H
a
f
a
log f
a
( )
( )
( )
(11)
nutrients
j
nutrient
nutrient
2
j
j (11) ∑
= −
⋅
−
−
−
H
a
f
a
log f
a
( )
( )
( )
(12)
energy
nutrients
j
energy
nutrient
energy
nutrient
2
j
j (12) Both values of entropy are also expressed in a normalized form with values bounded in [0,1]. These are
obtained by dividing the entropy values by the maximum entropy, calculated as: log2 (number of distinct
nutrients). Both values of entropy are also expressed in a normalized form with values bounded in [0,1]. These are
obtained by dividing the entropy values by the maximum entropy, calculated as: log2 (number of distinct
nutrients). Product categories. We compute the probability distribution of items belonging to the 17 different product
categories being purchased in area a and the entropy of that distribution: f
a
category p
P
( )
( )
(13)
category
p P
i
a
i
a
= ∑∈ (13) Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 www.nature.com/scientificdata/ ∑
= −
⋅
H
a
f
a
log f
a
( )
( )
( )
(14)
category
j
category
category
2
j
j (14) where categoryi(p) is an indicator function set to 1, if product p belongs to category i; 0 otherwise. We then cal-
culate the relative weight of products belonging to any category compared to the total weight (this is done only
for food products, not for drinks). We also calculate the entropy (and, like for nutrients, normalized entropy) of
these relative weights. =
−
−
.
representativeness
a
representativeness a
min representativeness
max representativeness
min representativeness
( )
( )
{
}
{
}
{
}
norm In other words, we represent the nutritional features of the hypothetical average product consumed in the area. This type of representation is appropriate for some types of analysis but introduces limitations to any study that
requires an average representation at the level of individuals, rather than at the level of geographical area. Data Records Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 Data Records Data Records We made the dataset available through Figshare45 under the Creative Commons International license 4.0 (CC
BY 4.0). Food items and their categories. We provide the list of products contained in each food category. The
identifiers associated with products can be used to query external services to get additional information about
them. This information is stored in a single .csv file named food_categories.csv. •
GTIN Global Trade Item Number, a standard identifier for trade items developed by GS1, a not-for-profit
organization that develops and maintains global standards for business communication. Specifically, the
GTIN is the number that comes with the barcode on the product label. GS1 offers an online service for GTIN
lookup (http://gepir.gs1.org/index.php/search-by-gtin).hhi •
GTIN Global Trade Item Number, a standard identifier for trade items developed by GS1, a not-for-profit
organization that develops and maintains global standards for business communication. Specifically, the
GTIN is the number that comes with the barcode on the product label. GS1 offers an online service for GTIN
lookup (http://gepir.gs1.org/index.php/search-by-gtin).hhi p (
p
g p g
g
p p
y g
)
•
Category. The product category. The possible categories are: beer, dairy, eggs, fats & oils, fish, fruit & veg,
grains, red meat, poultry, readymade, sauces, soft drinks, spirits, sweets, tea & coffee, water, and wine. p
p
g p g
g
p p
y g
•
Category. The product category. The possible categories are: beer, dairy, eggs, fats & oils, fish, fruit &
grains, red meat, poultry, readymade, sauces, soft drinks, spirits, sweets, tea & coffee, water, and wine. Area descriptors. For each geographic aggregation (LSOA, MSOA, Ward, Borough) we provide a.csv file
({aggregation}_grocery.csv) containing the aggregated information on food purchases, enriched with informa-
tion coming from the census. We provide data for two temporal aggregations. One file summarizing the data for
the full year and 12 files with the data for each of the calendar months. Each file contains 202 columns. Below,
we provide a short description of all the fields. References to equations introduced in the Methods section are
reported when appropriate. •
area_id. Identifier of the area. •
weight. Weight of the average food product, in grams (Eq. (3))
•
volume. Volume of the average drink product, in liters (Eq. (4))
•
energy. Nutritional energy of the average product, in kcals (Eq. (5))
•
energy_density. Concentration of calories in the area’s average product, in kcals/gram (Eq. •
{nutrient}. Data Records Total number of products purchased by Clubcard owners who are resident in the area. man_day. Cumulative number of man-days of purchase (number of distinct days a customer has purchased tion of residents in the area according to the 2015 censu g
•
population. Total population of residents in the area according to the 2015 census. l
l
l
l
h ale. Total male population in the area. •
age_0_17. Total number of residents between 0 and 17 years old. ge_65 + . Total number of residents aged 65 years or mo g
g
y
•
avg_age. Average age of residents according to the 2015 census. area_sq_km. Surface of the area (km2). •
people_per_sq_km. Population density per km2. Where applicable, measures are accompanied with their standard deviation (fields with suffix _std), the 95%
confidence interval for the mean (suffix _ci95), and the values of the 2.5th, 25th, 50th, 75th, and 97.5th percentiles
(suffix _perc{value}). Data Records Fraction of products of type {product_type} purchased (Eq. (13)). •
f_{category}_weight. Fraction of total product weight given by products of type {category} (Eq. (15)). •
h_category. Entropy of food product types (Eq. (14)). •
h_category_norm. Entropy of food product categories, normalized in [0,1]. •
h_category_weight. Entropy of weight of food product categories (Eq. (16)). •
h_category_weight_norm. Entropy of weight of food product categories, normalized in [0,1]. •
representativeness_norm. The ratio between the number of unique customers in the area and the number of
residents as measured by the census; values are min-max normalized in [0,1] across all areas (Eq. (2)). •
transaction_days. Number of unique dates in which at least one purchase has been made by one of the resi-
dents in the area. •
num_transactions. Total number of products purchased by Clubcard owners who are resident in the area. •
man_day. Cumulative number of man-days of purchase (number of distinct days a customer has purchased
something, summed all individual customers). •
population. Total population of residents in the area according to the 2015 census. •
male. Total male population in the area. •
female. Total female population in the area. •
age_0_17. Total number of residents between 0 and 17 years old. •
age_18_64. Total number of residents between 18 and 64 years old. •
age_65 + . Total number of residents aged 65 years or more. •
avg_age. Average age of residents according to the 2015 census. •
area_sq_km. Surface of the area (km2). •
people_per_sq_km. Population density per km2. h_nutrients_weight_norm. Entropy of nutrients weight, normalized in [0,1]. •
h_nutrients_weight_norm. Entropy of nutrients weight, normalized in [0,1]. y
g
•
h_nutrients_calories. Entropy of energy from nutrients (Eq. (12)) •
h_nutrients_calories. Entropy of energy from nutrients (Eq. (12)) •
h_nutrients_calories_norm. Entropy of energy from nutrients, normalized in [0,1]. •
f_{category}_weight. Fraction of total product weight given by products of type {category} (Eq. (15)). g
y
py
p
yp
q
h_category_norm. Entropy of food product categories, normalized in [0,1]. •
representativeness_norm. The ratio between the number of unique customers in the area and the number of
residents as measured by the census; values are min-max normalized in [0,1] across all areas (Eq. (2)). •
transaction_days. Number of unique dates in which at least one purchase has been made by one of the resi-
dents in the area. num_transactions. Data Records Weight of {nutrient} in the average product, in grams (Eq. (7)). Possible nutrients •
area_id. Identifier of the area. •
weight. Weight of the average food product, in grams (Eq. (3))
•
volume. Volume of the average drink product, in liters (Eq. (4))
•
energy. Nutritional energy of the average product, in kcals (Eq. (5))
•
energy_density. Concentration of calories in the area’s average product, in kcals/gram (Eq. (6))
•
{nutrient}. Weight of {nutrient} in the average product, in grams (Eq. (7)). Possible nutrients are: carbs, sugar,
fat, saturated fat, protein, fibre. The count of carbs include sugars and the count of fats includes saturated fats. •
energy_{nutrient}. Amount of energy from {nutrient} in the average product, in kcals (Eq. (8))
•
h_nutrients_weight. Entropy of nutrients weight (Eq. (11)) •
area_id. Identifier of the area. •
weight. Weight of the average food product, in grams (Eq. (3))
•
volume. Volume of the average drink product, in liters (Eq. (4))
•
energy. Nutritional energy of the average product, in kcals (Eq. (5)) i
•
weight. Weight of the average food product, in grams (Eq. (3))
l
l
f h
d
k
d
l
(
( )) i
•
weight. Weight of the average food product, in grams (Eq. (3)) •
volume. Volume of the average drink product, in liters (Eq. (4)) •
energy. Nutritional energy of the average product, in kcals (Eq. (5)) •
energy_density. Concentration of calories in the area’s average product, in kcals/gram (Eq. (6))
•
{nutrient}. Weight of {nutrient} in the average product, in grams (Eq. (7)). Possible nutrients are: carbs, sugar,
fat, saturated fat, protein, fibre. The count of carbs include sugars and the count of fats includes saturated fats. •
energy_{nutrient}. Amount of energy from {nutrient} in the average product, in kcals (Eq. (8))
•
h_nutrients_weight. Entropy of nutrients weight (Eq. (11)) Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 5 www.nature.com/scientificdata/ Fig. 2 Distribution of residents and customers. Probability density function (pdf) of the number of residents
across LSOAs (left), and that of the number of customers (right). Fig. 2 Distribution of residents and customers. Probability density function (pdf) of the number of residents
across LSOAs (left), and that of the number of customers (right). •
h_nutrients_weight_norm. Entropy of nutrients weight, normalized in [0,1]. •
h_nutrients_calories. Entropy of energy from nutrients (Eq. (12))
•
h_nutrients_calories_norm. Entropy of energy from nutrients, normalized in [0,1]. •
f_{category}. Technical Validationh This dataset is reliable when considering a variety of aspects: it reliably records all the purchases made at the
supermarket tills when using fidelity cards; reports the nutritional information of individual products as accu-
rately as the labels of the original products do; and comes with verified customer locations (they are the areas to
which the fidelity cards were sent to). Yet, there are two aspects that need validation: i) the representativeness
of the Tesco customer base; and ii) the ecological validity of the aggregated grocery data, namely how well they
represent the general patterns of food consumption at area-level, which we estimate through food-related health
outcomes in those areas. Validation of area representativeness. In each LSOA, we consider two quantities: number of cus-
tomers and number of residents. Their frequency distributions differ (Fig. 2): that of the number of residents
is bell-shaped (as LSOAs have been designed to partition a city in patches containing a comparable number of
residents), while that of the number of customers is skewed (not least because, as Fig. 3 shows, Tesco stores are
not uniformly distributed across the city). Therefore, not only penetration rates of stores are distributed unevenly
across the city, but also those of purchases are. As a result, in certain areas, the customers are not representative
of the general population.i To fine-tune the desired level of general population’s representativeness, researchers can consider not all areas
but only part of them. To allow them to do so, we report each area’s representa tiveness(a) (the ratio between the
number of customers and the number of residents). The higher it is, the more representative that area’s data is of
the general population. We find that, if one considers only the areas with at least 0.1 representativeness (x-axis
in Fig. 4 (left)), one is left with 80% of the total number of areas (x-axis). That is, at least 10% of the residents are 6 Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 www.nature.com/scientificdata/ Fig. 3 London map reflecting the stores’ positions (dots) and the number of grocery transactions at LSOA level
(the darker the color, the higher the number of transactions). Fig. 3 London map reflecting the stores’ positions (dots) and the number of grocery transactions at LSOA level
(the darker the color, the higher the number of transactions). Fig. 4 Data representativeness. Technical Validationh Left: The percentage of areas (y-axis) that have a level of representativenessnorm
at least thresholdr (x-axis). Right: The Spearman rank correlation between the number of customers and
the number of residents with a given %considered areas (x-axis) (areas are ordered by decreasing levels of
representativeness). Results are presented for three different geographic aggregations (LSOA, MSOA, and
Wards). Correlations are all statistically significant with p < 0.01. Fig. 4 Data representativeness. Left: The percentage of areas (y-axis) that have a level of representativenessnorm
at least thresholdr (x-axis). Right: The Spearman rank correlation between the number of customers and
the number of residents with a given %considered areas (x-axis) (areas are ordered by decreasing levels of
representativeness). Results are presented for three different geographic aggregations (LSOA, MSOA, and
Wards). Correlations are all statistically significant with p < 0.01. Fig. 4 Data representativeness. Left: The percentage of areas (y-axis) that have a level of representativenessnorm
at least thresholdr (x-axis). Right: The Spearman rank correlation between the number of customers and
the number of residents with a given %considered areas (x-axis) (areas are ordered by decreasing levels of
representativeness). Results are presented for three different geographic aggregations (LSOA, MSOA, and
Wards). Correlations are all statistically significant with p < 0.01. customers in each area. This is a conservative estimate as it assumes that each fidelity card is used to purchase food
for one single person, while it might well be used to satisfy the needs of an entire family. Th Then, if one were to take that top 80% of the areas ranked by representativeness, the overall correlation
between the number of customers and the number of residents would be considerable: it goes from 0.38 for
LSOAs to 0.58 for wards (Fig. 4 (right)). If one were to take only the 10% most representative areas instead, then
that correlation would be as high as 0.75 for LSOAs to 0.84 for wards (Fig. 4 (right)). g
( g
( g
))
More generally, the larger the set of considered areas, the lower that correlation: depending on their needs,
researchers have to balance the number of total areas they wish to consider, and the correlation between the
number of customers and that or residents they wish to obtain. For example, considering 80% of the areas yields
correlations between 0.38 (LSOAs) and 0.58 (wards). Validation of health outcomes. Nutrients and metabolic syndrome.
h b
d
d Nutrients and metabolic syndrome. According to the World Health Organization49, the three best die-
tary habits to prevent conditions associated with the metabolic syndrome are: i) limiting the intake of calories;
ii) having a nutrient-diverse diet; and iii) favoring the consumption of fibers and proteins over sugars, carbohy-
drates, and fat. To verify whether the violation of these three recommendations is associated with an increased
prevalence of metabolic disorders, we correlate diabetes and obesity prevalence with: i) the energy of the typical
product (energy(a), Eq. (5)); ii) the entropy of energy intake from different nutrients (Henergy-nutrients(a), Eq. (12));
iii) and the energy content of each individual nutrient (energy-nutrienti(a) Eq. (8)). ontent of each individual nutrient (energy nutrienti(a) Eq. (8)). orrelations (R) between nutrients and prevalence of medical conditions across areas are sum
f obese and overweight children (Fig. 5, top row) is inversely correlated with the energy com
e typical product, with correlations all lower than −0.5. We found a weaker inverse correla
h energy coming from proteins and with the entropy of nutrients and, only for children in gy
gy
i
q
Spearman rank correlations (R) between nutrients and prevalence of medical conditions across areas are sum-
marized in Fig. 5. Th
l
f b
d
h
h ld
(
)
l
l
d
h h The prevalence of obese and overweight children (Fig. 5, top row) is inversely correlated with the energy com-
ing from fibers in the typical product, with correlations all lower than −0.5. We found a weaker inverse correla-
tion R
(
0 2)
≅−. with energy coming from proteins and with the entropy of nutrients and, only for children in
reception year, with saturated fats R
(
[
0 1,
0 15])
∈−. −. . We found a positive yet feeble association
≅
. R
(
0 1) with
energy from carbohydrates. gy
y
Stronger correlations emerge for adults (Fig. 5, bottom row). Areas with higher prevalence of overweight and
obese adults are those where the typical product is higher in energy
≅
. R
(
0 4) and is also high in fat, sugar, and
carbohydrates
∈
. . R
(
[0 35, 0 45]). Prevalence of adult obesity is negatively associated with nutrient entropy
R
(
0 4)
≅−. . The diabetes data yields the highest number of significant correlations (Fig. 5, bottom-right panel). Technical Validationh We assess the ecological validity of the data by comparing the grocery
purchases with metabolic syndrome conditions that are strongly linked to food consumption habits. Specifically,
we consider data about the prevalence of obesity and type-2 diabetes. •
Prevalence of overweight and obese children. The fractions of overweight and obese primary school chil-
dren in Reception class (aged 4 to 5) and year 6 (aged 10 to 11), sampled across wards. This data has been
collected by the English National Health Service (NHS) in the 2013–2014 school year46. Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 7 www.nature.com/scientificdata/ www.nature.com/scientificdata/ Fig. 5 Spearman rank correlation between prevalence of metabolic syndrome conditions and food
consumption estimators: energy (energy(a), Eq. (5)); entropy of nutrients (Henergy-nutrients(a), Eq. (12)); and energy
from individual nutrients (energy-nutrienti(a), Eq. (8)). Only statistically significant correlations (p < 0.05) are
shown. Fig. 5 Spearman rank correlation between prevalence of metabolic syndrome conditions and food
consumption estimators: energy (energy(a), Eq. (5)); entropy of nutrients (Henergy-nutrients(a), Eq. (12)); and energy
from individual nutrients (energy-nutrienti(a), Eq. (8)). Only statistically significant correlations (p < 0.05) are
shown. •
Prevalence of overweight and obese adults. The fractions of overweight and obese individuals among a sta-
tistical sample of borough residents. This data has been collected by the Active People Survey (APS) in 201247. •
Diabetes prevalence. The fraction of adults among those registered at a GP practice in England who are
ff
t d b t
2 di b t
48 Thi d t h
b
ll
t d b th NHS f
2015 t
d l
l •
Prevalence of overweight and obese adults. The fractions of overweight and obese individuals among a sta-
tistical sample of borough residents. This data has been collected by the Active People Survey (APS) in 201247. •
Diabetes prevalence. The fraction of adults among those registered at a GP practice in England who are
affected by type-2 diabetes48. This data has been collected by the NHS for year 2015 at ward level. •
Prevalence of overweight and obese adults. The fractions of overweight and obese individuals among a sta-
tistical sample of borough residents. This data has been collected by the Active People Survey (APS) in 201247. •
Diabetes prevalence. The fraction of adults among those registered at a GP practice in England who are
affected by type-2 diabetes48. This data has been collected by the NHS for year 2015 at ward level. www.nature.com/scientificdata/ Average standardized regression residuals for areas with varying values of representativeness (right). 95%
confidence intervals are shown. each variable, which allowed us to compare the relative importance of different factors in predicting the out-
come. Results are summarized in Table 2. The model has a high goodness of fit (R2 > 0.6) especially compared
to a baseline model where only the control variables are considered (R2 = 0.14). The magnitude of the regression
coefficients indicates that all independent variables have predictive power, with the nutrient entropy being the
strongest one. each variable, which allowed us to compare the relative importance of different factors in predicting the out-
come. Results are summarized in Table 2. The model has a high goodness of fit (R2 > 0.6) especially compared
to a baseline model where only the control variables are considered (R2 = 0.14). The magnitude of the regression
coefficients indicates that all independent variables have predictive power, with the nutrient entropy being the
strongest one. g
A regression model that includes only energy-carbs and Henergy-nutrients as independent variables retains a high
explanatory power (R2 = 0.56). We plotted the actual diabetes prevalence values against the values predicted by
this 2-variable regression model in Fig. 6 (left). We checked how the standardized regression residuals–namely
the absolute differences between the official diabetes estimates and the corresponding predicted values, divided by
the standard deviation of all residuals–vary with area a’s representa tiveness(a) (the ratio between the number of
customers and the number of residents). To do that, we partition areas in equally-sized groups of areas with com-
parable values of representativeness, and average the standardized residuals within each group (Fig. 6 (right)). The prediction error is higher for areas in which the representativeness is lower (<0.1). Beyond that threshold,
residuals quickly drop and stabilize.h The hierarchical arrangement of census areas (e.g., a borough contains a set of wards) calls for the use of hier-
archical regression models. Specifically, we ran a Bayesian hierarchical regression50. In this type of regression, data
is partitioned in groups; each group is modeled with its own set of regression coefficients expressed as probability
distributions with normal priors. In turn, the parameters of such distributions are generated by higher-order
probability distributions. In a Bayesian fashion, the distributions are learned from the data using Monte Carlo
sampling methods51. www.nature.com/scientificdata/ www.nature.com/scientificdata/ Diabetes
Feature
Coefficient
Std. error
p
α (intercept)
0.9362
0.081
energy-carbs
0.1883
0.065
0.000
Henergy-nutrients
−1.0252
0.084
0.004
Average age
−0.1191
0.041
0.000
% Females
−0.1237
0.049
0.004
Transactions
0.2853
0.035
0.012
Pop. density
−0.0767
0.034
0.000
Durbin-Watson stat. = 1.265
Adj R2 = 0.613
Table 2. Linear regression to predict ward diabetes prevalence from carbohydrates (energy-carbs), nutrient
entropy (Henergy-nutrients), and control variables. Diabetes
Feature
Coefficient
Std. error
p
α (intercept)
0.9362
0.081
energy-carbs
0.1883
0.065
0.000
Henergy-nutrients
−1.0252
0.084
0.004
Average age
−0.1191
0.041
0.000
% Females
−0.1237
0.049
0.004
Transactions
0.2853
0.035
0.012
Pop. density
−0.0767
0.034
0.000
Durbin-Watson stat. = 1.265
Adj R2 = 0.613
Table 2. Linear regression to predict ward diabetes prevalence from carbohydrates (energy-carbs), nutrient
entropy (Henergy-nutrients), and control variables. Henergy-nutrients
−1.0252
0.084
0.004
Average age
−0.1191
0.041
0.000
% Females
−0.1237
0.049
0.004
Transactions
0.2853
0.035
0.012
Pop. density
−0.0767
0.034
0.000
Durbin-Watson stat. = 1.265
Adj R2 = 0.613
Table 2. Linear regression to predict ward diabetes prevalence from carbohydrates (energy-carbs), nutrient
entropy (Henergy-nutrients), and control variables. Fig. 6 Diabetes prevalence estimates. Actual ward diabetes prevalence values at Ward level vs. values estimated
by a linear regression with carbohydrates and nutrient entropy as the only two independent variables (left). Average standardized regression residuals for areas with varying values of representativeness (right). 95%
confidence intervals are shown. Table 2. Linear regression to predict ward diabetes prevalence from carbohydrates (energy-carbs), nutrient
entropy (Henergy-nutrients), and control variables. Table 2. Linear regression to predict ward diabetes prevalence from carbohydrates (energy-carbs), nutrient
entropy (Henergy-nutrients), and control variables. Fig. 6 Diabetes prevalence estimates. Actual ward diabetes prevalence values at Ward level vs. values estimated
by a linear regression with carbohydrates and nutrient entropy as the only two independent variables (left). Average standardized regression residuals for areas with varying values of representativeness (right). 95%
confidence intervals are shown. Fig. 6 Diabetes prevalence estimates. Actual ward diabetes prevalence values at Ward level vs. values estimated
by a linear regression with carbohydrates and nutrient entropy as the only two independent variables (left). Average standardized regression residuals for areas with varying values of representativeness (right). 95%
confidence intervals are shown. Fig. 6 Diabetes prevalence estimates. Actual ward diabetes prevalence values at Ward level vs. values estimated
by a linear regression with carbohydrates and nutrient entropy as the only two independent variables (left). Nutrients and metabolic syndrome.
h b
d
d High diabetes prevalence is found in areas where the food purchased is higher in energy coming from carbohy-
drates, sugar, and to a lesser extent fats R
(
[0 35, 0 65])
∈
. . . Low diabetes prevalence is associated with high con-
sumption of fibers and proteins R
(
0 5)
≅
. , especially in areas characterized by high entropy of nutrients
= −. R
(
0 77). To build stronger evidence that the food descriptors provided in the dataset are directly linked to food-related
illnesses–and not just proxies for confounding determinants of those ailments–we ran an ordinary least squares
regression. The regression aims at predicting the prevalence of diabetes from the two highest-correlated factors
(energy-carbs and Henergy-nutrients) and four control variables accounting for demographics and store penetration
rates: average age, % of female residents, density of residents in the area, and number of transactions. Where
necessary, predictor variables undergo a logarithmic transformation. We also applied a min-max rescaling of 8 Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 Code availability
We provide the code we used to validate our data in the form of a python script. Received: 8 July 2019; Accepted: 29 January 2020;
Published: xx xx xxxx Received: 8 July 2019; Accepted: 29 January 2020;
Published: xx xx xxxx Received: 8 July 2019; Accepted: 29 January 2020; Published: xx xx xxxx References Research in Marketing 25, 301 309 (2008). 18. Howard, S., Adams, J. & White, M. Nutritional content of supermarket ready meals and recipes by television chefs in the united
kingdom: cross sectional study BMJ e7607 (2012) 8. Howard, S., Adams, J. & White, M. Nutritional content of supermarket ready meals and recipes by television chefs in the united
kingdom: cross sectional study. BMJ e7607 (2012).h g
y
J
(
)
19. Instacart. The instacart online grocery shopping dataset. https://www.instacart.com/datasets/grocery-shopping-2017 (2017). 19. Instacart. The instacart online grocery shopping d h
g
y
g
g
y
g
20. West, R., White, R. W. & Horvitz, E. From cookies to cooks: Insights on dietary patterns via analysis of web usage logs. In Proce
of the 22Nd International Conference on World Wide Web, WWW’13, 1399–1410 (2013).h g
y
onal Conference on World Wide Web, WWW’13, 1399–1410 (2013) 21. Wagner, C., Singer, P. & Strohmaier, M. The nature and evolution of online food preferences. EPJ Data. Science 3, 38 (2014). g
gh
p
22. Sajadmanesh, S. et al. Kissing cuisines: Exploring worldwide culinary habits on the web. In Proceedings of the 26th International
Conference on World Wide Web Companion, WWW ’17 Companion, 1013–1021 (2017). 3. Trattner, C. & Elsweiler, D. Food recommender systems: important contributions, challenges and future research directions. arXiv
preprint arXiv:1711.02760 (2017). p p
4. Kusmierczyk, T., Trattner, C. & Nørvåg, K. Understanding and predicting online food recipe production patterns. In Proceedings o
the 27th ACM Conference on Hypertext and Social Media, 243–248 (ACM, 2016). 25. Asano, Y. M. & Biermann, G. Rising adoption and retention of meat-free diets in online recipe data. Nature Sustainability 2, 621–627
(2019). 6. Said, A. & Bellogín, A. You are what you eat! tracking health through recipe interactions. In Rsweb workshop at ACM Recsys (2014) 26. Said, A. & Bellogín, A. You are what you eat! tracking health through recipe interactions. In Rsweb workshop at ACM Recsys (2014). 27. Trattner, C. & Elsweiler, D. Investigating the healthiness of internetsourced recipes: Implications for meal planning and
recommender systems. In Proceedings of the 26th International Conference on World Wide Web, WWW ’17, 489–498 (2017). g
y
g
g
Elsweiler, D. Investigating the healthiness of internetsourced 28. Ge, M., Ricci, F. & Massimo, D. Health-aware food recommender system. In Proceedings of the 9th ACM Conference on Recommender
Systems, RecSys ’15, 333–334 (2015). y
y
9. Elsweiler, D., Trattner, C. References References
1. Deloitte. Global powers of retailing 2017 - the art and science of customers. https://www2.deloitte.com/content/dam/Deloitte
global/Documents/consumer-industrial-products/gx-cip-2017-global-powers-of-retailing.pdf (2017). g
p
g
p
g
p
g p
2. Kantar. Worldpanel grocery share data. https://uk.kantar.com/consumer/shoppers/2015/march-kantar-worldpanel-uk-grocery-
share/ (2015).i g
p
g
p
g
p
g p
2. Kantar. Worldpanel grocery share data. https://uk.kantar.com/consumer/shoppers/2015/march-kantar-worldpanel-uk-grocery-
share/ (2015).i 3. Ahn, Y.-Y., Ahnert, S. E., Bagrow, J. P. & Barabási, A.-L. Flavor network and the principles of food pairing. Scientific reports 1 (2011). 4. Zagheni, E., Garimella, V. R. K., Weber, I. & State, B. Inferring international and internal migration patterns from twitter data. In
Proceedings of the 23rd International Conference on World Wide Web, WWW ’14 Companion, 439–444 (2014). 3. Ahn, Y.-Y., Ahnert, S. E., Bagrow, J. P. & Barabási, A.-L. Flavor network and the principles of food pairing. Scientific reports 1 (2011). 4. Zagheni, E., Garimella, V. R. K., Weber, I. & State, B. Inferring international and internal migration patterns from twitter data. In
Proceedings of the 23rd International Conference on World Wide Web, WWW ’14 Companion, 439–444 (2014). 3. Ahn, Y. Y., Ahnert, S. E., Bagrow, J. P. & Barabási, A. L. Flavor network and the principles of food pairing. Scientific reports 1 (2011). 4. Zagheni, E., Garimella, V. R. K., Weber, I. & State, B. Inferring international and internal migration patterns from twitter data. In
Proceedings of the 23rd International Conference on World Wide Web, WWW ’14 Companion, 439–444 (2014). h
A
d
h
(
l d
) 5. Kershen, A. J. Food in the migrant experience (Routledge, 2017). g
p
g
6. Hughes, K. et al. Young people, alcohol, and designer drinks: quantitative and qualitative study. BMJ 314, 414 (1997). 6. Hughes, K. et al. Young people, alcohol, and designer drinks: quantitative and q g
g p
p
g
q
q
y
7. Cummins, S. & Macintyre, S. “food deserts”: Evidence and assumption in health policy making. BMJ 325, 436 (2002). 7. Cummins, S. & Macintyre, S. “food deserts”: Evidence and assumption in health policy making. BMJ 325, 436 (2002 . Cummins, S. & Macintyre, S. “food deserts”: Evidence and assum y
p
p
y
g
8. James, W. P. T., Nelson, M., Ralph, A. & Leather, S. Socioeconomic determinants of health: the contribution of nutrition to
inequalities in health. BMJ 314, 1545 (1997).t q
9. Curtis, H. J. & Goldacre, B. www.nature.com/scientificdata/ We ran the hierarchical regression by grouping wards into their respective boroughs, and
obtained a Bayesian R2 52 of 0.78, suggesting that accounting for the hierarchical structures in the data increases
the amount of explained variability. p
y
Overall, the correlations and the regression results indicate that the aggregated food purchases are predictive
of the illnesses related to food consumption, even after controlling for confounding factors, speaking to the eco-
logical validity of our dataset. Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 9 9 Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 Usage Notes Usage Notes
Data parsing. All files are provided in comma separated value format, with header on the first line and one
record per line. This type of files is easily parsed with any programming language (e.g., R, Python) or spreadsheet
utilities (e.g., OpenOffice Calc). Spatial definition. The spatial data ({aggregation}_grocery_info.csv files) can be integrated with other data-
sets using the geographical area identifier–the first column in every file–as join key. It is important to note that
the boundaries of the geographical areas were periodically redefined in the past decades. In the dataset, we use
the 2011 definition of LSOAs, MSOAs and Boroughs (the most recent one at the time of writing) and the 2015
definition of wards. The list of area ids over time and instructions on how to map data across aggregation levels
are available on the official London Greater Authority atlas43. Area filtering. In the Technical Validation Section, we showed that filtering out areas with lower coverage
yields a sample that is more representative of the general population. The same type of filtering can be achieved by
retaining only the entries with highest values of representativeness. www.nature.com/scientificdata/ www.nature.com/scientificdata/ References Openprescribing: normalised data and software tool to research trends in English NHS primary care
prescribing 1998–2016. BMJ open 8, e019921 (2018). q
9. Curtis, H. J. & Goldacre, B. Openprescribing: normalised data and software tool to research trends in English NHS primary care
prescribing 1998–2016. BMJ open 8, e019921 (2018). p
g
p
10. Blaxter, M. Health and lifestyles (Routledge, 2003). f
y
g
11. Williams, P. Consumer understanding and use of health claims for foods. Nutrition reviews 63, 256–264 (2005) f
y
g
11. Williams, P. Consumer understanding and use of health claims for foods. Nutrition reviews 63, 256–264 (2005). 11. Williams, P. Consumer understanding and use of he g
12. Abbar, S., Mejova, Y. & Weber, I. You tweet what you eat: Studying food consumption through twitter. In Proceedi
Annual ACM Conference on Human Factors in Computing Systems, CHI ’15, 3197–3206 (2015).i 12. Abbar, S., Mejova, Y. & Weber, I. You tweet what you eat: Studying food consumption through twitter. In Proc
Annual ACM Conference on Human Factors in Computing Systems, CHI ’15, 3197–3206 (2015).i f
p
g y
13. Kagaya, H. & Aizawa, K. Highly accurate food/non-food image classification based on a dee
International Conference on Image Analysis and Processing, 350–357 (Springer, 2015). f
p
g y
13. Kagaya, H. & Aizawa, K. Highly accurate food/non-food image classification based on a deep convolutional neural network. In
International Conference on Image Analysis and Processing, 350–357 (Springer, 2015). f
p
g y
13. Kagaya, H. & Aizawa, K. Highly accurate food/non-food image classification based on a deep convolutional neural network. In
International Conference on Image Analysis and Processing, 350–357 (Springer, 2015). f
g
y
g
p
g
4. Lawrence, R. D., Almasi, G. S., Kotlyar, V., Viveros, M. & Duri, S. S. Personalization of supermarket product recommendations. In
Applications of Data Mining to Electronic Commerce, 11–32 (Springer, 2001). pp
f
g
p
g
5. Sano, N., Machino, N., Yada, K. & Suzuki, T. Recommendation system for grocery store considering data sparsity. Procedia Compute
Science 60, 1406–1413 (2015). (
)
6. Guidotti, R., Rossetti, G., Pappalardo, L., Giannotti, F. & Pedreschi, D. Personalized market basket prediction with tempora
annotated recurring sequences. IEEE Transactions on Knowledge and Data Engineering (2018). 7. Prasad, A., Strijnev, A. & Zhang, Q. What can grocery basket data tell us about health consciousness? International Journal o
Research in Marketing 25, 301–309 (2008). www.nature.com/scientificdata/ LSOA atlas. https://data.london.gov.uk/dataset/l 43. Greater London Authority. LSOA atlas. https://data.london.gov 44. Office for National Statistics. Lower layer super output area population estimates (supporting information). https://www.ons.gov.uk/
peoplepopulationandcommunity/populationandmigration/populationestimates/datasets/lowersuperoutputareamidyear-
populationestimates (2018).ii 44. Office for National Statistics. Lower layer super output area population estimates (supporting information). https://www.ons.gov.uk/
peoplepopulationandcommunity/populationandmigration/populationestimates/datasets/lowersuperoutputareamidyear-
populationestimates (2018).ii p p
(
)
5. Aiello, L. M., Schifanella, R., Quercia, D. & Del Prete, L. Tesco grocery 1.0. figshare. https://doi.org/10.6084/m9.figshare.c.4769354
v2 (2020). 46. Department of Health. Prevalence of childhood obesity, borough, ward and msoa. https://data.london.gov.uk/dataset/prevalence-
childhood-obesity-borough (2014). 46. Department of Health. Prevalence of childhood obesity, borough, ward and msoa. https://data.london.gov.uk/dataset/prevalence-
childhood-obesity-borough (2014). S
l Ob
Ad l
h
//d
l
d
k/d
/ b
d l
(
) y
g
47. NHS Digital. Obesity in Adults. https://data.london.gov.uk/dataset/obesity-adults (2014). 47. NHS Digital. Obesity in Adults. https://data.london.gov.uk/dataset/obesity-adults (2014). g
y
g
y
48. NHS Digital. Quality and outcomes framework (QOF) - 2016-17. https://digital.nhs.uk/data-and-information/publications/
statistical/quality-and-outcomes-framework-achievement-prevalence-and-exceptions-data/quality-and-outcomes-framework-
qof-2016-17 (2017). 48. NHS Digital. Quality and outcomes framework (QOF) - 2016-17. https://digital.nhs.uk/data-and-information/publications/
statistical/quality-and-outcomes-framework-achievement-prevalence-and-exceptions-data/quality-and-outcomes-framework-
qof-2016-17 (2017). 49. Amine, E. et al. Diet, nutrition and the prevention of chronic diseases: report of a Joint WHO/FAO Expert Consultation (World
Health Organization, 2002). l
d
b
k
h
d l
h
l f
l
ft
(
) 50. Patil, A., Huard, D. & Fonnesbeck, C. J. Pymc: Bayesian stochastic modeling in python. Journal of statistical software 35, 1 (2010). 51. Hoffman, M. D. & Gelman, A. The no-u-turn sampler: adaptively setting path lengths in hamiltonian monte carlo. Journal of
Machine Learning Research 15, 1593–1623 (2014).h y
y
g
py
f
ft
51. Hoffman, M. D. & Gelman, A. The no-u-turn sampler: adaptively setting path lengths in hamiltonian monte carlo. Journal of
Machine Learning Research 15, 1593–1623 (2014). g
2. Gelman, A., Goodrich, B., Gabry, J. & Vehtari, A. R-squared for bayesian regression models. The American Statistician 1–7 (2019). Acknowledgements g
We are grateful to Tesco for making the grocery purchase data available. g
We are grateful to Tesco for making the grocery purchase data available. Competing interestsh p
g
The authors declare no competing interests. p
g
The authors declare no competing interests. References & Harvey, M. Exploiting food choice biases for healthier recipe recommendation. In Proceedings of the 40th
International ACM SIGIR Conference on Research and Development in Information Retrieval, SIGIR ’17, 575–584 (2017). 30. Trattner, C., Parra, D. & Elsweiler, D. Monitoring obesity prevalence in the united states through bookmarking activities in online
food portals. PloS one 12, e0179144 (2017). 31. Mejova, Y., Haddadi, H., Noulas, A. & Weber, I. #foodporn: Obesity patterns in culinary interactions. In Proceedings of the 5th
International Conference on Digital Health 2015, DH ’15, 51–58 (2015). f
g
(
)
2. Marin, J. et al. Recipe1m+: A dataset for learning cross-modal embeddings for cooking recipes and food images. IEEE Transactions
on Pattern Analysis and Machine intelligence (2019). Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 10 www.nature.com/scientificdata/ Author contributions L.D.P. performed the data extraction and first-level spatial data aggregation. L.M.A., R.S. and D.Q. performed the
data augmentation and technical validation. All authors contributed to drafting the manuscript. www.nature.com/scientificdata/ 33. Ofli, F., Aytar, Y., Weber, I., al Hammouri, R. & Torralba, A. Is saki #delicious?: The food perception gap on instagram and its rel
to health. In Proceedings of the 26th International Conference on World Wide Web, WWW ’17, 509–518 (2017). 34. Chen, J. & Ngo, C.-W. Deep-based ingredient recognition for cooking recipe retrieval. In Proceedings of the 24th ACM internat
conference on Multimedia, 32–41 (ACM, 2016). f
,
(
,
)
35. Sharma, S. S. & De Choudhury, M. Measuring and characterizing nutritional information of food and ingestion content in
instagram. In Proceedings of the 24th International Conference on World Wide Web, WWW ’15 Companion, 115–116 (2015). f
(
)
5. Sharma, S. S. & De Choudhury, M. Measuring and characterizing nutritional information of food and ingestion content in
i
I P
di
f h 24 h I
i
l C
f
W ld Wid W b WWW ’15 C
i
115 116 (2015) 35. Sharma, S. S. & De Choudhury, M. Measuring and characterizing nutritional information of food and ingestion conte
instagram. In Proceedings of the 24th International Conference on World Wide Web, WWW ’15 Companion, 115–116 (2015). 36. De Choudhury, M., Sharma, S. & Kiciman, E. Characterizing dietary choices, nutrition, and language in food deserts via social
media. In Proceedings of the 19th ACM Conference on Computer-Supported Cooperative Work & Social Computing, CSCW ’16,
1157–1170 (2016). (
)
37. Mejova, Y., Abbar, S. & Haddadi, H. Fetishizing food in digital age:# foodporn around the world. In Proceedings of the
International AAAIConference on Web and Social Media, ICWSM, 250–258 (AAAI, 2016). f
8. Wagner, C. & Aiello, L. M. Men eat on mars, women on venus?: An empirical study of food-images. In Proceedings of the ACM Web
Science Conference, WebSci ’15, 63:1–63:3 (2015). f
9. Aiello, L. M., Schifanella, R., Quercia, D. & Del Prete, L. Large-scale and high-resolution analysis of food purchases and health
outcomes. EPJ Data Science 8, 14 (2019). (
)
0. Department of Health - Population Health Division. Technical guidance on nutrition labelling. https://assets.publishing.service.gov
uk/government/uploads/system/uploads/attachment_data/file/595961/Nutrition_Technical_Guidance.pdf (2016).ffi g
p
y
pi
p
41. European Council. 90/496/eec of 24 september 1990 on nutrition labeling for foodstuffs. Official Journal of the European Union 276,
40–44 (1990). 42. Whitney, E. & Rolfes, S. R. Understanding nutrition (Cengage Learning, 2007). y
g
(
g g
g
)
43. Greater London Authority. LSOA atlas. https://data.london.gov.uk/dataset/lsoa-atlas (2014).fi ondon Authority. Additional information Correspondence and requests for materials should be addressed to L.M.A. Correspondence and requests for materials should be addressed to L.M.A. Reprints and permissions information is available at www.nature.com/reprints. Reprints and permissions information is available at www.nature.com/reprints. Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and
institutional affiliations. Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and
institutional affiliations. Open Access This article is licensed under a Creative Commons Attribution 4.0 International
License, which permits use, sharing, adaptation, distribution and reproduction in any medium or
format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Cre-
ative Commons license, and indicate if changes were made. The images or other third party material in this
article are included in the article’s Creative Commons license, unless indicated otherwise in a credit line to the
material. If material is not included in the article’s Creative Commons license and your intended use is not per-
mitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the
copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver http://creativecommons.org/publicdomain/zero/1.0/
applies to the metadata files associated with this article. © The Author(s) 2020 Scientific Data | (2020) 7:57 | https://doi.org/10.1038/s41597-020-0397-7 11
|
https://openalex.org/W2909500609
|
https://europepmc.org/articles/pmc6356903?pdf=render
|
English
| null |
Heat-Stable Enterotoxins of Enterotoxigenic Escherichia coli and Their Impact on Host Immunity
|
Toxins
| 2,019
|
cc-by
| 8,548
|
Received: 29 November 2018; Accepted: 3 January 2019; Published: 8 January 2019 Abstract: Enterotoxigenic Escherichia coli (ETEC) are an important diarrhea-causing pathogen and are
regarded as a global threat for humans and farm animals. ETEC possess several virulence factors to
infect its host, including colonization factors and enterotoxins. Production of heat-stable enterotoxins
(STs) by most ETEC plays an essential role in triggering diarrhea and ETEC pathogenesis. In this
review, we summarize the heat-stable enterotoxins of ETEC strains from different species as well as
the molecular mechanisms used by these heat-stable enterotoxins to trigger diarrhea. As recently
described, intestinal epithelial cells are important modulators of the intestinal immune system. Thus,
we also discuss the impact of the heat-stable enterotoxins on this role of the intestinal epithelium
and how these enterotoxins might affect intestinal immune cells. Finally, the latest developments in
vaccination strategies to protect against infections with ST secreting ETEC strains are discussed. This
review might inform and guide future research on heat-stable enterotoxins to further unravel their
molecular pathogenesis, as well as to accelerate vaccine design. Keywords: ETEC; heat-stable enterotoxins; vaccination strategies Key Contribution: We summarize existing knowledge of heat-stable enterotoxins of ETEC strains
and the development of related vaccination strategies. Heat-Stable Enterotoxins of Enterotoxigenic
Escherichia coli and Their Impact on Host Immunity Haixiu Wang 1, Zifu Zhong 2, Yu Luo 3, Eric Cox 1 and Bert Devriendt 1,* Haixiu Wang 1, Zifu Zhong 2, Yu Luo 3, Eric Cox 1 and Bert Devriendt 1,* 1
Laboratory of Immunology, Department of Virology, Parasitology and Immunology, Faculty of Veterinary
Medicine, Ghent University, Salisburylaan 133, 9820 Merelbeke, Belgium; Haixiu.Wang@UGent.be (H.W.);
Eric.Cox@UGent.be (E.C.) Laboratory of Immunology, Department of Virology, Parasitology and Immunology, Faculty of Veterinary
Medicine, Ghent University, Salisburylaan 133, 9820 Merelbeke, Belgium; Haixiu.Wang@UGent.be (H.W.);
Eric.Cox@UGent.be (E.C.) 1
Laboratory of Immunology, Department of Virology, Parasitology and Immunology, Faculty of Veterinary
Medicine, Ghent University, Salisburylaan 133, 9820 Merelbeke, Belgium; Haixiu.Wang@UGent.be (H.W.);
Eric.Cox@UGent.be (E.C.) 2
Laboratory of Gene Therapy, Department of Nutrition, Genetics and Ethology, Faculty of Veterinary
Medicine, Ghent University, Heidestraat 19, 9820 Merelbeke, Belgium; Zifu.Zhong@UGent.be
3
Animal Medical Testing Center, Department of Animal Production, Faculty of Agricultural & Biological
Engineering, Jinhua Polytechnic, No. 888 Haitang West Street, Jinhua 321007, China; luoyu@jhc.cn
*
Correspondence: B.Devriendt@UGent.be; Tel.: +32-9-2647343 toxins toxins toxins toxins 1. Introduction Enterotoxigenic Escherichia coli (ETEC) are a common cause of acute diarrheal disease in both
humans and farm animals [1–3]. Children and travelers within ETEC endemic regions are the main
populations that suffer from acute diarrheal illnesses [4,5]. Indeed, heat-stable enterotoxins (STs)
producing ETEC strains are ranked eighth among enteropathogens leading to diarrhea with mortality
in 2016, accounting for 3.2% total diarrhea with mortality among all age groups, and 4.2% in children
under five years old [6–8]. On top of that, repeated moderate-to-severe ETEC infections in children can
cause long term consequences, such as malnutrition, stunted growth, chronic inflammation of the gut
and impaired cognate development [9–12]. Moreover, ETEC account for up to 70% of cases of traveler’s
diarrhea, although improved hygiene has reduced the risk to 8% to 20% in some countries [2,5]. Among
farm animals, ETEC infections are mainly reported in neonatal cattle and piglets. In the latter, ETEC
infections during the post-weaning period increase the mortality rate and hamper growth, leading to
severe economic losses for farming industries worldwide [13,14]. www.mdpi.com/journal/toxins www.mdpi.com/journal/toxins Toxins 2019, 11, 24; doi:10.3390/toxins11010024 Toxins 2019, 11, 24 2 of 12 Enterotoxigenic Escherichia coli are spread via fecal–oral transmission among hosts and several
virulence factors, such as adhesins and enterotoxins, play an important role in its pathogenesis. Upon
ingestion and after reaching the gastrointestinal tract, ETEC colonize the small intestine through
an interaction of fimbrial and non-fimbrial adhesins with specific receptors present in the apical
membrane of the small intestinal epithelium [15]. To date, at least 25 distinct colonization factors
have been identified in human ETEC strains, while in swine-specific ETEC strains only five different
fimbrial adhesins have been identified [16,17]. For most of the fimbriae of the pig-specific ETEC strains
the receptor has been identified [18]. However, for human ETEC strains, the epithelial interaction
partners for their adhesins are only recently being unraveled [19]. Upon attachment to the epithelium,
ETEC release heat-labile (LT) and/or heat-stable enterotoxins, that act upon intestinal enterocytes by
disrupting the electrolyte homeostasis, resulting in fluid loss and eventually secretory diarrhea [15]. Studies in cell lines as well as animal models including humans revealed that both LT and ST contribute
to ETEC infection [20,21]. Enterotoxin LT can be divided into LT-I and LT-II serogroups. 1. Introduction Enterotoxin LTI
has two variants isolated from human (LT-Ih) and porcine (LT-Ip) strains, which not only elicit diarrhea,
but also improve the adherence of ETEC strains and other pathogens to the intestinal epithelium [22–25]. In contrast to the plasmid-encoded LT-I, the LT-II variants are encoded by chromosome and prophages
and consist of three variants LT-IIa, LT-IIb, and LT-IIc enterotoxins, but seem to be only associated with
diarrhea in calves (Table 1) [26,27]. Similar to LT, the ST enterotoxins display a certain heterogeneity
and their functions stretch beyond their role in diarrhea induction. In the following sections we will
focus on the current knowledge on the role of the heat-stable enterotoxins in ETEC pathogenesis, their
impact on host immunity, and the development of vaccines targeting ST-induced diarrhea. 2. Heat-Stable Enterotoxins of ETEC from Human and Animal Origin 2. Heat-Stable Enterotoxins of ETEC from Human and Animal Origin GM = Monosialotetrahexosylganglioside; GD = Disialoganglioside; GC-C = guanylate cyclase. Toxins 2019, 11, 24
Toxins 2019 11 x F Toxins 2019, 11, 24
T
i
2019 11
F 3 of 12
3 of 12 The STa gene encodes a 72 amino acids pre-pro-peptide precursor. Recently, six allele variants
were discovered, which differ in their pro region: estA1, estA5 and estA6 from porcine origin (STp)
and estA2, estA3/4 and estA7 from human origin (STh) (Table 1) [30,40]. Although the estA1 gene
was first cloned from a bovine ETEC isolate, in STp+ strains the estA5 gene is the most common
variant in isolates inducing diarrhea in animals and adults [30]. For the STh+ strains inducing diarrhea
in children, the estA3/4 gene is the most common variant [30]. Despite these variations within the
pro region, each STa allele variant is translated into a propeptide, composed of a 19 amino acids (aa)
signal peptide, followed by a 34 aa prosequence, and the mature STa peptide. After translocation
from the inner membrane to the periplasm, the propeptide is cleaved into the mature STa peptide
(STh: 19 aa; STp: 18 aa) [28]. In the periplasm, the disulfide oxidoreductase DsbA forms three
intramolecular disulfide bonds between cysteine residues Cys5-Cys10, Cys6-Cys14, and Cys9-Cys17 in
STp or Cys6-Cys11, Cys7-Cys15, and Cys10-Cys18 in STh [41]. These intramolecular disulfide bridges
ensure correct folding of the mature STa peptide, which closely resembles that of two mammalian
peptides, guanylin and uroguanylin, and are important for its function [41]. Secretion of mature STh
and STp into the extracellular environment requires the efflux protein TolC (Figure 1) [42]. Interestingly,
these authors also showed that the propeptide (pro-STh) is secreted, reaffirming earlier reports on
propeptide secretion by human ETEC strains [43]. This propeptide may be processed into mature STa
and properly folded outside the bacteria, as the intramolecular disulfide bonds can be formed in the
extracellular environment [44]. The STa gene encodes a 72 amino acids pre-pro-peptide precursor. Recently, six allele variants
were discovered, which differ in their pro region: estA1, estA5 and estA6 from porcine origin (STp)
and estA2, estA3/4 and estA7 from human origin (STh) (Table 1) [30,40]. Although the estA1 gene
was first cloned from a bovine ETEC isolate, in STp+ strains the estA5 gene is the most common
variant in isolates inducing diarrhea in animals and adults [30]. For the STh+ strains inducing
diarrhea in children, the estA3/4 gene is the most common variant [30]. Toxins 2019, 11, 24
Toxins 2019 11 x F Despite these variations
within the pro region, each STa allele variant is translated into a propeptide, composed of a 19 amino
acids (aa) signal peptide, followed by a 34 aa prosequence, and the mature STa peptide. After
translocation from the inner membrane to the periplasm, the propeptide is cleaved into the mature
STa peptide (STh: 19 aa; STp: 18 aa) [28]. In the periplasm, the disulfide oxidoreductase DsbA forms
three intramolecular disulfide bonds between cysteine residues Cys5-Cys10, Cys6-Cys14, and
Cys9-Cys17 in STp or Cys6-Cys11, Cys7-Cys15, and Cys10-Cys18 in STh [41]. These intramolecular
disulfide bridges ensure correct folding of the mature STa peptide, which closely resembles that of
two mammalian peptides, guanylin and uroguanylin, and are important for its function [41]. Secretion of mature STh and STp into the extracellular environment requires the efflux protein TolC
(Figure 1) [42]. Interestingly, these authors also showed that the propeptide (pro-STh) is secreted,
reaffirming earlier reports on propeptide secretion by human ETEC strains [43]. This propeptide
may be processed into mature STa and properly folded outside the bacteria, as the intramolecular
disulfide bonds can be formed in the extracellular environment [44]. Figure 1. Secretion of heat-stable enterotoxins by ETEC. (a) The sequences of mature STa and STb
peptides and the dashed lines shown in the heat-stable enterotoxin (ST) peptides represent the
disulfide bonds. (b) Synthesis and secretion of STa and STb. Sec: Secretory pathway; DsbA: Disulfide
oxidoreductase. Figure 1. Secretion of heat-stable enterotoxins by ETEC. (a) The sequences of mature STa and
STb peptides and the dashed lines shown in the heat-stable enterotoxin (ST) peptides represent
the disulfide bonds. (b) Synthesis and secretion of STa and STb. Sec: Secretory pathway; DsbA:
Disulfide oxidoreductase. Figure 1. Secretion of heat-stable enterotoxins by ETEC. (a) The sequences of mature STa and STb
peptides and the dashed lines shown in the heat-stable enterotoxin (ST) peptides represent the
disulfide bonds. (b) Synthesis and secretion of STa and STb. Sec: Secretory pathway; DsbA: Disulfide
oxidoreductase. Figure 1. Secretion of heat-stable enterotoxins by ETEC. (a) The sequences of mature STa and
STb peptides and the dashed lines shown in the heat-stable enterotoxin (ST) peptides represent
the disulfide bonds. (b) Synthesis and secretion of STa and STb. Sec: Secretory pathway; DsbA:
Disulfide oxidoreductase. In contrast to STa, the gene encoding the heat-stable enterotoxin STb is highly conserved in
ETEC isolates worldwide. Toxins 2019, 11, 24
Toxins 2019 11 x F Until now, only one STb allele variant has been reported (a His12→Asn
change), which was mainly associated with STa- and Stx2-positive ETEC strains (Table 1) [38,39]. Just like STa, STb is synthetized as a 71 amino acids prepeptide, comprising a signal peptide and the
mature STb enterotoxin of 48 amino acids (ca. 5.2 kDa) [45]. Once released in the periplasm, this
signal peptide is cleaved to form the mature STb peptide. A correct folding of this peptide in the
periplasm is mediated by DsbA, which catalyzes the formation of two disulfide bonds at position
Cys10-Cys48 and Cys21-Cys36 [45]. The secretion of STb in the extracellular space is also controlled
by TolC (Figure 1) [36,45]. Although sporadically reported in human ETEC strains, a role of the STb
enterotoxin in human diarrheal disease is still a matter of debate [46]. In contrast, STb+ ETEC strains
are mainly associated with diarrhea in animals and particularly in post-weaning piglets [20,47]. In
the latter, using the small intestinal segment perfusion (SISP) technique, STb was shown to play a
dominant role during the early secretory response as compared to the contribution of STa and LT
[20] I
i l
(
k
ld) LT
d
b
i
i
l
f
In contrast to STa, the gene encoding the heat-stable enterotoxin STb is highly conserved in ETEC
isolates worldwide. Until now, only one STb allele variant has been reported (a His12→Asn change),
which was mainly associated with STa- and Stx2-positive ETEC strains (Table 1) [38,39]. Just like
STa, STb is synthetized as a 71 amino acids prepeptide, comprising a signal peptide and the mature
STb enterotoxin of 48 amino acids (ca. 5.2 kDa) [45]. Once released in the periplasm, this signal
peptide is cleaved to form the mature STb peptide. A correct folding of this peptide in the periplasm
is mediated by DsbA, which catalyzes the formation of two disulfide bonds at position Cys10-Cys48
and Cys21-Cys36 [45]. The secretion of STb in the extracellular space is also controlled by TolC
(Figure 1) [36,45]. Although sporadically reported in human ETEC strains, a role of the STb enterotoxin
in human diarrheal disease is still a matter of debate [46]. In contrast, STb+ ETEC strains are mainly
associated with diarrhea in animals and particularly in post-weaning piglets [20,47]. 2.1. Genetics, Structure, and Secretion of Heat-Stable Enterotoxins 2.1. Genetics, Structure, and Secretion of Heat-Stable Enterotoxins Heat-stable enterotoxins produced by ETEC are secreted peptides that can be divided in two
types, STa and STb. While the latter is more virulent in animals and particularly in post-weaning pigs,
the STa enterotoxin is more relevant in diarrhea induction in humans, newborn piglets and calves [28]. These peptides are encoded by two genes, estA (STI) and estB (STII), which are located on plasmids,
and can be distinguished from each other by their solubility in methanol and their protease sensitivity. Enterotoxin STa is methanol soluble and protease resistant, while STb is methanol insoluble and
protease sensitive. According to the host species, STa is further classified into two subtypes, known as
STp and STh, which were originally isolated from swine and human ETEC strains, respectively [29]. While STp is widely found in porcine, bovine, and human ETEC strains, STh is only produced by
human ETEC strains (Table 1) [30]. Table 1. Enterotoxins produced by Enterotoxigenic Escherichia coli (ETEC). Enterotoxins
Variants
Encoding Gene
Location of Genes
Host Specificity
Receptor
Reference
Heat-labile
enterotoxin (LT)
LTIh
eltAB
plasmid
humans
GM1a
[25,31,32]
LTIp
eltAB
plasmid
piglets
GM1a
[31,33]
LTIIa
eltAB
chromosome,
prophages
water-buffalo,
humans
GD1b
[27,30,31]
LTIIb
eltAB
chromosome,
prophages
unknown
GD1a
[27,30,31]
LTIIc
eltAB
chromosome,
prophages
humans, calves
GM1a
[26,27,31]
Heat-stable
enterotoxin (STa)
STp
estA1, estA5, estA6
plasmids
piglets, calves,
humans
GC-C
[30,34]
STh
estA2, estA3/4, estA7
plasmids
humans
GC-C
[30,34,35]
Heat-stable
enterotoxin (STb)
STb
estB
plasmids
post-weaning pigs
sulfatide
[36,37]
STbH12N
estBC34A
plasmids
post-weaning pigs
sulfatide
[38,39]
GM = Monosialotetrahexosylganglioside; GD = Disialoganglioside; GC-C = guanylate cyclase. Table 1. Enterotoxins produced by Enterotoxigenic Escherichia coli (ETEC). Table 1. Enterotoxins produced by Enterotoxigenic Escherichia coli ( 2.2. Molecular Mechanisms of STs Induced Diarrhea
2.2. Molecular Mechanisms of STs Induced Diarrhea The release of STs into the small intestine enables their binding to target receptors in the brush
border membrane of the small intestinal epithelial cells, which activates intracellular signaling cascades,
resulting in a disruption of the electrolyte homeostasis and finally leading to fluid secretion [15]. Heat-stable enterotoxin STa binds to the guanylate cyclase C receptor and activates its intracellular
catalytic domain, causing the hydrolysis of guanosine triphosphate (GTP) and accumulation of
intracellular cyclic GMP (cGMP) levels. These increased cGMP levels activate cGMP-dependent
protein kinase II (PKGII) [15,50,51]. In addition, cGMP was shown to inhibit phosphodiesterase 3
(PDE3), leading to the activation of cAMP-dependent protein kinase A (PKA) [52]. Activated PKGII
and PKA phosphorylate and open the cystic fibrosis transmembrane conductance regulator (CFTR)
Cl−channel, inducing Cl−and HCO3−release into the intestinal lumen [50–53]. Protein kinase
A also phosphorylates the sodium/hydrogen exchanger 3 (NHE3) that inhibits Na+ reabsorption
(Figure 2) [54]. The release of STs into the small intestine enables their binding to target receptors in the brush
border membrane of the small intestinal epithelial cells, which activates intracellular signaling
cascades, resulting in a disruption of the electrolyte homeostasis and finally leading to fluid
secretion [15]. Heat-stable enterotoxin STa binds to the guanylate cyclase C receptor and activates its
intracellular catalytic domain, causing the hydrolysis of guanosine triphosphate (GTP) and
accumulation of intracellular cyclic GMP (cGMP) levels. These increased cGMP levels activate
cGMP-dependent protein kinase II (PKGII) [15,50,51]. In addition, cGMP was shown to inhibit
phosphodiesterase 3 (PDE3), leading to the activation of cAMP-dependent protein kinase A (PKA)
[52]. Activated PKGII and PKA phosphorylate and open the cystic fibrosis transmembrane
conductance regulator (CFTR) Cl− channel, inducing Cl− and HCO3− release into the intestinal lumen
[50-53]. Protein kinase A also phosphorylates the sodium/hydrogen exchanger 3 (NHE3) that
inhibits Na+ reabsorption (Figure 2) [54]. Figure 2. Schematic mechanisms of heat-stable enterotoxins on enterocytes and the intestinal
immune system. (a): The impact of STs on apical membranes; (b): The impact of STs on
transepithelial dendrites; (c): The paracellular transport of STs. GC-C: Guanylate cyclase C; CFTR:
Cystic fibrosis transmembrane conductance regulator; NHE3: Na+/H+ exchanger; PKA:
cAMP-dependent
protein
kinase;
PKGII:
cGMP-dependent
protein
kinase
II;
PDE3:
cGMP-inhibitable phosphodiesterase 3; Gαi3: pertussis Toxin-sensitive GTP-binding regulatory
protein; A2: Phospholipases A2; C: Phospholipases C; PGE2: Prostaglandin E2; 5-HT:
5-hydroxytryptamine; CaMKII: Calmodulin-dependent protein kinase II; MMP1: Matrix
Figure 2. Schematic mechanisms of heat-stable enterotoxins on enterocytes and the intestinal immune
system. Toxins 2019, 11, 24
Toxins 2019 11 x F In the latter,
using the small intestinal segment perfusion (SISP) technique, STb was shown to play a dominant role
during the early secretory response as compared to the contribution of STa and LT [20]. In younger 4 of 12 Toxins 2019, 11, 24 piglets (two weeks old), LT was reported to be a more important virulence factor as compared to
STb [20,48,49]. Toxins 2019, 11, x FOR PEER REVIEW
4 of 12 2.2. Molecular Mechanisms of STs Induced Diarrhea
2.2. Molecular Mechanisms of STs Induced Diarrhea 2.2. Molecular Mechanisms of STs Induced Diarrhea
2.2. Molecular Mechanisms of STs Induced Diarrhea (a): The impact of STs on apical membranes; (b): The impact of STs on transepithelial dendrites;
(c): The paracellular transport of STs. GC-C: Guanylate cyclase C; CFTR: Cystic fibrosis transmembrane
conductance regulator; NHE3: Na+/H+ exchanger; PKA: cAMP-dependent protein kinase; PKGII:
cGMP-dependent protein kinase II; PDE3: cGMP-inhibitable phosphodiesterase 3; Gαi3: pertussis
Toxin-sensitive GTP-binding regulatory protein; A2: Phospholipases A2; C: Phospholipases C; PGE2:
Prostaglandin E2; 5-HT: 5-hydroxytryptamine; CaMKII: Calmodulin-dependent protein kinase II;
MMP1: Matrix metallopeptidase 1; TJs: Tight junctions. Figure 2. Schematic mechanisms of heat-stable enterotoxins on enterocytes and the intestinal
immune system. (a): The impact of STs on apical membranes; (b): The impact of STs on
transepithelial dendrites; (c): The paracellular transport of STs. GC-C: Guanylate cyclase C; CFTR:
Cystic fibrosis transmembrane conductance regulator; NHE3: Na+/H+ exchanger; PKA:
cAMP-dependent
protein
kinase;
PKGII:
cGMP-dependent
protein
kinase
II;
PDE3:
cGMP-inhibitable phosphodiesterase 3; Gαi3: pertussis Toxin-sensitive GTP-binding regulatory
protein; A2: Phospholipases A2; C: Phospholipases C; PGE2: Prostaglandin E2; 5-HT:
5-hydroxytryptamine; CaMKII: Calmodulin-dependent protein kinase II; MMP1: Matrix
Figure 2. Schematic mechanisms of heat-stable enterotoxins on enterocytes and the intestinal immune
system. (a): The impact of STs on apical membranes; (b): The impact of STs on transepithelial dendrites;
(c): The paracellular transport of STs. GC-C: Guanylate cyclase C; CFTR: Cystic fibrosis transmembrane
conductance regulator; NHE3: Na+/H+ exchanger; PKA: cAMP-dependent protein kinase; PKGII:
cGMP-dependent protein kinase II; PDE3: cGMP-inhibitable phosphodiesterase 3; Gαi3: pertussis
Toxin-sensitive GTP-binding regulatory protein; A2: Phospholipases A2; C: Phospholipases C; PGE2:
Prostaglandin E2; 5-HT: 5-hydroxytryptamine; CaMKII: Calmodulin-dependent protein kinase II;
MMP1: Matrix metallopeptidase 1; TJs: Tight junctions. Toxins 2019, 11, 24 5 of 12 Toxins 2019, 11, 24 Heat-stable enterotoxin STb, on the other hand, was shown to interact specifically with sulfatide
present on the surface of intestinal epithelial cells in the porcine jejunum [55,56]. This interaction
activates a pertussis toxin-sensitive GTP-binding regulatory protein (Gαi3) and subsequently causes
a calcium ion influx through a receptor-dependent ligand-gated Ca2+ channel [56]. The elevated
intracellular Ca2+ concentration in response to STb is involved in the activation of calmodulin-
dependent protein kinase II (CaMKII) through the Ca2+-calmodulin pathway and also in the protein
kinase C (PKC)-mediated activation of CFTR, resulting in fluid accumulation in the intestine [57–59]. Intriguingly, using ligated small intestinal loops, an inverse relationship between STb secretion and F4+
ETEC adhesion was reported, inciting the authors to speculate that STb-induced diarrhea is required
for ETEC transmission [60]. 2.2. Molecular Mechanisms of STs Induced Diarrhea
2.2. Molecular Mechanisms of STs Induced Diarrhea The increased intracellular Ca2+ concentration was also linked to the
production of the intestinal secretagogues prostaglandin E2 (PGE2) and 5-hydroxytryptamine (5-HT)
by regulating the activity of the phospholipases A2 and C (Figure 2) [61,62]. 2.3. Impact on Enterocytes and the Intestinal Immune System In addition to triggering diarrhea through the mechanisms described above, heat-stable
enterotoxins have multiple functions that stretch beyond this known role. For instance, the STb
enterotoxin is able to increase the permeability of the intestinal epithelium by modulating the tight
junctional complexes (Figure 2) [63]. Two mechanisms have been described by which STb affects tight
junctions. On the one hand, STb was shown to decrease the expression of the tight junction (TJ) proteins
zona occludens-1 (ZO-1) and occludin [64,65]. On the other hand, the elevated intracellular Ca2+ levels
in response to STb redistribute claudin-1, a transmembrane protein pivotal to maintain TJ integrity,
from the plasma membrane to the cytosol, leading to an increased paracellular permeability [64,65]. In addition, ST enterotoxins might also modulate innate immune responses. Using enterotoxin-
deficient ETEC mutants and the porcine SISP technique to elucidate changes in the transcriptional
landscape, it was shown that ETEC infection triggers a general anti-bacterial response in the
small intestinal tissues through the upregulation of Reg3α, matrix metallopeptidase 1 (MMP1) and
the chemokine IL-8 [20]. In addition, a STb-specific response was identified, comprising matrix
metallopeptidase 3 (MMP3) and immune-related genes, like IL-17A, IL-1α, and IL-1β [20]. STa on
the other hand enhanced the luminal secretion of pro-inflammatory cytokines and chemokines, like
IL-6 and IL-8, in the small intestine (Figure 2) [48]. The cellular source of these upregulated genes and
proteins remains unknown, but both intestinal epithelial cells and innate immune cells might account
for the observed changes. In contrast to known effects of STs on intestinal epithelial cells, to the best of our knowledge
nothing is known on the impact of these enterotoxins on the function of innate (neutrophils,
macrophages) and adaptive immune cells (T and B cells) residing within the villus epithelium. Given the long-lasting effects of ETEC-induced diarrhea on gut health, it might be worthwhile to
investigate this. 2.4. STs-Based Vaccines to Combat Human and Animal ETEC Induced Diarrhea It is beyond doubt that vaccine design has benefited from the omics revolution and the
development of bioinformatics to analyze the resulting data sets. However, discussing these
technologies is out of the scope of the review. In our opinion, vaccine design to prevent ETEC
infection has focused on three strategies. The first strategy included ETEC colonization factors and the
enterotoxin LT. The most recent vaccine candidate based on this strategy is the Etvax vaccine, which is
now being tested in phase I/II clinical trials [66,67]. A second vaccine strategy is based on inducing ST
neutralizing antibodies [68,69]. A third strategy was recently developed and focuses on the inclusion
of conserved ETEC proteins as vaccine antigens [70]. As mentioned above, ETEC cause considerable mortality and morbidity in young children and
piglets [8,14]. In contrast to piglets, which can be protected by a live oral vaccine (Coliprotect®, Prevtec
Microbia Inc., Saint-Hyacinthe, QC, Canada), comprising a mixture of F4+ and F18+ E. coli, currently 6 of 12 Toxins 2019, 11, 24 no vaccines are licensed to protect against human ETEC infections [71]. Currently, vaccine design to
prevent ETEC infections in humans focuses on three strategies, which aim to induce protective
antibodies against colonization factors, the heat-stable enterotoxins or more recently conserved
ETEC antigens [69,70]. Based on our understanding of the molecular pathogenesis of ETEC, initial
vaccine development focused on including colonization factors and the enterotoxin LT. However, the
development of these vaccines has been hampered due to the large heterogeneity in colonization
factors (CFs) of human ETEC strains [72]. In addition, a considerable amount of the human ETEC
strains simultaneously express more than one CF [72]. Since ETEC strains producing any of these
CFs combined with either LT and/or STa enterotoxins can cause diarrhea, an effective vaccine should
induce protective immunity against all CFs and both enterotoxins. Therefore one vaccine candidate,
currently in phase I/II clinical trials, contains four inactivated recombinant E. coli strains, which
overexpress CFA/I, CS3, CS5 and, CS6, and a recombinant cholera toxin B-subunit (CTB), in which
seven amino acids have been replaced by the corresponding amino acids of LT B-subunit (LTB)
(ETVAX®, Scandinavian Biopharma, Turku, Finland) [67]. This vaccine candidate however does not
contain a STa toxoid. This vaccine candidate however does not contain a STa toxoid. 2.4. STs-Based Vaccines to Combat Human and Animal ETEC Induced Diarrhea Additional vaccine
design has now shifted to other ETEC antigens and the inclusion of ST or their toxoids, especially
since ST-producing ETEC are commonly associated with severe diarrheal illness in young children in
endemic areas [5,68]. However, both STa and STb are small peptides which are poorly immunogenic and display
toxicity that hinders their inclusion as antigens in vaccines. To increase the immunogenicity of STs,
a recombinant fusion protein comprising STp, LTB and STb (STp-LTB-STb, SLS) was generated and
included in a multivalent vaccine together with F4ac and F5 antigens derived from porcine ETEC
strains [68]. Upon intramuscular injection of this vaccine to sows, their offspring was passively
protected against ETEC infection [73]. To reduce toxicity, mutations should be introduced without
affecting the presence of epitopes, necessary for neutralizing antibodies, and at the same time avoiding
cross reactivity to guanylin and uroguanylin [74]. A double mutated STh (L9S/A14T) was developed
without measurable toxicity as compared to native STh. This mutant might be a good candidate to
include in future vaccines [75]. To increase the immunogenicity of this, and other ST mutants showing
less toxicity, they could be chemically conjugated or genetically fused to carrier proteins, such as
bovine serum albumin (BSA) or LTB [76,77]. In order to broaden enterotoxin immunogenicity and
design efficient ETEC vaccines, Zhang et al. developed the concept of multi-epitope fusion antigen
(MEFA) to express fusion proteins that carry different antigenic elements of ETEC toxins [78,79]. This concept was first investigated using a fusion protein containing mutated porcine LT toxoid
(pLT192) and STa (pSTa12 or pSTa13) toxoids, which retained their immunogenicity but reduced their
toxicity [78]. Their results showed that immunizing sows triggered detectable anti-LT and anti-STp
serum antibodies and partially protected piglets through passive immunity against an STp+ ETEC
challenge infection [78]. Recently, they engineered a new MEFA construct composed of a mutated
STp toxoid, STb, Stx2e epitopes and the A1 peptide of mutated LT toxoid (LTR192G-STb-Stx2e-STaP12F,
LTR192G-STb-Stx2e-3xSTaP12F) [80]. After intraperitoneal injection of the latter fusion protein carrying
three copies of STp, it induced a significantly higher anti-STp antibody titer in mice [80]. Interestingly,
intramuscular immunization of gilts with this vaccine candidate adjuvanted with dmLT resulted in the
passive protection of piglets against STp+, STb+, and LT+ recombinant ETEC challenge infections [80]. This MEFA construct was further modified to include colonization factor antigens (CFA) from human
ETEC strains (MEFA CFA/I/II/IV-3xSTaN12S-mnLTR192G/L211A) [81]. 1.
Kotloff, K.L.; Nataro, J.P.; Blackwelder, W.C.; Nasrin, D.; Farag, T.H.; Panchalingam, S.; Wu, Y.; Sow, S.O.;
Sur, D.; Breiman, R.F.; et al. Burden and aetiology of diarrhoeal disease in infants and young children in
developing countries (the Global Enteric Multicenter Study, GEMS): A prospective, case-control study. Lancet
2013, 382, 209–222. [CrossRef] 2.4. STs-Based Vaccines to Combat Human and Animal ETEC Induced Diarrhea This vaccine candidate triggered
significant anti-adhesin and anti-toxin antibody levels in mice and pigs and protected 76.5% of the
piglets against STa+ or LT+ ETEC induced diarrhea [81]. Mucosal vaccination is the most efficient way to protect against enteric infectious diseases
as it induces local immune responses at the site of infection [82]. As mentioned above, ETEC
pathogen diversity has slowed vaccine design. To overcome this diversity, recent research efforts
using comparative genomics have identified novel conserved antigens, which are recognized by the 7 of 12 Toxins 2019, 11, 24 human immune system in controlled human infection models [70,83,84] These novel antigens should
be evaluated as potential vaccine candidates to prevent ETEC infections upon mucosal administration. However, the development of effective oral vaccines still encounters multiple challenges, such as
antigen degradation in the gastrointestinal tract and low uptake of intact antigens by the epithelial
barrier [85]. In recent years, advances in nanotechnology allowed the design of nanoparticle-based
vaccines, which might overcome the bottleneck of low antigen delivery and serve as alternative
oral antigen delivery systems [86,87]. Antigen-loaded nanoparticles can be taken up by specialized
intestinal epithelial cells, M cells, present in the epithelium covering the Peyer’s patches, and
transcytosed through this epithelium to be phagocytosed by antigen-presenting cells (APCs) residing
within the basolateral M cell pocket [88]. Additionally, muco-inert polymers and bile-acid conjugation
might help the nanoparticles to penetrate the mucus barrier [89,90]. These features could allow
nanoparticle-based vaccines to elicit mucosal immune responses [91]. Poly (lactic-co-glycolic acid)
(PLGA) and cationized gelatin nanoparticles have been selected for encapsulation of STa in a mouse
model [92,93]. Future investigations need to validate this in large animal models, like piglets, as mice
are not a natural host for human/porcine ETEC strains. Although nanoparticle-based ETEC vaccine
candidates show many promising advantages to carry multiple ETEC derived antigens, the selection
of suitable encapsulation carriers and formulating efficient nanoparticles able to elicit strong mucosal
immune response remains a challenge in further investigations. 3. Conclusions Enterotoxigenic Escherichia coli (ETEC) infections are an important cause of diarrhea in travelers,
children under the age of five years, neonatal farm animals and post-weaning piglets. Most ETEC strains
produce STs that are pivotal to the induction of secretory diarrhea as well as modulate the expression of
pro-inflammatory cytokines, chemokines and other immune-related genes. The mechanism of action
of these enterotoxins in diarrhea induction has been thoroughly elucidated, however, their impact
on the immune function of enterocytes and intestinal immune cells is lacking. Further research is
warranted to elucidate if, and how, heat-stable enterotoxins affect the function of these cells. This will
deepen our understanding of ETEC pathogenesis and might assist in vaccine development. Indeed,
given the mortality and long-term consequences of ST+ ETEC infections, there is an urgent need to
develop efficacious vaccines protecting against ETEC. Strategies involving mutating STs to reduce
their toxicity and genetic fusions to enhance their immunogenicity have been widely used to develop
efficient ST-based ETEC vaccines in animal models. The advances in nanotechnology might allow the
design of alternative ST-based vaccines to increase vaccine efficacy. These results encourage further
research on ST as a vaccine target. Although these vaccines are still in the pre-clinical phase, they hold
promise to potentially eliminate ETEC-induced diarrhea. Author Contributions: H.W. and B.D. planned and drafted the manuscript. Z.Z., Y.L. and E.C. provided additional
information and contributed to writing the manuscript by drafting specific sections. All authors reviewed
the manuscript. Funding: H.W. holds a PhD fellowship from the China Scholarship Council (CSC Grant: 201503250069). B.D. is
supported by a postdoctoral grant from Research Foundation-Flanders (FWO -Vlaanderen, 12P7318N). This work
was funded by Special research fund of the university (BOF2015/GOA/031). Conflicts of Interest: The authors declare no competing interests. 2.
Steffen, R.; Hill, D.R.; DuPont, H.L. Traveler’s diarrhea: A clinical review. JAMA 2015, 313, 71–80. [CrossRef]
[PubMed] Steffen, R.; Hill, D.R.; DuPont, H.L. Traveler’s diarrhea: A clinical review. JAMA 2015, 313, 71–80. [CrossRef Funding: H.W. holds a PhD fellowship from the China Scholarship Council (CSC Grant: 201503250069). B.D. is
supported by a postdoctoral grant from Research Foundation-Flanders (FWO -Vlaanderen, 12P7318N). This work
was funded by Special research fund of the university (BOF2015/GOA/031). References 1. Kotloff, K.L.; Nataro, J.P.; Blackwelder, W.C.; Nasrin, D.; Farag, T.H.; Panchalingam, S.; Wu, Y.; Sow, S.O.;
Sur, D.; Breiman, R.F.; et al. Burden and aetiology of diarrhoeal disease in infants and young children in
developing countries (the Global Enteric Multicenter Study, GEMS): A prospective, case-control study. Lancet
2013, 382, 209–222. [CrossRef] 1. Kotloff, K.L.; Nataro, J.P.; Blackwelder, W.C.; Nasrin, D.; Farag, T.H.; Panchalingam, S.; Wu, Y.; Sow, S.O.;
Sur, D.; Breiman, R.F.; et al. Burden and aetiology of diarrhoeal disease in infants and young children in
developing countries (the Global Enteric Multicenter Study, GEMS): A prospective, case-control study. Lancet
2013, 382, 209–222. [CrossRef] [PubMed] 8 of 12 Toxins 2019, 11, 24 3. Liu, J.; Platts-Mills, J.A.; Juma, J.; Kabir, F.; Nkeze, J.; Okoi, C.; Operario, D.J.; Uddin, J.; Ahmed, S.;
Alonso, P.L.; et al. Use of quantitative molecular diagnostic methods to identify causes of diarrhoea in
children: A reanalysis of the GEMS case-control study. Lancet 2016, 388, 1291–1301. [CrossRef] Field, M. Intestinal ion transport and the pathophysiology of diarrhea. J. Clin. Investig. 2003, 111, 931–943
[CrossRef] [PubMed] 5. Thapar, N.; Sanderson, I.R. Diarrhoea in children: An interface between developing and developed countries. Lancet 2004, 363, 641–653. [CrossRef] 6. Liu, L.; Oza, S.; Hogan, D.; Perin, J.; Rudan, I.; Lawn, J.E.; Cousens, S.; Mathers, C.; Black, R.E. Global,
regional, and national causes of child mortality in 2000-13, with projections to inform post-2015 priorities:
An updated systematic analysis. Lancet 2015, 385, 430–440. [CrossRef] p
y
y
7. Jiang, Z.D.; DuPont, H.L. Etiology of travellers’ diarrhea. J. Travel Med. 2017, 24, S13–S16. [CrossRe 8. Khalil, I.A.; Troeger, C.; Blacker, B.F.; Rao, P.C.; Brown, A.; Atherly, D.E.; Brewer, T.G.; Engmann, C.M.;
Houpt, E.R.; Kang, G.; et al. Morbidity and mortality due to shigella and enterotoxigenic Escherichia coli
diarrhoea: The Global Burden of Disease Study 1990-2016. Lancet Infect. Dis. 2018, 18, 1229–1240. [CrossRef] 9. Guerrant, R.L.; DeBoer, M.D.; Moore, S.R.; Scharf, R.J.; Lima, A.A. The impoverished gut—A triple burden
of diarrhoea, stunting and chronic disease. Nat. Rev. Gastroenterol. Hepatol. 2013, 10, 220–229. [CrossRef] 0. Guerrant, R.L.; Oria, R.B.; Moore, S.R.; Oria, M.O.; Lima, A.A. Malnutrition as an enteric infectious dis
with long-term effects on child development. Nutr. Rev. 2008, 66, 487–505. [CrossRef] 11. Riddle, M.S.; Gutierrez, R.L.; Verdu, E.F.; Porter, C.K. The chronic gastrointestinal consequences associated
with campylobacter. Curr. Gastroenterol. Rep. 2012, 14, 395–405. [CrossRef] [PubMed] 12. Hosangadi, D.; Smith, P.G.; Giersing, B.K. References Considerations for using ETEC and Shigella disease burden
estimates to guide vaccine development strategy. Vaccine 2017. [CrossRef] [PubMed] 13. Nagy, B.; Fekete, P.Z. Enterotoxigenic Escherichia coli (ETEC) in farm animals. Vet. Res. 1999, 30, 259–284. [PubMed] 14. Dubreuil, J.D.; Isaacson, R.E.; Schifferli, D.M. Animal Enterotoxigenic Escherichia coli. EcoSal Plus 2016, 7. [CrossRef] [PubMed] 15. Kaper, J.B.; Nataro, J.P.; Mobley, H.L. Pathogenic escherichia coli. Nat. Rev. Microbiol. 2004, 2, 123. [CrossRef]
[PubMed] 16. Von Mentzer, A.; Tobias, J.; Wiklund, G.; Nordqvist, S.; Aslett, M.; Dougan, G.; Sjoling, A.; Svennerholm, A.M. Identification and characterization of the novel colonization factor CS30 based on whole genome sequencing
in enterotoxigenic Escherichia coli (ETEC). Sci. Rep. 2017, 7, 12514. [CrossRef] [PubMed] 17. Kharat, V.B.; Ahmed, M.; Jiang, Z.D.; Riddle, M.S.; DuPont, H.L. Colonization Factors in Enterotoxigenic
Escherichia coli Strains in Travelers to Mexico, Guatemala, and India Compared with Children in Houston,
Texas. Am. J. Trop. Med. Hyg. 2017, 96, 83–87. [CrossRef] [PubMed] 18. Nagy, B.; Fekete, P.Z. Enterotoxigenic Escherichia coli in veterinary medicine. Int. J. Med. Microbiol. 2005, 295,
443–454. [CrossRef] 19. Kumar, P.; Kuhlmann, F.M.; Chakraborty, S.; Bourgeois, A.L.; Foulke-Abel, J.; Tumala, B.; Vickers, T.J.;
Sack, D.A.; DeNearing, B.; Harro, C.D.; et al. Enterotoxigenic Escherichia coli-blood group A interactions
intensify diarrheal severity. J. Clin. Investig. 2018, 128, 3298–3311. [CrossRef] y
y
20. Loos, M.; Geens, M.; Schauvliege, S.; Gasthuys, F.; van der Meulen, J.; Dubreuil, J.D.; Goddeeris, B.M.;
Niewold, T.; Cox, E. Role of heat-stable enterotoxins in the induction of early immune responses in piglets
after infection with enterotoxigenic Escherichia coli. PLoS ONE 2012, 7, e41041. [CrossRef] 21. Beltran, A.R.; Carraro-Lacroix, L.R.; Bezerra, C.N.; Cornejo, M.; Norambuena, K.; Toledo, F.; Araos, J.;
Pardo, F.; Leiva, A.; Sanhueza, C.; et al. Escherichia coli Heat-Stable Enterotoxin Mediates Na+/H+ Exchanger
4 Inhibition Involving cAMP in T84 Human Intestinal Epithelial Cells. PLoS ONE 2015, 10, e0146042. [CrossRef] [PubMed] 22. Verbrugghe, E.; Van Parys, A.; Leyman, B.; Boyen, F.; Arnouts, S.; Lundberg, U.; Ducatelle, R.; Van den
Broeck, W.; Yekta, M.A.; Cox, E.; et al. Heat-labile enterotoxin of Escherichia coli promotes intestinal
colonization of Salmonella enterica. Comp. Immunol. Microbiol. Infect. Dis. 2015, 43, 1–7. [CrossRef]
[PubMed] 23. Allen, K.P.; Randolph, M.M.; Fleckenstein, J.M. Importance of heat-labile enterotoxin in colonization of
the adult mouse small intestine by human enterotoxigenic Escherichia coli strains. Infect. Immun. 2006, 74,
869–875. [CrossRef] [PubMed] 9 of 12 Toxins 2019, 11, 24 24. References Berberov, E.M.; Zhou, Y.; Francis, D.H.; Scott, M.A.; Kachman, S.D.; Moxley, R.A. Relative importance of
heat-labile enterotoxin in the causation of severe diarrheal disease in the gnotobiotic piglet model by a strain
of enterotoxigenic Escherichia coli that produces multiple enterotoxins. Infect. Immun. 2004, 72, 3914–3924. [CrossRef] [PubMed] 25. Lasaro, M.; Rodrigues, J.; Mathias-Santos, C.; Guth, B.; Balan, A.; Sbrogio-Almeida, M.; Ferreira, L. Genetic
diversity of heat-labile toxin expressed by enterotoxigenic Escherichia coli strains isolated from humans. J. Bacteriol. 2008, 190, 2400–2410. [CrossRef] [PubMed] 26. Jobling, M.G.; Holmes, R.K. Type II heat-labile enterotoxins from 50 diverse Escherichia coli isolates belong
almost exclusively to the LT-IIc family and may be prophage encoded. PLoS ONE 2012, 7, e29898. [CrossRef]
[PubMed] 27. Jobling, M.G. The chromosomal nature of LT-II enterotoxins solved: A lambdoid prophage encodes both
LT-II and one of two novel pertussis-toxin-like toxin family members in type II enterotoxigenic Escherichia coli. FEMS Pathog. Dis. 2016, 74, ftw001. [CrossRef] 28. Weiglmeier, P.R.; Rosch, P.; Berkner, H. Cure and curse: E. coli heat-stable enterotoxin and its receptor
guanylyl cyclase C. Toxins 2010, 2, 2213–2229. [CrossRef] 29. Bölin, I.; Wiklund, G.; Qadri, F.; Torres, O.; Bourgeois, A.L.; Savarino, S.; Svennerholm, A.-M. Enterotoxigenic
Escherichia coli with STh and STp genotypes is associated with diarrhea both in children in areas of endemicity
and in travelers. J. Clin. Microbiol. 2006, 44, 3872–3877. [CrossRef] 30. Joffre, E.; von Mentzer, A.; Svennerholm, A.M.; Sjoling, A. Identification of new heat-stable (STa) enterotoxin
allele variants produced by human enterotoxigenic Escherichia coli (ETEC). Int. J. Med. Microbiol. 2016, 306,
586–594. [CrossRef] 31. Chen, C.; Przedpelski, A.; Tepp, W.H.; Pellett, S.; Johnson, E.A.; Barbieri, J.T. Heat-labile enterotoxin IIa,
a platform to deliver heterologous proteins into neurons. MBio 2015, 6, e00734. [CrossRef] [PubMed] 32. Joffré, E.; von Mentzer, A.; El Ghany, M.A.; Oezguen, N.; Savidge, T.; Dougan, G.; Svennerholm, A.-M.;
Sjöling, Å. Allele variants of enterotoxigenic Escherichia coli heat-labile toxin are globally transmitted and
associated with colonization factors. J. Bacteriol. 2015, 197, 392–403. [CrossRef] [PubMed] 33. Osek, J. Prevalence of virulence factors of Escherichia coli strains isolated from diarrheic and healthy piglets
after weaning. Vet. Microbiol. 1999, 68, 209–217. [CrossRef] 34. Basu, N.; Arshad, N.; Visweswariah, S.S. Receptor guanylyl cyclase C (GC-C): Regulation and signal
transduction. Mol. Cell. Biochem. 2010, 334, 67–80. [CrossRef] 35. Vaandrager, A.B. Structure and function of the heat-stable enterotoxin receptor/guanylyl cyclase C. Mol. Cell. Biochem. 2002, 230, 73–83. [CrossRef] [PubMed] 36. References Foreman, D.T.; Martinez, Y.; Coombs, G.; Torres, A.; Kupersztoch, Y.M. TolC and DsbA are needed for the
secretion of STB, a heat-stable enterotoxin of Escherichia coli. Mol. Microbiol. 1995, 18, 237–245. [CrossRef]
[PubMed] 37. Rousset, E.; Harel, J.; Dubreuil, J.D. Sulfatide from the pig jejunum brush border epithelial cell surface is
involved in binding of Escherichia coli enterotoxin b. Infect. Immun. 1998, 66, 5650–5658. [PubMed] 38. Fekete, P.Z.; Schneider, G.; Olasz, F.; Blum-Oehler, G.; Hacker, J.H.; Nagy, B. Detection of a plasmid-encoded
pathogenicity island in F18+ enterotoxigenic and verotoxigenic Escherichia coli from weaned pigs. Int. J. Med. Microbiol. 2003, 293, 287–298. [CrossRef] [PubMed] 9. Taillon, C.; Nadeau, E.; Mourez, M.; Dubreuil, J.D. Heterogeneity of Escherichia coli STb enterotoxin isol
from diseased pigs. J. Med. Microbiol. 2008, 57, 887–890. [CrossRef] [PubMed] 40. Von Mentzer, A.; Connor, T.R.; Wieler, L.H.; Semmler, T.; Iguchi, A.; Thomson, N.R.; Rasko, D.A.; Joffre, E.;
Corander, J.; Pickard, D. Identification of enterotoxigenic Escherichia coli (ETEC) clades with long-term global
distribution. Nat. Genet. 2014, 46, 1321. [CrossRef] 41. Yamanaka, H.; Kameyama, M.; Baba, T.; Fujii, Y.; Okamoto, K. Maturation pathway of Escherichia coli
heat-stable enterotoxin I: Requirement of DsbA for disulfide bond formation. J. Bacteriol. 1994, 176, 2906–2913. [CrossRef] [PubMed] 42. Zhu, Y.; Luo, Q.; Davis, S.M.; Westra, C.; Vickers, T.J.; Fleckenstein, J.M. Molecular Determinants of
Enterotoxigenic Escherichia coli Heat-Stable Toxin Secretion and Delivery. Infect. Immun. 2018, 86. [CrossRef]
[PubMed] 10 of 12 Toxins 2019, 11, 24 10 of 12 43. Yang, Y.; Gao, Z.; Guzman-Verduzco, L.M.; Tachias, K.; Kupersztoch, Y.M. Secretion of the STA3 heat-stable
enterotoxin of Escherichia coli: Extracellular delivery of Pro-STA is accomplished by either Pro or STA. Mol. Microbiol. 1992, 6, 3521–3529. [CrossRef] [PubMed] 4. Batisson, I.; der Vartanian, M. Extracellular DsbA-insensitive folding of Escherichia coli heat-stable enterot
STa in vitro. J. Biol. Chem. 2000, 275, 10582–10589. [CrossRef] [PubMed] 45. Turner, S.M.; Scott-Tucker, A.; Cooper, L.M.; Henderson, I.R. Weapons of mass destruction: Virulence factors
of the global killer enterotoxigenic Escherichia coli. FEMS Microbiol. Lett. 2006, 263, 10–20. [CrossRef]
[PubMed] 46. Dubreuil, J.D. The whole Shebang: The gastrointestinal tract, Escherichia coli enterotoxins and secretion. Curr. Issues Mol. Biol. 2012, 14, 71–82. 47. Chapman, T.A.; Wu, X.Y.; Barchia, I.; Bettelheim, K.A.; Driesen, S.; Trott, D.; Wilson, M.; Chin, J.J. Comparison
of virulence gene profiles of Escherichia coli strains isolated from healthy and diarrheic swine. Appl. Environ. Microbiol. 2006, 72, 4782–4795. [CrossRef] 48. References Loos, M.; Hellemans, A.; Cox, E. Optimization of a small intestinal segment perfusion model for heat-stable
enterotoxin A induced secretion in pigs. Vet. Immunol. Immunopathol. 2013, 152, 82–86. [CrossRef] 49. Erume, J.; Berberov, E.M.; Kachman, S.D.; Scott, M.A.; Zhou, Y.; Francis, D.H.; Moxley, R.A. Comparison of
the contributions of heat-labile enterotoxin and heat-stable enterotoxin b to the virulence of enterotoxigenic
Escherichia coli in F4ac receptor-positive young pigs. Infect. Immun. 2008, 76, 3141–3149. [CrossRef] 50. Vaandrager, A.B.; Tilly, B.C.; Smolenski, A.; Schneider-Rasp, S.; Bot, A.G.; Edixhoven, M.; Scholte, B.J.;
Jarchau, T.; Walter, U.; Lohmann, S.M.; et al. cGMP stimulation of cystic fibrosis transmembrane conductance
regulator Cl- channels co-expressed with cGMP-dependent protein kinase type II but not type Ibeta. J. Biol. Chem. 1997, 272, 4195–4200. [CrossRef] 51. Vaandrager, A.B.; Smolenski, A.; Tilly, B.C.; Houtsmuller, A.B.; Ehlert, E.M.; Bot, A.G.; Edixhoven, M.;
Boomaars, W.E.; Lohmann, S.M.; de Jonge, H.R. Membrane targeting of cGMP-dependent protein kinase is
required for cystic fibrosis transmembrane conductance regulator Cl- channel activation. Proc. Natl. Acad. Sci. USA 1998, 95, 1466–1471. [CrossRef] [PubMed] 52. Chao, A.C.; de Sauvage, F.J.; Dong, Y.J.; Wagner, J.A.; Goeddel, D.V.; Gardner, P. Activation of intestinal
CFTR Cl- channel by heat-stable enterotoxin and guanylin via cAMP-dependent protein kinase. EMBO J. 1994, 13, 1065–1072. [CrossRef] 53. Ostedgaard, L.S.; Baldursson, O.; Welsh, M.J. Regulation of the cystic fibrosis transmembrane conductance
regulator Cl- channel by its R domain. J. Biol. Chem. 2001, 276, 7689–7692. [CrossRef] [PubMed] 54. Bagorda, A.; Guerra, L.; Di Sole, F.; Hemle-Kolb, C.; Cardone, R.A.; Fanelli, T.; Reshkin, S.J.; Gisler, S.M.;
Murer, H.; Casavola, V. Reciprocal PKA regulatory interactions between CFTR and NHE3 in a renal polarized
epithelial cell model. J. Biol. Chem. 2002, 277, 21480–21488. [CrossRef] [PubMed] 55. Goncalves, C.; Berthiaume, F.; Mourez, M.; Dubreuil, J.D. Escherichia coli STb toxin binding to sulfatide and
its inhibition by carragenan. FEMS Microbiol. Lett. 2008, 281, 30–35. [CrossRef] [PubMed] 56. Labrie, V.; Beausoleil, H.E.; Harel, J.; Dubreuil, J.D. Binding to sulfatide and enterotoxicity of various
Escherichia coli STb mutants. Microbiology 2001, 147, 3141–3148. [CrossRef] [PubMed] 57. Mellstrom, B.; Savignac, M.; Gomez-Villafuertes, R.; Naranjo, J.R. Ca2+-operated transcriptional networks:
Molecular mechanisms and in vivo models. Physiol. Rev. 2008, 88, 421–449. [CrossRef] [PubMed] 58. Hughes, K.; Edin, S.; Antonsson, A.; Grundstrom, T. Calmodulin-dependent kinase II mediates T cell
receptor/CD3- and phorbol ester-induced activation of IkappaB kinase. J. Biol. Chem. 2001, 276, 36008–36013. [CrossRef] 59. Dubreuil, J.D. References Nadeau, E.; Fairbrother, J.M.; Zentek, J.; Belanger, L.; Tremblay, D.; Tremblay, C.L.; Rohe, I.; Vahjen, W.;
Brunelle, M.; Hellmann, K.; et al. Efficacy of a single oral dose of a live bivalent E. coli vaccine against
post-weaning diarrhea due to F4 and F18-positive enterotoxigenic E. coli. Vet. J. 2017, 226, 32–39. [CrossRef]
72. Mirhoseini, A.; Amani, J.; Nazarian, S. Review on pathogenicity mechanism of enterotoxigenic Escherichia coli
and vaccines against it Microb Pathog 2018 117 162 169 [CrossRef] [PubMed] 71. Nadeau, E.; Fairbrother, J.M.; Zentek, J.; Belanger, L.; Tremblay, D.; Tremblay, C.L.; Rohe, I.; Vahjen, W.;
Brunelle, M.; Hellmann, K.; et al. Efficacy of a single oral dose of a live bivalent E. coli vaccine against
post-weaning diarrhea due to F4 and F18-positive enterotoxigenic E. coli. Vet. J. 2017, 226, 32–39. [CrossRef] post-weaning diarrhea due to F4 and F18-positive enterotoxigenic E. coli. Vet. J. 2017, 226, 32–39. [CrossRef]
72. Mirhoseini, A.; Amani, J.; Nazarian, S. Review on pathogenicity mechanism of enterotoxigenic Escherichia coli
and vaccines against it. Microb. Pathog. 2018, 117, 162–169. [CrossRef] [PubMed] 72. Mirhoseini, A.; Amani, J.; Nazarian, S. Review on pathogenicity mechanism of enterotoxigenic Escherichia coli
and vaccines against it. Microb. Pathog. 2018, 117, 162–169. [CrossRef] [PubMed] 73. Zhang, H.; Xu, Y.; Zhang, Z.; You, J.; Yang, Y.; Li, X. Protective immunity of a Multivalent Vaccine Candidate
against piglet diarrhea caused by enterotoxigenic Escherichia coli (ETEC) in a pig model. Vaccine 2018, 36,
723–728. [CrossRef] [PubMed] 74. Duan, Q.; Huang, J.; Xiao, N.; Seo, H.; Zhang, W. Neutralizing Anti-Heat-Stable Toxin (STa) Antibodies
Derived from Enterotoxigenic Escherichia coli Toxoid Fusions with STa Proteins Containing N12S, L9A/N12S,
or N12S/A14T Mutations Show Little Cross-Reactivity with Guanylin or Uroguanylin. Appl. Environ. Microbiol. 2018, 84, e01737. [CrossRef] [PubMed] 75. Govasli, M.L.; Diaz, Y.; Zegeye, E.D.; Darbakk, C.; Taxt, A.M.; Puntervoll, P. Purification and Characterization
of Native and Vaccine Candidate Mutant Enterotoxigenic Escherichia coli Heat-Stable Toxins. Toxins 2018, 10,
274. [CrossRef] [PubMed] 76. Puntervoll, P.; Clements, J.; Diaz, Y.; Nataro, J.; Taxt, A.; Zhang, W.; Aasland, R.; Sommerfelt, H. Rational
Design of a Vaccine against the Heat-Stable Toxin of Enterotoxigenic Escherichia coli; Vaccines for Enteric Diseases:
Bangkok, Thailand, 2013. 77. Zhang, W.; Sack, D.A. Progress and hurdles in the development of vaccines against enterotoxigenic
Escherichia coli in humans. Expert Rev. Vaccines 2012, 11, 677–694. [CrossRef] [PubMed] 78. Zhang, W.; Zhang, C.; Francis, D.H.; Fang, Y.; Knudsen, D.; Nataro, J.P.; Robertson, D.C. References Escherichia coli STb toxin and colibacillosis: Knowing is half the battle. FEMS Microbiol. Lett. 2008, 278, 137–145. [CrossRef] 60. Erume, J.; Wijemanne, P.; Berberov, E.M.; Kachman, S.D.; Oestmann, D.J.; Francis, D.H.; Moxley, R.A. Inverse relationship between heat stable enterotoxin-b induced fluid accumulation and adherence of
F4ac-positive enterotoxigenic Escherichia coli in ligated jejunal loops of F4ab/ac fimbria receptor-positive
swine. Vet. Microbiol. 2013, 161, 315–324. [CrossRef] 61. Harville, B.A.; Dreyfus, L.A. Involvement of 5-hydroxytryptamine and prostaglandin E2 in the intestinal
secretory action of Escherichia coli heat-stable enterotoxin B. Infect. Immun. 1995, 63, 745–750. [PubMed]
62. Peterson, J.W.; Whipp, S.C. Comparison of the mechanisms of action of cholera toxin and the heat-stable 61. Harville, B.A.; Dreyfus, L.A. Involvement of 5-hydroxytryptamine and prostaglandin E2 in the intestinal
secretory action of Escherichia coli heat-stable enterotoxin B. Infect. Immun. 1995, 63, 745–750. [PubMed] 62. Peterson, J.W.; Whipp, S.C. Comparison of the mechanisms of action of cholera toxin and the heat-stable
enterotoxins of Escherichia coli. Infect. Immun. 1995, 63, 1452–1461. [PubMed] 11 of 12 11 of 12 Toxins 2019, 11, 24 63. Dubreuil, J.D. Enterotoxigenic Escherichia coli targeting intestinal epithelial tight junctions: An effective way
to alter the barrier integrity. Microb. Pathog. 2017, 113, 129–134. [CrossRef] [PubMed] 64. Ngendahayo Mukiza, C.; Dubreuil, J.D. Escherichia coli heat-stable toxin b impairs intestinal epithelial barrier
function by altering tight junction proteins. Infect. Immun. 2013, 81, 2819–2827. [CrossRef] [PubMed] 65. Nassour, H.; Dubreuil, J.D. Escherichia coli STb enterotoxin dislodges claudin-1 from epithelial tight junctions. PLoS ONE 2014, 9, e113273. [CrossRef] [PubMed] 66. Bourgeois, A.L.; Wierzba, T.F.; Walker, R.I. Status of vaccine research and development for enterotoxigenic
Escherichia coli. Vaccine 2016, 34, 2880–2886. [CrossRef] [PubMed] 67. Lundgren, A.; Jertborn, M.; Svennerholm, A.M. Induction of long term mucosal immunological memory
in humans by an oral inactivated multivalent enterotoxigenic Escherichia coli vaccine. Vaccine 2016, 34,
3132–3140. [CrossRef] 68. Taxt, A.; Aasland, R.; Sommerfelt, H.; Nataro, J.; Puntervoll, P. Heat-stable enterotoxin of enterotoxigenic
Escherichia coli as a vaccine target. Infect. Immun. 2010, 78, 1824–1831. [CrossRef] 69. Fleckenstein, J.; Sheikh, A.; Qadri, F. Novel antigens for enterotoxigenic Escherichia coli vaccines. Expert Rev. Vaccines 2014, 13, 631–639. [CrossRef] 70. Fleckenstein, J.M.; Rasko, D.A. Overcoming enterotoxigenic Escherichia coli pathogen diversity: Translational
molecular approaches to inform vaccine design. In Vaccine Design; Springer: New York, NY, USA, 2016;
pp. 363–383. pp
71. 2.
Holmgren, J.; Czerkinsky, C. Mucosal immunity and vaccines. Nat. Med. 2005, 11, S45. [CrossRef] References Genetic fusions
of heat-labile (LT) and heat-stable (ST) toxoids of porcine enterotoxigenic Escherichia coli elicit neutralizing
anti-LT and anti-STa antibodies. Infect. Immun. 2010, 78, 316–325. [CrossRef] 79. Ruan, X.; Sack, D.A.; Zhang, W. Genetic fusions of a CFA/I/II/IV MEFA (multiepitope fusion antigen) and
a toxoid fusion of heat-stable toxin (STa) and heat-labile toxin (LT) of enterotoxigenic Escherichia coli (ETEC)
retain broad anti-CFA and antitoxin antigenicity. PLoS ONE 2015, 10, e0121623. [CrossRef] [PubMed] 80. Rausch, D.; Ruan, X.; Nandre, R.; Duan, Q.; Hashish, E.; Casey, T.A.; Zhang, W. Antibodies derived from
a toxoid MEFA (multiepitope fusion antigen) show neutralizing activities against heat-labile toxin (LT),
heat-stable toxins (STa, STb), and Shiga toxin 2e (Stx2e) of porcine enterotoxigenic Escherichia coli (ETEC). Vet. Microbiol. 2017, 202, 79–89. [CrossRef] 81. Nandre, R.; Ruan, X.; Lu, T.; Duan, Q.; Sack, D.; Zhang, W. Enterotoxigenic Escherichia coli Adhesin-Toxoid
Multiepitope Fusion Antigen CFA/I/II/IV-3xSTaN12S-mnLTG192G/L211A-Derived Antibodies Inhibit
Adherence of Seven Adhesins, Neutralize Enterotoxicity of LT and STa Toxins, and Protect Piglets against
Diarrhea. Infect. Immun. 2018, 86. [CrossRef] 82. Holmgren, J.; Czerkinsky, C. Mucosal immunity and vaccines. Nat. Med. 2005, 11, S45. [CrossRef] 12 of 12 12 of 12 Toxins 2019, 11, 24 83. Luo, Q.; Qadri, F.; Kansal, R.; Rasko, D.A.; Sheikh, A.; Fleckenstein, J.M. Conservation and immunogenicity
of novel antigens in diverse isolates of enterotoxigenic Escherichia coli. PLoS Negl. Trop. Dis. 2015, 9, e0003446. [CrossRef] [PubMed] 84. Chakraborty, S.; Randall, A.; Vickers, T.J.; Molina, D.; Harro, C.D.; DeNearing, B.; Brubaker, J.; Sack, D.A.;
Bourgeois, A.L.; Felgner, P.L. Human experimental challenge with enterotoxigenic Escherichia coli elicits
immune responses to canonical and novel antigens relevant to vaccine development. J. Infect. Dis. 2018, 40,
1–11. [CrossRef] [PubMed] 85. Devriendt, B.; De Geest, B.G.; Goddeeris, B.M.; Cox, E. Crossing the barrier: Targeting epithelial receptors
for enhanced oral vaccine delivery. J. Control. Release 2012, 160, 431–439. [CrossRef] [PubMed] 86. Zegeye, E.D.; Govasli, M.L.; Sommerfelt, H.; Puntervoll, P. Development of an enterotoxigenic Escherichia
coli vaccine based on the heat-stable toxin. Hum. Vaccines Immunother. 2018, 1–10. [CrossRef] [PubMed] 87. Zhong, Z.; Mc Cafferty, S.; Combes, F.; Huysmans, H.; De Temmerman, J.; Gitsels, A.; Vanrompay, D.;
Catani, J.P.; Sanders, N.N. mRNA therapeutics deliver a hopeful message. Nano Today 2018, 23, 16–39. [CrossRef] 88. Söderholm, J.D. Gut immunology: Nanoparticles ferry gut antigens. Nat. Nanotechnol. 2015,
[CrossRef] [PubMed] 9. Lai, S.K.; Wang, Y.Y.; Hanes, J. Mucus-penetrating nanoparticles for drug and gene delivery to muc
tissues. Adv. Drug Deliv. References Rev. 2009, 61, 158–171. [CrossRef] [PubMed] 90. Kim, K.S.; Suzuki, K.; Cho, H.; Youn, Y.S.; Bae, Y.H. Oral Nanoparticles Exhibit Specific High-Efficiency
Intestinal Uptake and Lymphatic Transport. ACS Nano 2018, 12, 8893–8900. [CrossRef] 91. Chadwick, S.; Kriegel, C.; Amiji, M. Nanotechnology solutions for mucosal immunization. Adv. Drug
Deliv. Rev. 2010, 62, 394–407. [CrossRef] 92. Aref, N.M.; Nasr, M.; Osman, R. Construction and immunogenicity analysis of nanoparticulated conjugate
of heat-stable enterotoxin (STa) of enterotoxigenic Escherichia coli. Int. J. Biol. Macromol. 2018, 106, 730–738. [CrossRef] 93. Deng, G.; Zeng, J.; Jian, M.; Liu, W.; Zhang, Z.; Liu, X.; Wang, Y. Nanoparticulated heat-stable (STa)
and heat-labile B subunit (LTB) recombinant toxin improves vaccine protection against enterotoxigenic
Escherichia coli challenge in mouse. J. Biosci. Bioeng. 2013, 115, 147–153. [CrossRef] [PubMed] © 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
|
https://openalex.org/W3003938481
|
https://europepmc.org/articles/pmc7074605?pdf=render
|
English
| null |
The Effect of Multi-Layer Stacking Sequence of TiOx Active Layers on the Resistive-Switching Characteristics of Memristor Devices
|
Micromachines
| 2,020
|
cc-by
| 8,169
|
Received: 6 January 2020; Accepted: 29 January 2020; Published: 30 January 2020 Abstract: The oxygen vacancies in the TiOx active layer play the key role in determining the electrical
characteristics of TiOx–based memristors such as resistive-switching behaviour. In this paper, we
investigated the effect of a multi-layer stacking sequence of TiOx active layers on the resistive-switching
characteristics of memristor devices. In particular, the stacking sequence of the multi-layer TiOx
sub-layers, which have different oxygen contents, was varied. The optimal stacking sequence
condition was confirmed by measuring the current–voltage characteristics, and also the retention test
confirmed that the characteristics were maintained for more than 10,000 s. Finally, the simulation
using the Modified National Institute of Standards and Technology handwriting recognition data set
revealed that the multi-layer TiOx memristors showed a learning accuracy of 89.18%, demonstrating
the practical utilization of the multi-layer TiOx memristors in artificial intelligence systems. Keywords: memristors; TiOx; stacking sequence; oxygen vacancy; resistive switching behaviour micromachines micromachines micromachines micromachines Micromachines 2020, 11, 154; doi:10.3390/mi11020154 The Effect of Multi-Layer Stacking Sequence of TiOx
Active Layers on the Resistive-Switching
Characteristics of Memristor Devices Minho Kim 1, Kungsang Yoo 1, Seong-Pil Jeon 2, Sung Kyu Park 2,* and Yong-Hoon Kim 1,3,*
1
School of Advanced Materials Science and Engineering, Sungkyunkwan University, Suwon 16419, Korea;
mzaq21cx@naver.com (M.K.); kunsangyoo@naver.com (K.Y.)
2
School of Electrical and Electronic Engineering, Chung-Ang University, Seoul 06980, Korea;
silver21122@gmail.com
3
SKKU Advanced Institute of Nanotechnology (SAINT), Sungkyunkwan University, Suwon 16419, Korea
*
Correspondence: skpark@cau.ac.kr (S.K.P.); yhkim76@skku.edu (Y.-H.K.); Tel.: +82-2-820-5347 (S.K.P.);
+82-31-290-7407 (Y.-H.K.) Minho Kim 1, Kungsang Yoo 1, Seong-Pil Jeon 2, Sung Kyu Park 2,* and Yong-Hoon Kim 1,3,*
1
School of Advanced Materials Science and Engineering, Sungkyunkwan University, Suwon 16419, Korea;
mzaq21cx@naver.com (M.K.); kunsangyoo@naver.com (K.Y.)
2
School of Electrical and Electronic Engineering, Chung-Ang University, Seoul 06980, Korea;
silver21122@gmail.com
3
SKKU Advanced Institute of Nanotechnology (SAINT), Sungkyunkwan University, Suwon 16419, Korea
*
Correspondence: skpark@cau.ac.kr (S.K.P.); yhkim76@skku.edu (Y.-H.K.); Tel.: +82-2-820-5347 (S.K.P.);
+82-31-290-7407 (Y.-H.K.) 1. Introduction Oxide-based memristive devices have attracted considerable interest due to their advantages
such as non-volatile memory function, fast switching speed, low power consumption, good durability,
process compatibility with complementary metal-oxide semiconductor technology, as well as the
possibility of being implemented in real hardware and board-integrated systems [1–6]. In particular,
the simple two-terminal crosspoint structure of memristors is expected to enable the high-density
integration of computing devices by adopting three-dimensional stacking architectures [1,7]. Due to
these advantages, various emerging electronics such as neuromorphic circuits and systems have been
demonstrated by utilizing the memristors as one of their key elements [8,9]. From a conceptual point of
view, the memristors are considered as the fourth fundamental circuit element in addition to resistors,
capacitors, and inductors, which relate the charge q and the magnetic flux ϕ [10]. As an electronic
device, on the other hand, the memristor behaves more like a memory device unit which stores
the information in the form of resistance and changes according to the direction of the applied bias. Typically, the memristor devices are constructed with a metal−insulator−metal (MIM) structure with
an active layer sandwiched between the two counter electrodes (bottom and top electrodes). Based on
the history of the applied bias, the memristors are switched between high-resistive state (HRS) and
low-resistive state (LRS) by the modulation of the resistance of the active layer. For the active layers,
many different material candidates have been investigated such as TiO2, HfO2, NbO2, TaOx, ZnO and www.mdpi.com/journal/micromachines 2 of 9 Micromachines 2020, 11, 154 Al2O3 [11–15]. Also, for the formation of oxide active layers, deposition methods such as sputtering
and anodizing have been utilized [16–19]. Among the candidate materials, TiO2- or TiO2/TiO2-x-based
memristors have been intensively studied since the physical realization and understanding of the
memristors in 2008 [20]. In TiO2- or TiO2/TiO2−x memristors, the conducting state change is considered
to originate in the formation and rupture of conducting channels [1,21]. As described by Carta et al.,
localized reduced TiOx phases with lower O:Ti ratio are formed underneath the top electrode (TE)
under an applied electric field [22]. Since the reduced TiOx phases have a more metallic character than
the stoichiometric TiO2 phase, the electrical conductivity is increased and LRS is obtained. Carta et
al. 1. Introduction also suggested that the reduction of the O:Ti ratio is involved with the migration of both O and
Ti atoms that move toward the opposite directions under an applied bias [22]. In addition, atomic
level simulations on the formation of conducting channels using kinetic Monte Carlo simulation have
been reported [21,23,24]. In particular, according to the report from Li et al., it is claimed that filament
formation is involved with the vacancy hopping induced localized electric field [21]. Based on these
previous studies on the TiO2- and TiO2/TiO2−x-based memristors, it is likely that the oxygen vacancies
play the key role in the operation of TiOx-based memristors. Previously, various multilayer structure oxide memristors were investigated including TiO2−x/TiO2,
TiON/HfOy/HfOx, TiO2/ZrO2, and TaOx/HfAlyOx [25–28]. In this study, we constructed the active
layer with a four-layer stacked structure of TiOx films having different oxygen vacancy concentrations. Specifically, by varying the O2 partial pressure during the sputtering process of TiOx films, TiOx
films with different oxygen-binding states could be obtained. Using these pre-defined deposition
conditions, memristors with different stacking sequences are fabricated. To identify the role of the
stacking sequence, we investigated the effect of stacking sequence on the memristive behaviours such
as bistable switching characteristics, current on/offratio, as well as their retention stability. Finally, for
the practical demonstration of the fabricated device, we predicted the accuracy of Modified National
Institute of Standards and Technology (MNIST) handwritten recognition by applying our device
weight update characteristics. 2. Experimental Procedure For the fabrication of TiOx-based memristor devices, a glass substrate was sonicated in acetone
and isopropyl alcohol (IPA) for 10 min each. Then, the substrate was rinsed with IPA and dried with N2
gas. On the cleaned glass substrate, a 50 nm-thick Al electrode was deposited by thermal evaporation
with a deposition rate of ~2 Å/s as a bottom electrode (BE). The patterning of the Al electrode was
carried out by using a metal shadow mask and the width of the electrode was 50 µm. Next, for the
deposition of multi-layer TiOx active layers, a radio-frequency magnetron sputtering system was used
with sputtering power and deposition pressure of 100 W and 5 × 10−3 Torr, respectively. To control the
oxygen content in the TiOx film, the argon (Ar) and oxygen (O2) gas flow rates were varied. Figure 1
shows the stacking sequence of the active layer. The patterning of TiOx active layers was carried out
by using a metal shadow mask which had a dimension of 1500 × 1500 µm. Finally, a 50 nm-thick Al
top electrode was deposited by thermal evaporation and patterned by using a metal shadow mask. The width of the top electrode was 100 µm. The atomic binding states of TiOx films were analyzed by using X-ray photoelectron spectroscopy
(XPS; Thermo Fisher Scientific, Waltham, MA, USA, ESCALAB 250). For the XPS analysis, each TiOx
sample was prepared separately. The current-voltage characteristic and the retention characteristics of
the memristors were analyzed by using a semiconductor parameter analyzer (Agilent Technologies,
Santa Clara, CA, USA, 4155C) which is attached to a probe station in dark ambient condition. 3 of 9
x film, Micromachines 2020, 11, 154
was 35.9%, while it de
i
l Figure 1. (a) Schematic device structures of the memristors having four TiOx sub-layers with
different oxygen vacancy (Ovac) contents. The stacking sequence of the TiOx sub-layers was varied
(types I, II, III, and IV). The thicknesses of the A-TiOx, B-TiOx, C-TiOx, and D-TiOx films were
approximately 14.0 nm, 11.5 nm, 11.5 nm, and 9.0 nm, respectively. The O1s spectra measured by
using the X-ray photoelectron spectroscopy (XPS) for, (b) A-TiOx, (c) B-TiOx, (d) C-TiOx, and
(e) D-TiOx films. Figure 1. (a) Schematic device structures of the memristors having four TiOx sub-layers with different
oxygen vacancy (Ovac) contents. The stacking sequence of the TiOx sub-layers was varied (types I,
II, III, and IV). (e) D-TiOx films.
3. Results and Discussion Since the oxygen vacancy concentration in an oxide film is strongly related to the electrical
conductivity of the film [30] and the oxygen vacancies play the key role in the operation of
TiOx-based memristors, it is likely that the stacking sequence of oxygen-rich and oxygen-deficient
TiOx films would influence the operation of the device. To investigate the effect of multi-layer
stacking sequence on the resistive switching characteristics of the memristors, devices having four
different stacking sequences were fabricated as schematically shown in Figure 1a. Figure 2a–d show
the representative current-voltage (I–V) characteristics of the memristors having the stacking
sequences of A-B-C-D (type I), A-C-B-D (type II), A-D-C-B (type III), and A-C-D-B (type IV),
respectively. In all cases, the most oxygen-deficient layer, A-TiOx film was placed in the
bottom-most part, while the other layers were positioned with different combinations. Here, the TE
electrode was set as ground and the bias applied to the BE was swept in the range of −3 V to +3 V to
induce the SET and RESET processes. As indicated, the devices with types I, II, and IV stacking
sequences showed memristive characteristics, clearly indicating the SET and RESET processes. In
the meanwhile, the type III device showed only insulating behaviour without the bistable
behaviour. In the case of the type II device (Figure 2b), the device first showed HRS (OFF state)
upon sweeping the bias from 0 V to +3 V. Then, at around +2.3 V, transition to the LRS (ON state)
Figure 1a shows the schematic device structures of the memristors having four TiOx sub-layers
with different oxygen vacancy (Ovac) contents. Here, the stacking sequence of the four TiOx sub-layers
was varied to find the structure to enhance the resistive switching characteristics of the device (types I, II,
III, and IV). The four TiOx sub-layers with different oxygen vacancy contents were fabricated by using
different sputtering conditions by varying the gas flow rates of Ar and O2 gases (Ar:O2 = 50:5 sccm,
50:7 sccm, 50:10 sccm and 50:13 sccm). The corresponding TiOx films are designated as A-TiOx, B-TiOx,
C-TiOx, and D-TiOx, in the order of decreasing oxygen vacancy content (Figure 1a). Consequently, the
A-TiOx film is relatively oxygen-deficient, while the D-TiOx film is relatively oxygen-rich. Also, the
thicknesses of A-TiOx, B-TiOx, C-TiOx, and D-TiOx films were approximately 14.0 nm, 11.5 nm, 11.5 nm,
and 9.0 nm, respectively. 2. Experimental Procedure The thicknesses of the A-TiOx, B-TiOx, C-TiOx, and D-TiOx films were approximately
14.0 nm, 11.5 nm, 11.5 nm, and 9.0 nm, respectively. The O1s spectra measured by using the X-ray
photoelectron spectroscopy (XPS) for, (b) A-TiOx, (c) B-TiOx, (d) C-TiOx, and (e) D-TiOx films. Figure 1. (a) Schematic device structures of the memristors having four TiOx sub-layers with
different oxygen vacancy (Ovac) contents. The stacking sequence of the TiOx sub-layers was varied
(types I, II, III, and IV). The thicknesses of the A-TiOx, B-TiOx, C-TiOx, and D-TiOx films were
approximately 14.0 nm, 11.5 nm, 11.5 nm, and 9.0 nm, respectively. The O1s spectra measured by
using the X-ray photoelectron spectroscopy (XPS) for, (b) A-TiOx, (c) B-TiOx, (d) C-TiOx, and
( ) D TiO fil
Figure 1. (a) Schematic device structures of the memristors having four TiOx sub-layers with different
oxygen vacancy (Ovac) contents. The stacking sequence of the TiOx sub-layers was varied (types I,
II, III, and IV). The thicknesses of the A-TiOx, B-TiOx, C-TiOx, and D-TiOx films were approximately
14.0 nm, 11.5 nm, 11.5 nm, and 9.0 nm, respectively. The O1s spectra measured by using the X-ray
photoelectron spectroscopy (XPS) for, (b) A-TiOx, (c) B-TiOx, (d) C-TiOx, and (e) D-TiOx films. (e) D-TiOx films.
3. Results and Discussion To determine the variation of oxygen vacancy content, an XPS analysis was
carried out. Figure 1b–e show the corresponding O1s spectra of the A-TiOx, B-TiOx, C-TiOx, and
D-TiOx films, respectively. Here, the fitted curve was deconvoluted to two main peaks centred at
around ~530 eV and 531.0~531.5 eV. The peaks at ~530 eV and 531.0–531.5 eV represent the oxygen
species in metal–oxygen–metal (M–O–M) and near the oxygen vacancy (O–M–Ovac) [29], respectively. By increasing the PO2, the portion of oxygen vacancy was gradually decreased. For instance, in the
case of A-TiOx film, the portion of O–M–Ovac was 35.9%, while it decreased to 33.5%, 30.1%, and 26.7%
for the B-TiOx, C-TiOx, and D-TiOx film, respectively. Since the oxygen vacancy concentration in an oxide film is strongly related to the electrical
conductivity of the film [30] and the oxygen vacancies play the key role in the operation of TiOx-based
memristors, it is likely that the stacking sequence of oxygen-rich and oxygen-deficient TiOx films
would influence the operation of the device. To investigate the effect of multi-layer stacking sequence
on the resistive switching characteristics of the memristors, devices having four different stacking
sequences were fabricated as schematically shown in Figure 1a. Figure 2a–d show the representative
current-voltage (I–V) characteristics of the memristors having the stacking sequences of A-B-C-D (type
I), A-C-B-D (type II), A-D-C-B (type III), and A-C-D-B (type IV), respectively. In all cases, the most
oxygen-deficient layer, A-TiOx film was placed in the bottom-most part, while the other layers were
positioned with different combinations. Here, the TE electrode was set as ground and the bias applied
to the BE was swept in the range of −3 V to +3 V to induce the SET and RESET processes. As indicated,
the devices with types I, II, and IV stacking sequences showed memristive characteristics, clearly
indicating the SET and RESET processes. In the meanwhile, the type III device showed only insulating
behaviour without the bistable behaviour. In the case of the type II device (Figure 2b), the device first
showed HRS (OFF state) upon sweeping the bias from 0 V to +3 V. Then, at around +2.3 V, transition to 4 of 9
4 of 9 Micromachines 2020, 11, 154
Micromachines 2020 11 x the LRS (ON state) starts to occur, which is regarded as the SET process. After reaching +3 V, the LRS
maintains, exhibiting the memorizing behaviour. (e) D-TiOx films.
3. Results and Discussion Then, by sweeping the bias to the negative direction,
a transition from LRS to HRS occurs at around −2.7 V, which indicates the RESET process. Similar
memristive characteristics and switching behaviours were also observed in devices with other stacking
sequences such as types I and IV, with slightly different SET and RESET voltages. However, the
ION/IOFF ratio was different depending on the device structure. In the tested device structures, the type
II device (BE/A-C-B-D/TE) showed the highest ION/IOFF ratio value of ~45 (in average), while, the type
I and type IV devices showed ION/IOFF ratio values of ~16 and ~17, respectively. The type III device
(BE/A-D-C-B/TE), however, showed no switching behaviour and only insulating I–V characteristics
were observed. Figure 2 also shows the I–V data which are repeated for five consecutive cycles. All the
devices showed relatively stable I–V behaviour, while the type IV device showed a slight change in
the current levels. As shown in Figure 2, during the SET and RESET processes, the current changes
gradually, indicating the interface-type mechanism is dominant rather than the filament-type [31]. Concerning the variation of memristive behavior by the stacking sequence, we expect that the supply
and migration of oxygen vacancies from the underneath TiOx sub-layers to the TE/top-TiOx interface
are important [31]. In our results, the type I, II, and IV devices showed the memristive behaviour while
the type III device showed insulating characteristics. In particular, in the cases of types I and II, the
most oxygen-rich TiOx layer (D-TiOx) with the lowest concentration of oxygen vacancies is placed on
the top-most layer, contacting the TE, while the relatively oxygen-deficient TiOx layers with larger
concentrations of oxygen vacancies are placed underneath. Therefore, during the SET process, these
relatively oxygen-deficient TiOx layers can efficiently supply the oxygen vacancies and can contribute
to the interface-type resistive switching behaviour. Comparing the type I and II devices, the positions
of B- and C-TiOx layers are different, where in type II, the second-most oxygen-deficient TiOx layer
(B-TiOx) is placed beneath the top D-TiOx layer. Therefore, compared to type I device, more oxygen
vacancies can be supplied to the top D-TiOx layer, allowing larger resistive variation during switching. In the cases of types III and IV, the most oxygen-rich D-TiOx layer is placed in the middle parts of the
stacking. (e) D-TiOx films.
3. Results and Discussion Therefore, the supply of oxygen vacancies towards the TE/top-TiOx interface can be relatively
smaller compared to type I and II devices. Also, considering that the oxygen vacancies migrate toward
the TE/top-TiOx interface during the SET process, the decrease of resistance in the D-TiOx layer can be
higher in type IV device compared to type III. starts to occur, which is regarded as the SET process. After reaching +3 V, the LRS maintains,
exhibiting the memorizing behaviour. Then, by sweeping the bias to the negative direction, a
transition from LRS to HRS occurs at around −2.7 V, which indicates the RESET process. Similar
memristive characteristics and switching behaviours were also observed in devices with other
stacking sequences such as types I and IV, with slightly different SET and RESET voltages. However, the ION/IOFF ratio was different depending on the device structure. In the tested device
structures, the type II device (BE/A-C-B-D/TE) showed the highest ION/IOFF ratio value of ~45 (in
average), while, the type I and type IV devices showed ION/IOFF ratio values of ~16 and ~17,
respectively. The type III device (BE/A-D-C-B/TE), however, showed no switching behaviour and
only insulating I–V characteristics were observed. Figure 2 also shows the I–V data which are
repeated for five consecutive cycles. All the devices showed relatively stable I–V behaviour, while
the type IV device showed a slight change in the current levels. As shown in Figure 2, during the
SET and RESET processes, the current changes gradually, indicating the interface-type mechanism
is dominant rather than the filament-type [31]. Concerning the variation of memristive behavior by
the stacking sequence, we expect that the supply and migration of oxygen vacancies from the
underneath TiOx sub-layers to the TE/top-TiOx interface are important [31]. In our results, the type I,
II, and IV devices showed the memristive behaviour while the type III device showed insulating
characteristics. In particular, in the cases of types I and II, the most oxygen-rich TiOx layer (D-TiOx)
with the lowest concentration of oxygen vacancies is placed on the top-most layer, contacting the
TE, while the relatively oxygen-deficient TiOx layers with larger concentrations of oxygen vacancies
are placed underneath. Therefore, during the SET process, these relatively oxygen-deficient TiOx
layers can efficiently supply the oxygen vacancies and can contribute to the interface-type resistive
switching behaviour. (e) D-TiOx films.
3. Results and Discussion Comparing the type I and II devices, the positions of B- and C-TiOx layers are
different, where in type II, the second-most oxygen-deficient TiOx layer (B-TiOx) is placed beneath
the top D-TiOx layer. Therefore, compared to type I device, more oxygen vacancies can be supplied
to the top D-TiOx layer, allowing larger resistive variation during switching. In the cases of types III
and IV, the most oxygen-rich D-TiOx layer is placed in the middle parts of the stacking. Therefore,
the supply of oxygen vacancies towards the TE/top-TiOx interface can be relatively smaller
compared to type I and II devices. Also, considering that the oxygen vacancies migrate toward the
TE/top-TiOx interface during the SET process, the decrease of resistance in the D-TiOx layer can be
higher in type IV device compared to type III. Figure 2. The representative current–voltage (I–V) characteristics of memristors having the stacking
sequences of (a) A-B-C-D (type I), (b) A-C-B-D (type II), (c) A-D-C-B (type III), and (d) A-C-D-B (type
IV), respectively. The top electrode (TE) was set as ground and the bias applied to the bottom
electrode (BE) was swept in the sequence of 0 V → +3 V → −3 V → 0 V. The measurement was
repeated five times in each case. Figure 2. The representative current–voltage (I–V) characteristics of memristors having the stacking
sequences of (a) A-B-C-D (type I), (b) A-C-B-D (type II), (c) A-D-C-B (type III), and (d) A-C-D-B (type
IV), respectively. The top electrode (TE) was set as ground and the bias applied to the bottom electrode
(BE) was swept in the sequence of 0 V →+3 V →−3 V →0 V. The measurement was repeated five
times in each case. Figure 2. The representative current–voltage (I–V) characteristics of memristors having the stacking
sequences of (a) A-B-C-D (type I), (b) A-C-B-D (type II), (c) A-D-C-B (type III), and (d) A-C-D-B (type
IV), respectively. The top electrode (TE) was set as ground and the bias applied to the bottom
electrode (BE) was swept in the sequence of 0 V → +3 V → −3 V → 0 V. The measurement was
repeated five times in each case. Figure 2. The representative current–voltage (I–V) characteristics of memristors having the stacking
sequences of (a) A-B-C-D (type I), (b) A-C-B-D (type II), (c) A-D-C-B (type III), and (d) A-C-D-B (type
IV), respectively. (e) D-TiOx films.
3. Results and Discussion The top electrode (TE) was set as ground and the bias applied to the bottom electrode
(BE) was swept in the sequence of 0 V →+3 V →−3 V →0 V. The measurement was repeated five
times in each case. 5 of 9
5 of 9 Micromachines 2020, 11, 154
Micromachines 2020, 11, x The data retention characteristics of memristors are important for realizing highly stable memory
devices as well as neuromorphic or synaptic devices. Figure 3a shows the data retention characteristics
of type I, II, and IV devices. Here, the LRS and HRS states were programmed with pulsed biases of
+3 V and −3 V, respectively (pulse widths of 100 ms). Also, the programmed states were read for an
interval of 200 s up to 10,000 s, with a read voltage of +1 V. As displayed, devices with types I, II, and
IV showed stable operation up to 10,000 s without a considerable change in the current levels of ON
(ION) and OFF (IOFF) states. Therefore, the ION/IOFF ratios are maintained correspondingly as shown
in Figure 3b. Among the tested devices, the type II memristors exhibited the highest ION/IOFF ratio,
while the type I memristor showed the lowest ION/IOFF ratio. Nonetheless, the results indicate that
regardless of the stacking sequence, the TiOx-based memristors showed relatively stable operations. memory devices as well as neuromorphic or synaptic devices. Figure 3a shows the data retention
characteristics of type I, II, and IV devices. Here, the LRS and HRS states were programmed with
pulsed biases of +3 V and −3 V, respectively (pulse widths of 100 ms). Also, the programmed states
were read for an interval of 200 s up to 10,000 s, with a read voltage of +1 V. As displayed, devices
with types I, II, and IV showed stable operation up to 10,000 s without a considerable change in the
current levels of ON (ION) and OFF (IOFF) states. Therefore, the ION/IOFF ratios are maintained
correspondingly as shown in Figure 3b. Among the tested devices, the type II memristors exhibited
the highest ION/IOFF ratio, while the type I memristor showed the lowest ION/IOFF ratio. Nonetheless,
the results indicate that regardless of the stacking sequence, the TiOx-based memristors showed
relatively stable operations. Figure 3. (a) The data retention characteristics of TiOx-based memristors (type I, II, and IV). (e) D-TiOx films.
3. Results and Discussion The ON
and OFF states were programmed with biases of +3 V and −3 V, respectively. Also, the read voltage
was +1 V. (b) The variation of ION/IOFF ratio during the data retention test up to 10 ks. Figure 3. (a) The data retention characteristics of TiOx-based memristors (type I, II, and IV). The ON
and OFF states were programmed with biases of +3 V and −3 V, respectively. Also, the read voltage
was +1 V. (b) The variation of ION/IOFF ratio during the data retention test up to 10 ks. Figure 3. (a) The data retention characteristics of TiOx-based memristors (type I, II, and IV). The ON
and OFF states were programmed with biases of +3 V and −3 V, respectively. Also, the read voltage
was +1 V. (b) The variation of ION/IOFF ratio during the data retention test up to 10 ks. Figure 3. (a) The data retention characteristics of TiOx-based memristors (type I, II, and IV). The ON
and OFF states were programmed with biases of +3 V and −3 V, respectively. Also, the read voltage
was +1 V. (b) The variation of ION/IOFF ratio during the data retention test up to 10 ks. Symmetric synaptic weight update characteristics between long-term potentiation (LTP) and
long-term depression (LTD) is a crucial factor in designing synaptic devices that directly affects
learning accuracy of neuromorphic computing [32,33]. As shown in Figure 4, we measured the
long-term plasticity of the type II device by applying a pulse train consisting of potentiation (VPOT),
depression (VDEP) and read pulses. The VPOT was fixed at +2 V during the potentiation process while
the VDEP was varied as −1 V and −2 V as shown in Figure 4a (“A” pulse train) and b (“B” pulse
train), respectively. Each potentiation and depression was performed for 300 cycles each. The
duration time of each pulse was 50 ms and the pulse interval was ~1.45 s (see the inset of Figure 4
showing the pulse train of the three cycles). As shown in Figure 4, bidirectional switching
behaviour was obtained in which the channel conductance was set to various conducting states
between 0.136 μS and 2.02 μS for both conductance rise and fall processes. The acquired channel
conductance represents a non-volatile behaviour. Thus, increasing and decreasing the channel
conductance can be regarded as synaptic LTP and LTD, respectively. (e) D-TiOx films.
3. Results and Discussion number of pulse) of memristors with
different depression pulse voltage (a) “A” pulse train condition (VPOT = +2 V, VDEP = −1 V), and (b)
“B” pulse train condition (VPOT = +2 V, VDEP = −2 V). Figure 4. The weight update characteristics (conductance vs. number of pulse) of memristors with
different depression pulse voltage (a) “A” pulse train condition (VPOT = +2 V, VDEP = −1 V), and (b)
“B” pulse train condition (VPOT = +2 V, VDEP = −2 V). Using the “NeuroSim+” platform, a supervised artificial neural network learning simulation of
the MNIST handwritten recognition data set was performed by applying the non-linearity,
conductance level, and the cycle-to-cycle variation of our device [34,35]. In the simulation, we used
a three-layer neural network with 400 pre-neurons, 100 hidden neurons and 10 output neurons
which correspond to 10 classes of digits (0–9). The detail of the three-layer multilayer perceptron
network is shown in Figure 5a [36]. The TiOx multi-layer memristor acts as a memory element in a
crossbar array and their memristor conductivity change was used as the weight update to run the
back-propagation algorithm. Here, the crossbar is considered as part of a “neuron core” that
executes vector-matrix multiplication (inference) and outer-product updates (learning) operations
[37]. The sum of the input neuron signal vector and the first layer of the synaptic weight is
transferred to the input vector of the hidden layer after activation and binarization [9]. For each
epoch, 60,000 training data set were used for training, and accuracy was obtained using a 10,000 test
Using the “NeuroSim+” platform, a supervised artificial neural network learning simulation of
the MNIST handwritten recognition data set was performed by applying the non-linearity, conductance
level, and the cycle-to-cycle variation of our device [34,35]. In the simulation, we used a three-layer
neural network with 400 pre-neurons, 100 hidden neurons and 10 output neurons which correspond
to 10 classes of digits (0–9). The detail of the three-layer multilayer perceptron network is shown in
Figure 5a [36]. The TiOx multi-layer memristor acts as a memory element in a crossbar array and their
memristor conductivity change was used as the weight update to run the back-propagation algorithm. Here, the crossbar is considered as part of a “neuron core” that executes vector-matrix multiplication
(inference) and outer-product updates (learning) operations [37]. (e) D-TiOx films.
3. Results and Discussion In addition to the symmetry,
the change in linear conductance between LTP and LTD processes is also an important factor
[32,33]. So, we calculated the nonlinearity values between LTP and LTD processes through the
potentiation and depression data. The nonlinearity factors (α) were extracted from the characteristic
curves shown in Figure 4. We use the device behavioural model [34], where the conductance
Symmetric synaptic weight update characteristics between long-term potentiation (LTP) and
long-term depression (LTD) is a crucial factor in designing synaptic devices that directly affects learning
accuracy of neuromorphic computing [32,33]. As shown in Figure 4, we measured the long-term
plasticity of the type II device by applying a pulse train consisting of potentiation (VPOT), depression
(VDEP) and read pulses. The VPOT was fixed at +2 V during the potentiation process while the VDEP was
varied as −1 V and −2 V as shown in Figure 4a (“A” pulse train) and b (“B” pulse train), respectively. Each potentiation and depression was performed for 300 cycles each. The duration time of each pulse
was 50 ms and the pulse interval was ~1.45 s (see the inset of Figure 4 showing the pulse train of
the three cycles). As shown in Figure 4, bidirectional switching behaviour was obtained in which
the channel conductance was set to various conducting states between 0.136 µS and 2.02 µS for both
conductance rise and fall processes. The acquired channel conductance represents a non-volatile
behaviour. Thus, increasing and decreasing the channel conductance can be regarded as synaptic LTP
and LTD, respectively. In addition to the symmetry, the change in linear conductance between LTP and
LTD processes is also an important factor [32,33]. So, we calculated the nonlinearity values between
LTP and LTD processes through the potentiation and depression data. The nonlinearity factors (α) were
extracted from the characteristic curves shown in Figure 4. (e) D-TiOx films.
3. Results and Discussion We use the device behavioural model [34],
where the conductance change is represented with the following equations [34]: llowing equations [34]:
𝐺்ൌ𝐵ቀ1 −𝑒൫
ൗ൯ቁ𝐺
(1)
𝐺்ൌ𝐵൬1 −𝑒ቀିೌೣ
ൗቁ൰𝐺௫
(2)
𝐵ൌሺ𝐺்−𝐺ሻോ൬1 −𝑒ቀିೌೣ
ൗቁ൰
(3)
GLTP = B
1 −e( P
A )
+ Gmin
(1)
GLTD = B
1 −e( P−Pmax
A
)
+ Gmax
(2)
B = (GLTP −Gmin)/
1 −e( −Pmax
A
)
(3) (1)
(1) (2) (2) (3) (3) 6 of 9
6 of 9 Micromachines 2020, 11, 154
Micromachines 2020 11 x where, P is number of pulses, B is a fitting parameter, A is the nonlinearity of potentiation (αpot) and
depression (αdep), GLTP and GLTD are the conductance for LTP and LTD, and Gmax, Gmin and Pmax are
the experimental data which represent the maximum conductance, minimum conductance and the
maximum number of pulses required to change the device states between minimum and maximum
conductance. The non-linearity values for “A” pulse train were αpot = 2.4 and αdep = −4.6 for the
potentiation and depression, respectively (Figure 4a). The non-linearity values for “B” pulse train were
αpot = 2.2 and αdep = −8.74 (Figure 4b). where, P is number of pulses, B is a fitting parameter, A is the nonlinearity of potentiation (𝛼௧)
and depression (𝛼ௗ), GLTP and GLTD are the conductance for LTP and LTD, and Gmax, Gmin and Pmax
are the experimental data which represent the maximum conductance, minimum conductance and
the maximum number of pulses required to change the device states between minimum and
maximum conductance. The non-linearity values for “A” pulse train were 𝛼௧ = 2.4 and 𝛼ௗ =
−4.6 for the potentiation and depression, respectively (Figure 4a). The non-linearity values for “B”
pulse train were 𝛼௧ = 2.2 and 𝛼ௗ = −8.74 (Figure 4b). Figure 4. The weight update characteristics (conductance vs. number of pulse) of memristors with
different depression pulse voltage (a) “A” pulse train condition (VPOT = +2 V, VDEP = −1 V), and (b)
“B” pulse train condition (VPOT = +2 V, VDEP = −2 V). Figure 4. The weight update characteristics (conductance vs. number of pulse) of memristors with
different depression pulse voltage (a) “A” pulse train condition (VPOT = +2 V, VDEP = −1 V), and (b)
“B” pulse train condition (VPOT = +2 V, VDEP = −2 V). Figure 4. The weight update characteristics (conductance vs. 4 Conclusions
4. Conclusions o
u io
In this paper, we demonstrated the multi-layer TiOx memristors for potential memory and
neuromorphic applications. The four TiOx sub-layers with different oxygen vacancy content were
fabricated by using different sputtering conditions by varying the gas flow rates of Ar and O2. Also,
through the XPS analysis, the ratio of M–O–M and M–Ovac of oxygen peaks at different gas flow
conditions was determined. By comparing the memristor characteristics according to the stacking
sequence of the memristor device with a multi-layer structure, it was confirmed that the ION/IOFF
ratio value is the highest as 45 in the type II stacking sequence structure. Also, by measuring the
retention time in the on state and off state, it was confirmed that the current is maintained without
degradation over 10,000 s. In addition, the long-term plasticity (LTP/LTD) was measured for the
type II stacking sequence structure to obtain LTP and LTD non-linearity according to different
depression voltage pulses. Two depression pulse voltage conditions and algorithm methods (SGD
and ADAM) were used and the highest accuracy of 89 18% was obtained when VDEP = −1 V and
In this paper, we demonstrated the multi-layer TiOx memristors for potential memory and
neuromorphic applications. The four TiOx sub-layers with different oxygen vacancy content were
fabricated by using different sputtering conditions by varying the gas flow rates of Ar and O2. Also,
through the XPS analysis, the ratio of M–O–M and M–Ovac of oxygen peaks at different gas flow
conditions was determined. By comparing the memristor characteristics according to the stacking
sequence of the memristor device with a multi-layer structure, it was confirmed that the ION/IOFF ratio
value is the highest as 45 in the type II stacking sequence structure. Also, by measuring the retention
time in the on state and offstate, it was confirmed that the current is maintained without degradation
over 10,000 s. In addition, the long-term plasticity (LTP/LTD) was measured for the type II stacking
sequence structure to obtain LTP and LTD non-linearity according to different depression voltage
pulses. Two depression pulse voltage conditions and algorithm methods (SGD and ADAM) were used,
and the highest accuracy of 89.18% was obtained when VDEP = −1 V and with the ADAM algorithm. with the ADAM algorithm. Author Contributions: M.K. and K.Y. performed the experiments and the data analysis; S.-P.J., S.K.P. and
Y.-H.K. contributed to draft the manuscript and carry-out the data analysis and evaluation. S.K.P. (e) D-TiOx films.
3. Results and Discussion The sum of the input neuron signal
vector and the first layer of the synaptic weight is transferred to the input vector of the hidden layer
after activation and binarization [9]. For each epoch, 60,000 training data set were used for training,
and accuracy was obtained using a 10,000 test data set. p
,
,
g
g,
y
g
,
data set. By using algorithmic methods which was stochastic gradient descent (SGD) and adaptive
moment estimation (ADAM) weight update, the accuracy of MNIST handwritten recognition was
obtained. As shown in Figure 5b, in the case of the “A” pulse train condition (VPOT = +2 V,
VDEP = −1 V), the accuracy was 82.99% when using the SGD, and 89.18% when using the ADAM. On
the other hand, in the case of ‘B’ pulse train condition (VPOT = +2 V, VDEP = −2 V), the accuracy was
20.80% when using the SGD, and 59.52% when using the ADAM. Because the LTD non-linearity
value of the “A” pulse train condition is smaller compared to that of the “B” pulse train condition, it
is advantageous for learning process which resulted in a higher accuracy. The learning algorithm
also plays an important role in accuracy. The SGD method calculates an error from the current
By using algorithmic methods which was stochastic gradient descent (SGD) and adaptive moment
estimation (ADAM) weight update, the accuracy of MNIST handwritten recognition was obtained. As shown in Figure 5b, in the case of the “A” pulse train condition (VPOT = +2 V, VDEP = −1 V), the
accuracy was 82.99% when using the SGD, and 89.18% when using the ADAM. On the other hand, in
the case of ‘B’ pulse train condition (VPOT = +2 V, VDEP = −2 V), the accuracy was 20.80% when using
the SGD, and 59.52% when using the ADAM. Because the LTD non-linearity value of the “A” pulse train
condition is smaller compared to that of the “B” pulse train condition, it is advantageous for learning
process which resulted in a higher accuracy. The learning algorithm also plays an important role in
accuracy. The SGD method calculates an error from the current weight, predicting a direction in which
the weight should change, and learns at a predetermined step size. (e) D-TiOx films.
3. Results and Discussion However, the ADAM method stored 7 of 9
7 of 9 Micromachines 2020, 11, 154
Micromachines 2020, 11, x the exponential average of the slopes calculated so far to modulate the weight direction, and also stored
the exponent average of the squared slopes to set the step size [38,39]. Thus, when using the ADAM
method, there were more data to store, but accurate learning could be achieved using our device. p
p
g
p
far to modulate the weight direction, and also stored the exponent average of the squared slopes to
set the step size [38,39]. Thus, when using the ADAM method, there were more data to store, but
accurate learning could be achieved using our device. Figure 5. (a) A three-layer perceptron-based artificial neural network for Modified National Institute
of Standards and Technology (MNIST) handwritten recognition, and (b) the accuracy with training
epochs based on two pulse conditions and two algorithms which were stochastic gradient descent
(SGD) and adaptive moment estimation (ADAM). Figure 5. (a) A three-layer perceptron-based artificial neural network for Modified National Institute
of Standards and Technology (MNIST) handwritten recognition, and (b) the accuracy with training
epochs based on two pulse conditions and two algorithms which were stochastic gradient descent
(SGD) and adaptive moment estimation (ADAM). Figure 5. (a) A three-layer perceptron-based artificial neural network for Modified National Institute
of Standards and Technology (MNIST) handwritten recognition, and (b) the accuracy with training
epochs based on two pulse conditions and two algorithms which were stochastic gradient descent
(SGD) and adaptive moment estimation (ADAM). Figure 5. (a) A three-layer perceptron-based artificial neural network for Modified National Institute
of Standards and Technology (MNIST) handwritten recognition, and (b) the accuracy with training
epochs based on two pulse conditions and two algorithms which were stochastic gradient descent
(SGD) and adaptive moment estimation (ADAM). 4 Conclusions
4. Conclusions and Y.-H.K. Author Contributions: M.K. and K.Y. performed the experiments and the data analysis; S.-P.J., S.K.P. and Y.-H.K. contributed to draft the manuscript and carry-out the data analysis and evaluation. S.K.P. and Y.-H.K. made the
substantial contribution to the concept of experiments and was responsible for leading the project. All authors
read and approved the final manuscript. made the substantial contribution to the concept of experiments and was responsible for leading the project. All authors read and approved the final manuscript. Funding: This research was partially supported by the National Research Foundation of Korea (NRF) grant
funded by the Korea government (MSIP) (No. NRF-2019M3F3A1A02071601), and the Chung-Ang University
Research Scholarship Grants in 2018. Funding: This research was partially supported by the Nationa
funded by the Korea government (MSIP) (No NRF 2019M3F3A
Conflicts of Interest: The authors declare no conflict of interest. References
1.
Sun, W.; Gao, B.; Chi, M.; Xia, Q.; Yang, J.J.; Qian, H.; Wu, H. Understanding memristive switching via in
situ characterization and device modeling. Nat. Commun. 2019, 10, 1–13, doi:10.1038/s41467-019-11411-6.
2.
Bayat, F.M.; Prezioso, M.; Chakrabarti, B.; Nili, H.; Kataeva, I.; Strukov, D. Implementation of multilayer
perceptron network with highly uniform passive memristive crossbar circuits. Nat. Commun. 2018, 9, 1–7.
[CrossRef] [PubMed] Conflicts of Interest: The authors declare no conflict of interest.
References
1.
Sun, W.; Gao, B.; Chi, M.; Xia, Q.; Yang, J.J.; Qian, H.; Wu, H. Understanding memristive switching via in situ
characterization and device modeling. Nat. Commun. 2019, 10, 1–13. [CrossRef] [PubMed]
2
B
t F M P
i
M Ch k
b
ti B Nili H K t
I St
k
D I
l
t ti
f
ltil Research Scho
References He, W.; Sun, H.; Zhou, Y.; Lu, K.; Xue, K.; Miao, X. Customized binary and multi-level HfO2−x-based
memristors tuned by oxidation conditions. Sci. Rep. 2017, 7, 10070. [CrossRef] 13. Kumar, S.; Strachan, J.P.; Williams, R.S. Chaotic dynamics in nanoscale NbO2 Mott memristors for analogue
computing. Nature 2017, 548, 318–321. [CrossRef] [PubMed]
14. Kim, W.; Chattopadhyay, A.; Siemon, A.; Linn, E.; Waser, R.; Rana, V. Multistate Memristive Tantalum Oxide 13. Kumar, S.; Strachan, J.P.; Williams, R.S. Chaotic dynamics in nanoscale NbO2 Mott memristors for analogue
computing. Nature 2017, 548, 318–321. [CrossRef] [PubMed] 4. Kim, W.; Chattopadhyay, A.; Siemon, A.; Linn, E.; Waser, R.; Rana, V. Multistate Memristive Tantalum O
Devices for Ternary Arithmetic. Sci. Rep. 2016, 6, 36652. [CrossRef] [PubMed] 5. Barnes, B.K.; Das, K.S. Resistance Switching and Memristive Hysteresis in Visible-Light-Activated Adsor
ZnO Thin Films. Sci. Rep. 2018, 8, 2184. [CrossRef] [PubMed] 16. Salaoru, I.; Prodromakis, T.; Khiat, A.; Toumazou, C. Resistive switching of oxygen enhanced TiO2 thin-film
devices. Appl. Phys. Lett. 2013, 102, 013506. [CrossRef] 17. Zaffora, A.; Macaluso, R.; Habazaki, H.; Valov, I.; Santamaria, M. Electrochemically prepared oxides for
resistive switching devices. Electrochim. Acta 2018, 274, 103–111. [CrossRef] 18. Aglieri, V.; Zaffora, A.; Lullo, G.; Santamaria, M.; Di Franco, F.; Lo Cicero, U.; Mosca, M.; Macaluso, R. Resistive switching in microscale anodic titanium dioxide-based memristors. Superlattices Microstruct. 2018,
113, 135–142. [CrossRef] 19. Bousoulas, P.; Michelakaki, I.; Tsoukalas, D. Influence of Ti top electrode thickness on the resistive switching
properties of forming free and self-rectified TiO2−x thin films. Thin Solid Films 2014, 571, 23–31. [CrossRef]
20. Strukov, D.B.; Snider, G.S.; Stewart, D.R.; Williams, R.S. The missing memristor found. Nature 2008, 453,
80–83. [CrossRef] 19. Bousoulas, P.; Michelakaki, I.; Tsoukalas, D. Influence of Ti top electrode thickness on the resistive switching
properties of forming free and self-rectified TiO2−x thin films. Thin Solid Films 2014, 571, 23–31. [CrossRef] 0. Strukov, D.B.; Snider, G.S.; Stewart, D.R.; Williams, R.S. The missing memristor found. Nature 2008,
80–83. [CrossRef] 21. Li, D.; Li, M.; Zahid, F.; Wang, J.; Guo, H. Oxygen vacancy filament formation in TiO2: A kinetic Monte Carlo
study. J. Appl. Phys. 2012, 112, 073512. [CrossRef] 22. Carta, D.; Salaoru, I.; Khiat, A.; Regoutz, A.; Mitterbauer, C.; Harrison, N.M.; Prodromakis, T. Investigation
of the Switching Mechanism in TiO2-Based RRAM: A Two-Dimensional EDX Approach. ACS Appl. Mater. Interfaces 2016, 8, 19605–19611. [CrossRef] 23. Research Scho
References Conflicts of Interest: The authors declare no conflict of interest. References
1. Sun, W.; Gao, B.; Chi, M.; Xia, Q.; Yang, J.J.; Qian, H.; Wu, H. Understanding memristive switching via in situ
characterization and device modeling. Nat. Commun. 2019, 10, 1–13. [CrossRef] [PubMed] References
1. Sun, W.; Gao, B.; Chi, M.; Xia, Q.; Yang, J.J.; Qian, H.; Wu, H. Understanding memristive switching via in
situ characterization and device modeling. Nat. Commun. 2019, 10, 1–13, doi:10.1038/s41467-019-11411-6. 2. Bayat, F.M.; Prezioso, M.; Chakrabarti, B.; Nili, H.; Kataeva, I.; Strukov, D. Implementation of multilayer
perceptron network with highly uniform passive memristive crossbar circuits. Nat. Commun. 2018, 9, 1–7. [CrossRef] [PubMed] 8 of 9 Micromachines 2020, 11, 154 3. Mikhaylov, A.N.; Morozov, O.A.; Ovchinnikov, P.E.; Antonov, I.N.; Belov, A.I.; Korolev, D.S.; Sharapov, A.N.;
Gryaznov, E.G.; Gorshkov, O.N.; Pigareva, Y.I. One-board design and simulation of double-layer perceptron
based on metal-oxide memristive nanostructures. IEEE Trans. Emerg. Topics Comput. 2018, 2, 371–379. [CrossRef] 4. Cai, F.; Correll, J.M.; Lee, S.H.; Lim, Y.; Bothra, V.; Zhang, Z.; Flynn, M.P.; Lu, W.D. A fully integrated
reprogrammable memristor–CMOS system for efficient multiply–accumulate operations. Nat. Electron. 2019,
2, 290–299. [CrossRef] 5. Mehonic, A.; Cueff, S.; Wojdak, M.; Hudziak, S.; Jambois, O.; Labbé, C.; Garrido, B.; Rizk, R.; Kenyon, A.J. Resistive switching in silicon suboxide films. J. Appl. Phys. 2012, 111, 074507. [CrossRef] 6. Mikhaylov, A.N.; Belov, A.I.; Guseinov, D.V.; Korolev, D.S.; Antonov, I.N.; Efimovykh, D.V.; Tikhov, S.V.;
Kasatkin, A.P.; Gorshkov, O.N.; Tetelbaum, D.I. Bipolar resistive switching and charge transport in silicon
oxide memristor. Mater. Sci. Eng. B 2015, 194, 48–54. [CrossRef] 7. Wong, H.P.; Lee, H.; Yu, S.; Chen, Y.; Wu, Y.; Chen, P.; Lee, B.; Chen, F.T.; Tsai, M. Metal–Oxide RRAM. Proc. IEEE 2012, 100, 1951–1970. [CrossRef] 8. Wang, Z.; Joshi, S.; Savel’ev, S.E.; Jiang, H.; Midya, R.; Lin, P.; Hu, M.; Ge, N.; Strachan, J.P.; Li, Z.; et al. Memristors with diffusive dynamics as synaptic emulators for neuromorphic computing. Nat. Mater. 2017,
16, 101–108. [CrossRef] 9. Choi, S.; Tan, S.H.; Li, Z.; Kim, Y.; Choi, C.; Chen, P.-Y.; Yeon, H.; Yu, S.; Kim, J. SiGe epitaxial memory for
neuromorphic computing with reproducible high performance based on engineered dislocations. Nat. Mater. 2018, 17, 335–340. [CrossRef] 10. Chua, L. Memristor-The missing circuit element. IEEE Trans. Circuit Theory 1971, 18, 507–519. [CrossRef] g
11. The Memristor Revisited. Available online: https://www.nature.com/articles/s41928-018-0083-3 (accessed on
3 January 2020). 12. Research Scho
References Sadi, T.; Mehonic, A.; Montesi, L.; Buckwell, M.; Kenyon, A.; Asenov, A. Investigation of resistance switching
in SiOxRRAM cells using a 3D multi-scale kinetic Monte Carlo simulator. J. Phys. Condens. Matter 2018,
30, 084005. [CrossRef] [PubMed] 24. Guseinov, D.; Korolev, D.; Belov, A.; Okulich, E.; Okulich, V.; Tetelbaum, D.; Mikhaylov, A. Flexible
Monte-Carlo approach to simulate electroforming and resistive switching in filamentary metal-oxide
memristive devices. Model. Simul. Mater. Sci. Eng. 2019, 28, 015007. [CrossRef] 9 of 9 Micromachines 2020, 11, 154 25. Dash, C.S.;
Sahoo, S.;
Prabaharan, S.R.S. Resistive switching and impedance characteristics of
M/TiO2−x/TiO2/M nano-ionic memristor. Solid State Ionics 2018, 324, 218–225. [CrossRef] 26. Zhang, H.; Ju, X.; Yew, K.S.; Ang, D.S. Implementation of Simple but Powerful Trilayer Oxide-Based Artificial
Synapses with a Tailored Bio-Synapse-Like Structure. ACS Appl. Mater. Interfaces 2020, 12, 1036–1045. [CrossRef] [PubMed] 27. Li, Y.; Li, X.; Fu, L.; Chen, R.; Wang, H.; Gao, X. Effect of interface layer engineering on resistive switching
characteristics of ZrO 2-based resistive switching devices. IEEE Trans. Electron Devices 2018, 65, 5390–5394. [CrossRef] 28. Wu, W.; Wu, H.; Gao, B.; Deng, N.; Qian, H. Suppress variations of analog resistive memory for neuromorphic
computing by localizing Vo formation. J. Appl. Phys. 2018, 124, 152108. [CrossRef] 29. Skaja, K.; Andrä, M.; Rana, V.; Waser, R.; Dittmann, R.; Baeumer, C. Reduction of the forming voltage through
tailored oxygen non-stoichiometry in tantalum oxide ReRAM devices. Sci. Rep. 2018, 8, 10861. [CrossRef] 30. Gross, M.; Winnacker, A.; Wellmann, P.J. Electrical, optical and morphological properties of nanoparticle
indium–tin–oxide layers. Thin Solid Films 2007, 515, 8567–8572. [CrossRef] 31. Sawa, A. Resistive switching in transition metal oxides. Mater. Today 2008, 11, 28–36. [CrossRef] 32. Jang, J.;
Park, S.;
Burr, G.W.;
Hwang, H.;
Jeong, Y. Optimization of Conductance Change in
Pr1–xCaxMnO3-Based Synaptic Devices for Neuromorphic Systems. IEEE Electron Device Lett. 2015,
36, 457–459. [CrossRef] 33. Wang, I.T.; Chang, C.-C.; Chiu, L.-W.; Chou, T.; Hou, T.-H. 3D Ta/TaOx/TiO2/Ti synaptic array and linearity
tuning of weight update for hardware neural network applications. Nanotechnology 2016, 27, 365204. [CrossRef] 34. Chen, P.; Peng, X.; Yu, S. NeuroSim+: An integrated device-to-algorithm framework for benchmarking
synaptic devices and array architectures. In Proceedings of the IEEE International Electron Devices Meeting
(IEDM), San Francisco, CA, USA, 2–6 December 2017. 35. LeCun, Y.; Bottou, L.; Bengio, Y.; Haffner, P. Gradient-based learning applied to document recognition. Proc. IEEE 1998, 86, 2278–2323. [CrossRef] 36. Research Scho
References Kataeva, I.; Merrikh-Bayat, F.; Zamanidoost, E.; Strukov, D. Efficient training algorithms for neural networks
based on memristive crossbar circuits. In Proceedings of the International Joint Conference on Neural
Networks (IJCNN), Killarney, Ireland, 12–17 July 2015; pp. 1–8. 37. Yang, C.-S.; Shang, D.-S.; Liu, N.; Fuller, E.J.; Agrawal, S.; Talin, A.A.; Li, Y.-Q.; Shen, B.-G.;
Sun, Y. All-Solid-State Synaptic Transistor with Ultralow Conductance for Neuromorphic Computing. Adv. Funct. Mater. 2018, 28, 1804170. [CrossRef] 38. Darken, C.; Chang, J.; Moody, J. Learning rate schedules for faster stochastic gradient search. In Proceedings
of the 1992 IEEE Workshop Neural Networks for Signal Processing II, Helsingoer, Denmark, 31 August–2
September 1992; pp. 3–12. 39. Kingma, D.P.; Ba, J. Adam: A method for stochastic optimization. In Proceedings of the International
Conference on Learning Representations, San Diego, CA, USA, 7 May 2015. © 2020 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/). © 2020 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/).
|
W64199706.txt
|
https://link.springer.com/content/pdf/10.1007/s00451-013-0159-7.pdf
|
de
|
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
|
Forum der Psychoanalyse
| 2,013
|
cc-by
| 7,826
|
Forum Psychoanal (2014) 30:291–307
DOI 10.1007/s00451-013-0159-7
Originalarbeit
Deuten aus der Perspektive der strukturalen
Psychoanalyse Lacans
Manfred Klemann
Online publiziert: 31. Oktober 2013
© Die Autor(en) 2013. Dieser Artikel ist auf Springerlink.com mit Open Access verfügbar.
Zusammenfassung Im vorliegenden Beitrag wird der Zusammenhang zwischen
Verstehen und Gegenübertragungsanalyse im Hinblick auf den analytischen Deutungsprozess untersucht. Darin spielt das Selbstverständnis des Analytikers eine
entscheidende Rolle im Hinblick darauf, welche Richtung eine Analyse nimmt.
Da Feld und Funktion des Sprechens dabei entscheidend sind, werden sie kurz
skizziert, um den struktural-analytischen Ausgangspunkt der nachfolgenden Überlegungen verständlich zu machen. Ausgangspunkt der weiteren Überlegung ist die
Definition des Unbewussten als das, was einem nicht bewusst zur Verfügung steht.
Wenn sich jedoch der Analytiker mit dem Platz des Wissenden identifiziert, auf den
ihn die Übertragung des Analysanden setzt, resultiert daraus eine Deutungsgewissheit, welche die Analyse zwangsläufig in eine Sackgasse führt. Dies ist typisch für
die forcierte Übertragungsanalyse im Hier und Jetzt. Dem wird als Alternative die
Technik des Andeutens gegenübergestellt, deren konzeptueller Ausgangspunkt gerade das Nichtverstehen (i. S. von Nichtwissen) ist. Diese Annahme schafft die Voraussetzung, sich weniger auf die Analyse der Gegenübertragung stützen zu müssen.
Stattdessen rückt das Gesprochene ins Zentrum der Wahrnehmung und die darin
befindlichen Brüche. Eine solche analytische Haltung ermöglicht es, das Sprechen
des Subjekts des Unbewussten durch den Umweg über den Analytiker und dessen
An-Deutungen zu hören.
Dr. phil., Dipl.-Psych. M. Klemann ()
Goetheallee 8, 37073 Göttingen, Deutschland
E-Mail: dr.manfred.klemann@t-online.de
13
292
M. Klemann
Interpreting from the perspective of structural Lacanian psychoanalysis
Abstract “Beware of understanding!” Lacan’s structural analysis: theory and practice of interpretation. This paper investigates the relationship of understanding and
countertransference analysis in the process of analytical interpretation. Here selfimage of the analyst is crucial concerning the direction of the analysis. As field and
function of speech are pivotal, they will be briefly sketched to clarify the structuralanalytic starting point of the following arguments. The basis of the ideas is a definition of the unconscious as what is not conscious available. Should the analyst see
himself as the “knowing” one, as his patient also assumes, a false assurance will
result and the analysis will lead nowhere. This is typical of a “forced” transference
analysis in the here and now. The alternative is a strategy of hints, whose premise
is, that we do not know. This assumption makes it unnecessary to rely on countertransference analysis. Instead, the spoken word and its contradictions are in the
focus. This analytical attitude makes listening to the “subject of the unconscious”
possible by means of the analyst and his hints.
Hüten Sie sich, zu verstehen!
Verstehen als Zentralbegriff des psychoanalytischen Diskurses
Das Motto des Aufsatzes kolportiert eine Äußerung Lacans aus dem Jahr 1954
[1991]. Isoliert betrachtet ist sie auf den ersten Blick irritierend, weil Verstehen
zu den Zentralbegriffen des modernen psychoanalytischen Diskurses gehört. Im
Kontext der sog. Gegenübertragungsanalyse nimmt das Verstehen den zentralen
Dreh- und Angelpunkt ein, von dem aus das Unbewusste des Patienten unmittelbar
zugänglich erscheint. Dem liegt die Freudsche Metapher vom Receiver und Teller
(Freud 1912e) zugrunde, die im neurobiologischen Diskurs vom Konzept der Spiegelneurone abgelöst worden ist. Beiden Konzepten ist gemeinsam, dass die Frage,
wie in der Psychoanalyse gedeutet wird, konzeptuell nicht geklärt, sondern im Imaginären verbleibt.
Wenn Einigkeit darüber besteht, dass das Unbewusste per definitionem das
umfasst, was unbewusst, also dem Bewusstsein nicht zugänglich, sondern ihm vielmehr fremd ist, dann kann ein Verstehen seelischer unbewusster Vorgänge nicht am
Beginn einer analytischen Begegnung, sondern höchstens am Ende stehen. So, wie
sich auch die Bedeutung eines Satzes frühestens dann erschließt, wenn das letzte
Wort gesprochen und der Zusammenhang, in dem er steht, mit berücksichtigt wird.
Die vorliegende Arbeit versucht der Frage nachzugehen, wie sich die Themenkreise „Verstehen“ – als vorbereitender Akt einer Deutung – und „das Selbstverständnis des Analytikers“ miteinander verschränken. Dabei wird es auch um die Frage
gehen, was es eigentlich heißt, psychoanalytisch zu deuten und welche Probleme
damit verbunden sein können.
13
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
293
Detaillierte etymologische Untersuchungen zu den Begriffen Verstehen und
Deuten würden den Rahmen dieser Arbeit sprengen. Soviel sei immerhin gesagt, dass
es um die Sinnfrage geht; allerdings nicht nur aus einer hermeneutischen, sondern
auch aus einer philosophisch-praktischen Perspektive. Für die hier entwickelten
Überlegungen sind besonders die Bereiche Sprache und Sprechen von Interesse, weil
diese das psychoanalytische Arbeits- und Untersuchungsfeld abstecken.
Zur Theorie des Deutens
Von der Sprache und vom Sprechen
Der Sinn sprachlicher Äußerungen ergibt sich aus Verweisen, d. h. Worte beziehen
sich auf andere Worte. Oder psychoanalytisch gesprochen: Worte sind miteinander
assoziiert. Die daraus resultierenden Wortketten oder Assoziationen sind der wesentliche Grund dafür, dass Gesprochenes vieldeutig ist. Da Worte der Alltagssprache
zusätzlich von subjektiven Bedeutungsaspekten eingefärbt sind und somit einen subjektiven Sinn enthalten, von dem der jeweilige Sprecher bewusst oder unbewusst
annimmt, dass er dem Hörer selbstverständlich bekannt und vertraut ist, erhöht sich
die Komplexität der Kommunikation erheblich.
Die psychoanalytische Ausgangsposition besteht darin, dass sich der Analytiker
am Platz des Hörers befindet. Deuten in dem hier vorgestellten Zusammenhang
basiert demzufolge auf dem Hören des Analytikers, dessen Aufmerksamkeit sich auf
das Sprechen des Analysanden richtet. Als Hörer ist es an ihm, den Äußerungen seines Gegenübers einen (bestimmten) Sinn, also eine Bedeutung zu unterstellen.
Im Gegensatz zur alltagspraktischen Weltbewältigung, die in wachsendem Maße
von kausalen Erklärungsmodellen auf empirischer Grundlage bestimmt ist, beruhen
soziale Regelungssysteme im Wesentlichen auf Sinndeutungen. Diese Sinndeutungen sind sowohl Folge als auch Quelle für die Art und Weise, wie die Dinge und die
zwischenmenschlichen Beziehungen ihre Ordnung haben.
Auf dieser Basis einer sog. symbolischen Ordnung legitimieren sich schließlich
soziale Umgangsregeln, ethische Maßgaben, Sanktionen bei Verstößen etc. Im Prinzip handelt es sich bei geschriebenen und ungeschriebenen Gesetzen um relativ willkürliche Regelungen, die das Ergebnis existierender sozialer Machtverhältnisse und
Traditionen sind.
Die Regeln und Gesetze, welche die symbolische Ordnung repräsentieren, die
Grammatik der Sprache und die Wahrnehmung begründen ein Ergänzungsverhältnis, was weitreichende Konsequenzen für das reflexive Denken hat. Kurz gesagt:
Die Sprache determiniert, leitet und begrenzt das Denken und den Wahrnehmungsbereich. Statt vieler, hier nur ein Beispiel zur Illustration, um das Problem zu verdeutlichen: Guy Deutscher zeigt in seiner Untersuchung, dass Sprachen, in denen
unbelebte Objekte mit „er“ oder „sie“ behandelt werden, zur Konsequenz haben,
„dass den Sprechern jedes Mal eine Assoziation zwischen einem unbelebten Substantiv und einem der Geschlechter in die Ohren geschoben wird, wenn sie den Namen
13
294
M. Klemann
dieses Objekts hören“ (2010, S. 238). Das mag auf den ersten Blick marginal erscheinen. Deutscher demonstriert aber die impliziten Folgen am Beispiel der Übersetzung
des Gedichtes von Heine „Ein Fichtenbaum steht einsam“ ins Englische:
Ein Fichtenbaum steht einsam
Im Norden auf kahler Höh‘,
Ihn schläfert; mit weißer Decke
Umhüllen ihn Eis und Schnee.
Er träumt von einer Palme,
Die, fern im Morgenland,
Einsam und schweigend trauert
Auf brennender Felsenwand.
(Heinrich Heine)
A pine-tree standeth lonely
In the North on an upland bare;
It standeth whitely shrouded
With snow, and sleepeth there.
It dreameth of a Palm Tree
Which far in the East alone
In mournful silence standeth
On its ridge of burning stone.
(Übersetzung: James Thomson)
Da das Englische keine klare Unterscheidung des sprachlichen Geschlechts der Substantive macht, kann die Pointe nicht zünden, die in einer Allegorie besteht und dem
englischen Leser vorenthält, dass es sich um ein Liebesgedicht und nicht um eine
botanische Beschreibung handelt. Erst der Übersetzung von Emma Lazarus gelingt
es, diese Anspielung auch im Englischen hörbar zu machen, weil sie anstelle des
Neutrums „it“ die für die deutsche Fassung passenden Geschlechtspronomina „he“
bzw. „her“ einsetzt. Georges-Arthur Goldschmidt (1999, 2006) hat die jeweiligen
Besonderheiten des Deutschen und des Französischen miteinander verglichen. Bettelheim (1988) hat dieses Sprachproblem luzide am Beispiel der Übersetzung Freudscher Texte ins Englische dargestellt.
Bevor nach diesen kursorischen Abhandlungen dieses Kapitel beschlossen wird,
möchte ich darauf aufmerksam machen, dass in den nun folgenden Ausführungen
immer dann, wenn von Sprache die Rede ist, die erwähnte symbolische Ordnung
gemeint ist. In verbalen Äußerungen präsentiert sie sich in der dem Sprechen zugrundeliegenden Grammatik, in averbalen in den sozialen Konventionen und Gesetzen.
Darüber hinaus sind die Begriffe symbolisch und Symbol nicht gleichzusetzen mit
dem alltagssprachlichen Begriff des Sinnbildlichen, sondern meinen hier, dass unter
Verwendung von Lauten und/oder Zeichen zwischenmenschliche Beziehungen artikuliert und geregelt werden.
Über die Frage, wie der Mensch als Gattungswesen zur Sprache gekommen ist,
kann man nur spekulieren (Falk u. Kuhlmann-Krieg 2010). Anders sieht es dagegen
aus bei der Frage, wie das Individuum, entsprechende anatomische Fähigkeiten vorausgesetzt, zur Sprache kommt. Spätestens mit der Geburt taucht das Kind in eine
bereits bestehende Welt der Sprache ein und begegnet in den Handlungsvollzügen –
womit die Basiserfahrungen des prozeduralen Gedächtnisses gemeint sind – besagter
symbolischer Ordnung, in der ihm pränatal von der Mutter bzw. den Eltern ein Platz
zugewiesen worden ist, in dem zum Ausdruck kommt, welche Bedeutung das Kind im
Leben der Eltern hat und haben wird. Denkt man beispielsweise an den Zeugungsakt:
Ist das Kind ein Ergebnis von Liebe oder Gewalt? Wurde es gewünscht, ersehnt oder
war es ungewollt? Welche Erwartungen verbanden und verbinden sich mit dem Kind?
Schließlich ist es die Namensgebung, die exemplarisch für den Prozess der Subjektwerdung des Kindes steht und im Taufakt den Körper des Kindes mit einbezieht.
13
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
295
Von diesem Zeitpunkt an wird das Kind mit dem ihm zugedachten Namen gerufen
und angesprochen. Gleichzeitig vermerken staatliche und kirchliche Stellen seinen
Namen in ihren Büchern. Und es wird der Name sein, der nach dem Tod des Subjekts
bleiben und in der symbolischen Ordnung von seiner ehemals leibhaftigen Existenz
Zeugnis ablegen wird.
Im Sozialisationsprozess, der das Kind zur Sprache und zu seiner Identität bringt,
spielen also Zuschreibungen, die als „Identifikationen durch jemanden“ (Knellessen et
al. 2003) analytisch gefasst werden können, eine entscheidende Rolle. Sie werden, wie
gesagt, an dem noch unbeschriebenen Teil der biologischen Ausstattung des Kindes
vollzogen. Schritt für Schritt erwirbt das Kind mit dem Sprechen nicht nur seine Muttersprache, sondern auch eine darin enthaltene ganz typische Sicht auf die Welt und sich
selbst – typisch im Hinblick auf das Land seiner Geburt und typisch im Hinblick auf
die Familie, in der es aufwächst. Insofern ist das Subjekt selbst ein Produkt seines Sprechens, denn es hat nicht gelernt, seine Bedürfnisse mithilfe des Anderen in dessen Sprache auszudrücken – analog jemandem, der sich eine Fremdsprache aneignet, um sich
verständlich zu machen. Vielmehr lernt es über die Zuschreibungen von anderen (bspw.
der Mutter), welche Bedürfnisse es überhaupt hat bzw. zu haben hat. Da sogar Affekte
und Gefühle, sobald sie als solche inhaltlich benannt werden, unwiderruflich Teil der
symbolischen Ordnung werden, können sie nicht als Referenzpunkte für ein Außerhalb der Sprache herhalten, von wo aus man richtige von falschen Interpretationen des
kindlichen Ausdrucks unterscheiden könnte. Selbstverständlich schränken die vitalen
Grundbedürfnisse nach Nahrung, Wärme und Schutz den Interpretationsspielraum ein.
Zumal sie und die Möglichkeiten ihrer Befriedigung in einem gewissen Umfang bei
Mutter und Kind instinktiv verankert sind. Allerdings gibt es keine 100 %ige Sicherheit,
dass die Erwachsenen auf die Signale des Kindes immer vorhersehbar reagieren; dies
ist an solchen Extremen wie Kindstötung und -verstoßung zu belegen. Die menschliche
Verfasstheit ist eben überwiegend ein Produkt der symbolischen Ordnung.
Es sind also diese Zuschreibungen, die in der Verknüpfung von ursprünglichen
vegetativen Reiz-Reaktions-Schemata mit Sprech- und Handlungsakten, den Nukleus
des Subjekt des Bewussten, sprich: des Ich des Kindes legen. Zur Sprache kommen
bedeutet also auch, allmählich und unwiderruflich aus dem ursprünglichen narzisstischen Welterleben, aus der mütterlichen Symbiose herauszufallen. Und je mehr der
Mensch die Sprache bewohnt, zu einem Sprechwesen wird, desto mehr wächst der
Abstand zu seinem vegetativen Sein. Insofern ist der Preis der Subjektwerdung oder
Individuation buchstäblich eine Vereinzelung, die dem Subjekt in Form einer basalen
Ich-Spaltung als Mal eingeprägt und als ontologische Selbstentfremdung Grundlage
der Conditio humana ist.
Weil die Mutter im Schrei des Babys dessen Anspruch auf Bedürfnisbefriedigung zu vernehmen meint und das unterstellte Bedürfnis stillt, transformiert sich der
Schrei allmählich für beide zu einem Ruf, zu einem Appell. Man kann darin den Kristallisationskern für weitere Lautproduktionen entdecken, aus denen das Kind nach
und nach Worte und später ganze Sätze formen wird.
Schließlich verfügt das Kind mit dem Sprachvermögen über ein mentales Reflexionsmedium, mit dessen Hilfe es nicht nur die abwesende Mutter, sondern auch
andere Objekte, denken und imaginieren kann. Es wird damit für das Kind zu einem
Trostspender im Kummer der Trennung, weil es das abwesende begehrte Objekt im
13
296
M. Klemann
Laut symbolisch anwesend sein lassen kann. Letztlich sind es die unvermeidlichen
Erfahrungen von Mangel und Abwesenheit, die das Kind dazu nötigen, die basalen
intrapsychischen Strukturen zu entwickeln, die letztendlich konstitutiv für das IchDu-Bewusstsein ist. Subjektwerdung und Sprechenlernen sind also nur zwei Seiten
ein und derselben Medaille: Nur weil Worte auf etwas verweisen, das sie selber nicht
sind, bedeuten sie dem Subjekt etwas.
Von der Psychoanalyse
Unter Verweis auf das Phänomen der Regression wird die psychoanalytische Beziehung gern mit der frühen Abhängigkeitsbeziehung des Kindes von seiner Mutter bzw.
seinen Eltern verglichen. Eine solche Sichtweise lokalisiert demzufolge den Analysanden wie selbstverständlich auf dem Platz des Rat- und Hilflosen. Demgemäß
entspringt seine Übertragungsbereitschaft seiner Annahme, der Analytiker verfüge
über das Wissen, was ihm fehlt.
Komplementär dazu findet sich auf Seiten des Analytikers die Überzeugung als
Angehöriger einer Profession von Deutern, über eben das unterstellte Wissen und die
Befähigung zu verfügen, Fremdseelisches zu verstehen.
Dabei ist jedoch zu bedenken, dass der Analysand trotz der unterstellten regressiven Tendenzen ein Erwachsener bleibt. Freud unterscheidet nicht von ungefähr zwischen der Nacherziehung eines erwachsenen Neurotikers und der Erziehung eines
Kindes, denn ein Kind sei „eben noch kein Neurotiker und Nacherziehung etwas
ganz anderes als Erziehung des Unfertigen“ (1925f, S. 566). Der zwischen einem
erwachsenen Neurotiker und einem Kind bestehende Unterschied liegt im Wesentlichen darin, dass er über eine ausgebildete Sprachkompetenz verfügt, die ihn im
Allgemeinen relativ stabil in der symbolischen Ordnung verankert. Eine Ausnahme
stellen Erwachsene dar, die eine psychotische Struktur besitzen und deswegen den
Prozess der Alienation nur unzureichend durchlebt haben, so dass es in Krisensituationen leicht dazu kommt, dass sie Worte wie Objekte erleben.
Zwar tritt der Patient – darin gleicht er dem präverbalen Säugling – dem Analytiker als appellierendes Subjekt gegenüber, das eine Befriedigung seiner vorgetragenen Bedürfnisse erwartet. Gleichzeitig artikuliert er aber in seinen Symptomen – als
Folge der bereits erwähnten Selbstentfremdung – die Frage nach seinem Sein; eine
Frage, die darum kreist, wer er eigentlich ist und die sich nun strukturell an den Analytiker am Platz des Wissenden adressiert.
Indem man am Beginn einer Analyse diese Unterstellung des Patienten zunächst
unkommentiert akzeptiert, stützt man eine Variante idealisierender Übertragung, die
jedoch für das Zustandekommen eines analytischen Diskurses unverzichtbar ist, weil
„erst durch diese Illusion eines vorgängigen Wissens (…) am Ende das wirkliche
Wissen hervorgebracht werden“ kann (Žižek 1988, S. 168).
Das wirkliche Wissen
Zu dem wirklichen Wissen kann der Patient im Verlauf der Analyse letztlich nur selber
finden, weil es in ihm begründet liegt, auch wenn er anfangs noch davon überzeugt
13
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
297
ist, den Sinn seiner Symptome nicht zu kennen (Freud 1916–17a, S. 98). Etabliert
sich nach und nach ein analytischer Diskurs, wandelt sich der Patient vom Leidenden
zum Fragenden und setzt auf diese Weise einen Prozess des Sich-Selbst-Verstehens
in Gang, an dessen Ende er neben vielem anderen auch die Antwort auf seine existenzielle Frage findet, die da lautet, dass es keine end-gültige Antwort gibt außer der,
die er sich selber gibt.
An diesen Punkt kann ein Analysand jedoch nur gelangen, wenn sich auch der
Analytiker darüber im Klaren ist, selbst ein gespaltenes Subjekt zu sein – ein Subjekt, aus dem es spricht, mag er sich auch noch so sehr an die Illusion klammern,
selbst zu sprechen (Borens 1988). Ein Festhalten an dieser Illusion aber lässt den
analytischen Selbstfindungsprozess scheitern und verwandelt die strenge tendenzlose
Analyse, wie sie Freud (1919a) ursprünglich vorschwebte, in ein psychagogisches
Vorgehen. Sobald Analytiker meinen, dem Patienten ein Wissen über sich vermitteln
zu müssen, vermitteln sie in Wahrheit nur ihr eigenes Weltbild. Und das geschieht,
weil dabei übersehen wird, dass man sich nur am Platz des Wissenden befindet und
nicht selbst der Wissende ist.
Aus struktural-analytischer Sicht wird der Platz des Wissenden auch bezeichnet
als der Ort der Sprache, die Trägerin des Unbewussten ist, das daher – wie oben
skizziert – unabhängig vom konkreten Individuum und daher außerhalb seiner selbst
existiert, wenngleich es über die Sprache auf es einwirkt.
Im Falle eines solchen strukturellen Missverständnisses, das Platz und Person als
eins setzt, werden durch die gegebenen Deutungen nicht die Suche des Patienten
nach seiner Frage und seiner Antwort, die in seinem Symptom verschlüsselt liegen
unterstützt, sondern in erster Linie die latenten narzisstischen Bedürfnisse des Analytikers nach Anerkennung befriedigt, der nolens volens den Analysanden dahingehend
manipuliert, sich mit den gegebenen Deutungen bzw. Zuschreibungen zu identifizieren: „Genau das aber sollte die Position des Analytikers nicht sein, er sollte der
(symbolische) Andere sein, der immer kastriert, unvollständig ist, nicht wissend und
schon gar nicht allwissend“ (Borens 2013, S. 177).
Exkurs
Im Sommer 1901 fand ein letztes Treffen zwischen Freud und Fließ am Thumsee
statt. Offenbar war dort eine wachsende tiefgreifende Entfremdung zwischen beiden
nicht mehr zu übersehen gewesen, was im Nachgang schließlich den endgültigen
Bruch der Beziehung eingeleitet hatte. Zumindest findet sich in einem unmittelbar
nach diesem Treffen von Freud geschriebenen Brief an Fließ folgende Textpassage:
„Und auch Du bist hier an die Grenze Deiner Scharfsichtigkeit gekommen, nimmst
Partei gegen mich und sagst mir, was alle meine Bemühungen entwertet: Der Gedankenleser liest bei den anderen nur seine eigenen Gedanken. Wenn ich so einer bin,
so wirf mein Alltagsleben nur ungelesen in den Papierkorb“ (Freud 1985c, S. 492).
Leider fehlen die Briefe von Fließ, die mehr Einblick hätten geben können, was dort
eigentlich abgehandelt worden war.
13
298
M. Klemann
Wenigstens so viel kann indes aus Freuds heftiger Reaktion geschlossen werden,
nämlich dass ihm das erkenntnistheoretische Dilemma psychoanalytischer Deutungen und eines eindeutigen wissenschaftlichen Beweises für ihre Richtigkeit schwante.
Wissenschaftsgeschichtlich betrachtet ist das hypnotische Verfahren die grundlegende Matrix der psychoanalytischen Theorie und Praxis (Mayer 2002). Obwohl
Freud (1916–17a) die mäeutische Funktion der Hypnose für die Entstehungsgeschichte der Psychoanalyse niemals geleugnet hat, sah er in ihr später dennoch eine
Art Schmuddelkind, von dem sich die nachfolgenden Analytikergenerationen besser
fernzuhalten hätten. Auf diese Weise hoffte er, den stets virulenten Vorwurf zu entkräften, die Psychoanalyse sei wie die Hypnose nur eine verkappte Form suggestiver
Einflussnahme.
Anfangs bestand das psychoanalytische Vorgehen zwar im Erraten des unbewussten Sinns neurotischer Symptome unter Zuhilfenahme der Einfälle des Analysanden. Wegen der nach und nach aufkommenden Störungen im Assoziationsfluss
seiner Patienten, sah sich Freud jedoch bald zu einer Modifikation seines Verfahrens
gezwungen. Immer dann, wenn der Patient nunmehr behauptete, keine Einfälle mehr
zu haben, legte er ihm seine Hand auf die Stirn, um damit einen sanften Druck auszuüben, begleitet vom Hinweis, der Patient möge danach sagen, welcher Gedanke ihm
dabei plötzlich durch den Kopf gegangen sei.
Freud schreibt weiter, es sei ihm so vorgekommen, als habe er mit dem Druck
seiner Hand eine „psychische Kraft bei dem Patienten [überwunden], die sich dem
Bewusstwerden (Erinnern) der pathogenen Vorstellungen (Freud 1895d, S. 268)
widersetzt habe. Dieser Analogieschluss brachte die bis heute gültige Verdrängungsund Widerstandstheorie der Psychoanalyse hervor.
Im Konzept der Übertragungsanalyse (Freud 1912b, S. 366) stand diese Idee
noch einmal Pate. Weil Freud glaubte beobachtet zu haben, dass die Ursache vieler
Lücken im Fluss der freien Einfälle mit einer Verschiebung, sprich: Übertragung des
Patienten auf seine Person zusammenhing, griff er zu einer quasi virtuellen Variante
des Handauflegens, indem er dem Analysanden sagte, er sei wohl gerade in Gedanken mit ihm beschäftigt. Indem Freud die „Stockung“ darüber hinaus als Widerstand
begriff – genauer: als Übertragungswiderstand –, den es zu überwinden galt, ließ er
unhinterfragt, warum er meinte, immer in die „Lücken“ des Assoziationsflusses seiner Analysanden einspringen zu müssen. Möglich, dass darin ein Hinweis enthalten
ist, welche Nöte des Analytikers sich hinter gewissen Ratschlägen zur Behandlungstechnik verstecken.
Widerstands- und Übertragungsanalyse sind inzwischen die Kernstücke einer
Behandlungstechnik, auf die Psychoanalytiker hinweisen, wenn sie ihr Vorgehen von
einem psychotherapeutischen Verfahren abgrenzen wollen.
Gleichzeitig sind Widerstands- und Übertragungsanalyse aber auch die Achillesferse psychoanalytischer Technik schlechthin, weil sie im Zentrum des methodischen
Problems stehen, auf welche Weise Deutungen, oder präziser gesagt, analytische
Konstruktionen (Freud 1937d) verifiziert werden können. Gewöhnlich hält man eine
Deutung für zutreffend, wenn sie: a) der Betroffene selbst bestätigt hat; b) das Symptom beseitigt oder gelindert wurde; c) weiterführende Einfälle auftauchen. Trifft
keines dieser Prüfkriterien zu, muss das noch nicht heißen, dass eine gegebene Deutung oder Konstruktion falsch gewesen ist. In einem solchen Fall griff Freud auf das
13
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
299
Prinzip der Exhaustion zurück, indem er Zusatzbedingungen einführte, die es ihm
ermöglichten, seine Hypothese weiterhin beibehalten zu können.
Argumentativ versuchte er seine Ansicht durch den Vergleich der analytischen
Situation mit einer Gerichtsverhandlung zu untermauern (Freud 1916–17a). Bei einer
Gerichtsverhandlung ginge es so zu, dass der Richter bei Vorliegen eines Geständnisses die Richtigkeit der Beschuldigung annehmen und den Angeklagten verurteilen würde. Das Fehlen eines Geständnisses würde umgekehrt aber nicht automatisch
zum Freispruch des Angeklagten führen. Vielmehr würde dann das Verfahren mit
Hilfe von Indizien solange weitergeführt, bis sich der Richter in der Lage sieht, eine
endgültige Entscheidung zu treffen. Nicht anders würde man in der Analyse verfahren, wenn sich Widerstände gegen psychoanalytische Deutungen oder Konstruktionen manifestierten. Man würde dann an der Richtigkeit einer Deutung festhalten,
sofern ausreichend überzeugende Indizien vorliegen, denen schließlich die gleiche
Dignität zukäme, wie den Wahrscheinlichkeitsaussagen empirischer Wissenschaften.
Die Deutungsgewissheit Freuds
Freuds Deutungsgewissheit erklärt sich zum einen aus seinen klinischen Lehrjahren
mit der Hypnose und der aus ihr hervorgegangenen Dechiffrier-Methode, die ihn
zu der Überzeugung gebracht hatte: „Je mehr man dergleichen Rätsel bereits gelöst
hat, desto leichter wird man vielleicht ein neues erraten“ (Freud 1895d, S. 285 f.).
Zum anderen erklärt sie sich aus seiner Hypothese von der Reziprozität menschlichen Seelenlebens: „Ein beständiger Strom von „Eigenbeziehung“ geht so durch
mein Denken, von dem ich für gewöhnlich keine Kunde erhalte. (…) Es ist, als wäre
ich genötigt, alles, was ich über fremde Personen höre, mit der eigenen Person zu vergleichen, als ob meine persönlichen Komplexe bei jeder Kenntnisnahme von anderen
rege würden. Dies kann unmöglich eine individuelle Eigenheit meiner sein; es muss
vielmehr einen Hinweis auf die Art, wie wir überhaupt „Anderes“ verstehen, enthalten. Ich habe Gründe anzunehmen, dass es bei anderen Individuen ganz ähnlich
zugeht wie bei mir“ (Freud 1901a, S. 30 ff.).
In der Psychopathologie des Alltagslebens findet sich eine kleine Geschichte,
die diese Überlegungen Freuds gut illustriert. Darin geht es um zwei allein reisende
Männer, die sich in einem Hotel begegnen, sich anfreunden und mehrere Tage mit
gemeinsamen Wanderungen miteinander verbringen. Morgens und abends sitzen sie
bei den Mahlzeiten am selben Tisch des Hotels.
Plötzlich ändert sich das Verhalten des einen, der am nächsten Tag die Ankunft
seiner Frau erwartete. Der andere hat das Gefühl zu stören und zieht sich daraufhin
zurück. Als er tags darauf einer Einladung zu einem Essen zu dritt folgen will, muss
er bei seinem Eintreffen feststellen, dass auf dem noch einzigen freien Platz am Tisch
der Mantel des anderen liegt, und er versteht „sehr wohl den Sinn dieser gewiss nicht
absichtlichen, aber darum umso ausdrucksvolleren Lagerung. Es hieß: Für dich ist
hier kein Platz, du bist jetzt überflüssig“ (Freud 1901a, S. 235). Der andere merkt
nicht, wie er vor dem Tisch stehen bleibt, ohne sich zu setzen, „wohl aber die Dame,
die ihren Mann sofort [anstößt und ihm zuflüstert]: Du hast ja dem Herrn den Platz
verlegt“ (Freud 1901a).
13
300
M. Klemann
Freuds Fazit aus dieser kleinen Vignette lautet: „Bei diesem wie bei anderen ähnlichen Ergebnissen habe ich mir gesagt, dass die unabsichtlich ausgeführten Handlungen unvermeidlich zur Quelle von Missverständnissen im menschlichen Verkehr
werden müssen. Der Täter [sic!], der von einer mit ihnen verknüpften Absicht nichts
weiß, rechnet sich dieselben nicht an und hält sich nicht verantwortlich für sie. Der
andere hingegen erkennt, indem er regelmäßig auch solche Handlungen seines Partners zu Schlüssen über dessen Absichten und Gesinnungen verwertet, mehr von den
psychischen Vorgängen des Fremden, als dieser selbst zuzugeben bereit ist und mitgeteilt zu haben glaubt. (…) Genau besehen beruht ein solches Missverständnis auf
einem Zufein- und Zuvielverstehen. Je „nervöser“ zwei Menschen sind, desto eher
werden sie einander Anlass zu Entzweiungen bieten, deren Begründung jeder für
seine eigene Person ebenso bestimmt leugnet, wie er sie für die Person des anderen
gesichert annimmt“ (Freud 1901a).
Prämissen und Schlussfolgerungen dieser Überlegungen haben die Grundsteine
für eine analytische Behandlungstechnik gelegt, in der dem Patienten die Rolle eines
Täters zugeschrieben wird, der die wahren Motive seines Handelns nicht kennt und
von ihnen nichts weiß, während der Analytiker die Rolle eines Richters einnimmt,
der sein Gegenüber beobachtend durchschaut und dessen Handlungen interpretiert,
indem er im Analogschluss auf sich selbst bestimmte unbewusste Motive unterstellt.
Die Hypothese allgemeiner Reziprozität im menschlichen Seelenleben kann ihre
Legitimität letztlich nur aus den jeweils gültigen gesellschaftlichen Konventionen
beziehen, wenn man nicht biologistische Anleihen machen will. Im Übrigen bliebe
nur noch die Alternative, die subjektive Weltsicht des Deuters selbst zum Standardmaß der Korrektheit einer Interpretation von Fremdseelischem zu nehmen. Um diesem erkenntnistheoretischen Dilemma zu entkommen, das sich aus der Annahme der
Reziprozität im menschlichen Seelenleben ergibt, schlägt Borens (1993) vor, auf der
Ebene der Worte selbst zu bleiben und zu hören, statt zu versuchen, aus dem vom
Analysanden Gesagten mit Hilfe der eigenen Gegenübertragungsreaktionen etwas
Verborgenes zu destillieren.
Die von Freud erwähnte Gefahr von Missverständnissen ist im Allgemeinen dann
besonders gegeben, wenn eine Interpretation vom Interpretierten als Unterstellung
erlebt wird, so dass dieser sich tatsächlich zum Täter gestempelt fühlt. Dabei sind im
analytischen Kontext nicht nur die Konsequenzen tragischer Entzweiungen relevant,
die in letzter Konsequenz zum Abbruch einer Analyse führen würden, sondern vielmehr die latente Etablierung eines sog. Herrendiskurses (Lacan 1986, S. 21), der
einem grenzüberschreitenden Verhalten des Analytikers Vorschub leistet. Das gilt
insbesondere für die Fälle, in denen dem Analytiker die Macht gegeben ist, seine
Sicht der Dinge unter offener oder versteckter Androhung bzw. Anwendung institutioneller Gewalt durchzusetzen.
Die Einführung der Lehranalyse
Mit der Einführung einer obligaten Lehranalyse war auch die Hoffnung verknüpft,
dem wilden Analysieren, das ohne ausreichende Berücksichtigung der Situation des
Patienten vor sich geht, einen Riegel vorzuschieben. Interessanterweise war Freud
13
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
301
weniger darum besorgt, welchen Schaden das beim Patienten anrichten könnte,
als mehr darum, welchen Schaden es der Sache der Psychoanalyse zufügen würde
(Freud 1910k, S. 125). Inzwischen kann man ernüchtert feststellen, dass die Lehranalyse letztlich nicht geeignet war und ist, das Phantasma der Deutungsgewissheit
aufzulösen. Womöglich hat sie in manchen Fällen diesem Phantasma sogar weiter
heimlich Nahrung geben können. Paula Heimann problematisierte zwar schon 1950
genau dieses von der Gesamtgruppe der Psychoanalytiker latent geteilte Phantasma,
mit dem Abschluss der Lehranalyse purgiert – um einen Ausdruck Freuds zu gebrauchen – und gegen Deutungsfehler relativ immun zu sein. Tatsächlich hat aber die
von Heimann vollzogene Neubewertung der Bedeutung und Funktion der Gegenübertragung für den analytischen Prozess jedoch nur oder immerhin – je nach Standpunkt – erreicht, dass dieses Phantasma benannt wurde. Kläui (2002) sieht eine enge
Verknüpfung zwischen der Frage der Gegenübertragung und der persönlichen Motivation, den Beruf des Analytikers zu wählen. Er hebt zwei Aspekte hervor, die maßgeblich an der Ausgestaltung der Gegenübertragung beteiligt sind:
1. der Wunsch, sich als Psychoanalytiker bezeichnen zu dürfen und
2. das Vermögen, als Psychoanalytiker arbeiten zu können.
Der Wunsch, Analytiker sein zu wollen, durchkreuzt als Gegenübertragung ganz
entscheidend die gleichschwebende Aufmerksamkeit. Heimann geht deswegen mit
ihren Schlussfolgerungen – im Wesentlichen basierend auf ihren Supervisonserfahrungen mit Ausbildungskandidaten – in die Irre, wenn sie die Probleme in der therapeutischen Dyade verortet, weil sie in ihren Überlegungen die triadische Struktur
der Supervisionsbeziehung außer Acht gelassen hat. Wird diese mitberücksichtigt,
so Kläui, dann zeigt sich, dass die Ausbildungskandidaten von dem Wunsch getrieben waren, von der Supervisorin als Analytiker gesehen zu werden. Statt einer psychischen Reziprozität oder Symmetrie das Wort zu reden, spricht sich Kläui dafür
aus, das Fremde zur Grundlage der analytischen Begegnung zu machen und „einfach
zuzuhören (…) und (…) das Nichtverstehen auszuhalten“ (Kläui 2002, S. 64). Dass
dieser Wunsch nicht nur ein Kennzeichen analytischer Novizen ist, sondern auch
erfahrene Analytiker umtreibt, habe ich an anderer Stelle ausgeführt (Klemann 2008).
Solange man als Analytiker noch vom Begehren, der Wissende sein zu wollen
geleitet wird, hat man das eigene Begrenztsein nicht akzeptiert – Lacan verwendet
dafür den Passus des Annehmens der Kastration – und sorgt nolens volens dafür, dass
sich das Unbewusste in der Analyse mehr und mehr verflüchtigt (Bollas 1997, 2006,
Pohlen u. Bautz-Holzherr 1991); vorausgesetzt, man definiert das Unbewusste als
das, was man nicht weiß, also auch nicht wissen kann. Die scheinbare Gewissheit, die
unbewusste Dynamik und Bedeutung eines Symptoms des Patienten zu verstehen,
weil man über das entsprechende professionelle Wissen und Können zu verfügen
glaubt, führt auf direktem Wege zu der Überzeugung, dass der Patient sich im Widerstand befindet, wenn er eine Deutung ablehnt. Die Bevorzugung der Widerstandsanalyse in der Behandlungstechnik ist darum die logische Konsequenz einer solchen
Haltung.
Eine Variante der Widerstandsanalyse ist die Übertragungsanalyse. Während
Freud die Übertragung ursprünglich als ein lästiges Widerstandsphänomen kennen
und später die sog. Übertragungsneurose als unvermeidbares Durchgangsphänomen
13
302
M. Klemann
begriff und zu nutzen gelernt hatte, um den Patienten von der Richtigkeit seiner psychoanalytischen Konstruktionen zu überzeugen, zielt die zeitgenössische Behandlungstechnik regelrecht darauf ab, durch Übertragungsdeutungen im Hier und Jetzt,
möglichst rasch eine Übertragungsneurose herzustellen, in der Überzeugung, nur
so das Heilungspotenzial der Psychoanalyse wirksam zur Geltung bringen zu können. König (2007) vermutet zudem als weiteren Grund für die Abneigung, sich mit
den Außenbeziehungen des Patienten zu beschäftigen, dass solche Beziehungen zu
unübersichtlich und die Außenobjekte unbekannt seien. Wurde früher die Übertragung i. S. von „Sie reden zwar von mir, aber eigentlich geht es um die Beziehung zu
dem und dem“ gedeutet, heißt es mittlerweile, „Sie reden zwar von dem und dem,
aber eigentlich meinen Sie doch mich!“. Mit dieser Umkehrung wird dem Patienten
von Anfang an ein Widerstand gegen die Übertragung und damit gegen das Herzstück analytischer Heilungsbemühungen unterstellt.
Ein geradezu erschütterndes Lehrstück findet sich bei Thomä (2008). Eine Analysandin hatte sich brieflich an ihn gewendet, nachdem sie ihre Analyse abgebrochen
hatte, weil ihr damaliger Analytiker ihre Einwände auf seine Deutungen notorisch als
Angriffe auf die therapeutische Beziehung interpretiert hatte. Thomäs Ausführungen
zeigen, dass der im Ergebnis destruktive Verlauf der Analyse eine wesentliche Ursache in der unreflektierten Position des Analytikers selbst hatte. Dieser hatte nämlich
übersehen, dass er sich per Übertragung lediglich auf dem Platz des Wissens befand.
Folglich hatte er ihre Einwände oder Kritiken primär als unbewusst motivierte
Widerstandsreaktionen eingeschätzt. Tatsächlich verfügte er jedoch über das Wissen
ebenso wenig wie die Analysandin. Damit steht dieser Analytiker in einer Tradition,
die Widerstandsreaktionen bei Analysanden sowohl als die Indikatoren betrachtet, ein
wirklicher Analytiker zu sein, als auch in ihnen den rettenden Ariadnefaden sieht, der
im Labyrinth des analytischen Prozesses die notwendige Orientierung geben kann;
signalisieren ihm die Widerstände doch, sich auf dem richtigen Weg zu befinden.
Der Widerstand gegen die Übertragungsdeutung ist jedoch ein Artefakt derselben.
Analog zum Sprachapriori, das besagt, dass es außerhalb der Sprache nichts gibt,
worüber man sinnvolle Aussagen machen kann, gibt es außerhalb der analytischen
Situation, sprich: der Übertragungsbeziehung, keinen Ort, von dem her die Übertragung als solche gedeutet werden könnte. Die Übertragung kann daher nur innerhalb
des Mediums der Sprache als signifikantes Ereignis im Diskurs – sprich: als etwas,
das sich im Sprechen zeigt – markiert, aber nicht gedeutet werden.
Jede Deutung mobilisiert automatisch Widerstand, weil sie von der Person kommt,
„die zu sein ihm die Übertragung auferlegt“ (Lacan 1996, S. 179), wodurch alles, was
dazu gesagt wird durch die Übertragung kontaminiert ist. Da ein Analytiker letztlich
auch nicht mehr ist als ein Mensch wie jeder andere, siedelt jede Deutung auf der IchEbene, die im Glauben an eine gemeinsame Realität gründet und unhinterfragt voraussetzt, dass der gesunde Teil des Ich des Patienten genauso denkt wie man selbst.
Ein Klassiker dieser Annahme ist bekanntlich das Konzept der therapeutischen IchSpaltung (Sterba 1934).
Manchen Analytikern galt und gilt es sogar außerhalb des analytischen Settings
irrigerweise als Beweis im Besitz einer wahren Erkenntnis zu sein, sobald sie mit
ihren Ansichten auf Ablehnung oder Kritik stoßen. Bedauerlicherweise kann sich
eine solche Überzeugung auch noch auf eine Tradition berufen, die Freud mit seiner
13
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
303
Aussage begründet hatte, dass es der Psychoanalyse gewissermaßen systemimmanent sei, Ablehnung zu provozieren, weil ihre Einsichten die Menschen zum Widerspruch reizen und erbittern muss (Freud 1914d, 1940a).
Zur Praxis des Deutens und des Selbstverständnisses des Analytikers
Wenngleich Freud die Arbeit an und in der Übertragung stets als Mittel zum Zweck
der Konstruktion einer verdrängten und traumatisch verarbeiteten Lebenserfahrung
des Subjekts gesehen hat (Freud 1937d), haben sich in seiner Nachfolge mittlerweile
unterschiedliche Vorgehensweisen in der Durchführung einer Analyse etabliert, in
denen dem Deuten ganz spezifische und verschiedene Funktionen zukommt. Hier
sind kontrapunktisch zwei Richtungen zu nennen, von denen die eine in der Tradition
der Nacherziehung und die andere in der Tradition des Findens steht.
Die allmähliche Verschiebung des Fokus der Analyse auf die Übertragungsbeziehung war Freuds Tribut an die sog. therapeutische Aufgabe, womit er die Nacherziehung stärker ins Zentrum der Behandlungstechnik rückte. Im Kern ging es ihm
darum, „den Kranken dazu zu bringen, daß er aus Motiven besserer Einsicht etwas
akzeptiert, was er zufolge der automatischen Unlustregulierung bisher zurückgewiesen (verdrängt) hat“ (Freud 1905a, S. 25; s. a. 1914d, S. 448 ff.). Noch deutlicher
zeigt sich diese quasi pädagogische Ausrichtung der Analyse in der Beschreibung
der behandlungstechnischen Funktion der Übertragung: „In der Psychoanalyse arbeiten wir an der Übertragung selbst, lösen auf, was ihr entgegensteht, richten uns das
Instrument zu, mit dem wir einwirken wollen“ (Freud 1916–17a, S. 469). Damit
wurde die Übertragung des Patienten zum archimedischen Punkt, von dem aus sich
der Analytiker nunmehr berechtigt fühlt, die Suggestion zum Wohl des Patienten als
Hebel einsetzen zu dürfen: „Nicht der Kranke suggeriert sich allein, wie es in seinem
Belieben steht, sondern wir lenken seine Suggestion, soweit er ihrem Einfluss überhaupt zugänglich ist“ (Freud 1916–17a, S. 470).
Im Klartext wird damit der Einsatz kontrollierter, vom Analytiker gesteuerter Suggestionen in der Analyse gerechtfertigt, weil das die sog. therapeutische Aufgabe verlangt. Erst recht galt dies nach Freud für die Massenanwendung der Analyse, die es
notwendig macht, „das reine Gold der Analyse“ – womit deren „Strenge“ und „Tendenzlosigkeit“ gemeint war – „reichlich mit dem Kupfer der direkten Suggestion zu
legieren“ (Freud 1919a, S. 193).
Gegenwärtig begegnet man unter dem Etikett der Britischen Schule einer Variante
der analytischen Behandlungstechnik, die – wie ich es nennen möchte – der forcierten
„Übertragungsanalyse im Hier und Jetzt“ den Vorzug gibt. Vertreter dieser Richtung
beanspruchen für sich zwar, die Bewahrer einer strengen und tendenzlosen Analyse
zu sein, übersehen dabei aber leicht die suggestiven Elemente ihre Vorgehensweise.
Bollas (2006) kritisiert an dieser Behandlungstechnik deren normative Ambitionen
und einseitige Bevorzugung der Übertragungsanalyse. An die Stelle eines gemeinsamen Nichtwissenkönnens angesichts der Bildungen des Unbewussten (Symptome,
Träume, Parapraxien) seien repetitive Vorgehensweisen und Deutungsfiguren getreten. Typisch dafür sei in kasuistisch-technischen Seminaren die notorische Frage:
Und was ist mit der Übertragung? sowie die sog. Wochenend-Deutung. Letztere
13
304
M. Klemann
bezieht ihre Prominenz und Legitimation wohl zum einen aus Freuds Beschreibung
der sog. „Montagskruste“, und zum anderen aus verschiedenen Annahmen der Kleinschen Sadismustheorie sowie aus der Bindungstheorie. Auf jeden Fall wird in Analysen immer dann gerne die Wochenend-Deutung verwendet, wenn zeitnah um das
Wochenende herum emotionale Reaktionen oder Phänomene beim Patienten auftauchen, die als Beleg für das Vorhandensein eines unbewussten Widerstandes gegen die
vermutete reaktive Trennungsaggression betrachtet werden.
Borens zitiert zur Illustration einen typischen Fall, in dem eine Analytikerin den
Ärger ihrer Patientin als verschobene Wut des kleinen Mädchens in ihr deutet, das
„richtig Krach schlagen möchte, weil es sich herumgeschubst fühlt und mit Phantasien allein gelassen wird, [was die Therapeutin] während des Wochenendes wohl tue“
(Borens 1993, S. 36). Wenngleich die Analytikerin explizit betont, sie habe versucht,
sich auf den für sie zentralen Bedeutungsgehalt des von der Patientin mitgeteilten
Traumes zu konzentrieren, denn um einen solchen ging es in der Behandlungsvignette, übersieht sie die implizite suggestive Einflussnahme, indem sie die Aufmerksamkeit der Patientin von möglichen Einfällen zum Traum weg auf sich als
Übertragungsobjekt zieht.
Eine vom Prinzip her gelegentlich zutreffende Beobachtung verkommt damit zu
einer Deutungsfigur, womit die gleichschwebende Aufmerksamkeit der Analytikerin
aufgehoben wird.
Deutungsroutinen von dieser Art sind beinahe die zwangsläufige Konsequenz
des genannten Phantasmas, verstehend im Besitz des Wissens über das Unbewusste
des Anderen zu sein. Ähnlich problematisch stellt sich der Einsatz der Gegenübertragungsanalyse dar, so weit man sinnvoll von deren Möglichkeit überhaupt sprechen kann. Besonders steht sie in Gefahr, esoterische Züge anzunehmen, wenn sie
als unmittelbarer Zugang zum Unbewussten des Patienten begriffen wird. Anstatt
zu hören, was der Patient sagt, richtet der Analytiker in einem Zustand von Rêverie
sein Ohr auf seine Innenwelt und lauscht auf Signale, die er von dort herkommend
vernimmt, im Glauben, so dem authentischen unbewussten Erleben des Patienten
und der davon tangierten Beziehungsdynamik in der Analyse am nächsten zu sein.
König (2010) sieht in der Rêverie die Gefahr, „dass der Analytiker in diesem Zustand
zu Überzeugungen gelangt, die er im fokussierenden Zustand nicht überprüfen und
hinterfragen kann oder will“ (S. 169). Außerdem bleibt unreflektiert, dass sich dieses
vermeintliche Verstehen der unbewussten Dynamik primär aus der Wahrnehmung
der bewussten Affekte ableitet.
In den Pionierzeiten der Psychoanalyse hatte Freud seine Hauptaufgabe darin
gesehen, den Fluss der freien Assoziationen möglichst von Störungen frei zu halten
und aufkommende Hindernisse aus dem Weg zu räumen. In eben dieser Tradition
steht eine Behandlungstechnik, die auftretende Stockungen in möglichst vieldeutiger
Weise aufgreift und anspricht, um den Analysanden im positiven Sinne zu irritieren
und ihn in die Lage zu versetzen, selber zu hören, was er unbewusst zur Sprache
gebracht hatte. Das primäre Ziel dieser Deutungsaktivität entspringt der Absicht,
die Vieldeutigkeit des Gesprochenen aufscheinen zu lassen und nicht, ein wie auch
immer geartetes Wissen zu schaffen. Insoweit der Analytiker mit seinen Deutungen
das Sprechen des Analysanden unterbricht, also buchstäblich interveniert, ermöglicht
er es ihm, innezuhalten und sein eigenes unverstandenes Sprechen zu hören. Dafür ist
13
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
305
es nicht nötig, dass der intervenierende Analytiker den Patienten bzw. dessen Unbewusstes versteht oder verstanden haben muss, womit die grundlegende Aporie des
analytischen Diskurses aufscheint, nämlich wie sich diese Interventionen legitimieren und was ihr Spezifikum ist?
Borens (1988) antwortet auf die Frage nach dem Wesen einer Deutung, dass sie
aus seiner Sicht stets „eine Mitteilung [ist], die der Analysand in seinem Sprechen
über den Umweg des Analytikers sich selbst gibt“ (S. 207). Damit betont Borens die
Paradoxie jeder analytischen Beziehung, die darin besteht, dass nicht der Analytiker,
sondern der Analysand, auch wenn dieser manifest vom Gegenteil überzeugt ist, über
sich am besten Bescheid weiß.
Demnach geht es in der analytischen Praxis mitnichten um das Deuten von etwas
Latentem, so verführerisch dieser Gedanke auch sein mag, sondern vielmehr um ein
An-Deuten. Ziel dabei ist es, den Patienten anzuregen, seine unbewusste Frage nicht
an den Analytiker zu richten, sondern sich selber – im wahrsten Sinne des Wortes – in
Frage zu stellen, und ihm damit die Möglichkeit zu eröffnen, eine Ahnung davon zu
bekommen, dass er selbst seine Frage ist; dass er nach sich selber fragt!
Bruce Fink (2005) lokalisiert im Auftauchen der Frage: Was ist mit mir los?
ebenfalls den entscheidenden Wendepunkt der Analyse, den er als den Beginn des
Subjektivierungsprozesses bezeichnet, der sich fundamental von einem Prozess der
Nacherziehung unterscheidet. Das ist schließlich der entscheidende Punkt für Lacan,
das Konzept des Verstehens zu problematisieren. Ein Verstehen, das auf der Anwendung des analytischen Wissenskanons und der Gegenübertragungsanalyse ruht, kann
nur das Ergebnis einer verkappten und daher unerlaubte Einflussnahme auf den Analysanden hervorbringen. Nicht zuletzt deswegen warnte Lacan in seinen Kontrollanalysen: „Geben Sie vor allem acht, daß Sie den Kranken nicht verstehen, es gibt nichts,
das Sie mehr irre macht als das“ (Lacan, 1991, S. 115). Unter Berufung auf Paula
Heimann (1954) würden viele glauben, dass das Verstehen unverzichtbar für einen
erfolgreichen Verlauf der Analyse sei. Tatsächlich sei ein Konzept, das das Verstehen
ins Zentrum der Analyse rücke nichts anderes als ein ins Professionelle gewendetes
Symptom, dessen Funktion darin bestünde, die Angst abzuwehren, die angesichts
des Fremden und Unverständlichen beim Analytiker entbunden wird: Man „will die
Angst nicht wahrhaben, die vom Andern (…) ausgeht dadurch, dass er nicht ein Ähnliches ist“ (Lacan 1996, S. 206). Es ist dieselbe Angst, die in der Analyse jeweils die
Schwellen markiert, vor denen der Patient vorübergehend zurückscheut, bevor er
weitere Fortschritte machen kann.
Macht man mit dieser Perspektive ernst, dann ist die analytische Begegnung im
Kern genauso eine verfehlte Beziehung, wie alle übrigen Begegnungen, weil Analysand und Analytiker sowohl von der Annahme psychischer Reziprozität ausgehen,
als auch glauben, dass dieselben Worte jeweils dasselbe meinen, nur weil sie beide
dieselbe Sprache sprechen. In Wahrheit bewegen sie sich kommunizierend vorwiegend im Imaginären, das ihnen vorgaukelt, das Ganze zu sein, denn die Sprache
hat „noch eine andere, private Existenz als ein System von Wissen, das jeder einzelne Sprecher in seinem oder ihrem Geist verinnerlicht hat“ (Deutscher 2010). Die
Grenze zur wilden Analyse ist dabei schnell überschritten, wenn bereits aus wenigen
Informationen Diagnosen wie Horoskope erstellt werden, um daraus weitreichende
Deutungen abzuleiten. Ein im Übrigen in kasuistischen Seminaren häufig zu beob-
13
306
M. Klemann
achtendes Phänomen, wenn die Anwesenden anfangen sich mit ihren Interpretationen wetteifernd zu überbieten, um die Deutungshoheit zu erlangen.
Ähnlich problematisch sind Äußerungen, in denen man sich als Analytiker selbst
zum Maßstab für die Realitätsadäquatheit oder -inadäquatheit des Handelns, Fühlens
und Denkens des Patienten nimmt. Interventionen wie: „Wenn ich Ihnen so zuhöre,
was Sie mir da über Ihre Beziehung zu Ihrem Partner erzählen, wundere ich mich,
dass Sie so ruhig dabei sind. Eigentlich müsste Sie das doch wütend machen!“ inthronisieren den Analytiker als Repräsentanten einer Norm. Auf diese Weise wird dann
nur das Verhalten der Eltern wiederholt, wie Freud schreibt, „die die Unabhängigkeit
des Kindes durch ihren Einfluss erdrückt hatten, und man ersetzt nur die frühere
Abhängigkeit durch eine neuere“ (Freud 1940a, S. 100).
Eine zurückhaltende Deutungstechnik steht in einem relativ großen Kontrast
zur Technik der forcierten Übertragungsanalyse. Letztere sei die Folge eines professionellen Deutungszwanges: statt dass der Analytiker sich – wie Borens (1988)
schreibt – „im Stillen [mit seinen analytischen Konstruktionen zu beschäftigen und
sie primär dazu zu verwenden, die eigene] Einsamkeit zu möblieren und sich zu
befreien von [einem] Zuviel, [von einem] Über-schuss an Wissen“ (S. 208). Der Versuch, Patienten zu verstehen – so Borens weiter – lasse den analytischen Diskurs zu
einem konventionellen verkommen. Vielmehr sollte es doch in der Analyse vor allem
darum gehen, „das nicht vermeidbare Vorverständnis auf ein Minimum zu reduzieren
und ganz besonders den Text sprechen zu lassen“ (Borens 1988, S. 214). Worauf es
ankomme sei, mit einer Deutung nichts abzuschließen, nichts zu vollenden, „sondern
auf etwas Neues, auf etwas Anderes“ (Borens 1988, S. 209), hinzuweisen, etwas zu
evozieren. Anhand mehrerer Fallbeispiele demonstriert Borens, dass bspw. die Signifikanz des „acting out“ in einer Analyse darin besteht, dass es auf sich selbst zeigt
und nicht interpretiert werden kann: „Das andere Element der Aktion, nämlich das
bezeichnende, weist auf ein unbewusstes Subjekt hin, das in seiner ihm selbst nicht
bewussten Aktion sich an den Andern wendet“ (2013, S. 179). In eine ganz ähnliche
Richtung weisen die Argumente von Pohlen und Bautz-Holzherr (1991), die folglich
die Psychoanalyse als eine Lehre vom Finden definieren.
Die Signifikantendeutung ist mithin die notwendig Voraussetzung, um dem Analysanden seine unbewussten Intentionen hörbar zu machen. Das setzt allerdings voraus, dass der Analytiker für sein eigenes Selbstverständnis primär seinen Mangel an
Sein und nicht sein (Analytiker-)Sein zugrunde legt.
Open Access Dieser Artikel unterliegt den Bedingungen der Creative Commons Attribution Noncommercial License. Dadurch sind die nichtkommerzielle Nutzung, Verteilung und Reproduktion erlaubt,
sofern der/die Originalautor/en und die Quelle angegeben sind.
Literatur
Bettelheim B (1988) Freud und die Seele des Menschen. Deutscher Taschenbuch Verlag (dtv), München
Bollas C (1997) Der Schatten des Objekts. Das ungedachte Bekannte. Zur Psychoanalyse der frühen Entwicklung. Klett-Cotta, Stuttgart
Bollas C (2006) Übertragungsdeutung als ein Widerstand gegen die freie Assoziation. Psyche – Z Psychoanal 60: 932–947
Borens R (1988) Ich weiss nicht, was soll ich denn deuten. RISS 3: 204–214
13
Deuten aus der Perspektive der strukturalen Psychoanalyse Lacans
307
Borens R (1993) Psychologisches Verstehen und psychoanalytisches Verständnis. In: Michels A, Widmer
P, Müller P (Hrsg) Eine Technik für die Psychoanalyse? Königshausen & Neumann, Würzburg
Borens R (2013) Der analytische Akt als symbolisches Geschehens. Jb Psychoanal 66: 171–191
Deutscher G (2010) Im Spiegel der Sprache. Warum die Welt in anderen Sprachen anders aussieht. C.H.
Beck, München
Falk D, Kuhlmann-Krieg S (2010) Wie die Menschheit zur Sprache fand: Mütter, Kinder und der Ursprung
des Sprechens. DVA, München
Fink B (2005) Eine klinische Einführung in die Lacansche Psychoanalyse. Turia + Kant, Wien
Freud S (1895d) Studien über Hysterie. GW Bd. 1, S 75–312
Freud S (1901a) Zur Psychopathologie des Alltagslebens. GW Bd. 4
Freud S (1905a) Über Psychotherapie. GW Bd. 5, S 13–26
Freud S (1910k) Über „wilde“ Psychoanalyse. GW Bd. 8, S 118–125
Freud S (1912b) Zur Dynamik der Übertragung. GW Bd. 8, S 364–374
Freud S (1912e) Ratschläge für den Arzt bei der psychoanalytischen Behandlung. GW Bd. 8, 376–387
Freud S (1914d) Zur Geschichte der psychoanalytischen Bewegung. GW Bd. 10, S 43–113
Freud S (1916–17a) Vorlesungen zur Einführung in die Psychoanalyse. GW Bd. 11
Freud S (1919a) Wege der psychoanalytischen Therapie. GW Bd. 12, S 183–194
Freud S (1925f) Geleitwort zu: Aichhorn, August, Verwahrloste Jugend. Die Psychoanalyse in der Fürsorgeerziehung. GW Bd. 14, S 565–567
Freud S (1937d) Konstruktionen in der Analyse. GW Bd. 16, S 43–56
Freud S (1940a) Abriß der Psychoanalyse. GW Bd. 17, S 63–138
Freud S (1985c) Briefe an Wilhelm Fließ. Fischer, Frankfurt a. M.
Goldschmidt G-A (1999) Als Freud das Meer sah. Amman, Zürich
Goldschmidt G-A (2006) Freud wartet auf das Wort. Amman, Zürich
Heimann P (1950) Über die Gegenübertragung. Forum Psychoanal 12: 179–184
Kläui C (2002) Gegenübertragung und der Wunsch, Analytiker zu sein. Jb Klin Psychoanal 4: 54–64
Klemann M (2008) „Wer nicht hören will, muss fühlen“ – Übertragungsanalyse und die unbewussten
Wünsche des Analytikers. Psyche – Z Psychoanal 62: 397–422
Knellessen O, Passett P, Schneider P (2003) Das Deuten der Psychoanalyse. Turia + Kant, Wien
König K (2007) Transfer – Von der Psychotherapie in den Alltag. Klett-Cotta, Stuttgart
König K (2010) Gegenübertragung und die Persönlichkeit des Psychotherapeuten. Brandes & Apsel,
Frankfurt a. M.
Lacan J (1986) Das Seminar Buch 20 [1972–1973]. Encore. Quadriga, Weinheim-Berlin
Lacan J (1991) Das Seminar Buch 2 [1954–1955]. Das Ich in der Theorie Freuds und in der Technik der
Psychoanalyse. Quadriga, Weinheim-Berlin
Lacan J (1996) Die Ausrichtung der Kur und die Prinzipien ihrer Macht [1958]. In: Schriften I: 171–236.
Quadriga, Weinheim-Berlin
Mayer A (2002) Mikroskopie der Psyche. Die Anfänge der Psychoanalyse im Hypnose-Labor. Wallstein,
Göttingen
Pohlen M, Bautz-Holzherr M (1991) Eine andere Aufklärung. Das Freudsche Subjekt in der Analyse.
Suhrkamp, Frankfurt a. M.
Sterba R (1934) Das Schicksal des Ichs im therapeutischen Verfahren. IZ 20: 66–73
Thomä H (2008) Clarissa X. Sackgassen und Behandlungsabbrüche. Psychotherapeut 53: 138–142
Žižek S (1988) Das Subjekt, dem unterstellt wird, zu… RISS 3: 159–171
Manfred Klemann, Jg. 1948, Dr. phil., Dipl.-Psych., Psychoanalytiker, analytischer Paar- und Familientherapeut; in eigener Praxis tätig. Lehranalytiker und Dozent am Lou Andreas-Salomé Institut für
Psychoanalyse und Psychotherapie (DPG, VAKJP) Göttingen. Veröffentlichungen zur Familientherapie,
Suizidologie und Theoriegeschichte der Psychoanalyse.
13
|
|
https://openalex.org/W3154170087
|
https://pravgos.ru/index.php/journal/article/download/96/96
|
Russian
| null |
INFORMATION TECHNOLOGIES - THE CHALLENGE OF THE TIME
|
Pravovoe gosudarstvo: teoriâ i praktika
| 2,020
|
cc-by
| 4,037
|
№ 4 (62) часть 1 2020 № 4 (62) часть 1 2020 INFORMATION TECHNOLOGIES –
THE CHALLENGE OF THE TIME KHAZIEVA Rushana Raufovna
Ph.D., Associate Professor of the Chair of International Law and International
Relations of the Bashkir State University, Ufa, Russia. E-mail: rushanakhazieva@mail.ru YUSUPOVA Rozaliya Rimovna
Ph.D., Associate Professor of the Chair of International law
and International Relations of the Bashkir State University, Ufa, Russia. E-mail: rozaliya-yusupova@yandex.ru 1 О подписании Соглашения об информационном взаимодействии государств –
участников Содружества Независимых Государств в области цифрового развития обще-
ства : распоряжение Правительства РФ от 31.10.2020 № 2846-р [Электронный ресурс].
URL: http://static.government.ru/media/files/4Ont2pXmCmq0ltc4kqI0IRGJ3IugCby2.pdf (да-
та обращения: 22.10.2020). YUSUPOVA Rozaliya Rimovna This article focuses on information technologies and gives their classification. The advantages and disadvantages of the introduction of the latest information,
telecommunication and cybernetic technologies are highlighted. The authors
draw attention to the necessity to unite efforts of all countries regarding informa-
tion security. It is emphasized that in modern conditions the information systems
of one country are part of the global system, which in turn leads to the vulnera-
bility of information systems and the possibility of external influence on politics
and the economy. Purpose of the article: to show the positive and negative con-
sequences of the achievements of information exchange. Methods: general
scientific methods of theoretical knowledge, as well as general logical methods
and research techniques are used. Results: In modern conditions of globalization
and integration of various world systems, information security issues should re-
main a priority and be considered in close cooperation of all countries. Keywords: information revolution; information technologies; information se-
curity; state policy; information flow. 11 1 Какие возможности откроет IV Промышленная Революция – прогноз, пред-
ставленный на Всемирном экономическом форуме в Давосе [Электронный ресурс].
URL: http://fea.ru/news/6340 (дата обращения 22.10.2020).
2 Там же. ПРАВОВОЕ ГОСУДАРСТВО: теория и практика ПРАВОВОЕ ГОСУДАРСТВО: теория и практика The successful development of modern information systems undoubted-
ly leads to qualitative changes in our daily life. Russian political scientists note
that «in a post-industrial society, information is the decisive resource of a man-
agement, while the role of finance is becoming less and less significant» [1,
p. 132]. It is well known that there is a direct coherence and cohesion between
the information received and the result. Decision-making processes, adminis-
tration and the quality of it entirely depends on the volume of data received,
especially in complex, difficult, conditions of political engagement. Large in-
formation flow influences the activity and performance of political structures. The trajectory of information flow from political associations to recipients re-
quires careful processing and proper application. Processing this information
flow takes a long time, and there are errors associated with the delay in its in-
telligibility to the recipient. There is no doubt that information technologies are
involved in important social changes, but they do so in different ways, it de-
pends on their interaction with many other factors. Using the political potential
of information strategies, the authorities have the opportunity to organize pub-
lic discourse in a special way, to create stable and at the same time flexible
communication between the state and civil structures, all of its permanent
counterparties. So, the ability to use the huge potential of information technol-
ogies today mostly depends on the effectiveness of state policy. The tasks of
combining long-term and short-term political goals that allow connecting the
future and the present, the reality and the prospects for the development of
politics are in priority today. The Russian Prime Minister Mikhail Mishustin approved a draft agree-
ment on information interaction between the CIS member states in the field of
digital society development. The document implies joint work on common ap-
proaches to the development of state policy and legal regulation in the field of
digital development of society and the digital economy. «The member coun-
tries of the Commonwealth of Independent States (CIS) will work together on
common approaches to the development of state policy and legal regulation in
the field of digital development of society and the digital economy. The coop-
eration agreement is to be signed on November 6, 2020 within the framework
of the next meeting of the Council of CIS Heads of Governments»1. ПРАВОВОЕ ГОСУДАРСТВО: теория и практика We must learn to use new technolo-
gies for the benefit of humanity, find the right balance between incentives for
the development of artificial intelligence and justified restrictive measures,
jointly come to an agreement on regulation that would exclude potential 13 ПРАВОВОЕ ГОСУДАРСТВО: теория и практика threats, and from the point of view of not only military, technological security,
but also traditions, law and morality»1. threats, and from the point of view of not only military, technological security,
but also traditions, law and morality»1. Technologies have become ubiquitous and as a result, the individual has
the feeling that he is an important participant in various processes in the globa-
lized world. Using more and more technical means, he becomes a witness of a
number of events taking place in different parts of the world [3 p. 146]. But the
digital gap reflects and exacerbates existing social, cultural and economic in-
equalities. For example, in two out of every three countries, more men use the
Internet than women. The pandemic has further exposed these and other digital
challenges. This was discussed today by the participants of the high-level fo-
rum held on the sidelines of the 75th session of the General Assembly with the
participation of representatives of such companies as Microsoft, Google and
Facebook. According to the head of the UN, in the context of the COVID-19 pan-
demic, the necessity to fill in this gap becomes even more urgent. Digital tools
have become a lifeline for millions of people. Ultra-powerful computers ana-
lyze thousands of drug compounds to identify drug and vaccine candidates. E-commerce platforms market the most essential household items and medical
supplies, while video communication platforms enable education and economic
activity to continue. Analyzing the current results of the latest technological revolution, un-
derstood as the penetration of information flows into the most secluded corners
of life without any exceptions on a global scale, its impact on three compo-
nents: the world community; the content, i.e. international relations; security. Basically, the researchers identify mainly the following internationally
significant results: firstly, with the advent of new information technologies, the
world will no longer be the same. The world order had changed dramatically. 1 Владимир Путин выступил с видеообращением на пленарном заседании юбилей-
ной, 75-й сессии Генеральной Ассамблеи Организации Объединенных Наций [Электронный
ресурс]. URL: http://www.kremlin.ru/events/president/news/64074 (дата обращения 22.10.2020). ПРАВОВОЕ ГОСУДАРСТВО: теория и практика 12 № 4 (62) часть 1 2020 The special attention of the countries participating in the agreement will
be turned to such areas as the development of information infrastructure and e-
government systems, ensuring the reduction of digital inequality, the creation
of comprehensive mechanisms for supporting research activities, training and
retraining of personnel. g
In January 2016, the 46th session of the World Economic Forum
(WEF) was held in Davos (Switzerland). The title topic of the forum was «the
fourth industrial revolution»1. As the founder and president of the WEF, Klaus
Schwab, emphasized in his speech at the opening of the WEF, «humanity is
facing a new technological revolution that will radically change our lives, work
and attitudes towards each other. Artificial intelligence is already everywhere –
from self-driving cars and drones to virtual assistants and programs that can
translate from foreign languages, invest, develop new drugs and predict cultur-
al interests»2, said Schwab. In the first industrial revolution, the power of water and steam made it
possible to mechanize production (i.e. the first and second technological mod-
es). In the second, electricity was used to organize mass production (third
way). In the third, electronics and information technology have automated pro-
duction (the fifth mode). Achievements in the field of cybernetics and infor-
matics are fully and completely integrated into all spheres of human life: phys-
ical, digital and biological spheres. The exclusive feature of this phenomenon
is its comprehensive and scalable targeting both individual communities and
the entire population of the planet. At the same time, it carries unpredictable
challenges and risks. The aim of artificial intelligence is to support people in
making better, more informed decisions in accordance with their goals [2,
p. 147]. In this regard, at the 75th Session of the UN General Assembly, Rus-
sian President V.V. Putin urged to find a balance between development and
restrictive measures in the IT sphere: «Digital technologies tend to spread un-
controllably and, like conventional weapons, can fall into the hands of all sorts
of radicals and extremists not only in regional conflict zones, but also in quite
prosperous countries, creating huge risks. ПРАВОВОЕ ГОСУДАРСТВО: теория и практика Secondly, the blurring of the borders of states will undoubtedly lead to the de-
centralization of power structures and, as a result, new subjects of the world in-
formation space will appear, which will now already operate throughout the en-
tire globe. Thirdly, the importance of information security will increase, since
the essence of international conflicts in the international arena and their settle-
ment will change. «We are witnessing the rapid development of information and
communication technologies, which have come into all spheres of human life,
become interdependent and interconnected with each other at the global level»
[4, p. 67]. All of the above allows us to talk about the information revolution. 14 № 4 (62) часть 1 2020 It should be emphasized that the fourth industrial revolution or the sixth
economic order can have a strong impact on domestic and international securi-
ty. Throughout the history of mankind wars have occurred, they have been a
trigger for the improvement of technologies, the introduction of new develop-
ments and achievements. For any war is not only human sacrifice, but also the
rivalry of countries in technological superiority. In modern reality, the term
«hybridity» is used to describe relations between warring states. If in the past
military actions took place only on the battlefield and nowadays these are pri-
marily conflicts in the virtual cyber space. The Russian National Security Strategy in provision 70 determined:
«To resolve the tasks of national security in the spheres of science, technolo-
gies, and education it is necessary to ensure»: – «the comprehensive development of scientific potential and the reins-
tatement of the complete scientific production cycle, ranging from basic scien-
tific research to the introduction of the achievements of applied science into
production in accordance with the priorities of the Russian Federation’s so-
cioeconomic scientific and scientific technological development ; – «the development of a national innovation system and encouragement
and support for the development of the innovations market and science-
intensive output, including science-intensive output with high added value»1. Foreign Policy Concept of the Russian Federation (approved by Presi-
dent of the Russian Federation Vladimir Putin on November 30, 2016) contains
a special section: «Information Support for Foreign Policy Activities of the
Russian Federation». 1 О Стратегии национальной безопасности Российской Федерации : указ Прези-
дента РФ от 31.12.2015 № 683 [Электронный ресурс] // Доступ из справ.-правовой сис-
темы «Гарант» (дата обращения: 15.10.2020).
2 Президент подписал Указ «О Стратегии научно-технологического развития
Российской Федерации» [Электронный ресурс]. URL: http://kremlin.ru/acts/news/53383
(дата обращения: 15.10.2020). 1 Об информации, информационных технологиях и о защите информации : фе-
дер. закон от 27.07.2006 № 149-ФЗ [Электронный ресурс] // Доступ из справ.-правовой
системы «КонсультантПлюс» (дата обращения: 15.10.2020). ПРАВОВОЕ ГОСУДАРСТВО: теория и практика Paragraph 47 of this section says: «Russia seeks to ensure
that the world has an objective image of the country, develops its own effective
ways to influence foreign audiences, promotes Russian and Russian-language
media in the global information space, providing them with necessary govern-
ment support, is proactive in international information cooperation, and takes
necessary steps to counter threats to its information security. New information
and communication technology is used to this end. Russia is intent on promot-
ing a set of legal and ethical norms regarding the safe use of such technology. Russia asserts the right of every person to access unbiased information about
global developments and various points of view»2. 15 ПРАВОВОЕ ГОСУДАРСТВО: теория и практика The electronic state is included in all branches of
government: judicial, executive, legislative [8, p. 304]. achievements of information technology for the fruitful administration of so-
ciety and state institutions. The electronic state is included in all branches of
government: judicial, executive, legislative [8, p. 304]. g
j
g
p
The phenomenon of the rapid development of information and commu-
nication technologies has also covered the segment of international relations. The term «digital diplomacy» was originally applied to US public policy pur-
sued with the help of information and communication technologies. Digital
diplomacy (electronic diplomacy) is the use of the capabilities of the Internet
and information and communication technologies are to solve diplomatic and
related tasks. Electronic diplomacy (ED) uses social networks, new media,
blogs and other media platforms in the global network. State structures, primar-
ily foreign policy, government bodies, as well as non-governmental organiza-
tions of foreign policy take part in electronic diplomacy [9, p. 70]. The main
goals of electronic diplomacy are the promotion of foreign policy interests, in-
formation propaganda through Internet television, social networks, mobile
communications, etc., aimed at the mass consciousness and at political elites. The field of application of e-diplomacy is very large, since the speed of infor-
mation transfer is instantaneous and does not require much time, at the same
time, it allows to affect more people, form a positive image of the country, con-
tribute to the creation of a positive image of the country, distance learning. The
big advantage of e-diplomacy is instant feedback from recipients [10, p. 48]. The data obtained make it possible to analyze them and assess the moods and
expectations, fears and anxieties of citizens. The widespread introduction of
communication channels for the rescue service and emergencies (air crashes,
earthquakes, fires, etc.) are also invaluable. Selected political ideas are widely
disseminated by means of electronic diplomacy. Individual citizens of certain
nationalities living abroad have the opportunity to maintain their identity. So,
e-diplomacy is an opportunity to expand its influence in the foreign policy are-
na, however, at the same time, there is a manipulative component that affects
the addressees, forcing them to make pre-thought decisions. Propaganda and agitation are varieties of political technologies. Propa-
ganda is a certain vector of promotion of political ideas of the government and
government structures with the aim of their subsequent consolidation of im-
plementation and perception by members of society. ПРАВОВОЕ ГОСУДАРСТВО: теория и практика ПРАВОВОЕ ГОСУДАРСТВО: теория и практика Only recently, information security issues have become the subject of
discussion at many summits and meetings at the international level at the level
of heads of state. Information security is understood as the state of security of
the information environment, ensuring its formation and development in the
interests of certain structures. The information environment, being a backbone
factor in people’s life is a sphere of national security. The modern world is «fundamentally dependent from the normal, unin-
terrupted functioning of the information infrastructure. The process of an ava-
lanche-like widespread introduction of the latest information, telecommunica-
tion and cybernetic technologies is taking place. Along with the latter, the rapid
spread of local and global networks creates a fundamentally new quality of
cross-border information exchange. All of this directly affects politics, econo-
my and security» [5, p. 115]. Let's turn to the concept of «information technology». Russian legislation gives the following definition of information tech-
nology: «Information technologies are the processes, methods of searching,
collecting, storing, processing, providing, distributing information and ways of
implementing such processes and methods»1. The choice of the specifics of information technology correlates with
the humanities or with the technical one. «The interpretation of «information
technology in politics» and «information technology used by policy subjects»
imply the technical specifics of these technologies as a set of hardware and
software for creating, processing, storing and transmitting data. The semantic
meaning of the concepts «information technologies as political technologies»
and «political information technologies» is based on the humanitarian compo-
nent and is reduced to the methods of achieving political goals» [6, p. 83]. In
this case, information technologies are considered as part of political technolo-
gies, which are understood as technologies of the struggle for political power
and its retention, technologies for the distribution and application of political
power [7, p. 135]. Information technologies in politics, as well as political technologies in
general, are a rather complex concept and it primarily depends on the target
audience or recipients and are used to develop political courses in order to
modernize and optimize political processes. The modern principles of e-government development are coming to the
fore. The purpose of this ministry is to improve the existing and emerging 16 № 4 (62) часть 1 2020 achievements of information technology for the fruitful administration of so-
ciety and state institutions. ПРАВОВОЕ ГОСУДАРСТВО: теория и практика Comparing to propaganda
agitation and is a narrower concept and may be a propaganda tactic. The ultimate goal of propaganda-type technologies is to establish do-
minance over the formation of points of view and to correlate their subsequent
actions in accordance with the ideas suggested to members of society. In this 17 ПРАВОВОЕ ГОСУДАРСТВО: теория и практика case the basic strategies and tactics of propaganda and agitation are distortion,
false information and manipulation. To sum up the above mentioned, we come to the conclusion that the ef-
ficiency and usefulness of state administration and its functioning on the inter-
national arena entirely depends on new information technologies, which are a
key factor in the very definition of the state's international and domestic securi-
ty. And as a result, there are negative and positive aspects of the implemented
achievements of information technologies. On the one hand, this is progress, on
the other hand, it is vulnerability, a weak spot in the international security sys-
tem. Responding to the challenges of our time it is necessary to bring to the
fore on the agenda issues of information security, not only within a single
country, but also in cooperation with other states. 6. Smirnov A.I. Sovremennye informacionnye tekhnologii v mezhduna-
rodnyh otnosheniyah [Modern information technologies in international rela-
tions]. Moscow, MGIMO-Universitet Publ., 2017. 334 p. References Scenarnyj
analiz v upravlenii geopoliticheskim informacionnym protivoborstvom [Scena-
rio analysis in the management of geopolitical information confrontation]. Moscow, Nauka Publ., 2015. 542 p. 9. SHul'c V.L., Kul'ba V.V., SHelkov A.B., CHernov I.V. Scenarnyj
analiz v upravlenii geopoliticheskim informacionnym protivoborstvom [Scena-
rio analysis in the management of geopolitical information confrontation]. Moscow, Nauka Publ., 2015. 542 p. 10. Nigmatullin, R.V., Minigulova I.R. Bor'ba s prestupnost'yu v kurse
sovremennogo mezhdunarodnogo prava [The fight against crime in the course
of modern international law]. Ufa, 2018. 85 p. 10. Nigmatullin, R.V., Minigulova I.R. Bor'ba s prestupnost'yu v kurse
sovremennogo mezhdunarodnogo prava [The fight against crime in the course
of modern international law]. Ufa, 2018. 85 p. Received: 01.11.2020 References 1. Torkunov A.V. Po doroge v budushchee – 2 [On the road to the fu-
ture – 2]. 2nd ed. Moscow, Aspekt Press Publ., 2015. 552 p. p
p
2. Afanas'eva E.N. New technologies in the field of artificial intelli-
gence challenge the foundations of civil law. Vestnik Tomskogo gosudarstven-
nogo universiteta. Seriya: Pravo = Bulletin of the Tomsk State University. Se-
ries: Law, 2020, no. 36, pp. 145–152. DOI: 10.17223/22253513/36/13. (In
Russian). 2. Afanas'eva E.N. New technologies in the field of artificial intelli-
gence challenge the foundations of civil law. Vestnik Tomskogo gosudarstven-
nogo universiteta. Seriya: Pravo = Bulletin of the Tomsk State University. Se-
ries: Law, 2020, no. 36, pp. 145–152. DOI: 10.17223/22253513/36/13. (In
Russian). 3. Bovina I.B., Dvoryanchikov N.V. Living in a Digital Society: from
the Point of View of One Social Psychological Perspective. Psikhologiia i pra-
vo = Psychology and Law, 2020, vol. 10, no. 3, pp. 143–157. DOI:10.17759/
psylaw.2020100310. (In Russian). 4. Hazieva R.R., YUsupova R.R. Review on the Results of the III Inter-
national Scientific Conference «Language, Law and Society in the Coordinates
of Mass Media». Vestnik Instituta prava Bashkirskogo gosudarstvennogo un-
iversiteta = Bulletin of the Institute of Law of the Bashkir State University,
2019, no. 2 (4), pp. 65–70. (In Russian). 5. Severcev N.A., Beckov A.V. Informacionnaya bezopasnost' i princi-
py ee obespecheniya [Information security and principles of its provision]. Available at: https://cyberleninka.ru/article/n/informatsionnaya-bezopasnost-i-
printsipy-ee-obespecheniya. (In Russian). 6. Smirnov A.I. Sovremennye informacionnye tekhnologii v mezhduna-
rodnyh otnosheniyah [Modern information technologies in international rela-
tions]. Moscow, MGIMO-Universitet Publ., 2017. 334 p. 18 № 4 (62) часть 1 2020 7. Degtyarev D.A. Prikladnoj kolichestvennyj analiz i modelirovanie
mezhdunarodnyh otnoshenij [Applied Quantitative Analysis and Modeling of
International Relations]. Moscow, RUDN Publ., 2016. 556 p. 8. Brumshtejn YU.M., Knyazeva O.M., Dyudikov I.A., Vas'kovskij
E.YU. Nadezhnost' i kachestvo informacionnyh sistem: analiz sostava vliya-
yushchih faktorov s pozicij informacionnoj bezopasnosti [Reliability and quali-
ty of information systems: analysis of the composition of influencing factors
from the standpoint of information security]. Available at: https:// cyberlenin-
ka.ru/article/n/nadezhnost-i-kachestvo-informatsionnyh-sistem-analiz-sostava-
vliyayuschih-faktorov-s-pozitsiy-informatsionnoy-bezopasnosti. (In Russian). 8. Brumshtejn YU.M., Knyazeva O.M., Dyudikov I.A., Vas'kovskij
E.YU. Nadezhnost' i kachestvo informacionnyh sistem: analiz sostava vliya-
yushchih faktorov s pozicij informacionnoj bezopasnosti [Reliability and quali-
ty of information systems: analysis of the composition of influencing factors
from the standpoint of information security]. Available at: https:// cyberlenin-
ka.ru/article/n/nadezhnost-i-kachestvo-informatsionnyh-sistem-analiz-sostava-
vliyayuschih-faktorov-s-pozitsiy-informatsionnoy-bezopasnosti. (In Russian). 9. SHul'c V.L., Kul'ba V.V., SHelkov A.B., CHernov I.V. ИНФОРМАЦИОННЫЕ ТЕХНОЛОГИИ –
ВЫЗОВ СОВРЕМЕННОСТИ ХАЗИЕВА Рушана Рауфовна ХАЗИЕВА Рушана Рауфовна
кандидат филологических наук, старший преподаватель кафедры
международного права и международных отношений Института
права Башкирского государственного университета, г. Уфа, Россия. E-mail: rushanakhazieva@mail.ru ЮСУПОВА Розалия Римовна кандидат филологических наук, доцент кафедры международного
права и международных отношений Института права
Башкирского государственного университета, г. Уфа, Россия. E-mail: rozaliya-yusupova@yandex.ru В статье уделяется внимание информационным технологиям и их
классификации, рассматриваются преимущества и недостатки внедрения
новейших информационных, телекоммуникационных и кибернетических 19 ПРАВОВОЕ ГОСУДАРСТВО: теория и практика технологий. Авторы считают, что необходимо объединить усилия всех
стран для обеспечения информационной безопасности. Подчеркивается,
что в современных условиях информационные системы одной страны яв-
ляются частью глобальной системы, что, в свою очередь, приводит к уяз-
вимости информационных систем и к возможности внешнего влияния на
политику и экономику. Цель: показать положительные и негативные по-
следствия достижений информационного обмена. Методы: общенаучные
методы теоретического познания, а также общелогические методы и
приемы исследования. Результаты: в современных условиях глобализа-
ции и интеграции различных мировых систем вопросы информационной
безопасности должны оставаться приоритетными и рассматриваться в
тесном сотрудничестве всех стран. Ключевые слова: информационная революция; информационные техно-
логии; информационная безопасность; государственная политика; ин-
формационный поток. штейн, О.М. Князева, И.А. Дюдиков, Е.Ю. Васьковский. URL: https://cyber-
leninka.ru/article/n/nadezhnost-i-kachestvo-informatsionnyh-sistem-analiz-sos-
tava-vliyayuschih-faktorov-s-pozitsiy-informatsionnoy-bezopasnosti. Библиографический список 1. Торкунов А.В. По дороге в будущее – 2. 2-е изд., доп. и перераб. М. : Аспект Пресс, 2015. 552 с. 2. Афанасьева Е.Н. Новые технологии в области искусственного ин-
теллекта бросают вызов основам гражданского права // Вестник Томск. гос. ун-та. Сер.: Право. 2020. № 36. С. 145–152. DOI: 10.17223/22253513/36/13. 3. Бовина И.Б., Дворянчиков Н.В. Человек в цифровом обществе:
объяснительный потенциал одной социально-психологической теории //
Психология и право. 2020. Т. 10, № 3. С. 143–157. DOI:10.17759/ psylaw. 2020100310. 4. Хазиева Р.Р., Юсупова Р.Р. III Международная научная конференция
«Язык, право и общество в координатах массмедиа» // Вестник Института
права Башкирского государственного университета. 2019. № 2 (4). С. 65–70. 5. Северцев Н.А., Бецков А.В. Информационная безопасность и
принципы ее обеспечения. URL: https://cyberleninka.ru/article/n/ informat-
sionnaya-bezopasnost-i-printsipy-ee-obespecheniya. 6. Смирнов А.И. Современные информационные технологии в меж-
дународных отношениях : моногр. М. : МГИМО-Университет, 2017. 334 с. 7. Дегтярев Д.А. Прикладной количественный анализ и моделиро-
вание международных отношений. М. : РУДН, 2016. 556 с. 8. Надежность и качество информационных систем: анализ состава
влияющих факторов с позиций информационной безопасности / Ю.М. Брум- 20 № 4 (62) часть 1 2020 штейн, О.М. Князева, И.А. Дюдиков, Е.Ю. Васьковский. URL: https://cyber-
leninka.ru/article/n/nadezhnost-i-kachestvo-informatsionnyh-sistem-analiz-sos-
tava-vliyayuschih-faktorov-s-pozitsiy-informatsionnoy-bezopasnosti. штейн, О.М. Князева, И.А. Дюдиков, Е.Ю. Васьковский. URL: https://cyber-
leninka.ru/article/n/nadezhnost-i-kachestvo-informatsionnyh-sistem-analiz-sos-
tava-vliyayuschih-faktorov-s-pozitsiy-informatsionnoy-bezopasnosti. 9. Сценарный анализ в управлении геополитическим информа-
ционным противоборством / В.Л. Шульц, В.В. Кульба, А.Б. Шелков,
И.В. Чернов. М. : Наука, 2015. 542 с. р
у
,
10. Нигматуллин, Р.В., Минигулова И.Р. Борьба с преступностью в
курсе современного международного права : учеб. пособие. Уфа, 2018. 85 с. р
у
10. Нигматуллин, Р.В., Минигулова И.Р. Борьба с преступностью в
курсе современного международного права : учеб. пособие. Уфа, 2018. 85 с. Дата поступления: 01.11.2020 21 21
|
https://openalex.org/W1997323990
|
https://europepmc.org/articles/pmc3179885?pdf=render
|
English
| null |
Low Levels of Serum Paraoxonase Activities are Characteristic of Metabolic Syndrome and May Influence the Metabolic-Syndrome-Related Risk of Coronary Artery Disease
|
Experimental Diabetes Research
| 2,012
|
cc-by
| 8,161
|
Hindawi Publishing Corporation
Experimental Diabetes Research
Volume 2012, Article ID 231502, 9 pages
doi:10.1155/2012/231502 Hindawi Publishing Corporation
Experimental Diabetes Research
Volume 2012, Article ID 231502, 9 pages
doi:10.1155/2012/231502 Hindawi Publishing Corporation
Experimental Diabetes Research
Volume 2012, Article ID 231502, 9 pages
doi:10.1155/2012/231502 Nicola Martinelli,1 Roberta Micaglio,1 Letizia Consoli,1 Patrizia Guarini,1
Elisa Grison,1 Francesca Pizzolo,1 Simonetta Friso,1 Elisabetta Trabetti,2
Pier Franco Pignatti,2 Roberto Corrocher,1 Oliviero Olivieri,1 and Domenico Girelli1
1Department of Medicine, University of Verona, Policlinico G.B. Rossi, 37134 Verona, Italy
2Department of Life and Reproduction Sciences, University of Verona, 37134 Verona, Italy Correspondence should be addressed to Nicola Martinelli, nicola.martinelli@univr.it Received 30 June 2011; Accepted 20 July 2011 Academic Editor: Jun Ren Copyright © 2012 Nicola Martinelli et al. This is an open access article distributed under the Creative Commons Attribution
License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly
cited. Low concentrations of plasma high-density lipoprotein (HDLs) are characteristic in metabolic syndrome (MS). The antioxidant
ability of HDLs is, at least in part, attributable to pleiotropic serum paraoxonase (PON1). Different PON1 activities have been
assessed in 293 subjects with (n = 88) or without MS (n = 205) and with (n = 195) or without (n = 98) angiographically
proven coronary artery disease (CAD). MS subjects had low PON1 activities, with a progressively decreasing trend by increasing
the number of MS abnormalities. The activity versus 7-O-diethyl phosphoryl,3-cyano,4-methyl,7-hydroxycoumarin (DEPCyMC),
which is considered a surrogate marker of PON1 concentration, showed the most significant association with MS, independently
of both HDL and apolipoprotein A-I levels. Subjects with MS and low DEPCyMCase activity had the highest CAD risk (OR 4.34
with 95% CI 1.44–13.10), while no significant increase of risk was found among those with MS but high DEPCyMCase activity
(OR 1.45 with 95% CI 0.47–4.46). Our results suggest that low PON1 concentrations are typical in MS and may modulate the
MS-related risk of CAD. 1. Introduction The DEPCyMC is a
chromogenic phosphotriester substrate that, differently from
the other methods for PON1 activities, allows estimating
total PON1 concentration, the DEPCyMCase assay being
not influenced by the degree of catalytic stimulus by HDL. The ratio between these two activities (TBBL-to-DEPCyMC
activity ratio) has been suggested to provide the so-called
“normalized lactonase activity” (NLA), which may reflect the
level of PON1 lactonase catalytic stimulation by HDL [20]. In a previous work, we showed for the first time that these
novel PON1 activity assays may be associated with coronary
artery disease (CAD). More precisely, we observed that
CAD patients had low PON1 concentration, defined by low
DEPCyMCase activity, but presented high stimulation of
PON1 lactonase activity, as indicated by high NLA values
[21]. anterior descending, circumflex, or right) with ≥1 significant
stenosis (≥50%). CAD patients were classified into MI
(n
= 100) and non-MI (n
= 100) subgroups on the
basis of a thorough review of medical records including his-
tory, electrocardiogram, enzyme changes, and/or the typical
sequelae of MI on ventricular angiography. The angiograms
were assessed by cardiologists who were unaware that the
patients were to be included in the study. All participants
came from the same geographical area (Northern Italy). At the time of blood sampling, a complete clinical history
was collected, including the assessment of cardiovascular
risk factors such as obesity, smoking, hypertension, and
diabetes. From these 300 subjects we further selected 293
subjects (195 CAD and 98 CAD-free) for whom complete
data for MS diagnosis were available. According to the
established criteria [23], patients were classified as having
MS when at least three of the following conditions were
present: body mass index >30 kg/m2; documented history
of hypertension or blood pressure >140/90 mmHg; fasting
glucose >6.1 mmol/L; plasma triglycerides >1.7 mmol/L;
HDL <1.03 mmol/L for males or <1.29 mmol/L for fem-
ales. The study was approved by the Ethic Committee of our
Institution (Azienda Ospedaliera, Verona). A written infor-
med consent was obtained from all the participants after a
full explanation of the study. 2.2. Biochemical Analysis. Samples of venous blood were
withdrawn from each subject, after an overnight fast. Serum
lipids and the other common biochemical parameters were
determined by routine methods. Apolipoprotein A-I (Apo
A-I) and Apolipoprotein B (Apo B) were measured by com-
mercially available nephelometric immunoassays; antisera,
calibrators, and the BNII nephelometer were from Dade
Behring [21]. 1. Introduction Low levels of high-density lipoprotein (HDL) are typical
of the biochemical cluster defining MS. HDLs are one of the
most important antioxidant defence systems in plasma. They
are well known to prevent low-density lipoprotein (LDL)
oxidation and protect against LDL-induced cytotoxicity [6–
9]. HDLs also possess anti-inflammatory properties, includ-
ing the ability of suppressing cytokine-induced endothelial
cell adhesion molecules function [10–12]. The antioxidant
properties of HDLs are, at least to some extent, attributable to
serum paraoxonase (PON1). PON1 is a 45 kDa, 355-amino-
acid glycoprotein which is synthesized essentially by the liver
and then secreted into the blood, where it links to HDLs
[13, 14]. PON1 is a pleiotropic enzyme, whose name origi-
nally derives from its capacity to neutralize highly toxic,
xenobiotic compounds, such as paraoxon. The physiological Metabolic syndrome (MS) defines a well-known cluster of
metabolic disturbances associated with an increased risk of
cardiovascular disease and diabetes [1–3]. Insulin resistance
is thought to be the core of MS [2, 3]. Nonetheless, oxidative
stress pathways have been also proposed to play a role in
MS. An increased oxidative stress, as well as a reduction
of antioxidant defences, may impair insulin signalling,
therefore leading per se to insulin resistance [4]. Moreover,
the crucial role of oxidative damage is well documented in
both endothelial dysfunction and atherosclerosis processes as
it is also accepted that the imbalance of reduction-oxidation
(redox) homeostasis may contribute to the development of
cardiovascular diseases in MS [4, 5]. 2 2 Experimental Diabetes Research substrates of PON1, however, are yet partially undefined,
even if convincing evidence points to a principal role of
PON1 as lactonase, with lipophylic lactones as the primary
substrates [15–17]. Previous studies by measuring the rate
of paraoxon hydrolysis have shown that subjects with MS
had lower PON1 activity [18, 19]. However, it is not clear
to what extent the classical, but not physiological, assay,
such as the paraoxonase activity, reflects the actual antiox-
idant capacity of the enzyme. Recently, novel PON1 assays
have been developed: 5-thiobutyl butyrolactone (TBBL)
and 7-O-diethyl phosphoryl 3-cyano 4-methyl 7-hydroxy-
coumarin (DEPCyMC) [20]. Both TBBLase and DEPCyM-
Case activities in sera are highly specific to PON1. TBBL
is a chromogenic lactone that resembles the most favo-
urable PON1 lactone substrates, allowing a specific eval-
uation of PON1 lactonase activity. 1. Introduction LDL cholesterol/Apo B ratio was calculated as
surrogate marker of small and dense LDL particles [19]. The aim of this study was to evaluate PON1 activities
by means of both traditional (i.e., paraoxonase and aryles-
terase activity) and new assays (i.e., TBBLase and DEPCyM-
Case activity) in a population of subjects with or without
angiographically confirmed CAD, according to either the
presence or absence of MS diagnosis. The potential interac-
tion between MS and PON1 activity as a determinant of CAD
risk was also assessed. 2.3. PON1 Activity Assays. PON1 activity assays were per-
formed as previously described [20]. TBBL and DEPCyMC
were kindly provided by Dan Tawfik (Department of Bio-
logical Chemistry, Weizmann Institute of Science, Rehovot,
Israel). 3. Results and Discussion All the measures of PON1 activity were performed in
duplicate, and all the coefficients of variations were less than
5%. 2.4. PON1 Gln192Arg and Leu55Met Polymorphism Analysis. Genomic DNA was extracted from whole-blood samples by a
phenol-chloroform procedure, and subjects were genotyped
according to a previously described multilocus assay [24]. PON1 genotypes were available for 264/293 (90.1%) subjects. 2.5. Statistics. Calculations were performed with SPSS 17.0
statistical package (SPSS Inc., Chicago, Ill). Distributions of
continuous variables in groups were expressed as means ±
standard deviation. Statistical analysis on skewed variables,
like paraoxonase activity, was computed on the correspond-
ing log-transformed values. However, for the sake of clarity,
nontransformed data are reported in the results. Quanti-
tative data were assessed using Student’s t-test or analysis
of variance (ANOVA). Correlations between quantitative
variables were assessed using Pearson’s correlation test. Qualitative data were analyzed with the χ2-test and with χ2
for linear trend analysis when indicated. A value of P < 0.05
was considered statistically significant. Statistical power was
estimated by means of Altmann nomogram. Consistently with the last outcome, by stratifying the
study population on the basis of MS diagnosis and HDL
levels, which were considered as a dichotomic variable on
the basis of MS-related threshold level, subjects with low
HDL levels but without MS had a higher DEPCyMCase
activity than subjects with equally low HDL levels and MS
(Figure 1(a)). Interestingly, subjects with low HDL levels but
without MS presented a DEPCyMCase activity comparable
with that of subjects with high HDL levels and without
MS (Figure 1(a)). On the other hand, subjects with high
HDL levels but with MS showed a trend versus lower
DEPCyMCase activity compared to those with high HDL
levels and without MS, even if this difference did not reach
statistical significance. Noteworthy, no difference in HDL or
Apo A-I concentration appeared to justify such results in the
above-mentioned four subgroups. Indeed, within the groups
with either low or high HDL levels, MS diagnosis was not
associated with additional differences in HDL and Apo A-
I concentrations (Figures 1(b) and 1(c)), thus supporting
an HDL-independent, Apo A-I-independent association of
DEPCyMCase activity with MS. Within each group examined, the frequencies of the
genotypes associated with each of the polymorphisms were
compared by the χ2-test with the values predicted on the
basis of the Hardy-Weinberg equilibrium. 3. Results and Discussion 3.1. Results. The clinical characteristics of the study pop-
ulation divided on the basis of MS diagnosis are reported
in Table 1. Subjects with (n = 88) or without MS (n =
205) differed for several characteristics, not only related to
MS cluster. As expected, MS was more represented among
CAD patients. Moreover, MS subjects presented a lower
LDL cholesterol/Apo B ratio. All the four investigated PON1
activities (TBBLase, DEPCyMCase, arylesterase, and paraox-
onase activities) were significantly lower in MS subjects,
while no significant difference was found for NLA, nor for
PON1 genotypes distribution, which respected the Hardy-
Weinberg equilibrium (Table 1). No significant difference
was found between CAD subjects with or without MI for
PON1 activities nor for MS distribution (data not shown). The normalized lactonase activity (NLA) was calculated
by dividing TBBLase activity of each sample by its DEPCyMC
activity. Paraoxonase activity in sera samples was measured in
activity buffer with 1mM paraoxon by monitoring the
absorbance at 405 nm (C = 10, 515 OD/M). Arylesterase
activity was measured in activity buffer with 1 mM phenyl
acetate by monitoring the absorbance at 270 nm (C
=
700 OD/M). Activities were expressed as U/L for paraoxon
and kU/L for phenyl acetate (1 unit = 1 nmol of paraoxon or
1 μmol of phenyl acetate hydrolyzed per minute per 1 mL of
undiluted serum). Ranking the study population on the basis of MS abnor-
malities, PON1 activity levels, as well as HDL and Apo A-I
concentrations, and LDL-cholesterol/Apo B ratio decreased
progressively by increasing the number of metabolic dis-
turbances (Table 2). In particular, DEPCyMCase activity
presented a very high significant association with both MS
diagnosis (20.60 ± 6.05 versus 23.8 ± 5.6 mU/mL in subjects
with or without MS, resp., P = 1.58 × 10−5) and the number
of metabolic disturbances (P for linear trend = 3.84 × 10−6). Including all the PON1 activities in a regression model with
a forward-stepwise variable selection, only DEPCyMCase
activity remained a significant predictor of MS (OR for
1 mU/mL increase = 0.90 with 95% CI 0.86–0.95; P < 0.001). Noteworthy, this association was independent of HDL and
Apo A-I levels (OR for 1 mU/mL increase = 0.93 with 95% CI
0.88–0.98; P = 0.004) and of both PON1 genotypes (OR for
1 mU/mL increase = 0.92 with 95% CI 0.86–0.99; P = 0.017). Experimental Diabetes Research age, sex, smoke, and LDL cholesterol). Finally, the correlation
between DEPCyMCase activity and LDL cholesterol/Apo B
ratio was evaluated by means of a linear regression analysis
model adjusted for age, sex, and HDL concentration. Total PON1 concentrations in human sera were assessed
by measuring the activity with DEPCyMC. For the enzymatic
measurements, DEPCyMC was used from 100 mM stock in
DMSO, and all the reaction mixtures contained a final 1%
DMSO. The activity was measured with 10 μL of serum and
1 mM substrate in 50 mM bis-tris-propane, pH 9.0, with
1 mM CaCl2, by monitoring the absorbance at 400 nm in a
final volume of 200 μL (C = 22, 240 OD/M). Activities were
expressed as mU/mL (1 milliunit = 1 nmol of DEPCyMC
hydrolyzed per minute per 1 mL of undiluted serum). 2. Materials and Methods 2.1. Study Population. This study was performed within
the framework of the Verona Heart Project, a regional
survey designed for identification of new risk factors for
CAD in subjects with objective angiographic documentation
of their coronary vessels. Details about enrolment criteria
have been described in detail elsewhere [22]. As previously
reported, a total of 300 subjects were selected and divided
into three subgroups matched for sex and age: CAD-free,
CAD without myocardial infarction (MI), and CAD with
MI [21]. CAD-free (n = 100) group had completely normal
coronary arteries, being submitted to coronary angiography
for reasons other than CAD, mainly valvular heart disease. These controls were also required to have neither history
nor clinical or instrumental evidence of atherosclerosis in
vascular districts beyond the coronary bed. Two-hundred
subjects had angiographically proven CAD with at least
one of the main epicardial coronary arteries affected (left Lactonase activity was measured in activity buffer
(50 mM Tris pH 8.0, 1 mM CaCl2) containing 0.25 mM
of TBBL and 0.5 mM 5,5′-dithio-bis-2-nitrobenzoic acid
(DTNB) by monitoring the absorbance at 412 nm in a final
volume of 200 μL (C = 7, 000 OD/M), using an automated
microplate reader. The serum was diluted 400-fold in 100 μL
of activity buffer complemented with 1 mM DTNB. DTNB
was used from 100 mM stock in DMSO. TBBL was used from
250 mM stock in acetonitrile. TBBL was diluted 500-fold in
activity buffer containing 2% acetonitrile. The reaction was
initiated by adding 100 μL of TBBL (0.5 mM) to 100 μL of
sera dilution. The final sera dilution was 800-fold. All the
reaction mixtures contained a final 1% acetonitrile. Rates of
spontaneous hydrolysis of TBBL in buffer were subtracted
from all the measurements. Activities were expressed as
U/mL (1 unit = 1 μmol of TBBL hydrolyzed per minute per
1 mL of undiluted serum). 3 Experimental Diabetes Research 3. Results and Discussion The strength of association of PON1 activity with MS
was evaluated by including all the four assessed activities
in a multiple regression model with a forward-stepwise
variable selection that lastly was adjusted also for HDL
and Apo A-I concentrations. The combined effect of MS
and DEPCyMCase activity in determining CAD risk was
estimated calculating the odds ratios with 95% CIs by
multiple logistic regression after adjustment for traditional
cardiovascular risk factors not included in MS cluster (i.e., Experimental Diabetes Research 4 Table 1: Characteristics of the study population, with or without metabolic syndrome (MS). Characteristics
MS-free (n = 205)
MS (n = 88)
P
Age (years)
60.9 ± 9.3
60.8 ± 9.6
NS∗
Male sex (%)
59.5
42.0
0.006†
Coronary Artery Disease (%)
61.0
79.5
0.002†
BMI (kg/m2)
25.5 ± 2.9
28.7 ± 5.1
<0.001∗
Hypertension (%)
57.1
89.8
<0.001†
Smoking (%)
52.8
54.9
NS †
Diabetes (%)
7.8
46.5
<0.001†
Glucose (mmol/L)
5.40 ± 0.98
7.01 ± 2.29
<0.001∗
Creatinine (¯mol/L)
90.1 ± 64.2
89.4 ± 21.9
NS∗
Total cholesterol (mmol/L)
5.16 ± 1.13
5.29 ± 1.19
NS∗
LDL-cholesterol (mmol/L)
3.18 ± 0.95
3.33 ± 1.11
NS∗
HDL-cholesterol (mmol/L)
1.35 ± 0.34
1.07 ± 0.31
<0.001∗
Triglycerides (mmol/L)
1.47 ± 0.65
2.33 ± 0.98
<0.001∗
Apo A-I (g/L)
1.30 ± 0.26
1.13 ± 0.23
<0.001∗
Apo B (g/L)
0.98 ± 0.24
1.08 ± 0.28
0.003∗
TBBLase activity (U/mL)
3.45 ± 0.98
3.02 ± 1.02
0.001∗
DEPCyMCase activity (mU/mL)
23.83 ± 5.65
20.60 ± 6.05
<0.001∗
Paraoxonase activity (U/L)
120.8 ± 79.1
102.6 ± 71.5
0.030∗
Arylesterase activity (kU/L)
101.3 ± 31.4
86.8 ± 32.5
<0.001∗
Normalized lactonase activity
145.0 ± 24.3
146.1 ± 35.0
NS∗
PON1 Gln192Arg ‡
Gln/Gln
50.3
45.6
Gln/Arg
40.0
49.4
NS†
Arg/Arg
9.7
5.1
∗
PON1 Leu55Met‡
Leu/Leu
38.0
38.0
Leu/Met
48.9
44.3
NS†
Met/Met
13.1
17.7
∗by t-test; †by χ2 test; ‡PON1 genotype data were available for 264/293 (90.1%) subjects, that is, 185 MS-free and 79 with MS; NS: no significant. Table 1: Characteristics of the study population, with or without metabolic syndrome (MS). ∗by t-test; †by χ2 test; ‡PON1 genotype data were available for 264/293 (90.1%) subjects, that is, 185 MS-free and 79 with MS; NS: no significant. Table 2: Serum paraoxonase (PON1) activities, HDL cholesterol, and apolipoprotein A-I (Apo A-I) concentrations and LDL cholesterol/Apo
B ratio according to the number of metabolic syndrome (MS) abnormalities. ∗by ANOVA with polynomial contrast for linear trend. 3. Results and Discussion 0 MS element
(n = 35)
1 MS element
(n = 78)
2 MS
elements
(n = 92)
3 MS
elements
(n = 50)
4 MS
elements
(n = 31)
5 MS
elements
(n = 7)
P∗
TBBLase activity
(U/mL)
3.60 ± 1.38
3.46 ± 0.95
3.38 ± 0.80
3.08 ± 0.99
2.98 ± 1.13
2.69 ± 0.56
<0.001∗
DEPCyMCase
activity (mU/mL)
24.49 ± 7.62
23.97 ± 5.90
23.45 ± 4.49
21.74 ± 5.96
19.36 ± 6.23
17.92 ± 4.37
<0.001
Paraoxonase
activity (U/L)
128.4 ± 103.7
118.8 ± 69.2
119.5 ± 77.1
102.2 ± 63.0
103.6 ± 89.7
101.4 ± 38.3
NS
Arylesterase
activity (kU/L)
106.3 ± 35.7
101.3 ± 31.1
99.3 ± 30.0
89.1 ± 34.0
85.6 ± 32.3
76.0 ± 21.0
<0.001
Normalized
Lactonase Activity
145.4 ± 23.3
145.3 ± 24.4
144.7 ± 24.9
140.8 ± 31.9
152.8 ± 39.1
154.3 ± 34.7
NS
HDL cholesterol
(mmol/L)
1.25 ± 0.26
1.19 ± 0.25
1.14 ± 0.25
1.05 ± 0.23
0.97 ± 0.15
0.83 ± 0.19
<0.001
Apo A-I(g/L)
1.38 ± 0.25
1.31 ± 0.27
1.27 ± 0.26
1.18 ± 0.25
1.09 ± 0.17
0.93 ± 0.21
<0.001
LDL
cholesterol-to-Apo
B ratio (mmol/g)
3.32 ± 0.43
3.31 ± 0.73
3.21 ± 0.65
3.04 ± 0.65
2.97 ± 0.45
2.88 ± 0.57
0.001
∗by ANOVA with polynomial contrast for linear trend. Table 2: Serum paraoxonase (PON1) activities, HDL cholesterol, and apolipoprotein A-I (Apo A-I) concentrations and LDL cholesterol/Apo
B ratio according to the number of metabolic syndrome (MS) abnormalities. PON1) activities, HDL cholesterol, and apolipoprotein A-I (Apo A-I) concentrations and LDL cholesterol/Apo
er of metabolic syndrome (MS) abnormalities. Table 2: Serum paraoxonase (PON1) activities, HDL cholesterol, and apolipoprotein A-I (Apo A-I) concentra
B ratio according to the number of metabolic syndrome (MS) abnormalities. 3. Results and Discussion DEPCyMCase activity (mU/mL)
23.9 ± 5.9
21.3 ± 7.5
23.7 ± 4.7
20.3 ± 5.5†
(n = 159)
(n = 24)
(n = 46)
(n = 64)
P < 0.001 by ANOVA
18
19
20
21
22
23
24
25
High HDL
Low HDL
HDL cholesterol concentration
(a) P < 0.001 by ANOVA High HDL
Low HDL
(n = 159)
(n = 24)
(n = 46)
(n = 64)
P < 0.001 by ANOVA
1.4
1.3
1.2
1.1
1
0.9
0.8
1.23 ± 0.24
1.17 ± 0.22
0.98 ± 0.15‡
0.94 ± 0.17‡
HDL (mmol/L)
HDL cholesterol concentration
(b) (b) (a) High HDL
Low HDL
MS
P < 0.001 by ANOVA
0.9
1
1.1
1.2
1.3
1.4
1.5
Apo A-I (g/L)
1.36 ± 0.26
1.31 ± 0.23
1.09 ± 0.17‡
1.06 ± 0.19‡
(n = 159)
(n = 24)
(n = 46)
(n = 64)
HDL cholesterol concentration
MS-free
(c)
Figure 1: DEPCyMCase activity (a), HDL cholesterol (b), and apolipoprotein A-I concentration (c) according to high/low HDL cholesterol
levels and metabolic syndrome (MS) diagnosis (b). Low HDL-cholesterol concentrations are defined on the basis of ATP-III criteria for MS-
diagnosis, that is, <1.03 mmol/L for males or <1.29 mmol/L for females. †Significantly lower than no-MS with high or low HDL (P < 0.01
by Tukey post-hoc comparison). ‡Significantly lower than high HDL with or without MS (P < 0.01 by Tukey post-hoc comparison). High HDL
Low HDL
MS
P < 0.001 by ANOVA
0.9
1
1.1
1.2
1.3
1.4
1.5
Apo A-I (g/L)
1.36 ± 0.26
1.31 ± 0.23
1.09 ± 0.17‡
1.06 ± 0.19‡
(n = 159)
(n = 24)
(n = 46)
(n = 64)
HDL cholesterol concentration
MS-free
(c) High HDL
Low HDL
MS
P < 0.001 by ANOVA
0.9
1
1.1
1.2
1.3
1.4
1.5
Apo A-I (g/L)
1.36 ± 0.26
1.31 ± 0.23
1.09 ± 0.17‡
1.06 ± 0.19‡
(n = 159)
(n = 24)
(n = 46)
(n = 64)
HDL cholesterol concentration
MS-free
(c)
( )
h l
l (b)
d
l
( )
d
h h l (c) Figure 1: DEPCyMCase activity (a), HDL cholesterol (b), and apolipoprotein A-I concentration (c) according to high/low HDL cholesterol
levels and metabolic syndrome (MS) diagnosis (b). Low HDL-cholesterol concentrations are defined on the basis of ATP-III criteria for MS-
diagnosis, that is, <1.03 mmol/L for males or <1.29 mmol/L for females. 3. Results and Discussion Experimental Diabetes Research 5 DEPCyMCase activity (mU/mL)
23.9 ± 5.9
21.3 ± 7.5
23.7 ± 4.7
20.3 ± 5.5†
(n = 159)
(n = 24)
(n = 46)
(n = 64)
P < 0.001 by ANOVA
18
19
20
21
22
23
24
25
High HDL
Low HDL
HDL cholesterol concentration
(a)
High HDL
Low HDL
(n = 159)
(n = 24)
(n = 46)
(n = 64)
P < 0.001 by ANOVA
1.4
1.3
1.2
1.1
1
0.9
0.8
1.23 ± 0.24
1.17 ± 0.22
0.98 ± 0.15‡
0.94 ± 0.17‡
HDL (mmol/L)
HDL cholesterol concentration
(b)
High HDL
Low HDL
MS
P < 0.001 by ANOVA
0.9
1
1.1
1.2
1.3
1.4
1.5
Apo A-I (g/L)
1.36 ± 0.26
1.31 ± 0.23
1.09 ± 0.17‡
1.06 ± 0.19‡
(n = 159)
(n = 24)
(n = 46)
(n = 64)
HDL cholesterol concentration
MS-free
(c)
Figure 1: DEPCyMCase activity (a), HDL cholesterol (b), and apolipoprotein A-I concentration (c) according to high/low HDL cholesterol
levels and metabolic syndrome (MS) diagnosis (b). Low HDL-cholesterol concentrations are defined on the basis of ATP-III criteria for MS-
diagnosis, that is, <1.03 mmol/L for males or <1.29 mmol/L for females. †Significantly lower than no-MS with high or low HDL (P < 0.01
by Tukey post-hoc comparison). ‡Significantly lower than high HDL with or without MS (P < 0.01 by Tukey post-hoc comparison). 3. Results and Discussion Furthermore, the ratio
progressively decreased with the consensual increase of the 6 Experimental Diabetes Research 6 (n = 78)
(n = 73)
(n = 54)
(n = 19)
(n = 25)
(n = 44)
P < 0.001 by χ2 for linear trend
40
50
60
70
80
90
100
MS
Subjects with CAD (%)
57.7
60.3
66.7
68.4
76
86.4
>24.8
20.4–24.8
<20.4
DEPCyMCase activity (mU/mL)
MS-free
(a)
0
1
2
3
4
5
6
7
8
OR for CAD∗
1.44
(0.67–3.13)
1.36
(0.59–3.14)
1.45
(0.47–4.46)
2.13
(0.64–7.05)
4.34
(1.44–13.1)
No MS with DEPCyMCase
activity >24.8 mU/mL
No MS with DEPCyMCase
activity 20.4–24.8 mU/mL
No MS with DEPCyMCase
activity <20.4 mU/mL
MS with DEPCyMCase
activity >24.8 mU/mL
MS with DEPCyMCase
activity 20.4–24.8 mU/mL
MS with DEPCyMCase
activity <20.4 mU/mL
(b)
Figure 2: Prevalence of subjects with coronary artery disease (CAD) according to metabolic syndrome (MS) diagnosis and DEPCyMCase
activity (a) and the relative ORs for CAD in a multiple adjusted regression model considering subjects without MS and within the highest
DEPCyMCaseactivity tertile as reference group (b). ∗B y multiple logistic regression adjusted for classical CAD risk factors not included in
MS definition, that is, sex, age, smoke and LDL cholesterol. (n = 78)
(n = 73)
(n = 54)
(n = 19)
(n = 25)
(n = 44)
P < 0.001 by χ2 for linear trend
40
50
60
70
80
90
100
MS
Subjects with CAD (%)
57.7
60.3
66.7
68.4
76
86.4
MS-free 0
1
2
3
4
5
6
7
8
OR for CAD∗
1.44
(0.67–3.13)
1.36
(0.59–3.14)
1.45
(0.47–4.46)
2.13
(0.64–7.05)
4.34
(1.44–13.1)
No MS with DEPCyMCase
activity >24.8 mU/mL
No MS with DEPCyMCase
activity 20.4–24.8 mU/mL
No MS with DEPCyMCase
activity <20.4 mU/mL
MS with DEPCyMCase
activity >24.8 mU/mL
MS with DEPCyMCase
activity 20.4–24.8 mU/mL
MS with DEPCyMCase
activity <20.4 mU/mL
(b) >24.8
20.4–24.8
<20.4
DEPCyMCase activity (mU/mL)
(a) (a) (b) Figure 2: Prevalence of subjects with coronary artery disease (CAD) according to metabolic syndrome (MS) diagnosis and DEPCyMCase
activity (a) and the relative ORs for CAD in a multiple adjusted regression model considering subjects without MS and within the highest
DEPCyMCaseactivity tertile as reference group (b). ∗B y multiple logistic regression adjusted for classical CAD risk factors not included in
MS definition, that is, sex, age, smoke and LDL cholesterol. number of metabolic disturbances (Table 2). 3. Results and Discussion †Significantly lower than no-MS with high or low HDL (P < 0.01
by Tukey post-hoc comparison). ‡Significantly lower than high HDL with or without MS (P < 0.01 by Tukey post-hoc comparison). Considering that MS is linked to an increased risk of
CAD and that an association of low DEPCyMCase activity
with CAD has been previously found in the same study
population [21], an analysis about potential combined effects
on CAD risk was performed. In a multiple logistic regres-
sion model, both MS and DEPCyMCase activity remained
significantly associated with CAD (OR for MS = 2.17 with
95% CI 1.19–3.97, P = 0.012; OR for 1 mU/mL increase
of DEPCyMCase activity = 0.95 with 95% CI 0.91–0.99,
P = 0.033). After stratifying the study population on the
basis of MS diagnosis and DEPCyMCase activity tertiles, the
statistical analysis highlighted a progressive increase of CAD
diagnosis prevalence among subjects without MS but within
the highest DEPCyMCase activity tertile group, compared
to those with MS and within the lowest DEPCyMCase
activity tertile (Figure 2(a)). Considering subjects without
MS and with the highest DEPCyMCase activity tertile as
reference group, subjects with MS and low DEPCyMCase activity presented a marked increase of CAD risk, even after
adjustments for the classical cardiovascular risk factors not
included in MS cluster (OR 4.34 with 95% CI 1.44–13.10,
Figure 2(b)), while no significant increase of CAD risk was
found for those with MS but high DEPCyMCase activity (OR
1.45 with 95% CI 0.47–4.46). Such results were confirmed
also by including PON1 genotypes in the regression model
(for subjects with MS and low DEPCyMCase activity: OR
4.67 with 95% CI 1.12–15.15). An analysis on LDL cholesterol/Apo B ratio was also
performed. The LDL cholesterol/Apo B ratio was used as
a surrogate marker for small and dense LDLs, where the
lower ratios suggested a higher prevalence of this type of LDL
particles. A low LDL cholesterol/Apo B ratio was associated
with both CAD (3.09 ± 0.57 versus 3.36 ± 0.60 mmol/g in
CAD-free, P < 0.001) and MS (3.00 ± 0.57 versus 3.26 ±
0.59 mmol/g in MS-free, P = 0.001). 3. Results and Discussion DEPCyMCase
activity showed also a positive correlation with LDL choles-
terol/Apo B ratio (Pearsons’coefficient 0.165, P = 0.008)
that remained significant even after a regression model
adjusted for age, gender, and HDL levels (standardized beta-
coefficient 0.158, P = 0.014) was performed. By stratifying
the study population on the basis of MS diagnosis and DEP-
CyMCase activity tertiles, there was a progressive decrease of
LDL cholesterol/Apo B ratio from subjects without MS and
within the highest DEPCyMCase activity tertile toward those
subjects who instead had MS and were within the lowest
DEPCyMCase activity tertile. These findings were observed
both when the analysis was performed in the whole study
population (Figure 3(a)) and even after the exclusion of
subjects taking lipid-lowering therapy (Figure 3(b)). metabolic susceptibility which seems likely represented by
insulin resistance [2]. On the other hand, MS is also known
to be associated with a prooxidant and proinflammatory
status. Moreover, oxidative stress is considered to play a
pivotal role in MS pathophysiology, favouring atherosclerotic
damage and increasing CAD risk [4]. g
g
PON1 is a HDL-associated, pleiotropic enzyme and may
play a role in several different pathways: from the protection
against oxidative damage and lipid peroxidation to the con-
tribution to innate immunity processes and from the detoxi-
fication of reactive molecules and/or xenobiotic compounds
to drug bioactivation (e.g., clopidogrel) [14, 25–27]. More
specifically, PON1 is capable of protecting lipoproteins from
lipid peroxidation by degrading specific oxidized cholesteryl
esters and phospholipids, and antioxidant properties of HDL
have been attributed, at least partially, to PON1 [25, 28, 29]. On the other hand, PON1 can be, in turn, inactivated by oxi-
dative stress and oxidized lipids [30]. Thus, there are many
biologically plausible reasons linking the pro-oxidant, HDL-
poor MS with the anti-oxidant, HDL-associated PON1. 4. Discussion 2.9 ± 0.53
(n = 78)
(n = 73)
(n = 54)
(n = 19)
(n = 25)
(n = 44)
3.26 ± 0.48
2.6
2.8
3
3.2
3.4
3.23 ± 0.53
3.16 ± 0.51
3.08 ± 0.52
2.99 ± 0.41
P < 0.001 by ANOVA
with polynomial contrast
for linear trend
MS
LDL-cholesterol/Apo B ratio (mmol/g)
MS-free
(a) MS (a) (n = 48)
(n = 37)
(n = 32)
(n = 11)
(n = 12)
(n = 22)
3.31 ± 0.47 3.32 ± 0.45
3.2 ± 0.57
3.13 ± 0.37
2.92 ± 0.55
2.6
2.8
3
3.2
3.4
MS
3.17 ± 0.61
>24.8
20.4–24.8
<20.4
P < 0.002 by ANOVA
with polynomial contrast
for linear trend
LDL-cholesterol/Apo B ratio (mmol/g)
DEPCyMCase activity (mU/mL)
MS-free
(b)
Figure 3: LDL cholesterol/Apo B ratio according to metabolic (n = 48)
(n = 37)
(n = 32)
(n = 11)
(n = 12)
(n = 22)
3.31 ± 0.47 3.32 ± 0.45
3.2 ± 0.57
3.13 ± 0.37
2.92 ± 0.55
2.6
2.8
3
3.2
3.4
MS
3.17 ± 0.61
P < 0.002 by ANOVA
with polynomial contrast
for linear trend
LDL-cholesterol/Apo B ratio (mmol/g)
MS-free MS y p
p
Accordingly with this last consideration, in our study
PON1 appears to influence the MS-related risk of CAD. Certainly, an additive effect between MS and PON1 levels
(marked by DEPCyMCase activity) should be considered in
determining CAD risk, which increased progressively from
subjects without MS and with high PON1 levels to those with
MS and low PON1 levels. Remarkably, subjects with MS but
still high PON1 levels did not present a significant increase
of CAD risk. This result is consistent with a previous study
showing that an increased expression of human PON1 in a
mouse model of MS inhibited the development of atheroscle-
rosis, probably by reducing the amount of oxidized LDL
in both plasma and atherosclerotic plaque [35]. Moreover,
it is worthy of note that, in our study population, there
was a significant, positive correlation between DEPCyMCase
activity and LDL cholesterol/Apo B ratio, suggestive of high
PON1 levels associated with low levels of small, dense, and
oxidized LDL. Remarkably, LDL cholesterol/Apo B ratio
trend across the MS-DEPCyMCase activity stratification
groups (Figure 3) was impressively consistent with that of
CAD risk (Figure 2). 4. Discussion The current study, consistently with some previous obser-
vations [18, 19], shows a substantial impairment of PON1
activities in patients affected by MS. p
In the first study linking PON1 and MS, Senti and
coworkers observed a progressive decrease of paraoxonase
activity by increasing the number of MS disturbances [18]. Concomitantly, a progressive increase of lipid peroxides con-
centration was observed, so that the authors hypothesized
that a greater degree of severity of MS is associated with an
increased oxidative stress which inactivates PON1 function. On the other hand, they emphasized also the possibility that
low PON1 function fails an efficient protection against MS-
related oxidative damage that cannot be excluded [18]. Later
on, those results were confirmed by Blatter Garin and col-
leagues, who found a low paraoxonase activity and a reduced MS is characterized by a constellation of metabolic abno-
rmalities that altogether lead to an increased risk of cardi-
ovascular diseases. Although there is a substantial disagree-
ment over the terminology and diagnostic criteria of MS and
even some controversies exist about whether MS is a true
syndrome or a mixture of various phenotypes [1–3], it is un-
deniable that the clustering of MS abnormalities occurs join-
tly more often than by chance alone, suggesting the possi-
bility of an underlying, common pathogenesis [1]. A biolog-
ically plausible hypothesis proposes that MS presents when
an excess of body fat accumulates in subjects with a specific Experimental Diabetes Research 7 2.9 ± 0.53
(n = 78)
(n = 73)
(n = 54)
(n = 19)
(n = 25)
(n = 44)
3.26 ± 0.48
2.6
2.8
3
3.2
3.4
3.23 ± 0.53
3.16 ± 0.51
3.08 ± 0.52
2.99 ± 0.41
P < 0.001 by ANOVA
with polynomial contrast
for linear trend
MS
LDL-cholesterol/Apo B ratio (mmol/g)
MS-free
(a)
(n = 48)
(n = 37)
(n = 32)
(n = 11)
(n = 12)
(n = 22)
3.31 ± 0.47 3.32 ± 0.45
3.2 ± 0.57
3.13 ± 0.37
2.92 ± 0.55
2.6
2.8
3
3.2
3.4
MS
3.17 ± 0.61
>24.8
20.4–24.8
<20.4
P < 0.002 by ANOVA
with polynomial contrast
for linear trend
LDL-cholesterol/Apo B ratio (mmol/g)
DEPCyMCase activity (mU/mL)
MS-free
(b)
Figure 3: LDL cholesterol/Apo B ratio according to metabolic
syndrome (MS) diagnosis and DEPCyMCase activity in the whole
population (a) (n = 293) and in subjects without lipid-lowering
therapy (b) (n = 162). 4. Discussion level but without MS appeared to have a “normal” not
reduced DEPCyMCase activity, while those with high HDL
level but with MS tended to have a reduced DEPCyM-
Case activity (Figure 1(a)). Taking all together, these results
suggest that a low DEPCyMCase activity, that is, a low
PON1 concentration, is characteristic of MS, independently
of low HDL concentration. Moreover, they invite to take
into account not only HDL quantity but also HDL quality,
which could be reflected, at least in part, by PON1 concen-
tration/activity. It is noted, in this regard, that subjects with
low HDL but without MS may have a small amount of “high-
quality” HDLs, while subjects with high HDL levels but
with MS may have a large amount of “low-quality” HDLs. The relevance of considering HDL quality and not only
its quantity has been indirectly emphasized by the failure
of the cholesteryl ester transfer protein (CETP) inhibitor,
torcetrapib, to improve cardiovascular clinical end points. It has been in fact reported that torcetrapib, in spite of its
demonstrated efficiency to elevate HDL concentration, even-
tually leads instead to an increased cardiovascular morbidity,
even if also other off-target adverse effects for CAD risk (e.g.,
blood pressure elevation) have been related to torcetrapib use
[31, 32]. However, in any case, these results have underscored
the intricacy of HDL metabolism, with functional quality
perhaps being more important than the circulating quantity
of HDL [33, 34]. Indeed, both quantitative and qualitative
changes to lipoprotein profiles may lead to an increased
CAD risk and PON1 could be considered as a potential
marker of HDL quality, being linked to the antioxidant, anti-
inflammatory properties of HDL. 4. Discussion Taken together these results, we are
tempting to speculate that an adequate function of PON1
may counterbalance some of MS-related, harmful effects at
vascular level, probably by reducing oxidative stress and lipid
peroxidation, and thus protect against MS-associated risk of
CAD. If this hypothesis is true, by restoring PON1 function,
there could be a possibility for a new therapeutic tool for
cardiovascular diseases, with particular advantageous effects
in high-risk patients, such subjects with MS. However, PON1 (b) Figure 3: LDL cholesterol/Apo B ratio according to metabolic
syndrome (MS) diagnosis and DEPCyMCase activity in the whole
population (a) (n = 293) and in subjects without lipid-lowering
therapy (b) (n = 162). PON1 mass in patients with MS [19]. These authors also
found that MS patients had a decreased LDL cholesterol/Apo
B ratio, indicative of the presence of small, dense, oxidized,
and proatherogenic lipoprotein particles [19]. Our study extends such findings also for the novel PON1
assays utilized, the DEPCyMCase and TBBLase activity. Moreover, the most significant association found in our anal-
ysis was that with DEPCyMCase activity, which is considered
the best surrogate marker of PON1 concentration, since,
differently from the other assay to test PON1 activities, it
is not influenced by PON1 genotype nor is it stimulated by
HDL binding [20]. Although it could be argued that MS-related, low PON1
concentration is merely an epiphenomenon of low level of
HDLs (i.e., the plasma carriers of PON1), our analysis does
not support this point of view, the association of DEP-
CyMCase activity with MS being independent of both HDL
and Apo A-I levels. This HDL-independent association is
further emphasized by observing that subjects with low HDL Experimental Diabetes Research 8 production [36]. Mechanistically, the reduction of HDL-
associated PON1 activity appears to lead to inhibition of
eNOS activation and the subsequent loss of the endothelial
antiinflammatory and endothelial repair-stimulating effects
of HDL [36], thus supporting the concept that the cardiovas-
cular impact of HDL is not simply related to its abundance
[37]. Indeed, HDL cholesterol is only an integrative but
nonfunctional measure of lipoproteins, and, therefore, novel
biomarkers reflecting the functionality of HDL particles are
needed to assess and better monitor cardiovascular risk [34],
in particular in the presence of conditions at high CAD risk
such as the case of MS. Acknowledgments The authors are very grateful to Professors Dan Tawfik,
Olga Khersonsky, and Leonid Gaidukov (Department of Bio-
logical Chemistry, Weizmann Institute of Science, Rehovot,
Israel) for providing the substrates for TBBL and DEPCyMC
assays, their collaboration and excellent technical support,
and their very kind and useful suggestions. They wish to
thank Dr. Suzanne Cheng and Dr. Michael Grow (Depart-
ment of Human Genetics of Roche Molecular Systems, Inc.,
Alameda, Calif, USA) for providing the PCR multilocus
assay, Mrs. Maria Zoppi for her invaluable secretarial help,
and Diego Minguzzi and Patrizia Pattini for their excellent
technical help. References [1] K. G. Alberti, R. H. Eckel, S. M. Grundy et al., “Harmonizing
the metabolic syndrome: a joint interim statement of the Inter-
national Diabetes Federation Task Force on Epidemiology and
Prevention; National Heart, Lung, and Blood Institute; Amer-
ican Heart Association; World Heart Federation; International
Atherosclerosis Society; and International Association for the
Study of Obesity,” Circulation, vol. 120, no. 16, pp. 1640–1645,
2009. 4. Discussion PON1 assays could be potentially
considered as such new diagnostic tools while further studies
are needed to address this intriguing issue. reduction may be merely the result of a more extensive PON1
consumption/inactivation during conditions characterized
by increasing severity of oxidative stress, like a more
advanced MS [19] or a clinically evident CAD. Therefore,
further studies are needed to address the issue whether
PON1 reduction could be a pathogenic, contributory factor
to increased risk of CAD in MS or that reduction would
be simply the consequence of ancillary enzyme consump-
tion/inactivation due to CAD/MS-associated oxidative stress. 4.1. Study Limitations. There are some significant caveats to
the present study. The retrospective case-control design, the
small number of enrolled subjects, and the lack of some clin-
ical data, such as the waist circumference value, are possible
limitations of this study. However, despite the relatively low
sample size of our study population, the statistical power
of the analysis for DEPCyMCase activity difference between
MS and MS-free subjects was >90% by Altmann nomogram
with a significance level at 0.05. As further experimental
limitation, it should be underlined that the DEPCyMCase
activity is only a surrogate marker of PON1 concentration
and that we did not perform a direct PON1 quantification
by ELISA. However, in a previous study the DEPCyMCase
assay has been shown to provide information similar to
PON1 ELISA assay [20]. Also LDL cholesterol/Apo B ratio is
regarded as a surrogate marker of small and dense LDL and,
in addition, Apo B was measured in whole serum, although
it is known to essentially reflect Apo B in LDL. On the other
hand, a remarkable strength of this study is represented by
the angiography evaluation of the coronary artery bed, which
allows a clear-cut definition of the clinical phenotype and
avoids the possibility to include in the control group subjects
with subclinical, but significant CAD. 5. Conclusions third report of the National Cholesterol Education Program
(NCEP) expert panel on detection, evaluation, and treatment
of high blood cholesterol in adults (adult treatment panel
III),” Journal of the American Medical Association, vol. 285, pp. 2486–2497, 2001. [9] M. Navab, S. T. Reddy, B. J. Van Lenten, G. M. Anantharama-
iah, and A. M. Fogelman, “The role of dysfunctional HDL in
atherosclerosis,” Journal of Lipid Research, vol. 50, pp. S145–
S149, 2009. [24] S. Cheng, M. A. Grow, C. Pallaud et al., “A multilocus geno-
yping assay for candidate markers of cardiovascular disease
risk,” Genome Research, vol. 9, no. 10, pp. 936–949, 1999. [10] G. W. Cockerill, K. A. Rye, J. R. Gamble, M. A. Vadas,
and P. J. Barter, “High-density lipoproteins inhibit cytokine-
induced expression of endothelial cell adhesion molecules,”
Arteriosclerosis, Thrombosis, and Vascular Biology, vol. 15, no. 11, pp. 1987–1994, 1995. [25] M. I. Mackness, S. Arrol, and P. N. Durrington, “Paraoxo-
nase prevents accumulation of lipoperoxides in low-density
lipoprotein,” FEBS Letters, vol. 286, no. 1-2, pp. 152–154, 1991. [26] D. M. Shih and A. J. Lusis, “The roles of PON1 and PON2 in
cardiovascular disease and innate immunity,” Current Opinion
in Lipidology, vol. 20, no. 4, pp. 288–292, 2009. [11] L. Calabresi, M. Gomaraschi, B. Villa, L. Omoboni, C. Dmitrieff, and G. Franceschini, “Elevated soluble cellular
adhesion molecules in subjects with low HDL-cholesterol,”
Arteriosclerosis, Thrombosis, and Vascular Biology, vol. 22, no. 4, pp. 656–661, 2002. [27] H. J. Bouman, E. Sch¨omig, J. W. van Werkum et al., “Paraoxo-
nase-1 is a major determinant of clopidogrel efficacy,” Nature
Medicine, vol. 17, pp. 110–116, 2010. [12] G. W. Cockerill, T. Y. Huehns, A. Weerasinghe et al., “Elevation
of plasma high-density lipoprotein concentration reduces
interleukin-1-induced expression of E selectin in an in vivo
model of acute inflammation,” Circulation, vol. 103, no. 1, pp. 108–112, 2001. [28] M. I. Mackness, S. Arrol, C. Abbott, and P. N. Durrington,
“Protection of low-density lipoprotein against oxidative mod-
ification by high-density lipoprotein associated paraoxonase,”
Atherosclerosis, vol. 104, no. 1-2, pp. 129–135, 1993. [29] M. Aviram, M. Rosenblat, C. L. Bisgaier, R. S. Newton, S. L. Primo-Parmo, and B. N. La Du, “Paraoxonase inhibits high-
density lipoprotein oxidation and preserves its functions. A
possible peroxidative role for paraoxonase,” Journal of Clinical
Investigation, vol. 101, no. 8, pp. 1581–1590, 1998. [13] R. W. 5. Conclusions James, “A long and winding road: defining the biological
role and clinical importance of paraoxonases,” Clinical Chem-
istry and Laboratory Medicine, vol. 44, no. 9, pp. 1052–1059,
2006. [14] J. Camps, J. Marsillach, and J. Joven, “The paraoxonases: role
in human diseases and methodological difficulties in measure-
ment,” Critical Reviews in Clinical Laboratory Sciences, vol. 46,
no. 2, pp. 83–106, 2009. [30] M. Aviram, M. Rosenblat, S. Billecke et al., “Human serum
paraoxonase (PON 1) is inactivated by oxidized low density
lipoprotein and preserved by antioxidants,” Free Radical
Biology and Medicine, vol. 26, no. 7-8, pp. 892–904, 1999. [15] M. Harel, A. Aharoni, L. Gaidukov et al., “Structure and
evolution of the serum paraoxonase family of detoxifying
and anti-atherosclerotic enzymes,” Nature Structural and
Molecular Biology, vol. 11, no. 5, pp. 412–419, 2004. [31] S. E. Nissen, J. C. Tardif, S. J. Nicholls et al., “Effect of
torcetrapib on the progression of coronary atherosclerosis,”
The New England Journal of Medicine, vol. 356, no. 13, pp. 1304–1316, 2007. [16] O. Khersonsky and D. S. Tawfik, “Structure-reactivity studies
of serum paraoxonase PON1 suggest that its native activity is
lactonase,” Biochemistry, vol. 44, no. 16, pp. 6371–6382, 2005. [32] P. J. Barter, M. Caulfield, M. Eriksson et al., “Effects of
torcetrapib in patients at high risk for coronary events,” The
New England Journal of Medicine, vol. 357, no. 21, pp. 2109–
2122, 2007. [17] D. I. Draganov, J. F. Teiber, A. Speelman, Y. Osawa, R. Suna-
hara, and B. N. La Du, “Human paraoxonases (PON1, PON2,
and PON3) are lactonases with overlapping and distinct
substrate specificities,” Journal of Lipid Research, vol. 46, no. 6, pp. 1239–1247, 2005. [33] T. Joy and R. A. Hegele, “Is raising HDL a futile strategy for
atheroprotection?” Nature Reviews Drug Discovery, vol. 7, no. 2, pp. 143–155, 2008. [18] M. Sent´ı, M. Tom´as, M. Fit´o et al., “Antioxidant paraoxonase
1 activity in the metabolic syndrome,” Journal of Clinical
Endocrinology and Metabolism, vol. 88, no. 11, pp. 5422–5426,
2003. [34] A. von Eckardstein, “Implications of torcetrapib failure for the
future of HDL therapy: is HDL-cholesterol the right target?”
Expert Review of Cardiovascular Therapy, vol. 8, no. 3, pp. 345–
358, 2010. [35] B. Mackness, R. Quarck, W. Verreth, M. Mackness, and
P. Holvoet, “Human paraoxonase-1 overexpression inhibits
atherosclerosis in a mouse model of metabolic syndrome,”
Arteriosclerosis, Thrombosis, and Vascular Biology, vol. 26, no. 7, pp. 1545–1550, 2006. [19] M. C. 5. Conclusions In summary, our results show that PON1 activities, including
those evaluated by means of novel substrate assays (TBBL
and DEPCyMC), are impaired in MS. In particular, these
assays suggest that a low PON1 concentration, as indicated
by the low DEPCyMCase activity, is characteristic of MS
cluster, independently of HDL concentration. Moreover,
DEPCyMCase activity appears to interact with MS in
determining the risk of CAD, with data suggesting that
this association may be also related to the prevalence of
small, dense, and oxidized LDL. More precisely, a high
DEPCyMCase activity (i.e., a high PON1 concentration)
seems protective for CAD risk in subjects with MS, while the
highest risk for CAD was observed among subjects with MS
and concomitant low levels of DEPCyMCase activity (i.e., a
low PON1 concentration). Certainly, a statistically significant
association does not mean a link of causality. Nonetheless,
PON1 assays seem to add more important information
than the simple HDL quantity assessment. According to this
hypothesis of heterogeneous HDL-related effects, a recent
study demonstrated that in contrast to HDL from healthy
subjects, HDL from patients with CAD does not have
endothelial anti-inflammatory effects and does not stimulate
endothelial repair because it fails to induce endothelial NO [2] S. M. Grundy, “Metabolic syndrome: a multiplex cardio-
vascular risk factor,” Journal of Clinical Endocrinology and
Metabolism, vol. 92, no. 2, pp. 399–404, 2007. [3] N. Sattar, “The metabolic syndrome: should current criteria
influence clinical practice?” Current Opinion in Lipidology, vol. 17, no. 4, pp. 404–411, 2006. [4] A. Whaley-Connell, P. A. McCullough, and J. R. Sowers, “The
role of oxidative stress in the metabolic syndrome,” Reviews in
Cardiovascular Medicine, vol. 12, pp. 21–29, 2011. [5] P. Libby, “Inflammation in atherosclerosis,” Nature, vol. 420,
no. 6917, pp. 868–874, 2002. [6] S. Parthasarathy, J. Barnett, and L. G. Fong, “High-density
lipoprotein inhibits the oxidative modification of low-density
lipoprotein,” Biochimica et Biophysica Acta, vol. 1044, no. 2,
pp. 275–283, 1990. [7] M. Navab, G. M. Ananthramaiah, S. T. Reddy et al., “The
oxidation hypothesis of atherogenesis: the role of oxidized
phospholipids and HDL,” Journal of Lipid Research, vol. 45, no. 6, pp. 993–1007, 2004. [8] M. Navab, S. Y. Hama, G. M. Anantharamaiah et al., “Normal
high density lipoprotein inhibits three steps in the formation
of mildly oxidized low density lipoprotein: steps 2 and 3,” Experimental Diabetes Research 9 Journal of Lipid Research, vol. 41, no. 9, pp. 1495–1508,
2000. 5. Conclusions Blatter Garin, B. Kalix, A. Morabia, and R. W. James,
“Small, dense lipoprotein particles and reduced paraoxonase-
1 in patients with the metabolic syndrome,” Journal of Clinical
Endocrinology & Metabolism, vol. 90, pp. 2264–2269, 2005. [20] L. Gaidukov and D. S. Tawfik, “The development of human
sera tests for HDL-bound serum PON1 and its lipolactonase
activity,” Journal of Lipid Research, vol. 48, no. 7, pp. 1637–
1646, 2007. [36] C. Besler, K. Heinrich, L. Rohrer et al., “Mechanisms under-
lying adverse effects of HDL on eNOS-activating pathways
in patients with coronary artery disease,” Journal of Clinical
Investigation, vol. 121, pp. 2693–2708, 2011. [21] N. Martinelli, D. Girelli, O. Olivieri et al., “Novel serum
paraoxonase activity assays are associated with coronary artery
disease,” Clinical Chemistry and Laboratory Medicine, vol. 47,
no. 4, pp. 432–440, 2009. [37] C. Mineo and P. W. Shaul, “PON-dering differences in
HDL function in coronary artery disease,” Journal of Clinical
Investigation, vol. 121, pp. 2545–2548, 2011. [22] N. Martinelli, D. Girelli, B. Lunghi et al., “Polymorphisms at
LDLR locus may be associated with coronary artery disease
through modulation of coagulation factor VIII activity and
independently from lipid profile,” Blood, vol. 116, no. 25, pp. 5688–5697, 2010. [23] “Expert panel on detection, evaluation, and treatment of
high blood cholesterol in adults executive summary of the
|
https://openalex.org/W4224280851
|
https://eprints.whiterose.ac.uk/185382/15/Int%20J%20Management%20Reviews%20-%202022%20-%20Bolt%20-%20A%20century%20of%20labour%20turnover%20research%20%20A%20systematic%20literature%20review.pdf
|
English
| null |
A century of labour turnover research: A systematic literature review
|
International journal of management reviews
| 2,022
|
cc-by
| 18,051
|
Correspondence Correspondence
Jonathan Winterton, Leeds University
Business School, University of Leeds,
Leeds LS2 9JT, UK. Email: J.C.Winterton@leeds.ac.uk Ester Ellen Trees Bolt1
Jonathan Winterton2 Ester Ellen Trees Bolt1
Jonathan Winterton2 1Department of Management, Taylor’s
University, Subang Jaya 47500, Selangor,
Malaysia
2Leeds University Business School,
University of Leeds, Leeds LS2 9JT, UK
3Department of Management, Sunway
University, Petaling Jaya 46150, Selangor,
Malaysia 1Department of Management, Taylor’s
University, Subang Jaya 47500, Selangor,
Malaysia Int J Manag Rev. 2022;24:555–576. Abstract Labour turnover has been an important research topic in social science over
the past century, involving disciplines such as human resource management,
industrial relations, organizational behaviour, individual and organizational psy-
chology, economics and health sciences. This paper presents a systematic lit-
erature review of voluntary labour turnover, providing an in-depth analysis of
1375 labour turnover studies published up to July 2019 in 142 academic journals
listed in the Chartered Association of Business Schools Academic Journal Guide
2018. The analysis of theoretical and empirical labour turnover studies reveals:
(1) distinctive foci in the development of labour turnover research over the past
hundred years; (2) relative lack of attention to testing specific labour turnover
theories; (3) a prevailing quantitative approach to identifying antecedents of
labour turnover; (4) increased reliance on turnover intention as a proxy for actual
turnover. This paper highlights these trends over time, providing insight into
problematic areas from theoretical, methodological and empirical points of view. We suggest avenues for a more productive route to coherent theoretical, method-
ological and empirical development of labour turnover research. 2Leeds University Business School,
University of Leeds, Leeds LS2 9JT, UK Correspondence
Jonathan Winterton, Leeds University
Business School, University of Leeds,
Leeds LS2 9JT, UK. Email: J.C.Winterton@leeds.ac.uk May 2020
Accepted: 14 March 2022
jmr.12294
NA L A RT I C L E
ntury of labour turnover research: A systematic
ature review
llen Trees Bolt1
Jonathan Winterton2
Kenneth Cafferkey3
nt of Management, Taylor’s
Subang Jaya 47500, Selangor,
versity Business School,
of Leeds, Leeds LS2 9JT, UK
nt of Management, Sunway
Petaling Jaya 46150, Selangor,
dence
Winterton, Leeds University
hool, University of Leeds,
JT, UK.
Winterton@leeds.ac.uk
Abstract
Labour turnover has been an important research topic in social science over
the past century, involving disciplines such as human resource management,
industrial relations, organizational behaviour, individual and organizational psy-
chology, economics and health sciences. This paper presents a systematic lit-
erature review of voluntary labour turnover, providing an in-depth analysis of
1375 labour turnover studies published up to July 2019 in 142 academic journals
listed in the Chartered Association of Business Schools Academic Journal Guide
2018. The analysis of theoretical and empirical labour turnover studies reveals:
(1) distinctive foci in the development of labour turnover research over the past
hundred years; (2) relative lack of attention to testing specific labour turnover
theories; (3) a prevailing quantitative approach to identifying antecedents of
labour turnover; (4) increased reliance on turnover intention as a proxy for actual
turnover. This paper highlights these trends over time, providing insight into
problematic areas from theoretical, methodological and empirical points of view.
We suggest avenues for a more productive route to coherent theoretical, method-
ological and empirical development of labour turnover research.
DUCTION
y employee turnover (hereafter turnover) is as old
yment itself, but as a subject of academic inquiry
ed for just over a century (Diemer, 1917; Fisher,
i i
f
kill d
l
d
i
di
mance (Park & Shaw, 2013). For individual employees,
turnover is often emotionally stressful (Klotz & Bolino,
2016), with financial and other consequences. Individuals
who leave organizations risk losing contact with former
colleagues (Boswell et al., 2005) and employment benefits
l k h
l h
(
d
l
)
h
14682370, 2022, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ijmr.12294 by <Shibboleth>-member@leeds.ac.uk, Wiley Online Library on [21/12/2022]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Onlin May 2020
Accepted: 14 March 2022
jmr.12294
NA L A RT I C L E
ntury of labour turnover research: A systematic
ature review
llen Trees Bolt1
Jonathan Winterton2
Kenneth Cafferkey3
nt of Management, Taylor’s
Subang Jaya 47500, Selangor,
versity Business School,
of Leeds, Leeds LS2 9JT, UK
nt of Management, Sunway
Petaling Jaya 46150, Selangor,
dence
Winterton, Leeds University
hool, University of Leeds,
JT, UK. Winterton@leeds.ac.uk
Abstract
Labour turnover has been an important research topic in social science over
the past century, involving disciplines such as human resource management,
industrial relations, organizational behaviour, individual and organizational psy-
chology, economics and health sciences. This paper presents a systematic lit-
erature review of voluntary labour turnover, providing an in-depth analysis of
1375 labour turnover studies published up to July 2019 in 142 academic journals
listed in the Chartered Association of Business Schools Academic Journal Guide
2018. The analysis of theoretical and empirical labour turnover studies reveals:
(1) distinctive foci in the development of labour turnover research over the past
hundred years; (2) relative lack of attention to testing specific labour turnover
theories; (3) a prevailing quantitative approach to identifying antecedents of
labour turnover; (4) increased reliance on turnover intention as a proxy for actual
turnover. This paper highlights these trends over time, providing insight into
problematic areas from theoretical, methodological and empirical points of view. We suggest avenues for a more productive route to coherent theoretical, method-
ological and empirical development of labour turnover research. DUCTION
y employee turnover (hereafter turnover) is as old
yment itself, but as a subject of academic inquiry
ed for just over a century (Diemer, 1917; Fisher,
i i
f
kill d
l
d
i
di
mance (Park & Shaw, 2013). For individual employees,
turnover is often emotionally stressful (Klotz & Bolino,
2016), with financial and other consequences. Individuals
who leave organizations risk losing contact with former
colleagues (Boswell et al., 2005) and employment benefits
l k h
l h
(
d
l
)
h
14682370, 2022, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ijmr.12294 by <Shibboleth>-member@leeds.ac.uk, Wiley Online Library on [21/12/2022]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Onlin Received: 1 May 2020
Accepted: 14 March 2022
DOI: 10.1111/ijmr.12294 Received: 1 May 2020
Accepted: 14 March 2022 DOI: 10.1111/ijmr.12294 O R I G I NA L A RT I C L E O R I G I NA L A RT I C L E respects an enigma, despite continuing efforts to advance
theory. The first major theory of turnover was proposed
by March and Simon (1958), who suggested that ease of
movement and desirability of movement were central con-
cepts to explain how organizational and individual factors
contribute to the ‘stay or leave’ decision of an employee. After 60 years, turnover researchers are still largely preoc-
cupied with identifying new antecedents to turnover, pay-
ing less attention to calls to advance understanding of the
phenomenon itself (Hom et al., 2017). Using a structured approach, we provide a comprehen-
sive overview of the state of knowledge of turnover, first
identifying broad patterns, then mapping developments in
theory and advances in methodology. A systematic review
was chosen because it is open to replication, transpar-
ent about data acquisition and analysis, and has explana-
tory power to provide clear conclusions and directions for
future research (Denyer & Tranfield, 2009; Pickering &
Byrne, 2014). This review systematically charts the three streams
of turnover research noted above historically. Previous
reviews advanced understanding but were less compre-
hensive by design. Hom et al. (2017) focused on the Jour-
nal of Applied Psychology; Holtom et al. (2008) covered
research of the preceding 50 years; whereas Allen et al. (2014) provided a content analysis of the theory and meth-
ods in turnover research spanning 52 years. Considering the volume of literature, authors of reviews
have chosen strategically to focus on specific aspects of
turnover using meta-analyses and narrative techniques. Meta-analyses revealed antecedents to turnover but pro-
vided limited advancement in conceptualizing turnover
(Jiang et al., 2012; Rubenstein et al., 2018). Narrative
turnover reviews (Holtom et al., 2008; Hom et al., 2017;
Morrell et al., 2001; Porter & Steers, 1973; Winterton, 2004)
summarized turnover theories, but rarely reported criteria
for including literature as proposed by Pickering and Byrne
(2014). Other reviews focused on a limited number of jour-
nals (Allen et al., 2014) or only considered actual turnover
(Rubenstein et al., 2018). The contribution of this paper is that it builds on and
extends previous reviews by including both empirical and
theoretical articles, as well as studies on labour retention
and turnover intention, which fell out of scope in some
reviews (Allen et al., 2014; Rubenstein et al., 2018). In doing
so, we provide some original insights into the evolution
of turnover research, tracing the origins and development
of ideas and anticipating the suggestions of Rojon et al. (2021, p. 208) ‘to offer critical and conceptual synthesis’. Hom et al. (2017) provide an excellent narrative assess-
ment, whereas Allen et al. (2014) offer a more quantitative
assessment addressing analytical understanding and the
transition of turnover research in the previous century. Our
review combines both approaches and is the most compre-
hensive review of turnover literature in Chartered Associ-
ation of Business Schools (CABS) journals, covering 1375
articles. Three streams of literature, based on different depen-
dent variables, are delineated as follows: first, on actual
turnover, ‘the voluntary cessation of membership of an
organization by an employee of that organization’ (Morrell
et al., 2001, p. 220); second, on turnover intention, ‘the con-
scious and deliberate willingness of an employee to leave
an organization’ (Tett & Meyer, 1993, p. 262); and third, on
labour retention, an ‘employee’s desire to stay’ (Chiu et al.,
2002, p. 407). Even though they are related, there is little
interaction between these three streams, resulting in a frag-
mented body of knowledge. The dominant paradigm of traditional turnover theories
has resulted in increased understanding of ‘what’ causes
turnover (Price, 1977), as well as insights into ‘how’ the
process evolves (Mobley, 1977). Turnover is often expressed
in aggregate percentages, thereby losing important qual-
itative nuances, despite empirical evidence of differences
between high and low performers (Sturman et al., 2012),
stayers and job seekers (Woo & Allen, 2014), stayers and
leavers (Hom et al., 2012). Less attention has been paid to
turnover rates of groups of employees of different strate-
gic value (Lepak & Snell, 2002), despite calls to consider
the roles of leavers (Dalton et al., 1982; Jackofsky, 1984). Recent theory has addressed the depletion of human cap-
ital and ‘how often’ employees leave organizations (Call
et al., 2015), but few studies have considered this empiri-
cally. Turnover has been studied in a wide range of con-
texts, which is a strength for building theory but also a chal-
lenge for comparison and transfer. After summarizing the method employed in this review,
an overview is provided of the broad characteristics of arti-
cles, such as their number and focus, journal category and
geographic origin. We then analyse conceptual and empiri-
cal articles to plot the evolution of turnover research, com-
paring studies of actual turnover and turnover intention. We summarize the key findings, propose ways of advanc-
ing theory and research methodologies, and identify impli-
cations for practice. INTRODUCTION mance (Park & Shaw, 2013). For individual employees,
turnover is often emotionally stressful (Klotz & Bolino,
2016), with financial and other consequences. Individuals
who leave organizations risk losing contact with former
colleagues (Boswell et al., 2005) and employment benefits
like health insurance (Vardaman et al., 2008). Given these
consequences, there have been calls for further research
to enhance understanding of the causes and consequences
(Hom et al., 2017). Recent research shows potentially pos-
itive outcomes of turnover, for example from ‘boomerang’
employees, where returnees share their experiences of hav-
ing worked elsewhere (Shipp et al., 2014; Swider et al.,
2017). Voluntary employee turnover (hereafter turnover) is as old
as employment itself, but as a subject of academic inquiry
has existed for just over a century (Diemer, 1917; Fisher,
1917). Competition for skilled employees and episodic
labour market shortages coupled with skills mismatches
necessitate better understanding of turnover (WEF, 2020). Continued interest in turnover in recent decades is unsur-
prising given the consequences for organizations’ human
capital (Dess & Shaw, 2001) and organizational perfor- Turnover has attracted the attention of practition-
ers, policy makers and academics, but remains in some 555 wileyonlinelibrary.com/journal/ijmr BOLT et al. 556 METHODOLOGY EMPLOYED IN THIS
REVIEW Systematic literature reviews are increasingly used in man-
agement and social science (Denyer & Tranfield, 2009;
Macpherson & Jones, 2010; Thomas & Tee, 2021). For
this review, the 15-steps method developed by Pickering A CENTURY OF LABOUR TURNOVER RESEARCH F I G U R E 1
Systematic literature review process. Source: Derived from Pickering and Byrne (2014) F I G U R E 1
Systematic literature review process. Source: Derived from Pickering and Byrne (2014) using the electronic databases SCOPUS, Business Source
Complete, JSTOR, ScienceDirect and Wiley, and included
articles published up to July 2019. and Byrne (2014) was adapted and applied, as shown in
Figure 1. Steps 1–4. Step 1 established the overall topic for the
review to be labour turnover, with studies using turnover
as their outcome variable. Step 2 established the focus
and interest of the review to explore broad characteristics
of articles on turnover, as well as theories and methods
used. Step 3, that is, locating articles on labour turnover,
focused on the keyword ‘turnover’. Articles on involuntary
turnover were excluded because involuntary and volun-
tary turnover are distinct concepts (Morrell et al., 2001). Step 4 involved identifying and searching databases. To
build a comprehensive database, we set the search bound-
ary as articles in academic journals in the CABS Academic
Journal Guide (AJG) (Chartered Association of Business
Schools, 2018) in the following categories: general man-
agement, ethics, gender and social responsibility; human
resource management and employment studies; organiza-
tion studies; psychology (general); and psychology (orga-
nizational). A search in title and keywords was conducted In SCOPUS, the Boolean string “[TITLE (‘Turnover’)]
OR [AUTHKEY (‘Turnover’)] AND [EXACTSRCTITLE
(‘Academy of Management Journal’)]” was entered in the
search field. This procedure was repeated for each journal
identified and yielded an initial total of 3385 articles. For
each journal, articles were extracted from the database pro-
viding the highest number of hits. This was decided after
a comparison of duplicates for journals with over 100 hits. The search yielded a total of 1773 journal articles. Steps 5–9. Step 5 involved reading the title and abstract of
each article to establish relevance for inclusion. The main
inclusion criterion was that the article had to focus on
actual turnover, turnover intention or labour retention as
the dependent variable, excluding other kinds of turnover
(such as financial or sales turnover), which eliminated 356
articles. METHODOLOGY EMPLOYED IN THIS
REVIEW Articles not published in English, book reviews,
duplicates, articles developing a scale and errata were also 558
F I G U R E 2
The foci of turnover research [Colour figure can be viewed at wileyonlinelibrary.com] BOLT et al. F I G U R E 2
The foci of turnover research [Colour figure can be viewed at wileyonlinelibrary.com] analyses, 27 literature reviews, 57 conceptual articles and
17 methodological reviews. excluded, leaving a total of 1417 articles for full-text assess-
ment. Step 6 involved the development of a database in
which all citations were stored in an Excel spreadsheet
(Rashman et al., 2009), with multiple data analysis sheets
for coding purposes. Articles were imported into Atlas.TI
(Friese et al., 2018) qualitative data analysis software to
facilitate a structured way of organizing and reading arti-
cles. Categories and subcategories were identified concur-
rently with reading and analysing articles. Step 7 involved
coding articles in tranches of 10% of the total, followed
by meetings of co-authors to discuss discrepancies. Dur-
ing Step 8, another 42 articles were excluded for being out
of scope, leaving 1375 articles. In Step 9, all articles were
read and assessed, concurrently checking and revising cat-
egories. Figure 2 confirms that turnover is a relatively mature
field of research but also a field that has attracted increased
interest over the past two decades. While the increase
in articles appears continuous, the number of turnover
publications declined after the 2008 financial and eco-
nomic crises, discussed below. Empirical studies using
actual turnover as the dependent variable have increased
steadily but less than those using turnover intention,
which account for 66% (n = 605) of studies published since
2001, compared with 22% (n = 60) up to and including
2000. Research on retention has increased sporadically but
to a lesser extent than research on turnover intention and
actual turnover. The scattered but increasing number of
meta-analyses, literature reviews, conceptual articles and
methodological reviews also attests to increased interest in
labour turnover research. Steps 10–15. The number of articles included, that is,
1375, far exceeds the suggestion of around 300 by Picker-
ing and Byrne (2014), but this is not unusual for turnover
reviews (Allen et al., 2014) and our aim was a compre-
hensive review. The final data extraction sheets were used
to evaluate key results, identify shortcomings and sug-
gest areas for further research. METHODOLOGY EMPLOYED IN THIS
REVIEW A bibliography of articles
included can be obtained from the authors upon request. A Google Scholar citation analysis (August 2020)
revealed the most cited article was Huselid (1995) on
the impact of human resource management practices on
turnover and other organizational outcomes, with almost
13 000 citations. Two articles on organizational commit-
ment were the next most highly cited (Porter et al., 1974:
around 10 000 citations; Meyer et al., 2002: almost 9000
citations). FINDINGS In terms of sector and occupational focus, most empir-
ical studies (64%, n = 790) focused on a single sector,
but one-third (36%) involved several or did not specify
the sector. Of single-sector studies, healthcare was most
prevalent (19%), followed by manufacturing (18%), services
(17%), finance (11%), retail (8%), education (7%), informa-
tion technology (6%), military (5%), hospitality (5%), trans-
portation (2%), construction (1%) and energy (1%), with
the remainder in sports and agriculture. Interest moved
from manufacturing (1900–1975) to a wider range of sec-
tors from 1976. Since 2001, most of the 527 empirical stud-
ies were conducted in services (19%, n = 98), followed by
healthcare (18%, n = 95) then manufacturing (14%, n =
76), with the remainder in a wide range of sectors. The
changing sector focus reflects economic restructuring with
the decline of manufacturing and growth of services, but
also demonstrates that turnover is an issue affecting most
sectors, even if average turnover rates vary substantially
across economies. What constitutes unacceptably high lev-
els of turnover is very context-specific: hotels are known
to experience annual turnover of more than 200% (Cheng
& Brown, 1998) and clothing manufacture 27% on aver-
age (Taplin et al., 2003); levels that would be considered
unmanageable in a knowledge-intensive sector (Shankar
& Ghosh, 2013). Hospitals have been the focus of substan-
tial research, probably because of the high costs of training
nurses. In terms of occupation, 25% of the studies focused
on specific occupations, whereas 75% included employees
from several occupations. The geographical distribution of authors of the 1375 pub-
lications covers 63 countries, with the majority from the
United States (50%), followed by Canada (5%), China (5%),
the United Kingdom (4%), Australia (4%) and The Nether-
lands (3%). Empirical studies (n = 1235) were more often
published in North America, involving only American
authors (42%), compared with articles published outside
North America, involving non-American authors (38%). Of
the empirical studies outside North America, 10% involved
American authors, and 7% of studies failed to identify loca-
tion. Most articles involve authors in the same country
(82%), with international collaboration rarely extending
beyond two countries. Other articles, including literature
reviews, conceptual articles and methodological reviews,
have been overwhelmingly from North America (86%). FINDINGS In terms of CABS categories, over one-third (37%) of
articles were published in the AJG category of psychol-
ogy (organizational); followed by human resource man-
agement and employment studies (30%); general man-
agement, ethics, gender and social responsibility (22%); This section presents an overview of our findings from
the systematic literature review. Figure 2 shows the num-
ber of articles published over time. In total, 1375 articles
are included, comprising 1235 empirical articles, 39 meta- A CENTURY OF LABOUR TURNOVER RESEARCH 559 face (22%); followed by traditional job attitudes (18%), orga-
nizational context (17%), aspects of the job (13%), individual
attributes (11%), external labour market (5%), attitudinal
withdrawal (5%), personal conditions (5%) and work with-
drawal behaviour (4%). Since 2001 there has been increased
interest in variables comprising the person–context inter-
face, organizational context and traditional job attitudes. Hom et al. (2017) described how turnover research devel-
oped over time, and this review reveals the extent to which
there has been a shift in antecedents under investigation. organization studies (8%); and psychology (general) (3%). Almost half (44%) of the articles included in this review
were published in journals in CABS category 4* (9%) and
4 (35%); followed by category 3 (23%); category 2 (21%);
and category 1 (12%). Two-thirds (67%) of articles were pub-
lished in journals of category 3 and above, which is indica-
tive of the perceived importance of turnover. The journals with the highest number of articles
included are: Journal of Applied Psychology (n = 131); The
International Journal of Human Resource Management (n
= 118); Journal of Vocational Behavior (n = 72); Human
Relations (n = 59); Academy of Management Journal (n =
57); Personnel Review (n = 45); Journal of Management (n =
41); and Human Resource Management (USA) (n = 40). A
list of journals included, with the corresponding number
of articles from each, is shown in Appendix 1. The journals with the highest number of articles
included are: Journal of Applied Psychology (n = 131); The
International Journal of Human Resource Management (n
= 118); Journal of Vocational Behavior (n = 72); Human
Relations (n = 59); Academy of Management Journal (n =
57); Personnel Review (n = 45); Journal of Management (n =
41); and Human Resource Management (USA) (n = 40). A
list of journals included, with the corresponding number
of articles from each, is shown in Appendix 1. FINDINGS onditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Empirical articles (n = 1235) were reviewed by each
author to identify dependent variables, independent vari-
ables, industries and occupations, geographical location
of the study, underpinning theory and perceptions of
turnover. The dependent variable used was turnover
intention in 53% of empirical studies, actual turnover
in 44% and labour retention in 3% of studies. A sin-
gle dependent variable was involved in 69% of stud-
ies, whereas 31% investigated multiple dependent vari-
ables. Since 2001, turnover intention has been employed
more than actual turnover, yet most turnover theories
were developed with actual turnover as the outcome, so
empirical research has become less aligned with theory
developed to explain actual turnover behaviour (Allen
et al., 2014). The analysis of geographical distribution showed most
empirical studies were conducted in North America (47%),
followed by Asia (24%) then Europe (20%). Figure 4 shows
the geography of turnover articles over successive 25-year
intervals. The increase in turnover articles from Asia and
Europe is noteworthy. In the United States, of those stud-
ies indicating a sector (n = 396), 20% were in healthcare,
16% in the service sector, 15% in manufacturing and 11% in
finance. Similarly, in Europe, among the studies indicating
a sector (n = 121), 29% were in healthcare and mostly in the
United Kingdom and The Netherlands, 19% were in manu-
facturing and mostly in the United Kingdom, and 16% were
in services and mostly in Norway. In Asia, of the sector
studies (n = 171), 23% were in manufacturing, mostly in We analysed the independent variables of empirical
studies from direct effects stated in hypotheses using the
categories of a recent meta-analysis (Rubenstein et al.,
2018). Like Allen et al. (2014), we found that most studies
only test direct effects, but we also analysed variables inves-
tigated over 25-year intervals. Figure 3 shows that most
studies involved factors related to the person–context inter- 560
BOLT et al
F I G U R E 3
Labour turnover antecedents in empirical studies by 25-year intervals (%). Source: Categories from Rubenstein et al. (2018)
[Colour figure can be viewed at wileyonlinelibrary.com] BOLT et al. BOLT et al. 560 F I G U R E 3
Labour turnover antecedents in empirical studies by 25-year intervals (%). Source: Categories from Rubenstein et al. Period 1: The individual (1901–1925) Research into turnover began once its cost to organiza-
tions was recognized. The earliest books (Colvin, 1919;
Emmet, 1919) were published around the same time as the
first articles on turnover in academic journals (Diemer,
1917; Fisher, 1917). This interest was probably driven by
unprecedented levels of turnover in US manufacturing
before the First World War. Colvin (1919) reported turnover
as high as 600% in some Detroit plants in 1912 and 1913. Emmet (1919) mentioned the Special Committee on Labor
Turnover convened at the Rochester (NY) National Con-
vention of Employment Managers in 1918. The turnover
crisis was associated with fragmentation of work involv-
ing deskilling and reduced training time: ‘we took away
all the interesting parts of the work and made the men
into attachments to machines, demanding in many cases
that they follow exact motions laid down by others, in per-
forming their daily tasks’ (Colvin, 1919, p. 7). No direct
reference was made to Taylor (1911), but the description
of separating conception from execution and dehumaniz-
ing work resonates with analyses of Taylorism (Braverman,
1974). War demands exacerbated the situation and work-
ers were rapidly trained as operators of a single machine,
rather than on the whole range of engineering tools like
machinists trained through traditional apprenticeships. This deskilling facilitated operator movement by reducing
ties to a particular employer and made them more disposed
to leave unrewarding work. The idea that ‘not all turnover is bad’ (Holtom et al.,
2005, p. 338) has been echoed by others (Allen et al., 2010;
Hom et al., 2020) and some have noted positive outcomes
for individuals and organizations (Dalton et al., 1982; Mob-
ley, 1982; Price, 1977). Considering perceptions of turnover,
each empirical study was coded on whether the perception
of turnover was predominantly negative, predominantly
positive, discussed both positive and negative aspects, or
was neutral. Most empirical articles (60%) took a neutral
perspective, 33% viewed turnover in negative terms, 7%
addressed both aspects, whereas fewer than 1% had a posi-
tive perspective. For the periods 1976–2000 and 2001–2019,
most studies had a neutral perception of turnover (56% and
70%, respectively), followed by a predominantly negative
perception (16% and 37%, respectively). The predominance
of negative over positive perceptions of turnover, and the
increase in negative views since 2001, is surprising given
empirical evidence that turnover is not inherently ‘bad’
(Dalton & Todor, 1979; Swider et al., 2017). FINDINGS (2018)
[Colour figure can be viewed at wileyonlinelibrary.com] er antecedents in empirical studies by 25-year intervals (%). Source: Categories from Rubenstein et al. (2018)
wileyonlinelibrary.com] F I G U R E 4
Locus of empirical studies by continent over 25-year intervals (%) [Colour figure can be viewed at wileyonlinelibrary.com] F I G U R E 4
Locus of empirical studies by continent over 25-year intervals (%) [Colour figure can be viewed at wileyonlinelibrary.com] China, and 21% in services, mostly in India, South Korea
and China. In Oceania, of studies citing a sector (n = 33),
30% were in services, 24% in healthcare and 15% in manu-
facturing, mostly undertaken in Australia. In Africa, of the
sector studies (n = 22), 15% were in manufacturing and 15%
in finance, mostly in South Africa. The underpinning theories of empirical studies could be
ascertained from the abstract for 20% of studies, but for
the remainder, purpose, hypotheses and argument were
explored in the full text. About 64% of studies referred
to a specific theory and on average two theories were
involved. Social exchange theory (Blau, 1964) was used most A CENTURY OF LABOUR TURNOVER RESEARCH 561 often, followed by conservation of resources theory (Hob-
foll, 1989), social identity theory (Tajfel & Turner, 1986),
job-demands resources theory (Demerouti et al., 2001),
equity theory (Adams, 1965), organizational support the-
ory (Eisenberger et al., 1986), leader–member exchange the-
ory (Dansereau et al., 1975), human capital theory (Becker,
1964), self-determination theory (Gagné & Deci, 2005),
expectancy theory (Vroom, 1964) and the theory of reasoned
action/behaviour (Fishbein & Ajzen, 1975). Over the whole
period, there is no clear association between the use of the-
ory and journal category (CABS AJG). The highest pro-
portion of articles employing theory is in journals of cat-
egory 3 (71%) compared with category 2 (67%), category 4
(60%), category 1 (58%) and category 4* (51%). However,
for articles published since 2010, the utility of theory has
improved significantly, with almost 79% using a theory. Since 2010, the highest proportion of articles employing
theory is in journals in category 4* (96%), followed by cat-
egory 3 (80%), category 2 (77%), category 4 (75%) and cate-
gory 1 (68%). est in labour turnover (1926–1950); (3) satisfaction and the
external labour market (1951–1975); (4) reconceptualizing
turnover (1976–2000); (5) intention, retention and collective
turnover (2001–2019). The foci of turnover research The changing foci of turnover research, as shown in
Figure 2, were identified through a chronological assess-
ment hinging upon pivotal advances in theory. Unsurpris-
ingly, the evolution of turnover research has been neither
linear nor entirely sequential. What is distinctive about
this review is that the periods identified relate to the arrival
and emergence of key ideas, which sometimes overlap one
another like tectonic plates. For ease of representation,
however, fixed periods of 25 years are distinguished as fol-
lows: (1) the individual (1901–1925); (2) waning of inter- FINDINGS The focus of this review is on arti-
cles published in CABS-listed journals, but we have also
included, where relevant, books that we regard as seminal
works. Period 1: The individual (1901–1925) Early empirical turnover research was concerned with
identifying individual characteristics associated with
turnover, for example through mental alertness tests
(Snow, 1923) and evaluating social status (Bills, 1925). The
books by Colvin (1919) and Emmet (1919) were followed
by others exploring turnover (Brissenden & Frankel, 1921,
1922; Fish, 1922; Slichter, 1919) and were accompanied by
more journal articles. Period 3: Satisfaction and the external labour
market (1951–1975) The first attempt to develop a theory of turnover based on
factors other than individual attributes came in the book
Organizations (March & Simon, 1958, p. 99). This pivotal
theory moved the focus of turnover studies by including
labour market conditions, representing job opportunities
(Farris, 1971) and individual conditions, notably job satis-
faction (Hulin, 1968), as factors influencing turnover deci-
sions; factors that endured in many subsequent turnover
models. This shift, perhaps a function of the tight labour
markets of the post-war boom, involved recognizing that
turnover decisions could best be explained by a combina-
tion of individual, organizational and external labour mar-
ket conditions rather than by single factors in isolation. During this period, attention also turned to measurement
issues. Van der Merwe and Miller (1971) reviewed how
turnover is measured and critiqued the approach of simply
looking at overall turnover rates, arguing the need to dis-
tinguish controllable turnover and uncontrollable turnover. Price (1975) raised fundamental issues of understanding,
defining and measuring turnover. The most highly cited
article during this period is on job satisfaction (Porter et al.,
1974, almost 10 000 citations). As interest in turnover increased, researchers began
identifying and testing variables to explain turnover in dif-
ferent organizational contexts, which we characterize fol-
lowing Harney and Dundon (2006, p. 50) as an ‘open sys-
tems’ approach. The expansion of variables was triggered
by the process and content model (Mobley et al., 1979),
which included job-related, external, moderating and pro-
cess variables prior to turnover behaviour. Mobley’s (1982)
book recognized that turnover could have positive effects,
depending upon which individuals are leaving, proposing
a more sophisticated analysis of the effects of turnover,
and arguing that ‘the effective management of turnover
requires a diagnostic-evaluative perspective’ (Mobley, 1982,
p. 137). The unfolding model of turnover (Lee & Mitchell,
1994) proposed that turnover can be caused by shocks lead-
ing to different paths, some of which emerge unexpect-
edly, so cannot be foreseen by individuals and organiza-
tions. Few empirical studies have tested the propositions
of the unfolding model of turnover (Morrell et al., 2008),
and results on its utility are mixed. Donnelly and Quirin
(2006) found 84% of their sample in the proposed turnover
paths, whereas Niederman et al. (2007) found only 12%. The influence of these models is also evident from citation
rates, with Lee and Mitchell (1994) and Mobley (1977) each
having over 2000 citations. Period 2: Waning of interest in labour turnover
(1926–1950) From 1923, turnover in US manufacturing fell substan-
tially, inevitably reaching far lower levels with the onset BOLT et al. 562 of the Great Depression, which explains the waning of
academic interest at that time. The publication of books
on turnover follows the business cycle, which is logical
because turnover is likely to be more prevalent and dis-
ruptive during economic booms when labour markets are
tight. Turnover increased again during the Second World
War, sparking renewed interest through the ensuing period
of relative economic stability, as evidenced by empiri-
cal work focusing on the visual ability of the employee
(Kephart, 1948), weighted application blank tests (Mosel &
Wade 1951) and intelligence tests (Kriedt & Gadel, 1953). In
this way, researchers aimed to predict and control future
costs associated with turnover. ing nature of job satisfaction and intention to stay in their
study of turnover among nurses. Simultaneously, Mob-
ley (1977) developed a turnover process model designed to
explain how individuals arrive at turnover decisions. Dalton et al. (1981) challenged prevailing perceptions by
suggesting that turnover can be either functional or dys-
functional, both to organizations and to individuals. Jack-
ofsky (1984) considered functionality or dysfunctionality
of turnover based on employee performance, noting the
ambiguity of previous empirical studies exploring job per-
formance and turnover. Proposing a U-shaped relation-
ship, Jackofsky (1984) argued that employees with low per-
formance were likely to be managed out or leave during
the induction crisis, recognizing that they cannot make the
grade, whereas high performers would experience greater
ease of movement because they have higher competence
to offer to prospective employers. The influence of these
key works has been recognized by turnover experts (Hom
et al., 2020) and is evident from citations (e.g. Mobley, 1977,
around 3500 citations; Price, 1977, around 2000 citations). Period 4: Reconceptualizing turnover
(1976–2000) Price’s (1977) book was a seminal work on turnover
because it systematically analysed evidence of corre-
lates, determinants and intervening variables, develop-
ing a comprehensive causal model of turnover, for the
first time bringing together determinants separately estab-
lished by economists, psychologists and sociologists, set-
ting a research agenda for the following decades. Price
and Mueller (1981a,b) tested this model and the interven- Period 5: Intention, retention and collective
turnover (2001–2019) After decades of research on turnover, ambiguities in con-
cepts and models led to calls for the development of a new
theory (Morell et al., 2001). The period is characterized by A CENTURY OF LABOUR TURNOVER RESEARCH 563 persistent, to the extent that Lee and Mitchell (1994) sug-
gested it hampered the development of subsequent con-
ceptual models. It was 15 years before Porter and Steers
(1973) introduced the concept of met expectations, propos-
ing that unmet expectations lead to job dissatisfaction and
subsequently turnover. Alternative job opportunities were
not considered, yet these might explain why some individ-
uals experiencing unmet expectations and job dissatisfac-
tion do not leave. three changes in turnover research: an increasing amount
of empirical research on turnover intention as a dependent
variable; a shift from focusing on turnover to retention; and
a consideration of collective turnover. Most conceptual articles treat intention to quit as a
precursor to actual turnover, suggesting they are related
but separate constructs (Lee et al., 1999; Mobley et al.,
1979; Porter & Steers, 1973; Price & Mueller, 1981b; Tett
& Meyer, 1993), potentially with different explanatory
antecedents (Kirschenbaum & Weisberg, 1990; Winterton,
2004). The increasing predominance of turnover intention
as a proxy for actual turnover is therefore surprising, given
that turnover intention does not necessarily lead to actual
turnover behaviour (Purl et al., 2016). Mobley (1977) explored the relationship between job dis-
satisfaction and turnover, postulating a 10-step process
with a series of intermediate linkages, each stage involving
a decision that can arrest the process. Mobley’s (1977) work
proved pivotal and ‘inspired subsequent theoretical elab-
orations or refinements’ (Hom et al., 2020, p. 78). Those
refinements addressed, inter alia: factors influencing job
satisfaction (Mobley et al., 1979); different ways the inter-
mediate linkages operate (Hom & Griffeth, 1991); differ-
ent routes to turnover (Lee & Mitchell, 1994); and the final
stages of quitting (Steers & Mowday, 1981). With a shift of focus from turnover to retention, Mitchell
et al. (2001) developed job embeddedness theory, aiming
to predict why employees stay in an organization based
on their fit, links and sacrifice within the organization
and their community. Job embeddedness theory (Mitchell
et al., 2001) has become very influential, with over 3000
citations in only two decades, and this review found it to
be the most empirically tested of all turnover theories. Period 5: Intention, retention and collective
turnover (2001–2019) (1979), subsequent models focused
on the role of job commitment in turnover (Farrell & Rus-
bult, 1981) and emphasized the dynamics of the with-
drawal process (Sheridan & Abelson, 1983). The cusp
catastrophe model (Sheridan & Abelson, 1983) explicitly Further refinements (Mobley et al., 1979) and theoreti-
cal models (Muchinsky & Morrow, 1980) more explicitly
included the role of economic conditions. Economic con-
ditions influence the extent to which individual and orga-
nizational factors are conducive to turnover behaviour,
a buoyant economy offering a more permissive context. Apart from these two models, economic factors have
not been as prominent in turnover models as individual
and job characteristics, despite substantial evidence that
turnover is strongly procyclical (Carillo-Tudela & Coles,
2016). The business cycle could explain the dip in publica-
tions between 2011 and 2016 evident in Figure 2, as a lagged
effect of higher US unemployment between 2009 and 2014. Table 1 shows the evolution of turnover research across
the five periods. Period 5: Intention, retention and collective
turnover (2001–2019) Another approach came from an entirely different
source, starting with the causal model by Price (1977, pp. 66–91), developed from a codification review of previous
turnover research and subsequently refined (Price & Blue-
dorn, 1980; Price & Mueller, 1981a,b, 1986). Hom et al. (2020, p. 82) argued Price’s (1977) ‘causal determinants are
empirically well grounded’, although rigorous systematic
testing of the Price–Mueller models failed to explain vari-
ance in turnover as effectively as competing models by
Hom et al. (1984) and Mobley (1977). Two distinctive the-
oretical approaches thereafter developed in parallel, one
involving Price and colleagues at Iowa and the other a
network involving Griffeth, Hom and Mobley, the former
based on structural determinants and the latter on pro-
cesses of turnover. p
y
The antecedents of turnover have mostly been investi-
gated at the individual level and largely in isolation (Grif-
feth et al., 2000). Recent research has considered out-
comes when groups of employees leave an organization,
which can be more damaging to the stock of human cap-
ital (Glebbeek & Bax, 2004). Empirical studies on collec-
tive turnover are evidenced by meta-analyses (Hancock
et al., 2013, 2017; Heavey et al., 2013; Park & Shaw, 2013). Collective turnover theories have been developed that rec-
ognize the need to include group-level factors, includ-
ing contagion effects, leading to multiple quits (Nyberg &
Ployhart, 2013). Collective turnover theory emphasizes the
loss of human capital associated with collective departure
of employees, thereby offering a better understanding of
organizational impact. brary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Further refinements (Mobley et al., 1979) and theoreti-
cal models (Muchinsky & Morrow, 1980) more explicitly
included the role of economic conditions. Economic con-
ditions influence the extent to which individual and orga-
nizational factors are conducive to turnover behaviour,
a buoyant economy offering a more permissive context. Apart from these two models, economic factors have
not been as prominent in turnover models as individual
and job characteristics, despite substantial evidence that
turnover is strongly procyclical (Carillo-Tudela & Coles,
2016). The business cycle could explain the dip in publica-
tions between 2011 and 2016 evident in Figure 2, as a lagged
effect of higher US unemployment between 2009 and 2014. After Mobley et al. THE EVOLUTION OF THEORETICAL
DEVELOPMENTS March and Simon (1958) offered the first ‘explicit, formal
and systematic conceptual analysis of the withdrawal pro-
cess’ (Hom et al., 2020, p. 72). March and Simon (1958)
proposed a general theory of motivation, whereby the bal-
ance between an organization’s inducements and individ-
ual employees’ contributions is related to perceptions of
both the desirability and ease of leaving the organization. Although few studies directly tested this theory, its influ-
ence on subsequent turnover theory was pervasive and After Mobley et al. (1979), subsequent models focused
on the role of job commitment in turnover (Farrell & Rus-
bult, 1981) and emphasized the dynamics of the with-
drawal process (Sheridan & Abelson, 1983). The cusp
catastrophe model (Sheridan & Abelson, 1983) explicitly BOLT et al. 564 TA B L E 1
Summary of the five chronological periods
Duration
1901–1925
1926–1950
1951–1975
1976–2000
2001–2019
Key papers
Fisher (1917)
Diemer (1917)
Kephart (1948)
Mosel and Wade (1951)
March and Simon (1958)
Van der Merwe and Miller
(1971)
Porter and Steers (1973)
Price (1975)
Mobley (1977)
Price (1977)
Dalton et al. (1981)
Jackofsky (1984)
Lee and Mitchell (1994)
Mitchell et al. (2001)
Hom et al. (2012)
Nyberg and Ployhart (2013)
Hom et al. (2017)
Key antecedents
Individual attributes
Individual attributes
Organizational context
Traditional job attitudes
Person–context interface
Key construct
e.g. mental alertness
e.g. visual ability
e.g. working conditions
e.g. job satisfaction
e.g. THE EVOLUTION OF THEORETICAL
DEVELOPMENTS leader and supervisory
relationships
Key continent
North America
North America
North America
North America
North America
Key sector
Finance and
manufacturing
Manufacturing
Manufacturing
Healthcare
Healthcare
Key sector focus
Single
Single
Single
Single
Single
Key occupation
Specified and not
specified
Not specified
Not specified
Not specified
Not specified
Key perception
Negative and neutral
Neutral
Neutral
Neutral
Neutral
Key social science theory
–
–
–
Expectancy theory (Vroom,
1964)
Social exchange theory (Blau,
1964)
Key journal category
4*
4*
4
4
4
Key turnover theory
–
–
–
Intermediate linkages model
(Mobley, 1977)
Job embeddedness theory
(Mitchell et al., 2001)
Key method
Quantitative
Quantitative
Quantitative
Quantitative
Quantitative
Key data collection tool
Survey
Organizational record
Survey
Survey
Survey
Key time horizon
Static cohort
Static cohort
Static cohort
Static cohort
Cross-sectional
Key timeframe
Within and over a year
Within a year
Within a year
Within a year
Within a year
Key level of analysis
Individual
Individual
Individual
Individual
Individual
Key perspective
Employee
Employee
Employee
Employee
Employee
Key number of dependent
variables
Single
Single
Single
Single
Single
Key voluntariness
No differentiation
No differentiation
No differentiation
Voluntary turnover
Voluntary turnover
Key voluntariness source
–
Organizational records
Organizational records
Organizational records
Organizational records
Key turnover intention
measure
–
–
–
Cammann et al. (1979)
Bozeman and Perrewé (2001) Cammann et al. (1979) A CENTURY OF LABOUR TURNOVER RESEARCH 565 ence collective turnover at establishment level (Arthur,
1994). What is noteworthy about other recent turnover the-
ories is that they focus on the types of employees and
subpopulations of organizations. For example, Hom et al. (2012) identified types of employees based on their proxi-
mal withdrawal state. Woo and Allen (2014) distinguished
four types of employees based on their intentions to stay
or leave, and actions, resulting in stayer–seeker prototypes. Vande Griek (2020) introduced a typology of employees
based on proactive personality and focus on organizational
career growth. Researchers have yet to test empirically dif-
ferences in turnover behaviour of subpopulations. recognized withdrawal outcomes as multiple and discon-
tinuous, which Hom et al. (2020, p. 96) acknowledge as a
‘major breakthrough in thinking about turnover’. Turnover as a concept has been an area for refinement,
with Dalton et al. (1982) introducing a taxonomy differ-
entiating between functional and dysfunctional turnover
and Abelson (1987) distinguishing avoidable and unavoid-
able turnover based on the extent of organizational con-
trol. Empirical studies have paid little attention to these
advances, although there is more recognition that not all
turnover is negative and not necessarily something that
should ‘continuously be reduced’ (Bluedorn, 1982, p. 12). y
p
By the 1990s, the dominant paradigm involved deriva-
tive strands of several turnover theories (March & Simon,
1958; Mobley, 1977; Price, 1977). The unfolding model of
turnover developed by Lee and Mitchell (1994) drew on
these earlier strands and had in common with the cusp
catastrophe model (Sheridan & Abelson, 1983) the notion
that decisions about quitting are prompted by a shock and
involve multiple routes (Steers & Mowday, 1981). Describ-
ing the unfolding model of turnover (Lee & Mitchell, 1994)
as ‘a ground-breaking theoretical achievement’, Hom et al. (2017, p. 7) noted it identified novel constructs and pro-
cesses that deepen insight into why and how employees
quit. The unfolding model of turnover (Lee & Mitchell,
1994) also pioneered qualitative approaches taken up by
later theorists. A key weakness was its dependence on ret-
rospective evidence from leavers (Griffeth & Hom, 2001)
and, as Hom et al. (2020, p. 106) note, only interviewing
leavers amounts to ‘sampling on the dependent variable’,
since stayers may have experienced the same shocks. In short, there have been several shifts in turnover
research away from what causes people to leave. Cammann et al. (1979) First,
reconceptualizing process and content models; sec-
ond, focusing on what causes employees to stay; and
third, studying collective turnover and consequences
of turnover. The limited explanatory power of existing
models may have driven the search for new theory. Most
turnover research has been done by psychologists, so
increased interest in context and collective turnover may
also be a reaction to ‘psychologization’, highlighted in
recent human resource and employee relations literature
(Godard, 2014; Kaufmann, 2020). Increased interest in the
consequences of turnover may similarly reflect ‘financial-
ization’ of economies in the wake of the global financial
crisis and the emergence of ‘disconnected capitalism’
(Thompson, 2013). Besides identifying key conceptual contributions, we
also analysed empirical studies testing turnover theories. Like Allen et al. (2014), we found that turnover theories
are often the theoretical foundation for empirical stud-
ies, but rarely subject to direct empirical testing; we also
found evidence of a shift towards using more general social
science theories. Only 8% (n = 100) of empirical studies
in our review directly tested a turnover theory. Of those,
34% tested job embeddedness theory (Mitchell et al., 2001),
20% the intermediate linkages model (Mobley, 1977), 18%
the unfolding model of turnover (Lee & Mitchell, 1994),
7% the integrated process model of turnover and perfor-
mance (Jackofsky, 1984), 7% the desirability/ease of move-
ment model (March & Simon, 1958), 5% functional versus
dysfunctional turnover (Dalton et al., 1982), 3% context-
emergent turnover theory (Nyberg & Ployhart, 2013), while
the process model (Steers & Mowday, 1981), the causal
model of turnover (Price, 1977) and proximal withdrawal
states theory (Hom et al., 2012) each accounted for 2%. This
means 95% of empirical articles have used theories devel-
oped at least 20 years ago. The unfolding model of turnover (Lee & Mitchell, 1994)
was enhanced by Mitchell and Lee (2001), who focused
on stayers as opposed leavers to propose a new construct
of job embeddedness. Empirical research showed that
being embedded in the organization and the community
was associated with reduced intent to leave and actual
turnover (Mitchell et al., 2001). Maertz and Griffeth (2004)
argued the need to integrate commitment constructs with
turnover models and proposed a conceptual framework
explaining why employees quit (or stay) in terms of eight
motivational forces. 1994), 5% context-emergent turnover theory (Nyberg &
Ployhart, 2013) and 3% proximal withdrawal states theory
(Hom et al., 2012). This dependence on older theories begs
the question of why newer theories are not being picked up
in empirical work if their development reflects the limited
explanatory power of older theories. 1994), 5% context-emergent turnover theory (Nyberg &
Ployhart, 2013) and 3% proximal withdrawal states theory
(Hom et al., 2012). This dependence on older theories begs
the question of why newer theories are not being picked up
in empirical work if their development reflects the limited
explanatory power of older theories. In terms of the dependent variable being studied, for
studies of actual turnover (n = 550), 65% explicitly focused
on voluntary turnover, but the remainder did not distin-
guish from involuntary turnover. Of studies that made the
distinction, 80% based this exclusively on organizational
records, which may be inaccurate or unreliable (Abel-
son, 1987; Campion, 1991). Similarly, 16% relied solely on
employee reports and only 4% reconciled organizational
and employee reports. Further analysis of the dependent variable and the
turnover theory tested revealed that 93% (n = 93)
employed only one dependent variable, whereas 7% inves-
tigated multiple organizational outcomes. Actual turnover
is the main dependent variable for turnover theories,
so it is unclear why other outcomes not included in
turnover theories should be considered as dependent
variables. Studies using turnover intention as the dependent vari-
able (n = 665) employed a total of 143 different measures,
of which 60% were developed between 1976–2000 and 40%
between 2001–2019. In the first period, three measures
were particularly dominant: close to 40% of studies used
the measure of Cammann et al. (1979); 20% used the mea-
sure of Mobley et al. (1978); and 14% used the measure of
Wayne et al. (1997). Of the turnover intention measures
developed between 2001 and 2019, those of Bozeman and
Perrewé (2001) and Kuvaas (2006) were most often used, by
26% and 16% of studies, respectively. Analysis of the items
belonging to each turnover intention measure exposes dif-
ferent meanings and there is little consistency between
them in terms of the time horizon over which employ-
ees plan to leave. Despite the proliferation of measures of
turnover intent, we found little conceptual development of
the construct apart from Gaertner and Nollen (1992), who
refined the notion of turnover intention by introducing a
typology of desire to stay (or leave) and intent to stay (or
leave), suggesting that actual turnover is a result of desire
to leave combined with intention to leave. Employees may
desire to leave but intend to stay as they are locked into the
organization, or desire to stay but intend to leave because
of some discord or external factors. REVIEW OF METHODOLOGICAL
APPROACHES The methodology section of each empirical article (n =
1235) was assessed against four characteristics: method and
data collection tool; time horizon; level and unit of analy-
sis; and measure of the dependent variable. In terms of method, 95% (n = 1175) of studies were purely
quantitative, 2% (n = 24) were qualitative, 2% (n = 18) used
multiple methods and 2% (n = 18) mixed methods. The
most common data collection tool was surveys (77%), fol-
lowed by organizational records (9%), external databases
(8%) and interviews (3%). Experiments, simulation, focus
groups and observations accounted for only 3% of studies. Like Allen et al. (2014), whose review also provides insights
into statistical analysis used in empirical studies, we find
a dominant analytical mindset, which we believe retards
theoretical and methodological development, by not test-
ing turnover theories and replicating a relatively narrow
range of methods. Cammann et al. (1979) Later theoretical models emphasized
the process in which individuals make decisions over time
(Kammeyer-Mueller et al., 2005; Steel, 2002) and further
elaborated the role of shocks (Griffeth et al., 2008). More recently, there has been interest in collec-
tive turnover at group, unit and organizational levels
(Hausknecht & Trevor, 2011). Nyberg and Ployhart (2013)
developed context-emergent turnover theory to explain the
impact of collective turnover, hinting at antecedents such
as organizational climate and labour-market conditions. This approach is consistent with earlier work suggesting
that human resource (HR) systems and processes influ- The analysis of empirical studies testing turnover the-
ories since 2001 (n = 66) reveals a similar pattern, with
52% testing job embeddedness theory (Mitchell et al., 2001),
24% the unfolding model of turnover (Lee & Mitchell, BOLT et al. 566 Turnover intention versus actual turnover Ex-
post archival studies have also increased over time, repre-
senting 22% of actual turnover studies and 1% of turnover
intention studies overall. In terms of timeframe, the num-
ber of actual turnover studies with a timeframe of over a
year has overtaken those completed within a year since
2001, which has not happened with studies of turnover
intention. The dominant level of analysis overall has been
the individual for 82% of actual turnover studies and 94%
of turnover intention studies. Organization-level studies
have increased, representing 16% of actual turnover stud-
ies and 5% of turnover intention studies overall. In paral-
lel, greater attention has been paid to perspectives other
than employees, but for the period 2001–2019, 37% of actual
turnover studies considered only employees’ perspectives,
whereas for turnover intention studies the correspond-
ing figure is 82%. Looking at the number of dependent
variables employed, turnover intention studies more often
include multiple dependent variables (41%) compared to
actual turnover studies (19%), suggesting that turnover
intention is often included as one of several organiza-
tional outcomes. There has been increased focus on volun-
tary turnover, along with increased use of organizational
records to substantiate this. The majority (76%) of turnover theories tested were built
with actual turnover as the outcome variable, compared to
21% using turnover intentions. The turnover theory most
often tested overall was job embeddedness (Mitchell et al.,
2001), accounting for 33% of studies overall, 24% of actual
turnover studies and 67% of turnover intention studies. Mobley’s (1977) intermediate linkages model was the next
most frequently tested, accounting for 21% of studies over-
all, 22% of actual turnover studies and 14% of turnover
intention studies. The unfolding model of Lee and Mitchell
(1994) accounted for 19% of studies overall, 22% of actual
turnover studies and 5% of turnover intention studies. The prevalence of job embeddedness theory in studies of
turnover intention is surprising given that this theory was
developed to explain why employees stay with an organi-
zation. Intention to stay and intention to leave are not mir-
ror constructs, and factors persuading employees to stay
are different from those inducing them to quit, as attested
by empirical evidence of asymmetry in reasons for staying
and leaving (Clarke et al., 2010). Further differences can be highlighted between articles
using turnover intention and those using actual turnover. Turnover intention versus actual turnover Van-
denberg and Nelson (1999) found the relationship between
turnover intention and actual turnover behaviour varies
widely, concluding that turnover intention is not always a
precursor to quitting, which depends on alternative oppor-
tunities. Tang et al. (2000, p. 234) similarly found ‘with-
drawal cognitions do not predict voluntary turnover’ and
emphasized the need to study actual turnover behaviour. Noting that most individuals who express an intention
to leave do not do so, Allen (2004) proposed risk aver-
sion, personality and volitional behaviour control as pos-
sible explanations. Other reviews (e.g. Rubenstein et al.,
2018) highlighted the distinction between turnover inten-
tion and actual turnover, and we undertook further anal-
ysis comparing studies on actual turnover and turnover
intention. p. 52) also concludes that ‘turnover intention and actual
turnover are not identical and should not be treated as
such’, arguing that treating turnover intentions as actual
turnover leads to incorrect conclusions on related vari-
ables and could potentially give misleading results. The
relatively few empirical studies comparing turnover inten-
tions with actual turnover behaviour confirm the distinc-
tion (Marsh & Mannari, 1977; Tett & Meyer, 1993). Van-
denberg and Nelson (1999) found the relationship between
turnover intention and actual turnover behaviour varies
widely, concluding that turnover intention is not always a
precursor to quitting, which depends on alternative oppor-
tunities. Tang et al. (2000, p. 234) similarly found ‘with-
drawal cognitions do not predict voluntary turnover’ and
emphasized the need to study actual turnover behaviour. Noting that most individuals who express an intention
to leave do not do so, Allen (2004) proposed risk aver-
sion, personality and volitional behaviour control as pos-
sible explanations. Other reviews (e.g. Rubenstein et al.,
2018) highlighted the distinction between turnover inten-
tion and actual turnover, and we undertook further anal-
ysis comparing studies on actual turnover and turnover
intention. with 28% (n = 107) using actual turnover. There is a wider variety of methods employed for qual-
itative studies. In terms of data collection tools, in the
period from 2001 studies of actual turnover have used
external databases (10%) more than organizational records
(6%), which were used more in earlier periods. In terms
of time horizon, static cohort studies, representing 51%
of actual turnover studies and 6% of turnover intention
studies overall, have come to predominate since 1976. Turnover intention versus actual turnover In terms of the time horizon employed by empirical
studies, using the categories distinguished by Allen et al. (2014), we found 52% (n = 643) were cross-sectional, 26%
(n = 320) used a static cohort, 10% (n = 126) were ex-post
archival, 6% (n = 77) were longitudinal, 3% (n = 39) retro-
spective and 2% (n = 30) involved repeated measures. Over-
all, 65% were conducted within the timeframe of 1 year. Of the remainder, the longest was 117 years, although the
turnover data covered 80 years (Abrahamson, 1997). One important issue identified by this systematic review is
the increased reliance on turnover intention as a proxy for
actual turnover. The meta-analysis of Armitage and Con-
ner (2001) has been used extensively to support the generic
claim that intention and behaviour are correlated, but that
analysis included only one study of turnover, which used
turnover intention as the dependent variable. Dalton et al. (1999) suggested three criteria that would allow the use of
turnover intention as a proxy for actual turnover: the rela-
tionship between the surrogate and variable under investi-
gation must consistently meet a minimum correlation; the
data of actual turnover must be unavailable; and the sur-
rogate variable must best represent actual turnover. The
meta-analysis of Griffeth et al. (2000) shows the intention–
behaviour relationship for turnover does not meet these
criteria. Another meta-analysis by Rubenstein et al. (2018, The individual was the primary level of analysis in
89% of turnover studies, followed by the organization or
a key representative (10%). Only 1% of studies used the
team or department as a unit of analysis. In terms of per-
spective, only 7% included both managers and employ-
ees. Over-reliance on individual-level research is problem-
atic because turnover involves two parties: employee and
employer. A CENTURY OF LABOUR TURNOVER RESEARCH 567 71% (n = 272) focused on turnover intention, compared
with 28% (n = 107) using actual turnover. p. 52) also concludes that ‘turnover intention and actual
turnover are not identical and should not be treated as
such’, arguing that treating turnover intentions as actual
turnover leads to incorrect conclusions on related vari-
ables and could potentially give misleading results. The
relatively few empirical studies comparing turnover inten-
tions with actual turnover behaviour confirm the distinc-
tion (Marsh & Mannari, 1977; Tett & Meyer, 1993). Turnover intention versus actual turnover When turnover intention was the dependent variable,
most variables were related to the person–context interface
(29%), whereas for actual turnover, most variables were
related to the organizational context (18%). Turnover inten-
tion is often used as a proxy for actual turnover, but this
difference reinforces the conclusion of Purl et al. (2016)
that turnover intention and actual turnover are predicted
by different variables. This suggests that factors related to
work context, such as embeddedness and network ties,
could lead an individual to reconsider employment at the
organization, but factors related to organizational context,
such as structural changes, provoke actual quitting. Turnover studies have overwhelmingly used quantita-
tive methods: 95% overall, 93% of actual turnover studies
and 98% of turnover intention studies. For actual turnover
studies (n = 550), 10% were cross-sectional and 51% used
a static cohort design. For turnover intention studies (n =
665), 86% were cross-sectional and 6% used a static cohort
design. Cross-sectional studies ignore temporal effects,
changes over time that trigger reconsideration of employ-
ment, but these have a strong influence on turnover. Also,
for studies considering multiple organizational outcomes, Empirical studies using turnover intention are most
often located in Asia and North America, each with 33%,
followed by Europe (23%). With respect to actual turnover
studies, most (66%) were conducted in North America,
followed by Europe (16%) and Asia (12%). In terms of
sector focus over the whole period, turnover intention BOLT et al. 568 plex social phenomenon like turnover does not allow deep
exploration of personal experiences. studies tend to focus more on multiple sectors in a sin-
gle study (43%) compared to actual turnover studies (29%). Manufacturing was the most studied sector for actual
turnover (23%), whereas the service sector was most stud-
ied for turnover intention (21%). Healthcare was for both
the next most studied sector: 20% for actual turnover
and 18% for turnover intention. Turnover intention stud-
ies have increasingly included multiple sectors, whereas
actual turnover studies have maintained a clearer sector
focus. In terms of occupation, a relatively large proportion
of studies include multiple occupations in a single study
(70% for actual turnover and 79% for turnover intention). Studies on actual turnover focusing on a single occupation
decreased from 15% in the period 1976–2000 to 11% in 2001–
2019, whereas there was an increase in single-occupation
studies for turnover intention in the corresponding peri-
ods, from 4% to 18%. Implications for advancing theory There is scope for developing theory in several respects. In
the first place, turnover as a theoretical construct should
be elaborated in a more nuanced manner, distinguishing
between different types of turnover rather than treating
it as a homogeneous phenomenon. Theory development
should be informed by such a differentiated approach. Building on typologies that distinguish between functional
and dysfunctional turnover (Dalton, 1982) and between
avoidable and unavoidable turnover (Abelson, 1987), these
dimensions could be combined to create a matrix that
would highlight avoidable, dysfunctional turnover as the
priority for action. Filtering out unavoidable turnover (e.g. due to spouse relocation or illness) as well as functional
turnover (irrespective of whether avoidable) would make
turnover theory more useful. Another matrix comparing
the strategic value to the organization with uniqueness
(Lepak & Snell, 1999) would similarly focus attention on
critical occupations of high value that are relatively rare, so
difficult to replace. Constraints on mobility and degree of
specificity of skills are pertinent (Campbell et al., 2012) in
developing retention strategies focused on employee value
(Cardy & Lengnick-Hall, 2011). Factors affecting an indi-
vidual’s intention to leave an organization can be distin-
guished from those affecting intention to change occu-
pation (Li et al., 2019), suggesting a need to identify this
small subset within the larger category of organizational Turnover intention versus actual turnover The person–context interface has become more preva-
lent in turnover research, but more than one-third (36%)
either did not specify the context or combined different
contexts, which is a serious weakness because context has
major implications for the role of predictors (Hom et al.,
2020). Similarly, although 89% of empirical studies consid-
ered employee perspectives, studies of turnover compar-
ing employees from different levels in the organizational
hierarchy or from different occupational groups are rare
(Trevor & Nyberg, 2008). The failure to differentiate occu-
pations is surprising because turnover varies substantially
between occupations, and motives for staying in an orga-
nization and staying in an occupation are different (Ng &
Feldman, 2007). The general category ‘hospital employees’,
for example, could include nurses, who may leave because
of workload or insufficient supervisor support, and sur-
geons, whose main reason for leaving might be the oppor-
tunity to move to an institution with better research infras-
tructure. Studies that aggregate all employees, with no dif-
ferentiation between occupations, are unlikely to be useful
in developing action plans. In terms of social science theory, while social exchange
theory (Blau, 1964) has long been used to explain actual
turnover, it has been used most extensively in turnover
intention studies in the period 2001–2019. Overall, higher
proportions of turnover intention studies are published
in lower-category journals compared to studies on actual
turnover. Finally, 35% of studies on turnover intention per-
ceive turnover in negative terms, compared to 30% of stud-
ies on actual turnover. DISCUSSION This review of turnover research is the most comprehen-
sive to date, including 1375 articles from selected CABS-
listed academic journals. Covering a range of literature,
including empirical studies, conceptual articles, literature
reviews, meta-analyses and methodological reviews, this
review traces the development of ideas and the changing
foci of research over the past century, highlighting major
theoretical and methodological advances as well as emerg-
ing areas of empirical interest. Early work was notably under-theorized, with the first
turnover theory developed by March and Simon (1958). It
was almost two decades before any new theory appeared,
with two distinct parallel approaches developed by Mobley
(1977) and Price (1977), the former concerned with process,
the latter with content, or structure. It took almost as long
again before the two strands were brought together by Lee
and Mitchell (1994), since when the dominant paradigm
has drawn extensively on these approaches. Despite the
richness of theory development in the last two decades,
there has been limited attention paid to testing specific
turnover theory in empirical work, leaving the utility of
most theory largely unconfirmed. Moreover, the predom-
inance of quantitative approaches to investigating a com- A CENTURY OF LABOUR TURNOVER RESEARCH 569 turnover and to consider occupational factors alongside
labour market conditions. of a more holistic turnover theory, taking a strategically
differentiated, multi-level, longitudinal approach, are pre-
sented in Figure 5. Theory could be advanced by further integration of dif-
ferent theories. The unfolding model of Lee and Mitchell
(1994) has been noted as significant for bringing together
the previously separate strands of turnover theory started
by Mobley (1977) and Price (1977). The integration of the
unfolding model with job embeddedness theory by Holtom
and Inderrieden (2006) can be seen as another critical
advance. This review noted increasing use of general social
science theories rather than specific turnover theories in
turnover research, suggesting there are opportunities for
further integrating theories from social science into a more
comprehensive theory of turnover and retention (Mossh-
older et al., 2005). At this stage, the differentiated model is little more than
a heuristic device suggesting ways that a more compre-
hensive theory could be used to structure research and
combine different elements. Starting with strategic differ-
entiation, the idea is from the outset to explore turnover
and retention for different groups according to value and
scarcity, as well as dimensions like avoidability and func-
tionality. DISCUSSION The factors and antecedents are examples of what
is likely to be relevant at the macro, meso and micro lev-
els and are not intended to be comprehensive. What hap-
pens in the black box includes interactions of variables,
moderation and mediation effects, conjecture over which
is beyond the scope of this review. Crucially, the outcomes
that need to be included in a holistic model are inten-
tions, as stated at time t1, and behaviours, at later time t2;
those intentions and behaviours being to leave or to stay. Future research must address the relationship between
intentions and behaviours and include the four possibili-
ties of intention and behaviour in this respect. While much
of turnover theory is predicated on the idea that individ-
uals’ behaviours match their intentions, whether stayers
or leavers, robust explanations are elusive for cases where
behaviour is the opposite of stated intention. A starting
point would be systematically to identify the proportions
in the four categories. Finally, the impact of outcomes—
those who do leave or do stay—can only be meaning-
fully assessed using a differentiated approach that identi-
fies functional and dysfunctional, avoidable and unavoid-
able, turnover and retention. Turnover has been studied by economists and sociol-
ogists, although to a much lesser extent than the disci-
plines included in this review. Insights from economics
and sociology could be especially important in the con-
text of the current pandemic and its aftermath. There is a
wide range of social science theories that could contribute
to explaining turnover and retention, and it is beyond the
scope of this review to attempt to capture them all. How-
ever, there are encouraging signs of developments in this
direction. Mossholder et al. (2005, p. 607) noted the para-
dox that ‘conceptual frameworks have cast turnover within
the context of relational processes [but] ... not explicitly
emphasized the effects of relational variables on turnover’. Jo and Ellingson (2019) explored such relational aspects of
turnover, drawing on behavioural, structural and psycho-
logical aspects of social relationships that have potential
to be integrated into turnover models. Social connections
have obvious relevance and feature in job embeddedness
(Mitchell et al., 2001) and ‘“forces” of attachment and with-
drawal’ (Maertz & Campion, 2004, p. 569). Implications for research methods Qualitative methodologies offer more scope for explor-
ing individual motives and meanings through interviews,
while focus groups can reveal team and unit-level issues
affecting turnover. Ethnographic methods could provide
new ways of uncovering nuanced reasons for leaving or
staying in specific contexts. Despite its limitations, turnover intention is likely to
become even more prominent over the next few years if
unemployment associated with the COVID-19 pandemic
reduces the likelihood of actual turnover and employees
with turnover intentions stay because of the scarcity of
alternative opportunities. The pandemic may exacerbate
distance between turnover intention and actual turnover,
but present opportunities to investigate reluctant stayers
and reluctant leavers as discussed by Hom et al. (2012),
thereby improving understanding of functional versus dys-
functional turnover (Dalton et al., 1981). Multi-level analyses (suggested by Holtom et al., 2008),
involving individual, group and establishment studies,
could advance understanding of contextual factors and
issues that can be influenced by management. There is a
bigger picture to labour turnover, but because psycholo-
gists have contributed disproportionately to its research,
turnover studies are often abstracted from their wider con-
text. The psychological focus has emphasized individuals
at the micro level, where ‘it is easier to test parsimonious
theories’ (Vincent et al., 2020, p. 473). This is consistent
with general observations that in organizational behaviour
and human resource management (HRM), psychological
approaches have displaced approaches with a ‘more socio-
logical and ethnographic orientation’ (Godard, 2014, p. 2). As Cullinane and Dundon (2006, p. 124) noted in rela-
tion to the psychological contract, this individualization
‘obscures rather than illuminates the fundamental ques-
tions surrounding the employment relationship’. The psy-
chologization of turnover research has led to a ‘hollowing
out’ of turnover as a concept, dissociating it from the wider
political economy of the labour process in which such
employment issues are embedded. Mobilizing theories
and methods from economics and sociology in turnover
research would facilitate a multi-level approach involv-
ing factors at workgroup, establishment and organization
levels and their wider socioeconomic context. Increased
emphasis on multi-level approaches in the broader orga-
nizational literature suggests such an approach could be
fruitful for turnover research (Kozlowski & Klein, 2000;
Moliterno & Ployhart, 2016). Methodological advance could address three areas: lon-
gitudinal studies, qualitative methods and multi-level
analyses. Implications for research methods Another area needing attention is better conceptualiza-
tion of turnover intention. Clearer specification is needed
of moderators and mediators between turnover intention
and actual turnover, including the role of risk, as suggested
by Allen et al. (2007). As noted above, the justification for
using turnover intention as an outcome variable is uncon-
vincing, because antecedents to turnover intentions do not
have the same relationship to actual turnover. Critically,
as noted earlier, intention to stay and intention to leave
are not mirror constructs, and retention is not the dual of
turnover, but a framework incorporating intention to stay
and intention to leave, as well as actual turnover and reten-
tion, would represent a significant breakthrough in theory. So too would the explicit incorporation of micro, meso and
macro levels of analysis. As this review has revealed, most
turnover theory is directed to the individual (micro) level,
even if organizational (meso) and wider economic (macro)
factors are mentioned. Tentative first steps in the direction One challenge of working on actual turnover behaviour
is the difficulty of accessing people who have left the
organization, so turnover intention offers methodological
expediency in data collection even if the theoretical jus-
tification is weak. Achieving an adequate sample size to
permit statistical significance is also difficult when rela-
tively few employees leave an organization voluntarily. A
large sample of turnover intention data can be collected
at once, whereas a longitudinal or retrospective approach
necessary for studying actual turnover takes longer and
is more difficult to organize. The conceptual problem of
using turnover intention as a proxy for turnover behaviour,
and the methodological difficulty of researching actual
turnover, possibly explain the renewed interest in study-
ing retention. However, retention is an entirely different
construct from turnover. High retention does not indi-
cate low turnover, since the ‘churn’ of employees may be 570
BOLT et al. F I G U R E 5
A differentiated model of turnover and retention BOLT et al. 570 F I G U R E 5
A differentiated model of turnover and retention out important details of the ‘realities of the employment
relation[ship]’ (Godard, 2014, p. 10). concentrated in one section of the workforce, and if
those involved are of strategic importance and difficult to
replace, the organization has a problem. Implications for research methods p
To assess the impact of turnover, it is important to
explore which individuals are leaving, their strategic
importance to the organization, their relative performance
and how easily they can be replaced, if indeed they need
to be replaced (Hausknecht & Holwerda, 2013; Shaw
et al., 2009). This would reveal the (dys)functionality of
turnover, and provide insights into functional and dys-
functional retention, a concept that has received lim-
ited research attention to date. Dysfunctional retention is
likely to be a problem in highly regulated labour markets,
where it is costly for organizations to terminate under-
performing employees. Empirical studies could be con-
ducted to distinguish organizational practices that influ-
ence retention versus turnover, for example institutional
voice (Croucher et al., 2011). Turnover research should be
repositioned in the context of changing employment rela-
tionships and flexible careers that render loyalty and com-
mitment largely redundant. Some of the implications for practice of this review are
outlined below, which also suggests ways further research
could be made more relevant to organizations. This review
has not directly addressed implications for policy, but by
extension some of the issues highlighted are relevant for
national and sector policy. Further research could explore
the role of turnover and retention in national policies
designed to promote post-pandemic economic recovery. Similarly, at sector level, further research is needed to
explore how employment and training policies interact
with turnover and retention of key occupational groups,
such as hospital nurses. Research addressing national and
sectoral policies would better advance theory and under-
standing by involving international comparisons, consid-
ering contextual differences in institutions and culture. In developing practical guidance for managing turnover,
Eberly et al. (2009) contrast four approaches to under-
standing turnover: focusing on who quits and why (con-
tent and process); how they leave (unfolding model); why
some stay (job embeddedness); and management perspec-
tives on functionality and avoidability. Context is key, espe-
cially in relation to relative skill levels and time to achieve
competent performance. High labour turnover appears
endemic to certain sectors and associated occupations,
including hospitality (waiting staff), clothing manufacture
(sewing machinists) and hospitals (nurses). However, the
average training time for these three occupations is around
1 week, 6 weeks and 3 years, respectively, so the cost impli-
cations of turnover are quite different. Implications for research methods The practical utility of cross-sectional turnover
studies is limited, since they provide only a snapshot,
and this review reveals that antecedents vary over time,
which warrants a longitudinal approach. Longitudinal
studies through, for example, regular saturation surveys—
including the full range of antecedents—would be a useful
way forward, as others have noted (Hom et al., 2017, 2020). Longitudinal study designs with multiple time intervals
(Chen et al., 2011; Liu et al., 2012) require deeper engage-
ment with organizations to track turnover trends. inelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License g
Echoing Allen et al. (2014), this review of methodolog-
ical approaches shows increased use of highly sophis-
ticated measurement and data analysis techniques in
studying turnover. This sophistication was evident from
early discussions on the use of survival analysis (Van
der Merwe & Miller, 1971), to correcting turnover cor-
relations (Williams & Peters, 1998) and increased use
of model-testing techniques such as structural equation
modelling and path analysis (Allen et al., 2014). How-
ever, such approaches focus on prediction and control
rather than more nuanced understanding, and separate the
employee from the employment context, thereby leaving A CENTURY OF LABOUR TURNOVER RESEARCH 571 illuminate differences between stayers and leavers and
identify issues in areas where turnover is concentrated. Such insights could be used to develop appropriate
turnover and retention strategies focusing on issues man-
agers might expect to influence, such as HR systems and
processes (Bowen & Ostroff, 2004; Ostroff & Bowen, 2016). That bigger picture suggests a need to move beyond
psychological concerns of individual antecedents to con-
sider more structural and systemic explanations for varia-
tions in turnover at establishment level. Recent theoretical
advances in HRM, such as HR architecture (Lepak & Snell,
2002) and HR system strength (Ostroff & Bowen, 2016),
could form the basis for such a reorientation of turnover
theories towards the organizational level, rather than sim-
ply exploring how organizational factors moderate indi-
vidual turnover behaviour. Such empirical research should
involve case studies in which researchers conduct inter-
views with managers and focus groups with employees
to explore different perceptions of drivers of turnover and
retention (Gaio Santos & Martins, 2021; Hausknecht et al.,
2009). Implications for research methods If theory is to be
useful for practice, it must incorporate contextual macro
issues at the level of sectors and occupations. R E F E R E N C E S *Abelson, M.A. (1987) Examination of avoidable and unavoidable
turnover. Journal of Applied Psychology, 72, 382–386. *Abrahamson, E. (1997) The emergence and prevalence of employee
management rhetorics: the effects of long waves, labor unions, and
turnover, 1875 to 1992. Academy of Management Journal, 40, 491–
533. Call, M.L., Nyberg, A.J., Ployhart, R.E. & Weekley, J. (2015) The
dynamic nature of turnover and unit performance: the impact of
time, quality, and replacements. Academy of Management Journal,
58, 1208–1232. Adams, J.S. (1965) Inequity in social exchange. Advances in Experi-
mental Social Psychology, 2, 267–299. Cammann, C., Fichman, M., Jenkins, D. & Klesh, J. (1979) The Michi-
gan Organizational Assessment Questionnaire. Ann Arbor, MI:
University of Michigan. Allen, D.G. (2004) Explaining the link between turnover intentions
and turnover. In: Griffeth, R. & Hom, P. (Eds.) Innovative The-
ory and Empirical Research on Employee Turnover. Greenwich, CT:
Information Age Publishing, pp. 35–53. Campbell, B.A., Coff, R. & Kryscynski, D. (2012) Rethinking sus-
tained competitive advantage from human capital. Academy of
Management Review, 37, 376–395. Allen, D.G., Bryant, P.C. & Vardaman, J.M. (2010) Retaining tal-
ent: replacing misconceptions with evidence-based strategies. Academy of Management Perspectives, 24, 48–64. *Campion, M.A. (1991) Meaning and measurement of turnover:
comparison of alternative measures and recommendations for
research. Journal of Applied Psychology, 76, 199–212. *Allen, D.G., Hancock, J.I., Vardaman, J.M. & McKee, D.N. (2014)
Analytical mindsets in turnover research. Journal of Organiza-
tional Behavior, 35, 61–86. *Cardy, R.L. & Lengnick-Hall, M.L. (2011) Will they stay or will they
go? Exploring a customer-oriented approach to employee reten-
tion. Journal of Business Psychology, 26, 213–217. *Allen, D.G., Renn, R.W., Moffitt, K.R. & Vardaman, J.M. (2007) Risky
business: the role of risk in voluntary turnover decisions. Human
Resource Management Review, 17, 305–318. Carillo-Tudela, C. & Coles, M. (2016) Quit turnover and the business
cycle: a survey. In: Saridakis, G. & Cooper, C.L. (Eds.) Research
Handbook on Employee Turnover. London: Routledge, pp. 247–273. Armitage, C.J. & Conner, M. (2001) Efficacy of the theory of planned
behaviour: a meta-analytic review. British Journal of Social Psy-
chology, 40, 471–499. Chartered Association of Business Schools (2018) Academic Jour-
nal Guide 2018. Available at https://charteredabs.org/academic-
journal-guide-2018-view/ [accessed 20 July 2019]. Arthur, J.B. (1994) Effects of human resource systems on manufactur-
ing performance and turnover. Academy of Management Journal,
37, 670–687. *Chen, G., Ployhart, R.E., Thomas, H.C., Anderson, N. & Bliese, P.D. Implications for practice ibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Literally hundreds of variables have been found to pre-
dict turnover, and the large range of factors influencing
quit or stay decisions makes it difficult for organizations to
develop retention strategies (Boxall et al., 2003). Purl et al. (2016), using the turnover events and shocks scale (Griffeth
et al., 2008), found all 55 elements included in the study
related to turnover intention, whereas only 13 related to
actual turnover a year later. Thus, conclusions of studies
using turnover intention as the only outcome variable may
result in organizations wasting resources addressing issues
that are irrelevant to actual turnover. These findings also
suggest the need for further exploration of moderating and
mediating variables between turnover intention and actual
turnover. Heterogeneous employee groups within an organiza-
tion react differently to organizational initiatives (Caffer-
key et al., 2020; Lepak & Snell, 1999, 2002; Wallace, 2009),
which can affect turnover behaviour. Further empirical
studies are needed on ‘boomerang employees’ (Shipp et al.,
2014, p. 421) and the extent to which re-engagement can
have positive organizational effects. Turnover and reten-
tion should be explored at a disaggregated level, consider-
ing the importance of different groups to the organization,
using value/uniqueness after Lepak and Snell (2002). Turnover theories validated empirically can provide
conceptual underpinning for management interventions
to address dysfunctional turnover and promote skill reten-
tion, as Hom et al. (2020) have argued. Linking turnover
data with the results of regular workforce surveys could The practical value of studying turnover at establish-
ment and organization level is in identifying factors over
which managers have more influence, including the ways BOLT et al. 572 they manage. One study, exploring low-turnover firms in
the high-turnover British clothing industry, demonstrated
how managers can ‘pro-actively structure job embedded-
ness to deter turnover’ (Taplin & Winterton, 2007, p. 15),
providing some endorsement for the conventional view
that ‘employees leave their managers rather than their
companies’ (Reina et al., 2018, p. 15). Management can
influence turnover and retention by adopting, or failing to
adopt, good practice in people management, which could
prove far more important in practice than individual fac-
tors. Boswell, W.R., Boudreau, J.W. & Tichy, J. (2005) The relation-
ship between employee job change and job satisfaction: the
honeymoon-hangover effect. Journal of Applied Psychology, 90,
882–892. Bowen, D.E. & Ostroff, C. Implications for practice (2004) Understanding HRM–firm perfor-
mance linkages: the role of ‘strength’ of the HRM system. Academy
of Management Review, 29, 203–221. of Management Review, 29, 203–221. Boxall, P., Macky, K. & Rasmussen, E. (2003) Labour turnover and
retention in New Zealand: the causes and consequences of leav-
ing and staying with employers. Asia Pacific Journal of Human
Resources, 41, 196–214. *Bozeman, D.P. & Perrewé, P.L. (2001) The effect of item content over-
lap on organizational commitment questionnaire–turnover cogni-
tions relationships. Journal of Applied Psychology, 86, 161–173. This review and analysis of labour turnover research
has shown that, after a century of research, much remains
to be explained. We hope that further work will advance
understanding by deploying theories and methods from
beyond the dominant paradigm, as well as empirical work
in emerging economies that can illuminate the role of cul-
ture and context in the widest sense. Braverman, H. (1974) Labor and Monopoly Capital: The Degradation
of Work in the Twentieth Century. New York, NY: Monthly Review
Press. Brissenden, P.F. & Frankel, E. (1921) Causes of Labor Turnover. New
York, NY: Ronald Press. Brissenden, P.F. & Frankel, E. (1922) Labor Turnover in Industry: A
Statistical Analysis. New York, NY: Macmillan. Cafferkey, K., Dundon, T., Winterton, J. & Townsend, K. (2020) Dif-
ferent strokes for different folks: group variation in employee out-
comes to human resource management. Journal of Organizational
Effectiveness: People and Performance, 7, 1–19. R E F E R E N C E S (2011) The power of momentum: a new model of dynamic rela-
tionships between job satisfaction change and turnover intentions. Academy of Management Journal, 54, 159–181. Becker, G. (1964) Human Capital: A Theoretical and Empirical Anal-
ysis, with Special Reference to Education. Chicago, IL: University of
Chicago Press. Academy of Management Journal, 54, 159–181. *Cheng, A. & Brown, A. (1998) HRM strategies and labour turnover in
the hotel industry: a comparative study of Australia and Singapore. The International Journal of Human Resource Management, 9, 136–
154. *Bills, M.A. (1925) Social status of the clerical worker and his perma-
nence on the job. Journal of Applied Psychology, 9, 424–427. Blau, P.M. (1964) Exchange and Power in Social Life. New Brunswick,
NJ: Transaction Publishers. Chiu, R.K., Luk, V.W.-M. & Tang, T.L.-P. (2002) Retaining and moti-
vating employees: compensation preferences in Hong Kong and
China. Personnel Review, 31, 402–431. *Bluedorn, A.C. (1982) Managing turnover strategically. Business
Horizons, 25, 6–12. A CENTURY OF LABOUR TURNOVER RESEARCH 573 Fishbein, M. & Ajzen, I. (1975) Belief, Attitude, Intention, and
Behaviour: An Introduction to Theory and Research. Reading, MA:
Addison-Wesley. *Clarke, J.L., Arnold, J., Coombs, C. & Hartley, R. (2010) Retention,
turnover and return – a longitudinal study of allied health pro-
fessionals in Britain. Human Resource Management Journal, 20,
391–406. Fisher, B. (1917) How to reduce labor turnover. The Annals of the
American Academy of Political and Social Science, 17, 10–32. Colvin, F.H. (1919) Labor Turnover, Loyalty and Output. New York,
NY: McGraw-Hill. Friese, S., Spratto, J. & Pires, D. (2018) Carrying out a computer-aided Friese, S., Spratto, J. & Pires, D. (2018) Carrying out a computer-aided
thematic content analysis with ATLAS.ti (IMWI Working Paper). Friese, S., Spratto, J. & Pires, D. (2018) Carrying out a computer-aided
thematic content analysis with ATLAS.ti (IMWI Working Paper). thematic content analysis with ATLAS.ti (IMWI Working Paper). Croucher, R., Wood, G., Brewster, C. & Brookes, M. (2011) Employee
turnover, HRM and institutional contexts. Economic and Indus-
trial Democracy, 33, 605–620. *Gaertner, K.N. & Nollen, S.D. (1992) Turnover intentions and desire
among executives. Human Relations, 45, 447–465. Cullinane, N. & Dundon, T. (2006) The psychological contract: a crit-
ical review. International Journal of Management Reviews, 8, 113–
129. Gagné, M. & Deci, E.L. (2005) Self-determination theory and work
motivation. Journal of Organizational Behavior, 26, 331–362. *Gaio Santos, G. & Martins, D. R E F E R E N C E S (2021) Linking career success motives
and career boundaries to repatriates’ turnover intentions: a case
study. The International Journal of Human Resource Management,
32, 3458–3501. *Dalton, D.R., Johnson, J.L. & Daily, C.M. (1999) On the use of ‘Intent
to...’ variables in organizational research: an empirical and cau-
tionary assessment. Human Relations, 52, 1337–1350. *Dalton, D.R., Krackhardt, D.M. & Porter, L.W. (1981) Functional
turnover: an empirical assessment. Journal of Applied Psychology,
66, 716–721. Glebbeek, A.C. & Bax, E.H. (2004) Is high employee turnover really
harmful? An empirical test using company records. Academy of
Management Journal, 47, 277–286. Godard, J. (2014) The psychologization of employment relations? Human Resource Management Journal, 24, 1–18. *Dalton, D.R. & Todor, W.D. (1979) Turnover turned over: an
expanded positive perspective. Academy of Management Review,
4, 225–235. Griffeth, R.W. & Hom, P. (2001) Retaining Valued Employees. Thou-
sand Oaks, CA: Sage Publications. *Dalton, D.R., Todor, W.D. & Krackhardt, D.M. (1982) Turnover over-
stated: the functional taxonomy. Academy of Management Review,
7, 117–123. Griffeth, R.W., Hom, P.W., Allen, D.G., Morse, B. & Weinhardt, J. (2008) Shock-driven turnover: development and validation of a
multidimensional measure of the turnover events and shocks scale
(TESS). Paper presented at the Annual Meeting of the Academy of
Management, Anaheim, CA. Griffeth, R.W., Hom, P.W., Allen, D.G., Morse, B. & Weinhardt, J. (2008) Shock-driven turnover: development and validation of a
multidimensional measure of the turnover events and shocks scale Dansereau, F., Graen, G. & Haga, W.J. (1975) A vertical dyad link-
age approach to leadership within formal organizations: a longi-
tudinal investigation of the role making process. Organizational
Behavior and Human Performance, 13, 46–78. (TESS). Paper presented at the Annual Meeting of the Academy of
Management, Anaheim, CA. *Griffeth, R.W., Hom, P.W. & Gaertner, S. (2000) A meta-analysis of
antecedents and correlates of employee turnover: update, modera-
tor tests, and research implications for the next millennium. Jour-
nal of Management, 26, 463–488. Demerouti, E., Bakker, A.B., Nachreiner, F. & Schaufeli, W.B. (2001)
The job-demands resources model of burnout. Journal of Applied
Psychology, 86, 499–512. Hancock, J.I., Allen, D.G., Bosco, F.A., McDaniel, K.R. & Pierce, C.A. (2013) Meta-analytic review of employee turnover as a predictor of
firm performance. Journal of Management, 39, 573–603. Denyer, D. & Tranfield, D. (2009) Producing a systematic review. In:
Buchanan, D.A. & Bryman, A. (Eds.) The SAGE Handbook of Orga-
nizational Research Methods. London: Sage, pp. 671–689. *Hancock, J.I., Allen, D.G. (1968) Effects of changes in job-satisfaction levels on
employee turnover. Journal of Applied Psychology, 52, 122–126. *Huselid, M.A. (1995) The impact of human resource management
practices on turnover, productivity, and corporate financial perfor-
mance. Academy of Management Journal, 38, 635–672. *Jackofsky, E.F. (1984) Turnover and job performance: an integrated
process model. The Academy of Management Review, 9, 74–83. Macpherson, A. & Jones, O. (2010) Editorial: Strategies for
the
development
of
International Journal of Management
Reviews. International Journal of Management Reviews, 12, pp. 107–113. *Jiang, K., Liu, D., McKay, P.F., Lee, T.W. & Mitchell, T.R. (2012)
When and how is job embeddedness predictive of turnover? A
meta-analytic investigation. Journal of Applied Psychology, 97,
1077–1096. *Maertz, Jr. C.P. & Campion, M.A. (2004) Profiles in quitting: inte-
grating process and content turnover theory. Academy of Manage-
ment Journal, 47, 566–582. *Jo, J. & Ellingson, J.E. (2019) Social relationships and turnover: a
multidisciplinary review and integration. Group & Organization
Management, 44, 247–287. *Maertz, Jr. C.P. & Griffeth, R.W. (2004) Eight motivational forces and
voluntary turnover: a theoretical synthesis with implications for
research. Journal of Management, 30, 667–683. *Kammeyer-Mueller, J.D., Wanberg, C.R., Glomb, T.M. & Ahlburg,
D. (2005) The role of temporal shifts in turnover processes: it’s
about time. Journal of Applied Psychology, 90, 644–658. March, J. & Simon, H. (1958) Organizations. New York, NY: Wiley. *Marsh, R.M. & Mannari, H. (1977) Organizational commitment and
turnover: a prediction study. Administrative Science Quarterly, 22,
57–75. Kaufman, B.E. (2020) The real problem: the deadly combination of
psychologisation, scientism, and normative promotionalism takes
strategic human resource management down a 30-year dead end. Human Resource Management Journal, 30, 49–72. *Meyer, J.P., Stanley, D.J., Herscovitch, L. & Topolnytsky, L. (2002) Affective, continuance, and normative commitment
to the organization: a meta-analysis of antecedents, corre-
lates, and consequences. Journal of Vocational Behavior, 61,
20–52. *Kephart, N.C. (1948) Visual skills and labor turnover. Journal of
Applied Psychology, 32, 51–55. *Kirschenbaum, A. & Weisberg, J. (1990) Predicting worker turnover:
an assessment of intent on actual separations. Human Relations,
43, 829–847. *Mitchell, T.R., Holtom, B.C., Lee, T.W., Sablynski, C.J. & Erez,
M. (2001) Why people stay: using job embeddedness to pre-
dict voluntary turnover. Academy of Management Journal, 44,
1102–1121. *Klotz, A.C. & Bolino, M.C. (2016) Saying goodbye: the nature,
causes, and consequences of employee resignation styles. Journal
of Applied Psychology, 101, 1386–1404. *Mitchell, T.R. & Lee, T.W. *Kuvaas, B. (2006) Performance appraisal satisfaction and employee
outcomes: mediating and moderating roles of work motivation. The International Journal of Human Resource Management, 17,
504–522. *Holtom, B.C., Mitchell, T.R., Lee, T.W. & Inderrieden, E.J. (2005)
Shocks as causes of turnover: what they are and how organizations
can manage them. Human Resource Management, 44, 337–352. *Holtom, B.C., Mitchell, T.R., Lee, T.W. & Eberly, M.B. (2008)
Turnover and retention research: a glance at the past, a closer
review of the present, and a venture into the future. The Academy
of Management Annals, 2, 231–274. *Lee, T.W. & Mitchell, T.R. (1994) An alternative approach: the
unfolding model of voluntary employee turnover. Academy of
Management Review, 19, 51–89. *Lee, T.W., Mitchell, T.R., Holtom, B.C., McDaniel, L.S. & Hill,
J.W. (1999) The unfolding model of voluntary turnover: a repli-
cation and extension. Academy of Management Journal, 42,
450–462. Hom, P.W., Allen, D.G. & Griffeth, R.W. (2020) Employee Retention
and Turnover. Why Employees stay or leave. New York, NY: Rout-
ledge. *Hom, P.W. & Griffeth, R.W. (1991) Structural equations modelling
test of a turnover theory: cross-sectional and longitudinal analy-
ses. Journal of Applied Psychology, 76, 350–366. Lepak, D.P. & Snell, S.A. (1999) The human resource architecture:
toward a theory of human capital allocation and development. Academy of Management Review, 24, 31–48. Hom, P.W., Griffeth, R.W. & Sellaro, C.L. (1984) The validity of Mob-
ley’s (1977) model of employee turnover. Organizational Behavior
and Human Performance, 34, 141–174. Lepak, D.P. & Snell, S.A. (2002) Examining the human resource
architecture: the relationships among human capital, employ-
ment, and human resource configurations. Journal of Manage-
ment, 28, 517–543. *Hom, P.W., Lee, T.W., Shaw, J.D. & Hausknecht, J.P. (2017) One hun-
dred years of employee turnover theory and research. Journal of
Applied Psychology, 102, 530–545. Li, H.J., Yu, K., Huang, Y. & Jin, X. (2019) Not all leaving is cre-
ated equal: differentiating the factors of organizational and occu-
pational turnover intentions. Journal of Personnel Psychology, 18,
10–22. *Hom, P.W., Mitchell, T.R., Lee, T.W. & Griffeth, R.W. (2012) Review-
ing employee turnover: focusing on proximal withdrawal states
and an expanded criterion. Psychological Bulletin, 138, 831–858. *Liu, D., Mitchell, T.R., Lee, T.W., Holtom, B.C. & Hinkin, T.R. (2012)
When employees are out of step with coworkers: how job satisfac-
tion trajectory and dispersion influence individual- and unit-level
voluntary turnover. Academy of Management Journal, 55, 1360–
1380. *Hulin, C.L. R E F E R E N C E S & Soelberg, C. (2017) Collective turnover:
an expanded meta-analytic exploration and comparison. Human
Resource Management Review, 27, 61–86. Dess, G.G. & Shaw, J.D. (2001) Voluntary turnover, social capital, and
organizational performance. Academy of Management Review, 26,
446–456. Diemer, H. (1917) Causes of ‘turnover’ among college faculties. The
Annals of the American Academy of Political and Social Science, 71,
216–224. Harney, B. & Dundon, T. (2006) Capturing complexity: developing an
integrated approach to analysing HRM in SMEs. Human Resource
Management Journal, 16, 48–73. *Hausknecht, J.P. & Holwerda, J.A. (2013) When does employee
turnover matter? Dynamic member configurations, productive
capacity, and collective performance. Organization Science, 24,
210–225. *Donnelly, D.P. & Quirin, J. (2006) An extension of Lee and Mitchell’s
unfolding model of voluntary turnover. Journal of Organizational
Behavior, 27, 59–77. Eberly, M.B., Holtom, B.C., Mitchell, T.R. & Lee, T.W. (2009) Control
voluntary turnover by understanding its causes. In: Locke, E.A. (Ed.), Handbook of Principles of Organizational Behavior. Chich-
ester: Wiley, pp. 123–142. *Hausknecht, J.P. & Trevor, C.O. (2011) Collective turnover at the
group, unit, and organizational levels: evidence, issues, and impli-
cations. Journal of Management, 37, 352–388. *Hausknecht, J.P., Trevor, C.O. & Howard, M.J. (2009) Unit-level vol-
untary turnover rates and customer service quality: implications of
group cohesiveness, newcomer concentration, and size. Journal of
Applied Psychology, 94, 1068–1075. Eisenberger, R., Huntington, R., Hutchinson, S. & Sowa, D. (1986)
Perceived organizational support. Journal of Applied Psychology,
71, 500–507. Emmet, B. (1919) The Turnover of Labor. New York, NY: Macmillan. *Heavey, A.L., Holwerda, J.A. & Hausknecht, J.P. (2013) Causes and
consequences of collective turnover: a meta-analytic review. Jour-
nal of Applied Psychology, 98, 412–453. *Farrell, D. & Rusbult, C.E. (1981) Exchange variables as predictors
of job satisfaction, job commitment, and turnover: the impact
of rewards, costs, alternatives, and investments. Organizational
Behavior and Human Performance, 28, 78–95. Hobfoll, S.E. (1989) Conservation of resources: a new attempt at con-
ceptualizing stress. American Psychologist, 44, 513–524. *Farris, G.F. (1971) A predictive study of turnover. Personnel Psychol-
ogy, 24, 311–328. Holtom, B.C. & Inderrieden, E. (2006) Integrating the unfolding
model and job embeddedness to better understand voluntary
turnover. Journal of Managerial Issues, 18, 435–452. Fish, E.H. (1922) Personnel and Labor Turnover. New York, NY: Insti-
tute of Business Science. 574 BOLT et al. 574 (2001) The unfolding model of voluntary
turnover and job embeddedness: foundations for a comprehen-
sive theory of attachment. Research in Organizational Behavior, 23,
189–246. Kozlowski, S.W.J. & Klein, K.J. (2000) A multilevel approach to the-
ory and research in organizations: contextual, temporal, and emer-
gent processes. In: Klein, K.J. & Kozlowski, S.W.J. (Eds.) Multi-
level Theory, Research, and Methods in Organizations: Foundations,
Extensions, and New Directions. San Francisco, CA: Jossey-Bass,
pp. 3–90. *Mobley, W.H. (1977) Intermediate linkages in the relationship
between job satisfaction and employee turnover. Journal of
Applied Psychology, 62, 237–240. *Kriedt, P.H. & Gadel, M.S. (1953) Prediction of turnover among cler-
ical workers. Journal of Applied Psychology, 37, 338–340. Mobley, W.H. (1982) Employee Turnover: Causes, Consequences and
Control. Reading, MA: Addison-Wesley. A CENTURY OF LABOUR TURNOVER RESEARCH 575 International Yearbook of Organizational Studies 1979. London:
Routledge & Kegan Paul, pp. 217–236. International Yearbook of Organizational Studies 1979. London:
Routledge & Kegan Paul, pp. 217–236. *Mobley, W.H., Griffeth, R.W., Hand, H.H. & Meglino, B.M. (1979)
Review and conceptual analysis of the employee turnover process. Psychological Bulletin, 86, 493–522. Price, J.L. & Mueller, C.W. (1981a) A causal model of turnover for
nurses. Academy of Management Journal, 24, 543–565. *Mobley, W.H., Horner, S.O. & Hollingsworth, A.T. (1978) An eval-
uation of precursors of hospital employee turnover. Journal of
Applied Psychology, 63, 408–414. Price, J.L. & Mueller, C.W. (1981b) Professional Turnover: The Case of
Nurses. Jamaica, NY: Spectrum. Moliterno, T.P. & Ployhart, R.E. (2016) Multilevel models for strat-
egy research: an idea whose time (still) has come. In: Cinici, C. &
Dagnino, G.B. (Eds.) Research Methods for Strategic Management. New York, NY: Routledge, pp. 51–77. Price, J.L. & Mueller, C.W. (1986) Absenteeism and Turnover of Hos-
pital Employees. Greenwich, CT: JAI Press. Purl, J., Hall, K.E. & Griffeth, R.W. (2016) A diagnostic methodology
for discovering the reasons for employee turnover using shocks
and events. In: Saridakis, G. & Cooper, C. (Eds.) Research Hand-
book on Employee Turnover. Cheltenham: Edward Elgar, pp. 213–
246. *Morrell, K., Loan-Clarke, J., Arnold, J. & Wilkinson, A. (2008) Map-
ping the decision to quit: a refinement and test of the unfolding
model of voluntary turnover. Applied Psychology: An International
Review, 57, 128–150. Rashman, L., Withers, E. & Hartley, J. (2009) Organizational learn-
ing and knowledge in public service organizations: a system-
atic review of the literature. International Journal of Management
Reviews, 11, 463–494. *Morrell, K., Loan-Clarke, J. & Wilkinson, A. (2001) Unweaving
leaving: the use of models in the management of employee
turnover. International Journal of Management Reviews, 3,
pp. 219–244. Reina, C.S., Rogers, K.M., Peterson, S.J., Byron, K., & Hom, P.W. (2018) Quitting the boss? The role of manager influence tactics and
employee emotional engagement in voluntary turnover. Journal of
Leadership and Organizational Studies, 25, 5–18. *Mosel, J.N. & Wade, R.R. (1951) A weighted application blank for
reduction of turnover in department store sales clerks. Personnel
Psychology, 4, 177–184. *Mossholder, K.W., Settoon, R.P. & Henagan, S.C. (2005) A relational
perspective on turnover: examining structural, attitudinal, and
behavioral predictors. Academy of Management Journal, 48, 607–
618. Rojon, C., Okupe, A. & McDowall, A. (2021) Utilization and devel-
opment of systematic reviews in management research: what do
we know and where do we go from here? International Journal of
Management Reviews, 23, 191–223. *Muchinsky, P.M. & Morrow, P.C. (1980) A multidisciplinary model
of voluntary employee turnover. Journal of Vocational Behavior,
17, 263–290. *Rubenstein, A.L., Eberly, M.B., Lee, T.W. & Mitchell, T.R. (2018)
Surveying the forest: a meta-analysis, moderator investigation,
and future-oriented discussion of the antecedents of voluntary
employee turnover. Personnel Psychology, 71, 23–65. *Ng, T.W. & Feldman, D.C. (2007) Organizational embeddedness and
occupational embeddedness across career stages. Journal of Voca-
tional Behavior, 70, 336–351. Shankar, K. & Ghosh, S. (2013) A theory of labour turnover and
knowledge transfer in high-technology industries. Journal of
Human Capital, 7, 107–129. *Niederman, F., Sumner, M. & Maertz, Jr. C.P. (2007) Testing and
extending the unfolding model of voluntary turnover to IT profes-
sionals. Human Resource Management, 46, 331–347. Shaw, J.D., Dineen, B.R., Fang, R. & Vellella, R.F. (2009) Employee–
organization exchange relationships, HRM practices, and quit
rates of good and poor performers. Academy of Management Jour-
nal, 52, 1016–1033. *Nyberg, A.J. & Ployhart, R.E. (2013) Context-emergent turnover
(CET) theory: a theory of collective turnover. The Academy of
Management Review, 38, 109–131. *Sheridan, J.E. & Abelson, M.A. (1983) Cusp catastrophe model of
employee turnover. Academy of Management Journal, 26, 418–436. Ostroff, C. & Bowen, D.E. (2016) Reflections on the 2014 decade
award: is there strength in the construct of HR system strength? Academy of Management Review, 41, 196–214. *Shipp, A.J., Furst-Holloway, S., Harris, T.B. & Rosen, R. (2014)
Gone today but here tomorrow: extending the unfolding model of
turnover to consider boomerang employees. Personnel Psychology,
67, 421–462. Park, T.-Y. & Shaw, J.D. boomerang employment. Journal of Applied Psychology, 102, 890–
909. Vincent, S., Bamber, G.J., Delbridge, R., Doellgast, V., Grady, J. &
Grugulis, I. (2020) Situating human resource management in
the political economy: multilevel theorising and opportunities for
kaleidoscopic imagination. Human Resource Management Jour-
nal, 30, 461–477. Tajfel, H. & Turner, J. (1986) The social identity theory of intergroup
behavior. In: Worchel, S. & Austin, W.G. (Eds.) Psychology of Inter-
group Relations. Chicago, IL: Nelson-Hall, pp. 7–24. Vroom, C.H. (1964) Work and Motivation. New York, NY: Wiley. *Tang, T.L.-P., Kim, J.K. & Tang, D.S.-H. (2000) Does attitude
toward money moderate the relationship between intrinsic
job satisfaction and voluntary turnover? Human Relations, 53,
213–245. *Wallace, P. (2009) Reasons women chartered accountants leave pub-
lic accounting firms prior to achieving partnership status: a qual-
itative analysis. Canadian Journal of Administrative Sciences, 26,
179–196. Taplin, I. & Winterton, J. (2007) The importance of management style
in labour retention. International Journal of Sociology and Social
Policy, 27, 5–18. Wayne, S.J., Shore, L.M. & Liden, R.C. (1997) Perceived organizational
support and leader–member exchange: a social exchange perspec- Wayne, S.J., Shore, L.M. & Liden, R.C. (1997) Perceived organizational
support and leader–member exchange: a social exchange perspec-
tive. Academy of Management Journal, 40, 82–111. tive. Academy of Management Journal, 40, 82–111. *Taplin, I., Winterton, J. & Winterton, R. (2003) Understanding
labour turnover in a labour-intensive industry: evidence from the
clothing industry. Journal of Management Studies, 40, 1021–1046. WEF (2020) Jobs of Tomorrow. Mapping Opportunity in the New Econ-
omy. Geneva: World Economic Forum. *Williams, R.C. & Peters, L.H. (1998) Correcting turnover correla-
tions: a critique. Organizational Research Methods, 1, 88–103. Taylor, F.W. (1911) The Principles of Scientific Management. New York,
NY: Harper & Brothers. *Tett, R.P. & Meyer, J.P. (1993) Job satisfaction, organizational com-
mitment, turnover intention, and turnover: path analysis based on
meta-analytic findings. Personnel Psychology, 46, 259–293. *Winterton, J. (2004) A conceptual model of labour turnover and
retention. Human Resource Development International, 7, 371–390. *Woo, S.E. & Allen, D.G. (2014) Toward an inductive theory of stayers
and seekers in the organization. Journal of Business Psychology, 29,
683–703. *Indicates these were among the 1,375 articles included in the
syatematic literature review. A full bibliogrpahy of the 1,375 arti-
cles can be obtained from the authors on request. *Woo, S.E. & Allen, D.G. (2014) Toward an inductive theory of stayers
and seekers in the organization. Journal of Business Psychology, 29,
683–703. Thomas, L.D.W. & Tee, R. (2021) Generativity: a systematic review
and conceptual framework. International Journal of Management
Reviews. https://doi.org/10.1111/ijmr.12277 *Indicates these were among the 1,375 articles included in the Thompson, P. (2013) Financialization and the workplace: extending
and applying the disconnected capitalism thesis. Work, Employ-
ment and Society, 27, 472–488. syatematic literature review. A full bibliogrpahy of the 1,375 arti-
cles can be obtained from the authors on request. *Trevor, C.O. & Nyberg, A.J. (2008) Keeping your headcount when all
about you are losing theirs: downsizing, voluntary turnover rates,
and the moderating role of HR practices. Academy of Management
Journal, 51, 259–276. S U P P O RT I N G I N FO R M AT I O N (2013) Turnover rates and organizational per-
formance: a meta-analysis. Journal of Applied Psychology, 98, 268–
309. Slichter, S.H. (1919) The Turnover of Factory Labor. New York, NY: D. Appleton & Co. *Snow, A.J. (1923) Labor turnover and mental alertness test scores. Journal of Applied Psychology, 7, 285–290. Slichter, S.H. (1919) The Turnover of Factory Labor. New York, NY: D. Appleton & Co. Pickering, C.M. & Byrne, J. (2014) The benefits of publishing system-
atic quantitative literature reviews for PhD candidates and other
early career researchers. Higher Education Research and Develop-
ment, 33, 534–548. Appleton & Co. *Snow, A.J. (1923) Labor turnover and mental alertness test scores. *Snow, A.J. (1923) Labor turnover and mental alertness test scores. Snow, A.J. (1923) Labor turnover and mental aler
Journal of Applied Psychology, 7, 285–290. Journal of Applied Psychology, 7, 285–290. *Steel, R.P. (2002) Turnover theory at the empirical interface: prob-
lems of fit and function. Academy of Management Review, 27, 346–
360. *Porter, L.W. & Steers, R.M. (1973) Organizational, work, and per-
sonal factors in employee turnover and absenteeism. Psychological
Bulletin, 80, 151–176. Steers, R.M. & Mowday, R.T. (1981) Employee turnover and postdeci-
sion accommodation processes. In: Cummings, L.T. & Staw, R.M. (Eds.) Research in Organizational Behavior. Greenwich, CT: JAI
Press, pp. 235–282. *Porter, L.W., Steers, R.M., Mowday, R.T. & Boulian, P.V. (1974) Orga-
nizational commitment, job satisfaction, and turnover among psy-
chiatric technicians. Journal of Applied Psychology, 59, 603–609. *Sturman, M.C., Shao, L. & Katz, J.H. (2012) The effect of culture on
the curvilinear relationship between performance and turnover. Journal of Applied Psychology, 97, 46–62. *Price, J.L. (1975) The measurement of turnover. Industrial Relations
Journal, 6, 33–46. Price, J.L. (1977) The Study of Turnover. Ames, IA: Iowa State Press. Swider, B.W., Liu, J.T., Harris, T.B. & Gardner, R.G. (2017) Employ-
ees on the rebound: extending the careers literature to include Price, J.L. & Bluedorn, A.C. (1980) Test of a causal model of turnover
from organizations. In: Dunkerley, D. & Salaman, G. (Eds.) The BOLT et al. 576 S U P P O RT I N G I N FO R M AT I O N Additional supporting information may be found in the
online version of the article at the publisher’s website. *Vande Griek, O.H., Clauson, M.G. & Eby, L.T. (2020) Organizational
career growth and proactivity: a typology for individual career
development. Journal of Career Development, 47, 344–357. How to cite this article: Bolt, E.E.T., Winterton,
J. & Cafferkey, K. (2022) A century of labour
turnover research: A systematic literature review. International Journal of Management Reviews, 24,
555–576. https://doi.org/10.1111/ijmr.12294. *Van der Merwe, R. & Miller, S. (1971) The measurement of labour
turnover. Human Relations, 24, 233–253. How to cite this article: Bolt, E.E.T., Winterton,
J. & Cafferkey, K. (2022) A century of labour
turnover research: A systematic literature review. International Journal of Management Reviews, 24,
555–576. https://doi.org/10.1111/ijmr.12294. How to cite this article: Bolt, E.E.T., Winterton,
J. & Cafferkey, K. (2022) A century of labour
turnover research: A systematic literature review. International Journal of Management Reviews, 24,
555–576. https://doi.org/10.1111/ijmr.12294. *Vandenberg, R.J. & Nelson, J.B. (1999) Disaggregating the motives
underlying turnover intentions: when do intentions predict
turnover behavior? Human Relations, 52, 1313–1336. nelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License *Vardaman, J.M., Allen, D.G., Renn, R.W. & Moffitt, K.R. (2008)
Should I stay or should I go? The role of risk in employee turnover
decisions. Human Relations, 61, 1531–1563.
|
https://openalex.org/W3102924882
|
https://www.aanda.org/articles/aa/pdf/2019/05/aa35290-19.pdf
|
English
| null |
Solar activity: periodicities beyond 11 years are consistent with random forcing
|
Astronomy & astrophysics
| 2,019
|
cc-by
| 5,687
|
Astronomy
&
Astrophysics Astronomy
&
Astrophysics A&A 625, A28 (2019)
https://doi.org/10.1051/0004-6361/201935290
c⃝R. H. Cameron and M. Schüssler 2019 A&A 625, A28 (2019)
https://doi.org/10.1051/0004-6361/201935290
c⃝R. H. Cameron and M. Schüssler 2019 ABSTRACT Power spectra of solar activity based on historical records of sunspot numbers and on cosmogenic isotopes show peaks with enhanced
power apart from the dominant 11-year solar cycle, such as the 90-year Gleissberg cycle or the 210-year de Vries cycle. In a previous
paper we have shown that the overall shape of the power spectrum is well represented by the results of the generic normal form model
for a noisy and weakly nonlinear limit cycle, with parameters all determined by observations. Using this model as a null case, we
show here that all local peaks with enhanced power, apart from the 11-year band, are consistent with realization noise. Even a 3σ
peak is expected to occur with a probability of about 0.25 at least once among the 216 period bins resolved by the cosmogenic isotope
data. This casts doubt upon interpretations of such peaks in terms of intrinsic periodicities of the solar dynamo process. Key words. Sun: general – Sun: magnetic fields R. H. Cameron and M. Schüssler R. H. Cameron and M. Schüssler Max-Planck-Institut für Sonnensystemforschung Justus-von-Liebig-Weg 3, 37077 Göttingen, Germany
e-mail: cameron@mps.mpg.de Received 16 February 2019 / Accepted 13 March 2019 1. Introduction observations. Random time series resulting from the model show
power spectra consistent with the overall shape of the power
spectrum of solar activity derived from the sunspot record and
cosmogenic isotopes, including the occurrence and statistics of
grand minima, in other words, extended periods of very low
activity (Cameron & Schüssler 2017a). Solar activity has been directly observed in terms of sunspot
numbers since about 400 years, while its level at earlier times can
be inferred from the concentrations of the cosmogenic isotopes
14C in tree rings and 10Be in polar ice over the last ∼10 000 years. In addition to the 11-year Schwabe cycle, these records show
modulation of the activity level on longer time scales. Power
spectra show signal at all periods, together with a number of
peaks of locally enhanced power. Peaks around 90 years (gen-
erally called the Gleissberg cycle), 210 years (de Vries cycle),
and perhaps 2400 years (Hallstatt cycle) of presumably solar ori-
gin (McCracken et al. 2013) have been discussed in the literature
(see Usoskin 2017, and references therein). Although it is often
assumed that these periodicities are intrinsic to the solar dynamo
process (e.g., Beer et al. 2018), in the absence of a proper null
case it has so far not been tested whether these power peaks are
consistent with noise due to stochastic random processes affect-
ing the dynamo. Even if such peaks are formally significant (say,
at the 3σ level), this does not necessarily exclude that they orig-
inate from random noise. Here we propose an appropriate null
case and test. These results suggest that the noisy normal-form model
(the NNF model) provides an adequate null case for evaluat-
ing the significance of the various discrete periodicities (e.g., the
Gleissberg, de Vries, and Hallstatt cycles) that have been
detected in the power spectra based on cosmogenic isotope
records. In this paper, we consider whether such peaks are con-
sistent with realization noise of the generic normal-form model. 2. Data and model We used the reconstructed record of solar activity based on cos-
mogenic isotopes provided by Usoskin et al. (2016). To exclude
a dependence on the specific reconstruction we also employed
the data of Steinhilber et al. (2012) and found similar results. We compared these empirical data with realizations of the
NNF model (Cameron & Schüssler 2017a) given, in terms of a
stochastic differential equation, by In Cameron & Schüssler (2017a) we show that the solar
dynamo can be reasonably described by a weakly nonlinear limit
cycle affected by random noise. Such a model is favored by
stellar observations suggesting that the Sun is near the critical
rotation rate for which dynamo action sets in (van Saders et al. 2016; Metcalfe et al. 2016; Metcalfe & van Saders 2017) and
by solar observations of the scatter of active region tilt angles
(Jiang et al. 2014), which are a basic ingredient of Babcock-
Leighton-type models of the solar dynamo (Charbonneau 2010;
Cameron & Schüssler 2017b). This approach leads to a normal-
form model for a noisy system near a Hopf bifurcation, which
is generic in the sense that it does not depend on the detailed
properties of the system, such as its specific kind of nonlinear-
ity. The parameters of this model are all well constrained by solar dX =
β + iω0 −(γr + iγi)|X|2
X dt + σX dWc,
(1) (1) where X is a complex variable whose real and imaginary parts
represent, respectively, the poloidal and toroidal magnetic field
components. As a measure of the activity level, we take |Re(X)|. ω0 = 2π/22 yr−1 is the linear frequency of the magnetic cycle
and the linear growth rate, β = 1/50 yr−1, is based on the recov-
ery time from the Maunder minimum. The parameters γr and γi
determine the cycle amplitude, |X| =
p
β/γr, and the nonlinear
cycle frequency, ω = ω0−γiβ/γr. We have assumed the cycle fre-
quency to be unaffected by the (weak) nonlinearity, i.e., γi = 0,
and scale the cycle amplitude in terms of the average group where X is a complex variable whose real and imaginary parts
represent, respectively, the poloidal and toroidal magnetic field
components. As a measure of the activity level, we take |Re(X)|. Open Access article, published by EDP Sciences, under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0),
which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
Open Access funding provided by Max Planck Society. 2. Data and model 0.000
0.005
0.010
0.015
0.020
0.025
frequency [yr−1]
10−2
10−1
100
101
log10P/E(P)
Fig. 2. Ratio of the power in a frequency bin divided by the media
power of the NNF model realizations at that frequency. The blue point
correspond one realization of the noisy normal form model, the re
points to the reconstruction from cosmogenic isotopes (cf. Fig. 1). on statistical grounds, for 1000 realizations of a random proces
at least one peak above the 3σ level in one of these realization
is expected for any given frequency. Considering the 216 period
over 40 years that are resolved by the cosmogenic isotope data
the probability, p, of finding at least one peak above the 3σ leve
in one realization of the random model (with the same perio
resolution) is given by 100
101
102
103
104
10−8
10−6
10−4
10−2
100
102
Power
100
101
102
103
104
Period [yrs]
10−8
10−6
10−4
10−2
100
102
Power 0.000
0.005
0.010
0.015
0.020
0.025
frequency [yr−1]
10−2
10−1
100
101
log10P/E(P) Fig. 2. Ratio of the power in a frequency bin divided by the median
power of the NNF model realizations at that frequency. The blue points
correspond one realization of the noisy normal form model, the red
points to the reconstruction from cosmogenic isotopes (cf. Fig. 1). Fig. 1. Observed and modeled power spectra of solar activity. Upper
panel: spectra based on the historical record of sunspot numbers
(blue curve) and on the reconstruction from cosmogenic isotope data
(Usoskin et al. 2016, red curve). Lower panel: spectrum obtained
from one realization of the noisy normal form model (NNF model
Cameron & Schüssler 2017a, blue curve). In both panels, the orange
curve gives the median from 1000 realizations of the model, the green
curve shows the corresponding 99.865% (3σ) upper percentile, and the
yellow curve represents the maximum of the 1000 realizations. on statistical grounds, for 1000 realizations of a random process
at least one peak above the 3σ level in one of these realizations
is expected for any given frequency. Considering the 216 periods
over 40 years that are resolved by the cosmogenic isotope data,
the probability, p, of finding at least one peak above the 3σ level
in one realization of the random model (with the same period
resolution) is given by p = 1 −0.99865216 = 0.253,
(2) (2) sunspot number since 1700, yielding γr = β/642. 1 Version 2 of the yearly sunspot number: http://www.sidc.be/
silso/DATA/SN_y_tot_V2.0.txt 2. Data and model For the noise
term, Wc, we consider a complex Wiener process with Gaussian
distributed increments and an amplitude of σ = 0.4/
√
11 yr−1/2,
estimated from the variability of the observed cycle amplitudes. For our analysis, we computed a set of 1000 different realizations
of the NNF model, each covering 10 000 years. For the numerical
solution, we used the Euler-Maruyama method with a timestep
of 1 day. Further details can be found in Cameron & Schüssler
(2017a). so that we expect such a peak in about a quarter of the realiations. Therefore, the appearance of an outlier 3σ peak such as that cor-
responding to the 88-year Gleissberg period in the Usoskin et al. (2016) data is quite consistent with the random model contain-
ing no intrinsic frequencies apart from the 11-year cycle. We
note that the probability of 0.253 for a 3σ peak is independent
of the null case used for determining σ: it is based on a ∼0.00135
probability of finding a 3σ peak at any given resolved frequency
bin, and having 216 resolved frequency bins. As a further comparison of the empirical and model power
spectra, we consider the scatter with respect to the expecta-
tion value (median of the 1000 NNF model realizations) shown
in Fig. 2. Application of the Kolmogorov-Smirnov test shows
that the distributions for the empirical data and for the NNF
model (red and blue dots, respectively) are consistent with each
other at the 2σ (95%) level. This is further illustrated by Fig. 3,
which shows probability distribution functions (PDF) of the ratio
between the power at a given frequency and the median of the
model realizations, considering all periodicities above 40 years. The consistency of the scatter in the empirical power spectrum
with the NNF model demonstrates that the model captures the
noise statistics of the empirical data quite well. 2. Data and model ω0 = 2π/22 yr−1 is the linear frequency of the magnetic cycle
and the linear growth rate, β = 1/50 yr−1, is based on the recov-
ery time from the Maunder minimum. The parameters γr and γi
determine the cycle amplitude, |X| =
p
β/γr, and the nonlinear
cycle frequency, ω = ω0−γiβ/γr. We have assumed the cycle fre-
quency to be unaffected by the (weak) nonlinearity, i.e., γi = 0,
and scale the cycle amplitude in terms of the average group A28, page 1 of 5 A28, page 1 of 5 A28 (2019)
0.000
0.005
0.010
0.015
0.020
0.025
frequency [yr−1]
10−2
10−1
100
101
log10P/E(P)
Fig. 2. Ratio of the power in a frequency bin divided by the median
power of the NNF model realizations at that frequency. The blue points
correspond one realization of the noisy normal form model, the red
points to the reconstruction from cosmogenic isotopes (cf. Fig. 1). A&A 625, A28 (2019) A&A 625,
100
101
102
103
104
10−8
10−6
10−4
10−2
100
102
Power
100
101
102
103
104
Period [yrs]
10−8
10−6
10−4
10−2
100
102
Power
Fig. 1. Observed and modeled power spectra of solar activity. Upper
panel: spectra based on the historical record of sunspot numbers
(blue curve) and on the reconstruction from cosmogenic isotope data
(Usoskin et al. 2016, red curve). Lower panel: spectrum obtained
from one realization of the noisy normal form model (NNF model
Cameron & Schüssler 2017a, blue curve). In both panels, the orange
curve gives the median from 1000 realizations of the model, the green
curve shows the corresponding 99.865% (3σ) upper percentile, and the
yellow curve represents the maximum of the 1000 realizations. 100
101
102
103
104
10−8
10−6
10−4
10−2
100
102
Power
100
101
102
103
104
Period [yrs]
10−8
10−6
10−4
10−2
100
102
Power
Fig. 1. Observed and modeled power spectra of solar activity. Upper
panel: spectra based on the historical record of sunspot numbers
(blue curve) and on the reconstruction from cosmogenic isotope data
(Usoskin et al. 2016, red curve). Lower panel: spectrum obtained
from one realization of the noisy normal form model (NNF model
Cameron & Schüssler 2017a, blue curve). In both panels, the orange
curve gives the median from 1000 realizations of the model, the green
curve shows the corresponding 99.865% (3σ) upper percentile, and the
yellow curve represents the maximum of the 1000 realizations. 3.1. Significance of single peaks Each point in the diagram corresponds to one of the 216 highest peaks
with periods above 40 years in the normalized power spectra (power
divided by the expectation value given by the median) from 1000 real-
izations. They are plotted according to the normalized power at the same
period in the first half (horizontal axis) and in the second half (vertical
axis) of the 10 000 years full series. The distribution of the points show
that significant power in the full series in most cases corresponds to
high power in both subseries. 84% of all points in the power spectrum
from the two subseries lie beneath (to the left of) the orange horizontal
(vertical) line and 97.7% lie beneath (to the left of) the green lines. 60
80
100
120
0
5
10
15
P/E(P)
150
200
250
300
0
5
10
15
60
80
100
120
Period [yrs]
0
5
10
15
P/E(P)
150
200
250
300
Period [yrs]
0
5
10
15
Fig. 4. Segments from power spectra around the Gleissberg (left pan-
els) and the de Vries (right panels) periodicities. Shown is the ratio
of power to the expectation value (median of 1000 realizations of the
NNF model). Spectra from reconstruction based upon cosmic isotopes
by (upper panels) are compared with those from selected realizations
of the NNF model with 3σ peaks in the same range of periods (lower
panels). The red dots emphasize the frequency resolution. The peaks
from the empirical data are similarly sharp as those from the model,
indicating the random origin of the former. 60
80
100
120
0
5
10
15
P/E(P) 150
200
250
300
0
5
10
15 spectral power at the frequencies corresponding to these peaks
when the first and second halves of the corresponding time series
were analyzed separately. The values of the normalized power
thus obtained for the first and second halves of the random series
are plotted against each other in Fig. 5. The resulting distribu-
tion shows that in most cases of a significant spectral peak in the
full series, there is significant power as well for both half series. 3.3. Bandpass filtering Bandpass filtering of the power spectrum in the range of the
Gleissberg and de Vries periods and back transformation into the
time domain has been used, for example, by Beer et al. (2018) in
an attempt to elucidate the nature of the periodicities found in the
empirical data. However, applying the same procedure to realiza-
tions of the NNF model shows that bandpass filtering does not
provide any evidence for the intrinsic nature of these periodici-
ties. We consider the two realizations of the NNF model that show
peaks in the range of the Gleissberg and de Vries periodicities
(cf. Fig. 4). The time evolution of the sunspot number (SSN)
for these realizations is shown in Fig. 6, together with the cor-
responding record of the reconstructed sunspot number based
on cosmogenic isotopes (Usoskin et al. 2016). Periods below
40 years were filtered out in all three time series. 3.1. Significance of single peaks 15
15
0
5
10
15
20
25
30
P/E(P) (t = [0 : 4325])
0
5
10
15
20
25
30
P/E(P) (t = [4325 : 8650])
Fig. 5. Period analysis of subseries from realizations of the NNF model. Each point in the diagram corresponds to one of the 216 highest peaks
with periods above 40 years in the normalized power spectra (power
divided by the expectation value given by the median) from 1000 real-
izations. They are plotted according to the normalized power at the same
period in the first half (horizontal axis) and in the second half (vertical
axis) of the 10 000 years full series. The distribution of the points show
that significant power in the full series in most cases corresponds to −4
−3
−2
−1
0
1
2
log10P/E(P)
10−4
10−3
10−2
10−1
100
PDF 0
5
10
15
20
25
30
P/E(P) (t = [0 : 4325])
0
5
10
15
20
25
30
P/E(P) (t = [4325 : 8650]) Fig. 3. Probability distribution function of the ratio of the power in a
frequency divided by the median power of the NNF model realizations
at that frequency. The blue curve is the expectation value based on 1000
realizations of the model, the red bars correspond to the reconstruction
from cosmogenic isotopes. Fig. 5. Period analysis of subseries from realizations of the NNF model. Each point in the diagram corresponds to one of the 216 highest peaks
with periods above 40 years in the normalized power spectra (power
divided by the expectation value given by the median) from 1000 real-
izations. They are plotted according to the normalized power at the same
period in the first half (horizontal axis) and in the second half (vertical
axis) of the 10 000 years full series. The distribution of the points show
that significant power in the full series in most cases corresponds to
high power in both subseries. 84% of all points in the power spectrum
from the two subseries lie beneath (to the left of) the orange horizontal
(vertical) line and 97.7% lie beneath (to the left of) the green lines. Fig. 5. Period analysis of subseries from realizations of the NNF model. Fig. 5. Period analysis of subseries from realizations of the NNF model. 3.1. Significance of single peaks Since all peaks in the NNF model (without intrinsic periodic-
ities apart from the 11-year cycle) are due to stochastic noise,
this demonstrates that the consistent appearance of high peaks
in both subseries does not per se provide evidence for a non-
random (intrinsic) nature of such peaks. It is clear that there is
always a better chance for a significant peak in the full series if
it is already strong in both half series. 60
80
100
120
Period [yrs]
0
5
10
15
P/E(P) 150
200
250
300
Period [yrs]
0
5
10
15 15 Fig. 4. Segments from power spectra around the Gleissberg (left pan-
els) and the de Vries (right panels) periodicities. Shown is the ratio
of power to the expectation value (median of 1000 realizations of the
NNF model). Spectra from reconstruction based upon cosmic isotopes
by (upper panels) are compared with those from selected realizations
of the NNF model with 3σ peaks in the same range of periods (lower
panels). The red dots emphasize the frequency resolution. The peaks
from the empirical data are similarly sharp as those from the model,
indicating the random origin of the former. 3.1. Significance of single peaks Estimating the significance of peaks in a power spectrum
requires a null case. Since the overall shape of the empirical
spectrum based on cosmogenic isotopes is well represented by
the NNF model (Cameron & Schüssler 2017a), we propose this
model as a physics-based null case instead of an ad-hoc choice
such as red or white noise. For the NNF model we can determine
the standard deviation from the median spectrum (as well as the
significance of local peaks) by considering a sufficient number
of random realizations. Figure 1 shows power spectra from the
record of solar activity (observed sunspot numbers1 and inferred
from cosmogenic isotope data) in the upper panel and from one
realization of the NNF model in the lower panel. In both pan-
els, the orange curve gives the median of the 1000 model real-
izations, the green curve shows the (upper) 99.865% percentile
level from the set of model realizations (corresponding to the 3σ
level), and the yellow curve displays the maximum power for
each frequency point of the 1000 realizations. The near coinci-
dence of the green and yellow curves indicates that, as expected Another property that sheds light upon the nature of peaks
in the power spectra is their sharpness. The 3σ peaks appearing
in the NNF model are usually quite narrow (at most a few reso-
lution elements in frequency). This results from the fact that the
random noise in the model is uncorrelated in frequency space. On the other hand, an intrinsic periodicity of the dynamo pro-
cess is expected to yield a broader peak (such as the 11-year
band) since the noise effectively leads to a finite coherence time
of the dynamo modes. Figure 4 demonstrates that the peaks cor-
responding to the observed Gleissberg and de Vries periodicities
indeed are quite sharp, similar to those resulting from the NNF
model. A28, page 2 of 5 R. H. Cameron and M. Schüssler: Solar activity −4
−3
−2
−1
0
1
2
log10P/E(P)
10−4
10−3
10−2
10−1
100
PDF
Fig. 3. Probability distribution function of the ratio of the power in a
frequency divided by the median power of the NNF model realizations
at that frequency. The blue curve is the expectation value based on 1000
realizations of the model, the red bars correspond to the reconstruction
from cosmogenic isotopes. 3.2. Analyzing subseries It has been argued that the appearance of certain periods dur-
ing different stretches of time throughout the interval covered by
the cosmogenic isotope data would provide evidence against a
random origin (e.g., Svalgaard 2018). This can easily be tested
using the NNF model as a null case. For 1000 realizations of the NNF model covering 8650 years
each, we applied the Lomb-Scargle periodogram method and
selected the 216 realizations with the highest (3-sigma) peaks. For the thus selected realizations and peaks, we determined the Figures 7 and 8 show, respectively, the results of passband
filtering in the ranges 75–100 yr (Gleissberg) and 180–230 yr (de
Vries) in comparison with the corresponding pattern obtained by
applying the same filtering to the empirical record. The patterns A28, page 3 of 5 A28, page 3 of 5 A&A 625, A28 (2019) A&A 625, A28 (2019)
−6000
−4000
−2000
0
2000
0
20
40
60
−6000
−4000
−2000
0
2000
0
20
40
60
80
−6000
−4000
−2000
0
2000
Year
0
20
40
60
80
SSN
Fig. 6. Long-term activity records. Top panel: reconstructed sunspot
number based on cosmogenic isotopes (Usoskin et al. 2016). Middle
panel: realization of the noisy normal form model with a 3σ peak in the
range of the Geissberg period. Bottom panel: realization of the noisy
normal form model with a 3σ peak in the range of the de Vries period
(cf. Fig. 4). −6000
−4000
−2000
0
2000
−10
0
10
−6000
−4000
−2000
0
2000
Year
−10
0
10
filtered SSN
Fig. 7. Passband filtered time evolution of the sunspot number in the
period range between 75 yr and 100 yr around the Gleissberg period. The result from the empirical record reconstructed from cosmogenic
isotopes (upper panel) are shown in comparison to that from a realiza-
−6000
−4000
−2000
0
2000
−10
0
10
−6000
−4000
−2000
0
2000
Year
−10
0
10
filtered SSN
Fig. 8. Same as Fig. 7 with passband filtering in the range between
180 yr and 230 yr around the de Vries period. −6000
−4000
−2000
0
2000
−40
−20
0
20
−6000
−4000
−2000
0
2000
Year
−20
0
20
40
filtered SSN
Fig. 9. High-pass filtered records of the empirical (upper panel) and
modeled sunspot numbers (lower panel). Overplotted in red are the cor-
responding bandpass-filtered records in the range of the de Vries period
(cf. Fig. 8). 3.2. Analyzing subseries from the NNF model and from the real data are qualitatively
similar, suggesting that the corresponding frequency (Gleissberg
and de Vries) seen in the cosmogenic isotope record is consistent
with a random process. Finally, Fig. 9 shows the empirical record after bandpass
filtering in the range 40–1000 years (black curve) and 180–
230 years (around the de Vries perio, red curve), together with
the result after applying the same procedures to the realization
of the NNF model. This figure can be compared to the analogous
Fig. 5 of Beer et al. (2018). The extrema of the filtered de Vries
periodicities tend to align with some of the extrema (grand min-
ima and grand maxima) of the original series, giving the impres-
sion of a periodic appearance of such extrema. However, this is
also the case in the NNF series with a random excitation of a ,
(
)
−6000
−4000
−2000
0
2000
0
20
40
60
−6000
−4000
−2000
0
2000
0
20
40
60
80
−6000
−4000
−2000
0
2000
Year
0
20
40
60
80
SSN
Fig. 6. Long-term activity records. Top panel: reconstructed sunspot
number based on cosmogenic isotopes (Usoskin et al. 2016). Middle
panel: realization of the noisy normal form model with a 3σ peak in the
range of the Geissberg period. Bottom panel: realization of the noisy
normal form model with a 3σ peak in the range of the de Vries period
(cf. Fig. 4). 0
10
−6000
−4000
−10
0
10
−6000
−4000
−10
0
10
filtered SSN
Fig. 8. Same as Fig. 7 with passb
180 yr and 230 yr around the de Vr
−6000
−4000
−40
−20
0
20
−6000
−4000
−20
0
20
40
filtered SSN
Fig. 9. High-pass filtered records
modeled sunspot numbers (lower p
di
b
d
fil
d
d −6000
−4000
−2000
0
2000
−10
0
10
−6000
−4000
−2000
0
2000
Year
−10
0
10
filtered SSN
Fig. 8. Same as Fig. 7 with passband filtering in the range between
180 yr and 230 yr around the de Vries period. −6000
−4000
−2000
0
2000
0
20
40
60
−6000
−4000
−2000
0
2000
0
20
40
60
80
−6000
−4000
−2000
0
2000
Year
0
20
40
60
80
SSN
Fig. 6. Long-term activity records. Top panel: reconstructed sunspot
number based on cosmogenic isotopes (Usoskin et al. 2016). 3.2. Analyzing subseries Middle
panel: realization of the noisy normal form model with a 3σ peak in the
range of the Geissberg period. Bottom panel: realization of the noisy
normal form model with a 3σ peak in the range of the de Vries period
(cf. Fig. 4). −6000
−4000
−2000
0
2000
−6000
−4000
−2000
0
2000
Year
0
20
40
60
80
SSN Fig. 8. Same as Fig. 7 with passband filtering in the range between
180 yr and 230 yr around the de Vries period. −6000
−4000
−2000
0
2000
−40
−20
0
20
−6000
−4000
−2000
0
2000
Year
−20
0
20
40
filtered SSN
Fig. 9. High-pass filtered records of the empirical (upper panel) and
modeled sunspot numbers (lower panel). Overplotted in red are the cor-
responding bandpass-filtered records in the range of the de Vries period
(cf. Fig. 8). Fig. 6. Long-term activity records. Top panel: reconstructed sunspot
number based on cosmogenic isotopes (Usoskin et al. 2016). Middle
panel: realization of the noisy normal form model with a 3σ peak in the
range of the Geissberg period. Bottom panel: realization of the noisy
normal form model with a 3σ peak in the range of the de Vries period
(cf. Fig. 4). −6000
−4000
−2000
0
2000
−10
0
10
−6000
−4000
−2000
0
2000
Year
−10
0
10
filtered SSN
Fig. 7. Passband filtered time evolution of the sunspot number in the
period range between 75 yr and 100 yr around the Gleissberg period. The result from the empirical record reconstructed from cosmogenic
isotopes (upper panel) are shown in comparison to that from a realiza-
tion of the noisy normal form model (lower panel). Fig. 9. High-pass filtered records of the empirical (upper panel) and
modeled sunspot numbers (lower panel). Overplotted in red are the cor-
responding bandpass-filtered records in the range of the de Vries period
(cf. Fig. 8). from the NNF model and from the real data are qualitatively
similar, suggesting that the corresponding frequency (Gleissberg
and de Vries) seen in the cosmogenic isotope record is consistent
with a random process. p
Finally, Fig. 9 shows the empirical record after bandpass
filtering in the range 40–1000 years (black curve) and 180–
230 years (around the de Vries perio, red curve), together with
the result after applying the same procedures to the realization
of the NNF model. This figure can be compared to the analogous
Fig. p
Finally, Fig. 9 shows the empirical record after bandpass
filtering in the range 40–1000 years (black curve) and 180–
230 years (around the de Vries perio, red curve), together with
the result after applying the same procedures to the realization
of the NNF model. This figure can be compared to the analogous
Fig. 5 of Beer et al. (2018). The extrema of the filtered de Vries
periodicities tend to align with some of the extrema (grand min-
ima and grand maxima) of the original series, giving the impres-
sion of a periodic appearance of such extrema. However, this is
also the case in the NNF series with a random excitation of a
periodicity in the same range. 3.2. Analyzing subseries 5 of Beer et al. (2018). The extrema of the filtered de Vries
periodicities tend to align with some of the extrema (grand min-
ima and grand maxima) of the original series, giving the impres-
sion of a periodic appearance of such extrema. However, this is
also the case in the NNF series with a random excitation of a
periodicity in the same range. p
Finally, Fig. 9 shows the empirical record after bandpass
filtering in the range 40–1000 years (black curve) and 180–
230 years (around the de Vries perio, red curve), together with
the result after applying the same procedures to the realization
of the NNF model. This figure can be compared to the analogous
Fig. 5 of Beer et al. (2018). The extrema of the filtered de Vries
periodicities tend to align with some of the extrema (grand min-
ima and grand maxima) of the original series, giving the impres-
sion of a periodic appearance of such extrema. However, this is
also the case in the NNF series with a random excitation of a
periodicity in the same range. Fig. 7. Passband filtered time evolution of the sunspot number in the
period range between 75 yr and 100 yr around the Gleissberg period. The result from the empirical record reconstructed from cosmogenic
isotopes (upper panel) are shown in comparison to that from a realiza-
tion of the noisy normal form model (lower panel). A28, page 4 of 5 R. H. Cameron and M. Schüssler: Solar activity Since bandpass filtering of the NNF realizations leads to
qualitatively similar results as applying the same procedure to
the empirical data, we conclude that such filtering does not pro-
vide evidence for the intrinsic nature of the related periodicities. far, this notion is not supported by the data, which are consistent
with the NNF null case. The interpretation of such periodicities
in terms of dynamo theory (e.g., Beer et al. 2018) should there-
fore be considered with due caution. Acknowledgements. I. G. Usoskin kindly provided the sunspot number recon-
struction from the cosmogenic isotope record presented in Usoskin et al. (2016). 4. Conclusion Our analysis shows that the fluctuations in the power spectrum
of the sunspot numbers reconstructed from cosmogenic isotopes
are consistent with a weakly nonlinear and noisy limit cycle
with no intrinsic periodicities except that of the basic 11/22-
year cycle. Such a mode of operation of the solar dynamo is
suggested by solar and stellar observations and can be faithfully
described by a generic noisy normal form model with parameters
taken from observations (Cameron & Schüssler 2017b). Seem-
ingly significant periodicities such as the ∼90-year Gleissberg
and the ∼210-year de Vries “cycles” are expected to occur in ran-
dom realizations as a result of the stochastic noise in the dynamo
excitation. This conclusion is further strengthened by the sharp-
ness of the corresponding peaks in the power spectrum, indicat-
ing a random origin. Acknowledgements.
I. G. Usoskin kindly provided the sunspot number recon-
struction from the cosmogenic isotope record presented in Usoskin et al. (2016). References Beer, J., Tobias, S. M., & Weiss, N. O. 2018, MNRAS, 473, 1596
Cameron, R. H., & Schüssler, M. 2017a, ApJ, 843, 111
Cameron, R. H., & Schüssler, M. 2017b, A&A, 599, A52
Charbonneau, P. 2010, Liv. Rev. Sol. Phys., 7, 3
Jiang, J., Cameron, R. H., & Schüssler, M. 2014, ApJ, 791, 5
McCracken, K. G., Beer, J., Steinhilber, F., & Abreu, J. 2013, Sol. Phys., 286,
609
Metcalfe, T. S., & van Saders, J. 2017, Sol. Phys., 292, 126
Metcalfe, T. S., Egeland, R., & van Saders, J. 2016, ApJ, 826, L2
Steinhilber, F., Abreu, J. A., Beer, J., et al. 2012, Proc. Natl. Acad. Sci., 109,
5967
Svalgaard, L. 2018, ArXiv e-prints [arXiv:1810.11952]
Usoskin, I. G. 2017, Liv. Rev. Sol. Phys., 14, 3
Usoskin, I. G., Gallet, Y., Lopes, F., Kovaltsov, G. A., & Hulot, G. 2016, A&A,
587, A150
van Saders, J. L., Ceillier, T., Metcalfe, T. S., et al. 2016, Nature, 529, 181 y
Metcalfe, T. S., Egeland, R., & van Saders, J. 2016, ApJ, 826, L2 Steinhilber, F., Abreu, J. A., Beer, J., et al. 2012, Proc. Natl. Acad. Sci., 109,
5967 Svalgaard, L. 2018, ArXiv e-prints [arXiv:1810.11952] g
p
Usoskin, I. G. 2017, Liv. Rev. Sol. Phys., 14, 3 Usoskin, I. G., Gallet, Y., Lopes, F., Kovaltsov, G. A., & Hulot, G. 2016, A&A,
587, A150 Of course, our analysis cannot per se exclude that these peri-
odicities may be intrinsic after all, but we have shown that, so aders, J. L., Ceillier, T., Metcalfe, T. S., et al. 2016, Nature, 529, 18 A28, page 5 of 5
|
Subsets and Splits
No community queries yet
The top public SQL queries from the community will appear here once available.